[Federal Register Volume 87, Number 3 (Wednesday, January 5, 2022)]
[Notices]
[Pages 435-459]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-28513]
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FEDERAL TRADE COMMISSION
[File No. P222100]
HISA Racetrack Safety
AGENCY: Federal Trade Commission.
ACTION: Notice of Horseracing Integrity and Safety Authority (HISA)
proposed rule; request for public comment.
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SUMMARY: The Horseracing Integrity and Safety Act of 2020 recognizes a
self-regulatory nonprofit organization, the Horseracing Integrity and
Safety 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. The proposed rules and rule modifications must be published
in the Federal Register for public comment. Thereafter, the Commission
has 60 days from the date of publication to approve or disapprove the
proposed rule or rule modification. The Authority submitted to the
Commission a proposed rule on Racetrack Safety on December 6, 2021. The
Office of the Secretary of the Commission determined that the proposal
complied with the Commission's rule governing such submissions. This
document publicizes the Authority's proposed rule text and explanation,
and it seeks public comment on whether the Commission should approve or
disapprove the proposed rule.
DATES: If approved, the HISA proposed rule would have an effective date
of July 1, 2022. Comments must be received on or before January 19,
2022.
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'' on your comment and file your comment online at https://www.regulations.gov under docket number FTC-2021-0076. 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, Suite CC-5610 (Annex B), Washington, DC 20580, or deliver
your comment to the following address: Federal Trade Commission, Office
of the Secretary, Constitution Center, 400 7th Street SW, 5th Floor,
Suite 5610 (Annex B), Washington, DC 20024.
FOR FURTHER INFORMATION CONTACT: Austin King (202-326-3166), Associate
General Counsel for Rulemaking, Office of the General Counsel, Federal
Trade Commission, 600 Pennsylvania Avenue NW, Washington, DC 20580.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Self-Regulatory Organization's Statement of the Background,
Purpose of, and Statutory Basis for, the Proposed Rule
a. Background and Purpose
b. Statutory Basis
II. Self-Regulatory Organization's Statement of the Terms of
Substance of the Proposed Rule Establishing a Racetrack Safety
Program
a. Rule Series 2100--Racetrack Safety Accreditation Program
1. Rule 2110 et seq.--Accreditation Process
2. Rule 2120 et seq.--Accreditation Requirements
i. Rule 2121--Racetrack Safety and Welfare Committee
ii. Rule 2130 et seq.--Required Safety Personnel: Safety
Director
iii. Rule 2140 et seq.--Racehorse Inspections and Monitoring
iv. Rule 2150 et seq.--Racetrack and Racing Surface Monitoring
and Maintenance
v. Rule 2160 et seq.--Emergency Preparedness
vi. Rule 2170--Necropsies
vii. Rule 2180 et seq.--Safety Training and Continuing Education
viii. Rule 2190 et seq.--Jockey Health
b. Rule Series 2200--Specific Rules and Requirements
1. Rules 2220-2230--Attending Veterinarian and Treatment
Restrictions
2. Rule 2240 et seq.--Veterinarians' List
3. Rule 2250 et seq.--Racehorse Treatment History and Records
4. Rule 2260 et seq.--Claiming Races
5. Rule 2270 et seq.--Prohibited and Restricted Practices
i. Rule 2271--Prohibited Practices
ii. Rule 2272--Shock Wave Therapy
iii. Rules 2273-2275--Devices
iv. Rule 2276--Horseshoes
6. Rule 2280 et seq.--Use of Riding Crop
7. Rule 2290 et seq.--Safety and Health of Jockeys
III. Self-Regulatory Organization's Summary of Comments
IV. Self-Regulatory Organization's Response to Comments and
Discussion of Alternatives
V. Legal Authority
VI. Effective Date
VII. Request for Comments
VIII. Comment and Submissions
IX. Communications by Outside Parities to the Commissioners or Their
Advisors
X. Self-Regulatory Organization's Proposed Rule Language
[[Page 436]]
Background
The Horseracing Integrity and Safety Act of 2020 \1\ recognizes a
self-regulatory nonprofit organization, the Horseracing Integrity and
Safety 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.\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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The Authority submitted to the Commission a proposed rule on
Racetrack Safety on December 6, 2021. The Office of the Secretary of
the Commission determined that the proposal complied with the
Commission's rule governing such submissions.\5\
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\5\ 16 CFR 1.140-1.144; see also Fed. Trade Comm'n, Procedures
for Submission of Rules Under the Horseracing Integrity and Safety
Act, 86 FR 54819 (Oct. 5, 2021).
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Pursuant to Section 3053(a) of the Horseracing Integrity and Safety
Act of 2020 (the ``Act'') and Federal Trade Commission Rule 1.142,
notice is hereby given that, on December 6, 2021, the Horseracing
Integrity and Safety Authority (``HISA'' or the ``Authority'') filed
with the Federal Trade Commission (the ``Commission'') the proposed
Racetrack Safety rule and supporting documentation as described in
Items I, II, III, IV, and X below, which Items have been prepared by
HISA, as well as the Appendix. The Commission is publishing this notice
to solicit comments on the proposed rule from interested persons.
I. Self-Regulatory Organization's Statement of the Background, Purpose
of, and Statutory Basis for, the Proposed Rule
a. Background and Purpose
The Horseracing Integrity and Safety Act of 2020 (``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 Horseracing Integrity and Safety Authority
(``HISA'' or 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.'' The
proposed Racetrack Safety rule utilizes 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.
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. The
Committee spent hundreds of hours in reviewing and analyzing existing
standards and research, meeting and discussing key human and horse
safety and welfare issues. The Racetrack Safety Standing Committee
comprises four independent members and three industry members:
Susan Stover from California is an industry director on the HISA
Board of Directors and chairs the Racetrack Safety Standing Committee
of the Authority. Dr. Stover is a professor of surgical and
radiological science at the University of California, Davis and an
expert in clinical equine surgery and lameness. Her research
investigates the prevalence, distribution and morphology of equine
stress fractures, risk factors and injury prevention, as well as the
impact of equine injuries on human welfare.
Lisa Fortier is an independent member from New York. Fortier is the
James Law Professor of Surgery, Equine Park Faculty Director and
associate chair for Graduate Education and Research at the Cornell
University College of Veterinary Medicine. Her primary clinical and
translational research interests are in equine orthopedic surgery,
tendonitis, arthritis and regenerative medicine.
Peter Hester is an independent member from Kentucky. Hester is an
orthopedic surgeon specializing in sports medicine and previously
worked for equine veterinary surgeon William Reed at Belmont Park.
Paul Lunn is an independent member from North Carolina. Lunn is
dean of the College of Veterinary Medicine at North Carolina State
University. Previously, he was a professor and administrator at
Colorado State University and the University of Wisconsin. Lunn's
scholarly interests are in equine immunology and infectious disease.
Carl Mattacola is an independent member from North Carolina.
Mattacola is dean of the University of North Carolina, Greensboro
School of Health and Human Sciences. Prior to this, he was associate
dean of academic and faculty affairs for the College of Health Sciences
at the University of Kentucky. Mattacola's research has focused on
neuromuscular, postural and functional considerations in the treatment
and rehabilitation of lower extremity injury.
Glen Kozak is an industry member from New York. Kozak is senior
vice president of operations and capital projects for the New York
Racing Association's (NYRA) facility and track operations, which
include Belmont Park, Saratoga Race Course, Aqueduct Racetrack and
others. Prior to joining NYRA, Kozak worked for the Maryland Jockey
Club as vice president of facilities and racing surfaces.
John Velazquez is an industry member from New York. Velazquez is
one of the most accomplished and respected jockeys in the history of
horse racing, having won almost 6,250 races. He is North America's all-
time leading money-earning jockey and holds the record for most graded
stakes wins. He is a board member of the Permanently Disabled Jockeys'
Fund and co-chairman of the Jockeys' Guild. He was inducted into the
National Museum of Racing and Hall of Fame in 2012.
Beginning in September 2021, HISA representatives shared various
working drafts with several interested stakeholders for input as the
rule proposals were being developed. Those interested stakeholders
included: 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;
Grants Pass Downs; Arizona Downs; Colonial Downs; Association of Racing
Commissioners International (Model Rules Committee); California Horse
Racing Board; Kentucky Racing Commission; Delaware Racing Commission;
Maryland Racing Commission; National Horsemen's Benevolent and
Protective Association; Thoroughbred Horsemen's Association Mid-
Atlantic Safety Coalition; Thoroughbred Owner's and Breeders
Association; Kentucky Thoroughbred Association; American Association of
Equine Practitioners; American Veterinary Medical Association; North
American Association of Racetrack Veterinarians; Thoroughbred Safety
Coalition; New York Racing Association, Stronach Racing Group (5
Thoroughbred racetracks); Churchill Downs (6 Thoroughbred racetracks);
Breeders' Cup; Keeneland; and Del Mar.
[[Page 437]]
Additionally, videoconferences were conducted with all state racing
commissions (except Arkansas), and a number of industry organizations.
Likewise, prior to finalization of the submissions by HISA to the
Commission, working drafts of proposed regulations were made available
to the public for review and comment on the HISA website at https://www.hisausregs.org/. The website received 1,864 unique visitors, 3,097
total visits, 162 registered users, 137 regulation downloads, and 360
comments. All submitted comments were catalogued by HISA.
With the review, input, and ultimate approval of the Authority's
Board of Directors, the proposed Racetrack Safety rule would: (1) Put
in place a mandatory national accreditation program for racetracks that
utilizes the best practices developed to date for the safety and
welfare of racehorses and human participants in horse racing and
training; (2) set forth comprehensive record retention and data
collection programs to aid HISA in further analysis, research and
education on racetrack safety issues for purposes of continuous
improvement based on the best empirical evidence available; and (3)
establish specific restrictions, requirements and prohibited practices
to address key health and safety issues in a uniform manner that can be
implemented and enforced immediately in all racing jurisdictions and
venues.
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
a. Rule Series 2100--Racetrack Safety Accreditation Program
The proposed rule submitted by the Authority would establish a
mandatory national accreditation program for all U.S. racetracks that
conduct Covered Horseraces (as defined in the Act).
Existing Standards
In developing the mandatory national accreditation program, HISA
considered and relied heavily on the substantive provisions of the
National Thoroughbred Racing Association Safety and Integrity Alliance
Code of Standards (``NTRA Code of Standards''), as directed by the Act.
The NTRA Safety and Integrity Alliance (``Alliance''), comprising the
largest tracks and horsemen's groups in the U.S. and Canada, was
developed to function as a certification/accreditation body for the
purpose of recognizing and incentivizing compliance by all
stakeholders. Since its inception, the Alliance has helped spearhead
reforms in the areas of improved medication and testing policies,
guidelines for injury reporting and prevention, safety research,
providing a safer racing environment, and post-racing care for retired
racehorses. The Alliance reports that through its initiatives there has
been a 29.5% drop in the rate across all surfaces since 2009. The NTRA
Code of Standards has been maintained and updated based on in-the-field
findings, consultation with regulators and industry participants, and
collaboration with other industry organizations focused on safety and
integrity. A broad[hyphen]based Alliance Advisory Board as well as the
NTRA Board of Directors approve updates to the Code of Standards.
Twenty U.S. racetracks have been granted full Safety and Integrity
accreditation under the NTRA program.
In developing the national accreditation program set forth in the
proposed rule, HISA relied, in part, on the 2021 NTRA Code of Standards
(Exhibit 1). The NTRA Code of Standards incorporates many of the
specific standards and protocols set forth in the Association of Racing
Commissioners International's Model Rules of Racing (``ARCI Rules'')
(Exhibit 2). The ARCI ``Model Rules'' of racing and wagering are
recognized worldwide as a standard for the independent and impartial
regulation of horse racing as well as the conduct of pari-mutuel
wagering. Relying on the collective expertise of regulatory personnel
in member jurisdictions in consultation with regulated entities,
industry stakeholders, fans and individuals, ARCI committees consider
ways to improve and enhance the regulation of racing. In some racing
jurisdictions, the Model Rules have the force of law as they have been
adopted by reference statutorily or through a regulatory rule making.
In others they form the basis on which rules are written ensuring
substantial uniformity in the regulation of the sport. HISA prepared a
comparison of the substantive terms of the proposed rule with various
safety standards and provisions of the NTRA Code of Standards and the
specific ARCI Rules (Exhibit 3). In addition to these existing
standards, HISA also considered and relied on the International
Federation of Horseracing Authority's International Agreement on
Breeding, Racing, and Wagering (Exhibit 4) and the British Horseracing
Authority's Equine Health and Welfare Program (Exhibits 5-7).
1. Rule 2110 et seq.--Accreditation Process
The Accreditation process allows the Authority to take into account
the regional differences and the character of differing racetracks by
providing various levels of accreditation and by allowing racetracks
adequate time to comply with the accreditation requirements. At its
core, the accreditation process creates a collaborative approach
between the Authority and the Racetracks that recognizes all the
requirements of accreditation cannot be fully implemented as of the
Program Effective Date. A Racetrack that has already been accredited by
the National Thoroughbred Racing Association is granted interim
Racetrack Safety Accreditation. All other Racetracks are granted
provisional Racetrack Safety Accreditation. The initial designations of
interim and provisional Racetrack Safety Accreditation last at least
until the Committee completes an accreditation assessment under the
regulations. The accreditation assessment will evaluate whether a
subject racetrack is in compliance with the accreditation requirements
in the Rule 2100 Series. If the accreditation assessment concludes that
the applicable Racetrack has not reached full compliance with the
accreditation regulations, the Committee may grant provisional
accreditation for one year and may extend such provisional
accreditation if the subject racetrack is undertaking good faith
efforts to comply with the accreditation requirements and achieve
Accreditation.
2. Rule 2120 et seq.--Accreditation Requirements
i. Rule 2121--Racetrack Safety and Welfare Committee
Accreditation requires injury assessment and risk management
protocols be in place to investigate equine and human injuries, to
identify contributing factors, to educate participants, and to identify
risk prevention and risk management measures to reduce the incidence/
prevalence of injuries. These requirements are designed to enhance a
culture of safety at the racetrack and thus improve safety for covered
persons and covered horses. Injury incidence/prevalence will be reduced
for the racetrack and racing commission. Racehorse attrition due to
injury will be
[[Page 438]]
reduced, maintaining racehorse inventory.\6\
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\6\ See also Exhibit 8; Exhibit 9 (pages 6-9); Exhibit 10.
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ii. Rule 2130 et seq.--Required Safety Personnel: Safety Director
The proposed rule designates an individual that is responsible for
overseeing risk assessment, risk management, and interacting with the
Authority for Racetrack Safety Accreditation compliance. The proposed
rule creates a position that establishes a reporting structure between
the Authority and the State Racing Commissions who have entered into
agreements with the Authority. This structure also enables coordination
of risk assessment and risk management between the State Racing
Commissions and the Authority, and thus standardizes risk assessment
and risk management among the State Racing Commissions. Covered persons
and covered horses will benefit from risk assessment, risk management,
and development and implementation of strategies to mitigate future
risk, thus creating a safer training and racing environment. Racetracks
and racing commissions will benefit from fewer injuries, lower
racehorse attrition, and enhanced social license to operate. The
position of Safety Director is patterned after existing positions of
``Equine Medical Director'' in several racing jurisdictions including
California, Kentucky, Maryland, New York, Virginia, and West Virginia.
The position has expanded oversight (in addition to equine safety) of
racetrack safety and safety of personnel working with horses.
Likewise, the proposed rule: (1) Designates that current stewards
in jurisdictions having an agreement with the Authority will also
enforce the Authority Regulations; (2) describes the duties and
responsibilities of a Safety Officer who will oversee safety of the
barn area, oversee safety protocols, and participate in the Safety and
Welfare Committee; and (3) describes the duties and responsibilities of
the Regulatory Veterinarian. The proposed rule is intended to ensure
that specific individuals have designated responsibilities for creating
a culture of safety by overseeing safety in the barn area, contributing
to risk assessment and risk management, enforcing Authority
regulations, and overseeing racehorse safety.\7\
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\7\ See also Exhibit 9 (pages 2-3); Exhibit 2 (ARCI-006-015
Stewards); Exhibit 8; Exhibit 2 (ARCI-006-070 Official
Veterinarian); Exhibit 11.
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iii. Rule 2140 et seq.--Racehorse Inspections and Monitoring
Rules 2141-2142--Racehorse Veterinary Inspections and Assessments
The rule requires that racehorses are screened and inspected by
regulatory veterinarians at several times (opportunities) to detect
horses that are unsound, injured or medically compromised. The purposes
are to identify at-risk horses and prevent exacerbation of the
condition by preventing racing while the horse is compromised, alert
the trainer so an affected horse can be appropriately treated and
rehabilitated, and detect abuse (e.g., injuries from improper crop
use). The rule promotes regulatory veterinarian collaboration with
trainers in the appropriate management of racehorses. The proposed rule
deters abusive practices such as excessive use of the crop on the
racehorse. The rule enhances racehorse welfare by preventing career-
ending and catastrophic injuries. The rule enhances jockey welfare
because many jockey injuries are the result of racehorse falls from a
catastrophic injury during a race. The rule enhances racetrack welfare
by reducing racehorse attrition due to career-ending or catastrophic
injuries. The rule enhances social perception of racing by preventing
catastrophic injuries during racing.\8\
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\8\ See also Exhibit 1; Exhibit 2.
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Rule 2143--Racehorse Monitoring
The rule requires that racehorses entering a racetrack be inspected
by a veterinarian and determined to be in good health and to have been
vaccinated for transmissible and life-threatening diseases. The purpose
is to ensure racehorses entering the racetrack are in good health and
to prevent transmission of disease by unhealthy racehorses to other
racehorses in the racetrack environment. Further, the rule requires
that for racehorses leaving the racetrack, information about their
intended destination and transporter are provided so that in the case
of a disease outbreak contact tracing can occur for disease
investigation and containment. The stated ``purpose'' for exiting a
racetrack is required for knowledge useful for investigation of
medication and training-related factors for racehorse injury and
attrition. The rule prevents disease entry and transmission to a dense
population of racehorses in racetrack environments and allows for
disease investigation and containment in the event of a disease
outbreak. The rule also enhances investigations into causes of
racehorse injury and attrition by collection of data useful for
epidemiological studies. Racehorses travel among racetracks due to the
scheduling of race meets at different racetracks throughout a calendar
year. Disease prevention and containment are critical to maintaining a
healthy racehorse population. The rule optimizes racehorse welfare and
prevents closure of racing and racetracks due to a disease outbreak in
the racehorse population.\9\
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\9\ See also Exhibit 12; Exhibit 13; Exhibit 14; Exhibit 17.
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iv. Rule 2150 et seq.--Racetrack and Racing Surface Monitoring and
Maintenance
The rule requires that racetracks are designed, configured, tested,
maintained, and monitored to optimize the racing surface for safety of
the racehorse and jockey. Racetracks must be constructed with
components that optimize safety of racehorses and human participants.
The rule stipulates design criteria for safest known products that are
intended to prevent racehorse and jockey injury during training and
racing events. The race surface and race surface material are known to
influence risk for racehorse injury, and management of the race surface
material is known to influence race surface properties. Because the
safest design criteria for race surface materials and the effect of
management procedures on surface material properties are largely
unknown, there is a requirement for data collection to enable studies
for association with racehorse injuries. The rule is intended to
enhance racehorse welfare by preventing career-ending and catastrophic
injuries due to poor race surfaces and preventing accidents due to poor
racetrack design and racetrack component design (e.g., starting gate
padding). The rule similarly enhances jockey welfare because many
jockey injuries are the result of racehorse falls from a catastrophic
injury during a race and reducing the severity of jockey accidents by
safer racetrack construction (e.g., safety rails). The rule enhances
racetrack welfare by reducing racehorse attrition due to career-ending
or catastrophic injuries. The rule enhances the social perception of
racing by the public by preventing catastrophic injuries during
racing.\10\
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\10\ See also Exhibit 1; Exhibit 2 (ARCI-007-020, Facilities and
Equipment); Exhibit 18 (Surfaces); Exhibit 19 (Racing Surfaces
Testing Laboratory website); Exhibit 15.
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[[Page 439]]
v. Rule 2160 et seq.--Emergency Preparedness
The rule includes accreditation requirements that racetracks
adequately undertake various emergency preparedness steps with respect
to catastrophic injuries, fire safety, hazardous weather, infectious
disease outbreaks and emergency drills. These provisions require
racetracks to train emergency response personnel in the types of
injuries and situations specific to racetracks. These requirements are
intended to ensure racetracks and Covered Persons are adequately
prepared to address emergencies in an effective manner if and when they
arise. In particular, the rule also specifically provides for a
dedicated ambulance to respond to human injuries that occur in the
course of training and racing.\11\
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\11\ See also Exhibit 2 (ARCI-007-020, Facilities and
Equipment); Exhibit 1 (pages 13-17, referring to ARCI standards
above); Exhibit 16; Exhibit 15; Exhibit 17.
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vi. Rule 2170--Necropsies
The rule requires that a necropsy (autopsy) be performed on all
horses that die or are euthanized at covered racetracks and training
centers. The rule also outlines the types of necropsies acceptable to
the Authority and unifies necropsy examination protocols and reporting
of resultant examinations. Necropsies identify factors that caused or
contributed to the horse's death and provide an opportunity to survey
racehorses for other injuries. The resulting information will be used
to identify abnormalities and implement protective measures to mitigate
future injuries. The collected data will be used for research, to make
improvements where needed and reduce equine injuries. This information
is critical for making associations of causation between racetrack
conditions, race and training data and injury. Some racing commissions
do not require necropsies or limit them to certain circumstances. Thus,
factors that cause racehorses' deaths are not always documented. The
regulatory veterinarian will have the responsibilities of establishing
the SOP and uploading the resultant necropsy data into the Equine
Injury Database.\12\
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\12\ See also Exhibit 10 (Veterinary Practices 1846.5,
Postmortem Examination. (a)-(h)); Exhibit 1 (ARCI Model Rules ARCI-
011-030 Physical Inspection of Horses, Assessment of Racing
Condition, C. Postmortem Examinations(1)-(6)); Exhibit 20; Exhibit
8; Exhibit 9; Exhibit 21.
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vii. Rule 2180 et seq.--Safety Training and Continuing Education
The first part of the rule requires that participating State Racing
Commissions use a uniform national trainer's test as part of the
requirements for an individual to be a trainer. The purpose is to have
a standardized test among all jurisdictions. The second part of the
rule states that persons responsible for racehorse or racecourse
management are required to have continuing education for the purpose of
enhancing knowledge and conveying new knowledge to industry
participants. Implementation of safety and welfare measures relies on
the transfer of information known and generated through research to the
industry participants that can implement change. Current continuing
education opportunities are scarce, variable in quality, non-uniformly
applied among jurisdictions, and address only some industry
participants. The rule institutes uniform hourly requirements for
existing offerings for a greater number of industry participants.
Increasing the level of education of industry participants will help
ensure that covered persons are familiar with best practices and
regulatory requirements governing safety and integrity, promote a
culture of safety at the racetrack, enhance safety and welfare of
covered horses and covered persons, and increase welfare of the
racehorse industry.\13\
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\13\ See also Exhibit 1 (referencing ARCI Model Rules ARCI 008-
020(A)(4); ARCI 006-015(A), ARCI 006-015(A)); Exhibit 22.
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viii. Rule 2190 et seq.--Jockey Health
The rule will require State Racing Commissions or Racetracks to
conduct drug and alcohol testing for jockeys. The rule is intended to
help ensure that jockeys are not impaired when riding in a race. Horse
racing can be a dangerous sport and it is imperative that jockeys be
mentally and physically fit while performing their duties. A jockey
that is impaired is a danger to themselves, other jockeys, licensees,
and horses.
The rule also requires Racing Commissions or Racetracks to develop
protocols for concussion management. A concussion is a type of
traumatic brain injury that interferes with normal function of the
brain. Continuing to ride is dangerous for the jockey and may cause
additional damage/injury. In addition, the impairment creates a
dangerous situation for other jockeys and horses.
The rule provides an opportunity to assess a jockey for a possible
concussion injury and if detected, reduce the chance of elevating the
injury. It also protects other jockeys and horses that may be
negatively affected by the injured jockey's impairment. Concussion
assessment and requiring clearance for return to the sport from a
medical provider are standard practices in most sports prone to
concussion injuries. The rule will require that a jockey to be examined
and ``cleared'' to return to ride by a qualified medical provider.\14\
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\14\ See also Exhibit 23; Exhibit 24; Exhibit 25; Exhibit 26.
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b. Rule Series 2200--Specific Rules and Requirements
1. Rules 2220-2230--Attending Veterinarian and Treatment Restrictions
These rules require that only veterinarians licensed by the State
Racing Commission can examine, diagnose, and treat racehorses and that
the veterinarian is working with the trainer (agent of owner) to
appropriately examine, diagnose abnormalities and treat racehorses. The
rules are intended to ensure medications and treatments administered to
racehorses are given by only veterinarians that have the specific
knowledge and expertise to make diagnoses and treat racehorses.
Further, the rules require that there is a valid veterinarian-owner/
trainer relationship for treatment of racehorses. The rules optimize
racehorse care by ensuring that racehorses are appropriately examined
by veterinarians specifically knowledgeable about racehorse medicine
and surgery, and racing regulations; and that veterinarians and
trainers are working collaboratively for optimizing racehorse
health.\15\
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\15\ See also Exhibit 1 (pages 42-43, referencing ARCI-011-10);
Exhibit 2 (ARCI Model Rules of Racing--ARCI-011-010 Veterinary
Practices).
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2. Rule 2240 et seq.--Veterinarians' List
The rule establishes a list of horses that have compromised health
or unsoundness and prohibits these horses from racing. Further, the
rule outlines the process by which the horses are determined to have
recovered from their illness or unsoundness and may return to racing.
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 horses from racing until the horses have recovered from their
illness or injury. The rule is designed to protect 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 injuries associated with falls from
horses due to the horse incurring a severe injury during a race and
falling at high speed. Racetracks
[[Page 440]]
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 horses put on the list at one jurisdiction will be identifiable
when the horse moves to another jurisdiction.\16\
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\16\ See also Exhibit 2 (ARCI-011-030 Physical Inspection of
Horses, B. Veterinarians' List; Exhibit 9 (pages 20-21); Exhibit 1
(Section E).
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3. Rule 2250 et seq.--Racehorse Treatment History and Records
The rule requires attending veterinarians and trainers to report
all medications, treatments, surgical procedures, and off-racetrack
exercise history for all covered horses to the Authority's database.
The purpose is to discover high risk practices so that injuries and
illnesses can be prevented in the future. Knowledge of medication,
treatments, surgical procedures, and off-track exercise history data is
necessary to correlate medication, treatments, surgical procedures, and
off-track exercise history with risk for injury and illness, so that
high risk practices can be discovered, and injuries and illnesses can
be prevented in the future. Collection and correlation of the
information with data on injuries and illnesses will enhance equine
welfare by allowing the development of strategies for injury and
illness prevention. Jockey welfare and safety will be enhanced by a
decrease in the incidence of horse falls due to injury and associated
jockey injuries. Industry welfare will be enhanced by lower racehorse
attrition. The Authority will develop technology (e.g., tablet apps) to
minimize the burden on covered persons.\17\
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\17\ See also Exhibit 1 (NTRA Safety & Integrity Alliance--Code
of Standards 2021, Trainer Records and Reporting, page 21); Exhibit
2 (ARCI-008-020 Trainers); Exhibit 9 (``Layoff Report''); Exhibit 10
(Rule Nos. 1842, 1842.1, 1842.5).
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4. Rule 2260 et seq.--Claiming Races
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. The rule provides the 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, transfer of the
horse does not occur. The rule protects the purchaser of the horse from
acquiring an injured, compromised, or dead horse. The rule provides
disincentives to a trainer/owner to enter a horse compromised from
latent injury or ailment in a race with the intent for another trainer/
owner to take responsibility by claiming the horse in the race. The
option for the claim 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 Waiver Claim Option also allows a horse trainer/owner
that rehabilitated a horse and wishes to start the horse in a race to
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 allow them to 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.
In the case of a successful claim (horse purchase) the rule effects
transfer of medical records to the new trainer/owner. Knowledge of
medical history provides information to the new trainer/owner so the
horse may be managed appropriately, given its history, and obtain the
best training and medical care for the horse's optimal health.
The 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; thus, some catastrophic or
career-ending injuries are prevented.\18\
---------------------------------------------------------------------------
\18\ See also Exhibit 27; Exhibit 9 (pages 16-18).
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5. Rule 2270 et seq.--Prohibited and Restricted Practices
i. Rule 2271--Prohibited Practices
The rule regulates the use of practices that either: (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., thermocautery); 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.\19\
---------------------------------------------------------------------------
\19\ See also Exhibit 1 (Shock Wave Therapy, page 20); Exhibit 2
(ARCI Model Rules of Racing ARCI-011-015(4) (shock wave therapy),
ARCI-006-020, ARCI-010-030, ARCI-024-025 (heel nerving), ARCI-011-
015 (prohibited practices)).
---------------------------------------------------------------------------
ii. Rule 2272--Shock Wave Therapy
The 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.\20\
---------------------------------------------------------------------------
\20\ See also Exhibit 1 (page 20); Exhibit 2 (ARCI-011-015
Prohibited Practices).
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iii. Rules 2273-2275--Devices
The rules prohibit the use of any device meant to alter the speed
or performance of a horse. The rules are in place in all U.S. 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 rules are 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 the industry considers
use of performance-affecting devices a serious issue.\21\
---------------------------------------------------------------------------
\21\ See also Exhibit 2 (ARCI-010-035 Running of the Race
E(7)(c)--Use of Riding Crop); Exhibit 4.
---------------------------------------------------------------------------
iv. Rule 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. Traction devices have been thought to
[[Page 441]]
increase a horse's ability to ``dig in'' to the track surface and
prevent slipping. Traction devices reduce the horse's ability to plant
its hoof properly and move correctly through the surface. That
reduction of movement contributes to catastrophic breakdowns and
skeletal and muscle-related injuries. The rule follows the scientific
evidence that shows that traction devices increase equine injuries. The
rule is intended to increase the safety of covered riders and covered
horses by reducing the number of accidents resulting from injuries
associated with the use of traction devices. Lower racehorse attrition
will enhance racetrack welfare by having greater racehorse inventory to
fill races, larger race fields, and consequently greater parimutuel
betting. The rule will standardize traction device use nationwide.\22\
---------------------------------------------------------------------------
\22\ See also Exhibit 28 (In a study of 201 Thoroughbred
racehorses that died during racing or training at California
racetracks, toe grabs were identified as possible risk factors for
fatal musculoskeletal injury, fetlock suspensory apparatus failure,
and fetlock condylar fracture. The odds of fatal musculoskeletal
injury, fetlock suspensory apparatus failure, and fetlock condylar
fracture were 1.8, 6.5, and 7.0, respectively, times greater for
horses shod with low toe grabs than for horses shod without toe
grabs on front shoes. Horses shod with regular toe grabs on front
shoes had odds 3.5, 15.6, and 17.1 times greater (P <0.05) for fatal
musculoskeletal injury, fetlock suspensory apparatus failure, and
fetlock condylar fracture, respectively, compared with horses shod
without toe grabs. The odds of horses shod with rim shoes were a
third (P <0.05) of those shod without rim shoes for either fatal
musculoskeletal injury or fetlock suspensory apparatus failure.);
Exhibit 29; Exhibit 30 (The results supported the hypothesis that
using studs will decrease foot slip distance in horses cantering on
a grass surface.); Exhibit 31 (A marginal association (p=0.08) was
detected between moderate ligamentous suspensory apparatus injury
and height of toe grab. Toe grab height may remain a risk factor for
suspensory apparatus failure and condylar fracture because moderate
ligamentous suspensory apparatus injury is a risk factor for
suspensory apparatus failure and condylar fracture.); Exhibit 32
(Horses that wore low, regular, or Quarter Horse height toe grabs
the week of injury had higher odds of having a mild suspensory
apparatus injury, compared with horses that did not wear toe grabs
that week (p=0.16).); Exhibit 33 (Odds of injury in racehorses with
toe grabs on front shoes were 1.5 times the odds of injury in horses
without toe grabs, but this association was not statistically
significant (95% confidence interval, 0.5-4.1).); Exhibit 34
(Although toe grab height was not a significant risk factor in the
multivariable or univariable models in the present study, a prior
related study, and a Florida study, found the direction of the
relationship between toe grab height and injury in both studies was
consistent with higher risk with higher toe grabs. Furthermore, toe
grab height is associated with the development of mild suspensory
apparatus injury, which is a risk factor for suspensory apparatus
failure. The use of high toe grabs has decreased in recent years,
and variability in toe grab height is associated with 10% to 16% of
the variability in exercise variables, perhaps making it more
difficult to detect a significant toe grab effect in univariable and
multivariable analyses, respectively. It is possible that a toe grab
effect is also confounded by other factors; but, in the absence of
other known relationships, avoidance of use of high (>=4 mm) toe
grabs is still recommended for injury prevention.); Exhibit 35;
Exhibit 4 (Article 7, Racing (Shoeing of Racehorses)); Exhibit 2
(ARCI-010-030 (30)); Exhibit 10 (California Rule 1690.1).
---------------------------------------------------------------------------
6. Rule 2280 et seq.--Use of Riding Crop
Allowing use of the crop is critical for the safety of 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.\23\
---------------------------------------------------------------------------
\23\ See also Exhibit 10 (Crop Rule); Exhibit 36; Exhibit 37;
Exhibit 38; Exhibit 39; Exhibit 40; Exhibit 41; Exhibit 42; Exhibit
43; Exhibit 44; Exhibit 45; Exhibit 46; Exhibit 47; Exhibit 48;
Exhibit 49; Exhibit 50; Exhibit 51; Exhibit 52; Exhibit 53; Exhibit
54; Exhibit 10; Exhibit 55; Exhibit 56; Exhibit 35; Exhibit 57;
Exhibit 58.
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7. Rule 2290 et seq.--Safety and Health of Jockeys
The rule requires that a jockey have a physical examination
including baseline concussion testing in order to be eligible to ride
in races. Further, the rule states that starting gate personnel and any
person mounted on a horse must wear a protective helmet and vest. When
mounted on a horse, jockeys must have medical information pertinent to
emergency care on their vest. The rule ensures that jockeys are
physically fit and capable of riding without endangering other
participants during a race. The rule ensures that jockeys and starting
gate personnel wear safety vests and helmets to minimize injury in case
of an accident. In the case of a jockey injury, medical information
pertinent to emergency care will be readily available to medical
providers. In the case of a jockey injury, baseline concussion data is
available for comparison to the injury-related concussion assessment.
Stewards and the Clerk of Scales are responsible for monitoring and
reporting non-compliance.\24\
---------------------------------------------------------------------------
\24\ See also Exhibit 1 (pages 22-24); Exhibit 2 (ARCI-007-020
Facilities and Equipment); Exhibit 2 (ARCI-008-030 Jockeys).
---------------------------------------------------------------------------
III. Self-Regulatory Organization's Summary of Comments
As encouraged by the Commission's rule, beginning in September
2021, HISA representatives shared various working drafts with several
interested stakeholders for input as the rule proposals were being
developed. Those interested stakeholders included: Racing Officials
Accreditation Program (``ROAP''); Racing Medication and Testing
Consortium (Scientific Advisory Committee) (``RMTC''); Water Hay Oats
Alliance (``WHOA''); National Thoroughbred Racing Association
(``NTRA''); The Jockey Club; The Jockeys' Guild; Thoroughbred Racing
Association (``TRA''); Arapahoe Park; Grants Pass Downs; Arizona Downs;
Colonial Downs; Association of Racing Commissioners International
(Model Committee) (``ARCI''); California Horse Racing Board; Kentucky
Racing Commission; Delaware Racing Commission; Maryland Racing
Commission; National Horsemen's Benevolent and Protective Association;
Thoroughbred Horsemen's Association Mid-Atlantic Safety Coalition;
Thoroughbred Owners and Breeders Association; Kentucky Thoroughbred
Association; American Association of Equine Practitioners; American
Veterinary Medical Association; North American Association of Racetrack
Veterinarians; Thoroughbred Safety Coalition; New York Racing
Association, Stronach Racing Group (5 Thoroughbred racetracks);
Churchill Downs (6 Thoroughbred racetracks); Breeders' Cup; Keeneland;
and Del Mar. Additionally, videoconferences were conducted with all
State racing commissions (except Arkansas), and a number of industry
organizations.
Likewise, prior to finalization of the submissions by HISA to the
Commission, working drafts of proposed regulations were made available
to the public for review and comment on the HISA website https://www.hisausregs.org/. The website received 1,864 unique visitors, 3,097
total visits, 162 registered users, 137 regulation downloads, and 360
comments. All submitted comments were catalogued by HISA and were
submitted to the Commission herewith.
The primary areas of the Racetrack Safety Rule that received
comments were with regard to Safety and
[[Page 442]]
Continuing Education (2182); Claiming Races (2260-2262); Veterinarians'
List (2142, 2220-2242); Safety and Welfare Committee and Safety
Director (2121-2131); Stewards and Safety Officer (2133-2136);
Racehorse Treatment History (2250-2253); Prohibited Practices (2271);
Medical Director (2132); Racetrack Surfaces, Monitoring and Maintenance
(2150-2154); Necropsies (2170); Riding Crops (2280-2281); and Racehorse
Treatment History and Records (2250-2253).
The Committee engaged in a continuous review and consideration
process as comments were submitted, analyzed, and discussed both
internally and with the various stakeholders. Many of the proposed
rules received substantial and wide-ranging support, and thus there
were few comments suggesting changes. In several instances, significant
changes were made in the ongoing rule development and revision process
in direct response to comments received. In some instances, the
Committee considered comments but elected to maintain the original
proposed provisions based on statutory requirements and limitations
and/or substantive analysis based on the expertise of the Committee and
the supporting documentation it reviewed and considered.
IV. Self-Regulatory Organization's Responses to Comments and Discussion
of Alternatives
The following is a description of the primary subjects that
received comments and the manner in which the Authority addressed those
comments in developing the proposed rule submitted to the Commission,
as well as the reasonable alternatives the Authority considered
alongside the option ultimately proposed.
Safety and Continuing Education (Rule 2182)
Comments were received from RMTC, ROAP, WHOA, NTRA, and TRA among
other individuals. Comments were highly supportive of requiring
continuing education, and several comments asked for increased hourly
requirements (e.g., Assistant Trainers should have the same
requirements as Trainers: 4 hours). Hourly requirements were increased,
more categories of covered persons were added to the list of
individuals required to have annual continuing education. Requirements
were modified to facilitate compliance for existing resources (e.g.,
Racing Officials have an 8-hour requirements every 2 years instead of
annual requirements of 4 hours because the 8-hour requirements are
achievable using the ROAP meeting as a resource). Other comments
expressed the need to have a centralized resource with quality-
controlled content. The Racing Safety Committee concurs, and after the
initial Racing Safety rule rollout, plans to engage in development and
implementation of a strategic plan that incorporates a centralized
resource, funding and development of education resources, and
compliance monitoring after the initial Racing Safety rule rollout. The
plan will likely build on the ad hoc evolving HorsemenU industry
website. Concerns were also raised about funding, which will also be
considered next.
Claiming Races (Rule 2260)
The Transfer of Claimed Horse Records had support from several
individual regulatory veterinarians whose perspective was to optimize
the welfare of horse by providing historical treatments to the new
owner of the horse. The Void Claim rule had few comments (and thus wide
acceptance). This rule is generally perceived to incentivize trainers
to rehabilitate poorly performing horses instead of racing those horses
which are at high risk for catastrophic injury. The rule is thought to
contribute to the dramatic drop of catastrophic injuries in those
racing jurisdictions that implemented a similar rule. Specific comments
were related to including a positive medication violation as an
additional reason for voiding the claim. The positive medication
violation was added to the items that would void a claim. The Waiver
Claiming Option, drawn from the void claim rule in existing
jurisdictions, is generally accepted and had few comments. This option
allows an individual to retain a claimed horse that otherwise meets
some of the requirements for a voided claim. The rule allows an
individual to retain the horse, usually for non-racing (breeding)
purposes. The RMTC, TRA, and individuals collectively commented and
provided evidence that the purse to claim price ratio was unrealistic
in consideration of the current structuring of purse monies for
claiming races. The rule would penalize trainers/owners by dramatically
lowering return for racing. The purse to claim price ratio text was
removed from the regulations.
Assessment of Racing Condition and Veterinarians' List (Rules 2142,
2220-2242)
Assessment of Racing Condition by veterinary inspections/
observations and placement of horses deemed ineligible to race due to
unsoundness or medical conditions on the Veterinarians' List are common
practices in many jurisdictions and had generally positive support. The
numerous comments ranging from individuals to RMTC, CDI, WHOA, KHRC,
NYRA, TRA, Mid-Atlantic Group, Oklahoma, and CNL related to specific
items in the rules. In general, the first version of the rule was
deemed too lax, and the second version of the rule was deemed too
specific and not feasible for breeds other than Thoroughbreds (should
the other breeds opt to participate under HISA). Further, there is
general concern that there are not enough equine regulatory
veterinarians for employment to support the rule. The submitted rule
contained increased rigor by increasing the times of inspection by a
veterinarian, with lesser regulation of the requirements for each
inspection. The Authority intends to augment the requirements by
distributing a ``Best Practices'' guidance document. Different
jurisdictions had different standdown times for reasons to be put on
the veterinarians' list--and commented accordingly. The rule, however,
standardized standdown times and the requirements for removal from the
veterinarians' list and incorporated a mandatory inspection of the
horses by the attending veterinarian and trainer to ensure that a
veterinarian attested to soundness and good health while facilitating
consult and education of the trainer.
Safety Director and Safety and Welfare Committee (Rules 2121-2131)
The Safety Director and Safety and Welfare Committee are a new
position and new structure for most racing jurisdictions. Some racing
jurisdictions (e.g., California, Mid-Atlantic Group, New York) have an
Equine Medical Director which has similar responsibilities as, but
fewer than, the Safety Director. The Safety Director and Safety and
Welfare Committee are established specifically for Risk Assessment and
Risk Management. Comments were received from broad constituencies
including the Minnesota Racing Commission, RMTC, Maryland, WHOA, and
Colonial Downs. Comments to the first version of the draft rules were
largely related to the perception that jurisdictions would be required
to hire additional individuals to fill these roles. Later versions of
the rules clarified that existing individuals (e.g., Equine Medical
Director) could fill these roles and perform the responsibilities.
Further, later revisions clarified that jurisdictions could share
individuals to fill the roles and responsibilities. Comments also
pointed out that some stakeholders did not have representation on the
Safety and
[[Page 443]]
Welfare Committee. Additional committee members were included on the
Safety and Welfare Committee (e.g., track superintendent) to include
broad representation of all stakeholders.
Stewards and Safety Officer (Rules 2133, 2136)
The Stewards and Safety Officer sections went through considerable
revisions in response to comments from ROAP, TRA, KHRC, Maryland, RMTC,
CNL, NTRA, and CDI. The Racing Safety Committee recognized that the
Stewards are largely employed by the racetracks and eliminated
regulatory oversight except to only ensure that the Stewards were also
responsible for enforcing the Racing Safety regulations (subject to the
applicable State Racing Commission electing to enter into an agreement
with the Authority). Similarly, the Stewards' List section was deleted
largely due to comments from the RMTC, ROAP, and TRA. The Safety
Officer, generally a steward, is currently a position at only some
racetracks, but is deemed an important position by the Racing Safety
Committee; with oversight of general safety procedures including in the
barn stable area. The requirement for a Safety Officer was left in the
regulations. There was profound disagreement that a Safety Officer only
be required at racetracks that held Graded Stakes races. The intent of
the Racing Safety Committee was to reduce the burden of having an
additional individual on smaller racetracks, but the perception was
that only expensive horses mattered. Therefore, the requirement for a
Safety Officer was made standard for all racetracks.
Racehorse Treatment History (Rules 2250-2253)
Racehorse treatment history obtained from attending veterinarians
and trainers (Responsible Persons) is deemed important by the Racing
Safety Committee because of the scientific reports that indicate that
intra-articular corticosteroids,\25\ non-steroidal anti-inflammatory
drugs,\26\ exercise history,\27\ and return from lay-up (i.e., rest
from racing and training) \28\ increase the risk for career-ending or
catastrophic musculoskeletal injury. This information will be stored in
the Authority's database and used for research into associations with
lay-up, and career-ending and catastrophic injuries. The Oklahoma Horse
Racing Commission has numerous questions regarding the process and
outcomes without suggestions. Comments from the Minnesota Racing
Commission and ARCI indicated support for the centralization of data,
suggested more rigorous reporting requirements (to those in the initial
draft regulations), and the usefulness of the data for identifying
horses needing additional scrutiny because of possible increased risk
for injury. However, there was concern for the cumbersome process and
burden on persons required to submit data. The Racing Safety Committee
intends to work with the Authority's Technology section to facilitate
ease of reporting and provide information back to data providers that
will help them locally and incentivize data reporting.
---------------------------------------------------------------------------
\25\ Whitton, et al. Musculoskeletal injury rates in
Thoroughbred racehorses following local corticosteroid injection The
Vet J 2014;200:71-76.
\26\ Dirikolu, et al. Nonsteroidal anti-inflammatory agents and
musculoskeletal injuries in Thoroughbred racehorses in Kentucky. J
Vet Pharmacol. Therap. 2008;32:271-279.
\27\ Anthenill, et al. Risk factors for proximal sesamoid bone
fractures associated with exercise history and horseshoe
characteristics in Thoroughbred racehorses. Am J Vet Res
2007;68:760-771.
\28\ Carrier, et al. Association between long periods without
high-speed workouts and risk of complete humeral or pelvic fracture
in Thoroughbred racehorses: 54 cases (1991-1994). J Am Vet Med Assoc
1998;212:1582-1587.
---------------------------------------------------------------------------
Prohibited Practices (Rule 2271)
Several practices are prohibited because they may alleviate pain,
mask signs of injury, or cause inflammation. These practices include
shockwave therapy, neurectomy, thermocautery, and electrical medical
therapeutic devices. RMTC, Minnesota Racing Commission, Maryland, KHRC,
and Oklahoma Horse Racing Commission commented on the rule. Comments
were largely related to two items: (1) Differences in regulating use of
shockwave machines and stand down times for shockwave and (2) palmar
digital neurectomy. The regulation of use of shockwave machines and
stand down times were standardized in the rules. At least several
racing jurisdictions currently (and historically) allow palmar digital
neurectomy as permissible, stating that horses with palmar digital
neurectomy can race safely without increased risk for injury. The
Racing Safety Committee decided to disallow all neurectomies (including
palmar digital neurectomy) on the principle that a procedure that
alleviates pain without resolution of the underlying cause should not
be permissible.
Medical Director (Rule 2132)
The Medical Director is included in the regulations to oversee the
care and organization of medical needs for jockeys. The position was in
the first draft of the regulations, removed because the Racing Safety
Committee felt it needed more work, and then after further
consideration and work, re-inserted the position of Medical Director to
the last draft of the regulations. Consequently, while there are few
written comments, the Racing Safety Committee has received verbal
comments from stakeholders at the Global Symposium of Racing at the
University of Arizona, conducted on December 6 and 7, 2020. Racing
jurisdictions perceived that they would be required to hire a full-time
physician, which is not the intent of the rule. Further, some racing
jurisdictions thought they had adequate procedures in place and that
the rule was not necessary. The Racing Safety Committee (with 3 members
(athletic trainer, jockey, and physician) of a 7-member committee
nominated by a separate Nominating Committee) thought it is important
to ensure there is a standard minimum of care for jockey and exercise
rider health and safety, and that national coordination of efforts
would benefit the industry. Further, the Racing Safety Committee
requires all racetracks to implement a concussion baseline assessment
and evaluation protocol for determining fitness to ride, particularly
after a fall or injury. A compromised jockey risks danger to not only
him/herself but to other riders and horses in races.
Racetrack Surfaces (Rules 2150-2154)
The original draft of the Safety Regulations required that
racetracks engaged in racetrack renovation consider the installation of
a synthetic racing surface on the track. This requirement was based on
data indicating that catastrophic injury rates for horses are reduced
on synthetic surfaces. Several racetracks registered concerns about
this provision, citing the cost of installing and maintaining synthetic
surfaces, the training required for racetrack personnel in maintaining
the surfaces, and the need for consideration of local climate
conditions and product availability. The committee concluded that the
proper course is to conduct further research and data on racetrack
surfaces to guide the development of future regulations. Therefore, the
rule as previously developed was removed from the final draft.
Necropsies (Rule 2170)
Necropsy is a critical tool in determining the cause of equine
fatalities. The necropsy provisions in the rules are modeled on AAEP
[[Page 444]]
guidelines, comments received that highlighted the practical issues
faced by racing commissions and racetracks located in areas of the
country that do not have laboratory facilities close by, or that are
not open seven days per week. In the final draft, the regulations were
revised to permit field necropsies when suitable facilities and
resources are not available.
Racing Surface Monitoring and Maintenance (Rule 2154)
Racetrack surface monitoring via data collection is critical in
identifying factors that contribute to equine injuries. The regulations
regarding racetrack surface monitoring and maintenance were
significantly influenced by constituent input. Regional differences,
number of race days and available staffing differ greatly between
racetracks. The Committee considered the input and fine-tuned the
requirements to allow for those differences. Comments from racetracks
indicated that the collection of data may be burdensome. The Committee
therefore reduced the data collection requirements. For example, the
original draft required collection of moisture content and cushion
depth at four locations at every \1/8\ pole; the revision reduced data
collection to two locations at every \1/4\ pole. This section of the
rules was also reworked to reduce the specific information to those
items most impactful and common to racetracks. The Committee also plans
to develop electronic applications that will speed and facilitate the
process for the racetracks taking the measurements and increased the
number of formats acceptable for submission of the required
information. The Committee will produce ``Standard Protocol'' documents
to provide guidance for complying with the rule.
Riding Crops (Rules 2280-2281)
The comments received concerning use of riding crops were numerous
and ranged from urging that the use of crops be prohibited altogether
except for safety and accident avoidance to urging full discretionary
use of the crop by the jockey. Numerous regulations of differing
character are presently in effect among racing jurisdictions across the
country. After much consideration, the Committee settled on a rule that
represents a reasonable accommodation of the various comments and
concerns expressed. The rule allows unlimited use of the crop for
safety of the jockeys and horses in the race, but limited use for
encouragement to 6 uses of the crop on the horse. In addition, there
were multiple concerns that the penalties for violation of the crop
rule were not severe enough to deter violations. Further, comments were
received urging the Committee to also incorporate owner and trainer
accountability to relieve the jockey from pressure to make excessive
use of the crop during a race. Therefore, loss of purse was
incorporated in severe violations. Other comments referred to
communication with the public when a jockey will ride without a crop in
a race. The Committee adopted the recommendation that in addition to
announcement at race time that the public would be notified further in
advance by posting the information in the official racing program.
Hazardous Weather (Rule 2164)
The initial drafts contained very detailed requirements and
protocols concerning fire safety, hazardous weather, and related
provisions. Comments from the racetracks indicated many of these areas
are already regulated in detail under local and state law. In response,
the Committee removed some requirements in favor of requiring
racetracks to document and report compliance with the applicable state
and local requirements.
Horseshoes (Rule 2276)
Initial draft allowed some usage of toe grabs but, based on
significant industry input and considered research and available
industry information, ultimately concluded it was prudent and
appropriate to totally preclude toe grabs on forelimbs and hind limbs.
Comments That Were Inapplicable
There were some comments that fell outside the jurisdiction of
HISA, such as the following, so were not addressed in the proposed
regulations. For example, one comment asked about the status of
regulating two-year-old breeze up sales. The Act gives HISA authority
over Covered Horses. Horses do not become Covered Horses until they
have completed their first official work as defined by the Act, thus
two-year-old horses offered in sales do not fall under the jurisdiction
of HISA.
V. Legal Authority
This rule is proposed by the Authority for approval or disapproval
by the Commission under 15 U.S.C. 3053(c)(1).
VI. Effective Date
If approved by the Commission, this proposed rule will take effect
July 1, 2022.
VII. 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 exhibits
referred to in the Authority's filing, as well as the written comments
it received before submitting the proposed rule to the Commission, are
available for public inspection at www.regulations.gov under docket
number FTC-2021-0076.
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.'' \29\ In other words, the Commission will evaluate the
proposed racetrack safety 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.
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\29\ 15 U.S.C. 3053(c)(2).
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Although the Commission must approve the proposed rule if the
Commission finds that the proposed rule is consistent with the Act and
the Commission's procedural rule, the Commission may consider broader
questions about the health and safety of horses or the integrity of
horseraces and wagering on horseraces in another context: ``The
Commission may adopt an interim final rule, to take effect immediately,
. . . if the Commission finds that such a rule is necessary to
protect--(1) the health and safety of covered horses; or (2) the
integrity of covered horseraces and wagering on those horseraces.''
\30\ The Commission may exercise its power to issue an interim final
rule 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 that bear on protecting the health and safety of horses
or the integrity of horseraces and wagering on horseraces but do not
discuss whether HISA's proposed rule on racetrack safety is consistent
with the Act or the applicable rules, they should not submit a comment
here. Instead, they are encouraged to submit a petition requesting that
the Commission issue an interim final rule addressing the subject of
interest. The petition must meet all the criteria established in the
Rules of
[[Page 445]]
Practice (Part 1, Subpart D) \31\; if it does, the petition will be
published in the Federal Register for public comment. In particular,
the petition for an interim final rule must ``identify the problem the
requested action is intended to address and explain why the requested
action is necessary to address the problem.'' \32\ As relevant here,
the petition should provide sufficient information for the public to
comment on, and for the Commission to find, that the requested interim
final rule is ``necessary to protect--(1) the health and safety of
covered horses; or (2) the integrity of covered horseraces and wagering
on those horseraces.'' \33\
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\30\ 15 U.S.C. 3053(e).
\31\ 16 CFR 1.31; see Fed. Trade Comm'n, Procedures for
Responding to Petitions for Rulemaking, 86 FR 59851 (Oct. 29, 2021).
\32\ 16 CFR 1.31(b)(3).
\33\ 15 U.S.C. 3053(e).
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VIII. 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 January 19,
2022. Write ``HISA Racetrack Safety'' on your comment. Your comment--
including your name and your State--will be placed on the public record
of this proceeding, including, to the extent practicable, on the
website https://www.regulations.gov.
Because of the public health emergency in response to the COVID-19
outbreak and the Commission's heightened security screening, postal
mail addressed to the Commission will be subject to delay. We strongly
encourage you to submit your comments online through the https://www.regulations.gov website. To ensure that the Commission considers
your online comment, please follow the instructions on the web-based
form.
If you file your comment on paper, write ``HISA Racetrack Safety''
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, Suite CC-5610 (Annex B), Washington, DC
20580, or deliver your comment to the following address: Federal Trade
Commission, Office of the Secretary, Constitution Center, 400 7th
Street SW, 5th Floor, Suite 5610 (Annex B), Washington, DC 20024. If
possible, please submit your paper comment to the Commission by courier
or 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 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 the 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 January
19, 2022. For information on the Commission's privacy policy, including
routine uses permitted by the Privacy Act, see https://www.ftc.gov/siteinformation/privacypolicy.
IX. 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).
X. Self-Regulatory Organization's Proposed Rule Language
Rule 2000 Series--Racetrack Safety Program
2010 Definitions
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 means the Horseracing Integrity and Safety Act of 2020.
Association Veterinarian means a Veterinarian employed by a
Racetrack.
Attending Veterinarian means a Veterinarian hired by the Trainer or
Owner.
Authority means the Horseracing Integrity and Safety Authority.
Bled means that blood from one or both nostrils of a Horse has been
observed after exercise.
Claim means, in the context of a Claiming Race, the purchase of a
Covered Horse for a designated amount.
Claiming Race means 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.
Concussion means an injury to the brain that results in temporary
loss of normal brain function.
[[Page 446]]
Covered Horse means any Thoroughbred horse, or any other horse made
subject to the Act by election of the applicable State Racing
Commission or the breed governing organization for such horse,
beginning on the earlier of:
(1) The date of the Horse's first timed and reported workout at a
Racetrack;
(2) the date of the Horse's first timed and reported workout at a
Training Facility;
(3) the date of the Horse's entry in a Covered Horserace; or
(4) the date of the Horse's nomination for a Covered Horserace, and
ending on the date on which the Authority receives written notice that
the Horse has been retired in accordance with the Protocol.
Unless the context otherwise requires, Horse and Covered Horse
shall have correlative meanings for purposes of this Rule 2000 Series.
Covered Horserace or Race means any horserace involving Covered
Horses that has a substantial relation to interstate commerce,
including any Thoroughbred horserace that is the subject of interstate
off-track or advance deposit wagers.
Covered Persons means all Trainers, Owners, breeders, Jockeys,
Racetracks, Veterinarians, and Persons 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.
Groom means a Covered Person who is not an Owner, Veterinarian,
Trainer, or assistant Trainer but is involved in the care of a Covered
Horse.
Jockey means a rider of a Covered Horse in a Covered Horserace.
Lead Veterinarian means any Veterinarian appointed pursuant to Rule
2134(b).
Medical Director means an individual designated as Medical Director
in accordance with the provisions of Rule 2132.
Out-of-Competition means any period which is not during race day.
Owner means a Person or entity who holds an ownership or property
interest in one or more Covered Horses.
Person means a natural person or an organization or other entity.
Program Effective Date means July 1, 2022.
Prohibited List means the Equine Prohibited List identifying the
Prohibited Substances and
Prohibited Methods means those prohibited methods set forth in the
Rule 4000 Series.
Prohibited Substance means any substance, or class of substances,
so described on the Prohibited List.
Protocol means the Equine Anti-Doping and Medication Control
Protocol set forth in the Rule 3000 Series.\34\
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\34\ The Commission notes that the 3000 Series and 4000 Series
rules have not yet been proposed by the Authority. This and other
cross-references to forthcoming rule proposals will be effective if
such rules are proposed by the Authority and approved by the
Commission under the same process as this proposed rule.
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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 Safety Accreditation or Accreditation means the process
for achieving, and the issuance of, safety Accreditation to a Racetrack
in accordance with the Rules 2100 through 2193.
Racetrack Safety Committee means the committee established pursuant
to 15 U.S.C. 3052(c)(2).
Racetrack Safety and Welfare Committee means the committee
established pursuant to Rule 2121.
Regulatory Veterinarian means a Veterinarian employed, contracted,
or appointed by a State Racing Commission, Racetrack, or the Authority,
who, in addition to other duties, is responsible for monitoring the
health and welfare of Covered Horses during Covered Horseraces.
Responsible Person means the individual designated in the
registration with the Authority as the Responsible Person in accordance
with the following:
(1) For a Covered Horse that has not yet performed its first
Workout (or competed in a Race, whichever is earlier), the Responsible
Person shall be the Owner of the Covered Horse unless the Horse is in
training in another country.
(2) Once in training, the Responsible Person shall be the licensed
Trainer for the Covered Horse. The licensed Trainer's designation as
the Responsible Person shall be filed with the Authority. The Trainer
designation must be kept current with the Authority. Designation
transfers must be in writing and on record with the Authority prior to
the effective date of the transfer, except for claiming Races in which
transfers must be recorded the same day.
(3) If a Covered Horse ceases training for a period of time, the
designation may be transferred to the Owner prior to the effective
date.
(4) If the Owner is an entity, the managing Owner shall be named.
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.
Shock Wave Therapy means extracorporeal shock wave therapy or
radial pulse wave therapy.
Starting Gate Person means any individual licensed as an assistant
starter or any individual who handles Horses in the starting gate.
State Racing Commission means the regulatory body established or
recognized by a State or the Federal government with authority to
regulate, approve, or license Covered Persons and Covered Horses.
Trainer means a Person engaged in the training of Covered Horses.
Training Facility means a location that is not a Racetrack that
operates primarily to house Covered Horses and conduct Workouts.
Veterinarian means a licensed veterinarian who provides
veterinarian services to Covered Horses and who, as a prerequisite to
providing veterinarian services to Covered Horses, has registered with
the Authority.
Workout means an official timed running of a Covered Horse over a
predetermined distance not associated with a Race.
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. The Racetrack Safety Committee may also adopt
best practices and guidance in accordance with the Act and the rules
and regulations promulgated thereunder to provide further guidance to
the Racetracks in the Accreditation Process.
(b) All Racetracks are required to seek and 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 Program Effective Date shall be granted
interim Racetrack Safety Accreditation, which shall be effective until
the later of:
[[Page 447]]
(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 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 in achieving Accreditation. The Authority may request any
additional information from the Racetrack necessary to make its
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 any additional information and documentation required for the
assessment and may propound additional written questions or inquiries
to the Racetrack. The Racetrack shall respond in writing to all
additional questions and inquiries within 60 days of receipt of any
additional questions and inquires.
(b) After review of all information submitted by the Racetrack
under of 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 60 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.
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 Racing Safety Committee's recommendation.
2114. Effective Periods of Accreditation
(a) Accreditation.
(1) 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. Annual Reporting
All Racetracks granted Accreditation under these Rules shall
participate in ongoing reporting and review to the Racetrack Safety
Committee. All accredited Racetracks shall, by December 31 of each
calendar year, submit annual reports to the Racetrack Safety Committee
demonstrating compliance with all Accreditation requirements.
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) A provisionally accredited Racetrack that is in material
noncompliance with the provisional Accreditation requirements, after
having received notice of the noncompliance and been given a reasonable
opportunity to remedy the noncompliance, may have its provisional
Accreditation suspended by the Authority.
(c) A Racetrack under suspension shall not conduct any Covered
Horserace.
(d) A suspended Racetrack that fails to remedy the noncompliance in
a reasonable time may have its Accreditation or provisional
Accreditation revoked by the Authority.
2120. Accreditation Requirements
2121. Racetrack Safety and Welfare Committee
(a) General. The Racetracks in each State shall form a Racetrack
Safety and Welfare 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.
The Regulatory Veterinarian shall chair the Racetrack Safety and
Welfare Committee.
(b) Composition. The composition of the Racetrack Safety and
Welfare Committee may vary among jurisdictions, provided that each
Racetrack Safety and Welfare Committee shall include, at a minimum, the
following:
(1) Regulatory Veterinarian;
(2) Association Veterinarian;
(3) Medical Director;
(4) Safety Officer or steward, subject to the applicable State
Racing Commission electing to enter into an agreement with the
Authority if such individual is employed by the State Racing
Commission;
(5) Horsemen's representative;
(6) Jockey;
(7) Trainer;
(8) racing secretary, and
(9) racetrack superintendent.
(i) The Regulatory Veterinarian shall chair the Racetrack Safety
and Welfare Committee.
(ii) If the Safety Director is not a committee member, the Safety
Director shall be an ex officio member of the Racetrack Safety and
Welfare Committee.
(c) Responsibilities. The Racetrack Safety and Welfare Committee
shall be responsible for:
(1) Review of all equine catastrophic injuries and the
circumstances surrounding those injuries, including, at a minimum:
(i) Interviews with Trainers, Jockeys, exercise riders, and
Attending Veterinarians, and when appropriate, a qualified human health
provider;
[[Page 448]]
(ii) examination of past performances, Workouts, pre-race
inspection findings, necropsy examination findings, and Trainer and
Veterinary treatment records;
(iii) review of Race or training video footage, if applicable;
(iv) review of racetrack surface conditions and weather
information;
(v) convening a meeting with connections of the Covered Horse and
other interested Persons, including, at a minimum, the Regulatory
Veterinarian, Trainer, and Attending Veterinarian, and if applicable,
the Jockey, exercise rider, and racetrack superintendent 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 cause of equine injury, if available, to
persons related to the applicable Covered Horse;
(vi) evaluation of factors that may have contributed to injuries;
(vii) evaluation of the effectiveness of protocols and procedures
for managing the equine injury scenario; and
(viii) developing strategies to mitigate identified factors that
may have contributed to the injury.
(2) Review of all environmental factors related to racing and
training that may have contributed to human injury occurrences
including:
(i) Evaluation of external factors that may have contributed to
injuries;
(ii) development of strategies to mitigate identified factors that
may have contributed to the injury; and
(iii) evaluation of the effectiveness of protocols and procedures
for managing human injury occurrences;
(3) Consideration of Racetrack safety issues brought to the
Racetrack Safety and Welfare Committee's attention;
(4) Summary review of all injuries and considerations to review
existing practices;
(5) Development of strategies to reduce or mitigate injury
occurrences;
(6) Enhancement of the identification of Horses or conditions for
which intervention is warranted;
(7) Enhancement of racetrack safety for equine and human
participants; and
(8) Preparation and submission of a report that summarizes the
findings of the Racetrack Safety and Welfare Committee under this
paragraph (c) to the Authority within 60 days of the end of the
applicable Race Meet, unless the Racetrack Safety Committee requires
earlier submission.
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 a Regulatory
Veterinarian or 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 be responsible for:
(1) Creating a culture of safety for Horses, riders, and Racetrack
personnel;
(2) Overseeing all aspects of equine safety, racetrack safety, and
safety of personnel working with Horses by ensuring that all activities
and practices involving the training and racing of Horses at the track
meet required safety standards;
(3) Implementing a risk management and injury prevention program
under the oversight of the Racetrack Safety Committee;
(4) Providing guidance to Attending Veterinarians on safety issues;
(5) Maintaining and annually reviewing standard operating
procedures and protocols;
(6) Coordinating and overseeing emergency drills that include
equine injury and starting gate malfunction;
(7) Reporting all equine injuries and fatalities to the Authority
within 72 hours of injury; and
(8) Interacting 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 or a board-certified athletic trainer. 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 proportionally by
total handle wagered in the applicable State in the prior calendar
year.
(c) The Medical Director 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 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) Report all human injuries to the Authority within 72 hours of
injury;
(4) Coordinate and oversee a plan for on-site medical care,
including provisions for emergency medical facilities and staffing;
(5) Implement an emergency drill for a rider injury;
(6) Coordinate and oversee a comprehensive plan for transportation
of an injured rider to the nearest Trauma Level One or Two facility;
(7) Coordinate and oversee a plan for transportation of an injured
rider to the Racetrack's first aid facility;
(8) Ensure compliance with mandatory annual rider physical
examination requirements to indicate readiness to ride for Jockeys, and
document compliance to the Authority;
(9) Exercise oversight of medical standards, including the minimum
criteria for riding fitness;
(10) Certify a rider's fitness to resume riding after any on-track
incident that may impair the rider's reflexes, decision-making or
ability to maintain control of his or her Horse in a race;
(11) Implement the program for Concussion evaluation, rider
exclusion and clearance, and return to ride protocol;
(12) Develop in writing, subject to annual review and revision as
necessary, the Racetrack's Emergency Action Plan, which shall include
readiness for medical needs of racing participants, workers, and
spectators; and
(13) Work with local, State, and Federal regulators to standardize
the approach and response to pandemic-related issues among riders,
workers, and spectators.
[[Page 449]]
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) To qualify for appointment as a steward, the appointee shall
meet the experience, education, and examination requirements necessary
to be accredited by the ROAP and be in good standing with all racing
jurisdictions.
(c) The requirements of Rule 2133 for any steward employed by 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 individuals named as stewards by the
Racetracks. The stewards named by the Racetracks shall enforce only the
safety regulations set forth in Rules 2200 through 2293.
2134. Regulatory Veterinarian
(a) The Regulatory Veterinarian shall:
(1) Subject to the provisions of Rule 2134(b), be employed by the
State Racing Commission or similar agency having jurisdictional
authority;
(2) be licensed to practice in the applicable jurisdiction;
(3) refuse employment or payment, directly or indirectly, from any
Owner or Trainer of a Horse racing or intending to race in the
jurisdiction while employed as a Regulatory Veterinarian;
(4) refrain from directly treating or prescribing for any Horse
within the applicable jurisdiction except in cases of emergency,
accident, or injury; and
(5) be trained, and their proficiency verified, in identifying and
stabilizing common musculoskeletal injuries.
(b) 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 consistent with Rule 2134, the
Authority shall employ a Veterinarian to serve as the Lead Veterinarian
in such jurisdiction. The Lead Veterinarian shall perform all the
duties, obligations, and responsibilities of the Regulatory
Veterinarian in these regulations. The Racetracks in the applicable
jurisdiction shall reimburse the Authority for all costs associated
with the employment of the Lead Veterinarian. The reimbursement shall
be shared by the Racetracks in the jurisdiction proportionally by total
handle wagered in the applicable State in the prior calendar year.
2135. Responsibilities and Duties of Regulatory Veterinarian
(a) The Regulatory Veterinarian shall have the following
responsibilities and duties:
(1) Notify the stewards of any Horse deemed unsafe to be raced, or
a Horse that it would be inhumane to allow to race;
(2) conduct pre-race inspections on all potential starters on race
day;
(3) inspect any Horse when there is a question as to the physical
condition of such Horse independent of the Horse's entry status;
(4) be present in the paddock during saddling, on the racetrack
during the post parade, and present at the starting gate until the
Horses are dispatched from the starting gate for the Race;
(5) scratch any Horse that is, in the opinion of the Regulatory
Veterinarian, injured, ill, or otherwise unable to compete due to a
medical or health-related condition;
(6) inspect any Horse which appears to be in physical distress
during the Race or at the finish of the Race;
(7) provide emergency medical care to Horses injured while racing
and effect case transfer to the Attending Veterinarian;
(8) be authorized to euthanize, consistent with the current version
of the AVMA Guidelines for the Euthanasia of Animals, any Horse deemed
to be so seriously injured that it is in the best interests of the
Horse to so act;
(9) report to the Safety Director the names of all Horses
euthanized or which otherwise die at the meeting and the reasons
therefor;
(10) maintain the Veterinarians' List of Horses ineligible to race
and notify the stewards of the identities of all Horses placed on the
Veterinarians' List; and
(11) collaborate with the Safety Director, Chief Veterinarian of
the State Department of Agriculture, and other regulatory agencies to
take measures to control communicable or reportable equine diseases.
(b) If the Regulatory Veterinarian and his or her staff are unable
to fulfill any of the duties described in Rule 2135(a), such duties
may, at the request of the Regulatory Veterinarian, 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.
(c) The Regulatory Veterinarian, and any Association Veterinarian
exercising duties of the Regulatory Veterinarian as provided in
paragraph (b) above, are authorized to:
(1) Access any and all Horses housed on Racetrack grounds
regardless of entry status;
(2) perform inspections of any Horse at any time;
(3) observe Horses during training activities and Workouts;
(4) perform pre-Race veterinary inspections and post-Race
observations; and
(5) Place a Horse on the Veterinarians' List.
(d) The Regulatory Veterinarian shall have jurisdiction over the
Attending Veterinarians within the grounds of the Racetrack and 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 health care providers. The
authority and responsibilities of the Regulatory Veterinarian under
this paragraph (d) shall not be performed by an Association
Veterinarian pursuant to Rule 2135(b).
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 Horses at
the Racetrack meet required safety standards and regulatory guidelines.
The Safety Officer may also be a steward.
(b) The Safety Officer 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 morning
workouts;
(4) Monitor starting gate procedures;
(5) Monitor ambulance and medical personnel protocols for Horses
and riders;
(6) Assist Regulatory Veterinarians with follow-up on 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 license checks in the stable area;
(9) Conduct random barn inspections to monitor safety and
regulatory
[[Page 450]]
compliance, including fire safety regulations;
(10) Conduct random inspections to verify acceptable management,
equine husbandry, and veterinary practices;
(11) Advise stewards of all planned and random inspections;
(12) Enforce fire safety rules in the stable area;
(13) Serve as a member or ad hoc member of the Racetrack Safety and
Welfare Committee; and
(14) Make recommendations to Racetrack management and racing
officials to ensure the welfare of Horses and riders, the integrity of
racing, and compliance with applicable horse racing laws and
regulations.
2140. Racehorse Inspections and Monitoring
2141. Veterinary Inspections
(a) Veterinary inspections shall be performed by the Regulatory
Veterinarians on all Horses entered in a Race. Such inspections shall
include the items listed in Rule 2142.
(b) If, prior to starting a Race, a Horse is determined to be unfit
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 Horse is scratched. Regulatory
Veterinarians shall have the unconditional authority to scratch a
Covered Horse from a Race.
2142. Assessment of Racing Soundness
(a) Post-entry screening. The Regulatory Veterinarian shall perform
post-entry screenings of previous pre-Race inspection findings of
entered Horses to identify 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 Workout or Race), last 30
days medical history, previous injury and lameness diagnostics, intra-
articular corticosteroid injections, previous surgery, and individual
Horse risk factors.
(b) Pre-race veterinary inspection. Every Horse entered to
participate in a Covered Horserace shall be subjected to inspection by
a Regulatory Veterinarian prior to starting in the Race for which it is
entered on race day not later than 1 hour prior to scratch time for the
Race in which the Horse is to compete.
(1) The Trainer of each Horse or a representative of the Trainer
who is knowledgeable about the Horse and able to communicate with the
Regulatory Veterinarian must present the Horse for inspection. Horses
presented for inspection must have bandages removed, and the legs must
be clean and dry. Prior to inspection, Horses may not be placed in ice
and no device or substance shall be applied to the Horse that impedes
veterinary clinical assessment.
(2) The Regulatory Veterinarian's inspection of each Horse prior to
participating in a Race shall include, at a minimum, the following:
(i) Identification of the Horse;
(ii) Ascertainment of the sex of the Horse;
(iii) Performance of an overall inspection of the entire Horse,
assessing general appearance, behavior, disposition, posture, and body
condition;
(iv) Observation of the 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 Horse on the Veterinarians' List if the 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 the Regulatory
Veterinarian, including Jockey consultation for the Jockey's mount.
(3) A report summarizing the results of a pre-Race inspection under
paragraph (a) shall be submitted to the Authority on the day of the
inspection.
(c) Post-race assessment. Post-Race visual observations shall be
performed by a Regulatory Veterinarian on all Horses leaving the
racetrack at the conclusion of every Race.
(1) If a Horse is determined to have Bled or to be physically
distressed, medically compromised, injured, or unsound at any time
before exiting the racetrack or leaving the test barn, the Horse shall
be placed on the Veterinarians' List and the Regulatory Veterinarian
shall document post-race inspection findings to the Authority.
(2) If a 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.
(d) Training. Regulatory Veterinarians may observe Horses during
training activities. Horses deemed physically distressed, medically
compromised, injured, or unsound may be placed on the Veterinarians'
List and reported to the Authority.
2143. Racehorse Monitoring
(a) All Horses, including stable ponies, entering the Racetrack
grounds must have proof of health certificate and required
vaccinations, which shall include:
(1) Certificate of veterinary inspection within the prior 5 days or
fewer days if high risk situations dictate;
(2) Verification of EEE/WEE/WNV (encephalitides), rabies, and
tetanus vaccinations within the prior 12 months;
(3) Verification of Influenza and Rhinopneumonitis vaccinations
within the prior 180 days or fewer days if high risk situations
dictate; and
(4) Verification of Negative Equine Infectious Anemia (Coggins)
Test within the calendar year or in a shorter period of time if high
risk situations dictate.
(b) Each Racetrack shall submit the following information to the
Authority with respect to each Horse on its grounds:
(1) Horse identification;
(2) Origin of Horse;
(3) Date of entry;
(4) Verification of certificate of veterinary inspection; and
(5) Verification of vaccinations.
(c) Each Racetrack shall submit the following information to the
Authority with respect to each Horse leaving its grounds:
(1) Horse identification;
(2) Intended destination;
(3) Reason for departure;
(4) Date of exit;
(5) Vehicle license plate; and
(6) Transporter.
(d) Horses moving interstate must 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 horse is being shipped in the destination State.
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
[[Page 451]]
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 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
The Racetrack facilities must be designed, constructed, and
maintained as provided in Rule 2153 to provide for the safety of
Covered Persons and Covered Horses.
(a) Rails.
(1) Racetracks shall have inside, outside, and gap rails designed,
constructed, and maintained to provide for the safety of Jockeys and
Horses.
(2) Objects within 10 feet of the inside rail shall be flexible
enough to collapse upon impact of a Horse or rider, or sufficiently
padded as to prevent injury.
(3) Rails shall be inspected prior to each Race Meet and daily
during training and racing events.
(b) 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 Horses from ducking in or out.
(c) 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 Horse, Jockey, and gate personnel. Protective padding shall protect
the riders and gate personnel 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 annually reviewed and documented
standard operating procedures for the removal of the starting gate
after the start of each Race as needed in a safe and timely manner.
This plan shall also include procedures for gate removal if the primary
removal mechanism fails.
(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) During racing hours, a Racetrack should ensure that sufficient
assistant starters are available to safely handle each Horse entered in
a Race.
(9) A Racetrack shall make at least one starting gate and one
Starting Gate Person available for racehorse schooling during
designated gate training hours.
(d) 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.
(2) The emergency warning system shall be tested bi-weekly 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.
2154. Racetrack Surface Monitoring
(a) Racetracks shall provide equipment and personnel necessary to
maintain the racetrack surface in a safe and consistent condition.
(b) Pre-meet inspection shall be 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.
[[Page 452]]
(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 maintained and
submitted to the Authority.
(1) Daily surface maintenance logs should include equipment used,
direction of travel, and water administration.
(2) Documentation of the source, timing, quantity, and method of
all additions to the surfaces shall be submitted to the Authority.
2160. Emergency Preparedness
2161. Emergency Drills
Emergency protocols shall be reviewed, and drills shall be
conducted, prior to the beginning of each Race Meet for purposes of
demonstrating the Racetrack's proficiency in managing the following
emergencies:
(a) Starting gate malfunction;
(b) Paddock emergencies;
(c) Equine injury;
(d) Jockey injury;
(e) Loose Horse;
(f) Fire;
(g) Hazardous weather condition; and
(h) Multiple injury scenarios for both Horses and Jockeys.
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 Horses during racing and training. Protocols
should include, but not be limited to, requiring collection of
biological samples in sufficient volume, to permit comprehensive drug
testing. Planning shall include appropriate means of communication to
the public.
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
Each Racetrack shall develop, implement, and annually review a
hazardous weather protocol which shall include:
(a) Designation of the personnel responsible for monitoring weather
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;
(b) Use of a designated weather watcher and a reliable source for
monitoring the weather, including lightning strike distance/radius
notifications;
(c) Implementation of a dangerous weather protocol, which includes
for extreme heat and chill factors and air quality;
(d) Designation by the Racetrack of an official responsible for
monitoring weather conditions during training and racing hours;
(e) Consideration by the Racetrack of lightning safety guidelines
such as the National Athletic Trainers' Association Position Statement,
or more recent evidence-based recommendations;
(f) 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
(g) Designation by the Racetrack of an official responsible for
enforcing any weather associated training delay.
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 symptoms 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 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 provide a properly staffed and equipped
Advanced Life Support ambulance during training and racing hours. If
the ambulance is being used to transport an individual, the Racetrack
may not conduct a race, or allow Horses with riders on the racetrack,
until the ambulance is replaced or available for service.
(b) Racetracks shall ensure the Advanced Life Support ambulance
staff has been trained in Concussion management. Any Jockey who falls
or is thrown from a Horse during a race must be examined by the
Advanced Life Support staff. Advanced Life Support staff shall report
their findings to the stewards who will determine if the Jockey may
continue riding.
(c) Unless otherwise approved by the State Racing Commission or the
stewards, an ambulance shall follow the field at a safe distance during
the running of races.
(d) The ambulance must be parked at an entrance to the racing strip
except when the ambulance is being used to transport an individual or
when it is following the field during the running of a race.
2167. Accident Reporting System
(a) Racetracks shall develop standard operating procedures for the
collection of data associated with all incidents resulting in Jockey or
exercise rider injuries sustained at the racetrack and submit such
information to the Authority within 10 days of the injury 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.
[[Page 453]]
(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) cause of the incident;
(6) weather;
(7) location of the incident; and
(8) witness statements.
2168. Equine Ambulance
A dedicated Horse 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 Horse ambulance.
2169. Paddock Safety
Racetracks shall have protocols in place to manage the safety of
their saddling paddocks and walking rings. Such protocols should
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 Horses that die or are euthanized on Racetrack grounds
shall have an autopsy (necropsy) examination performed.
(b) Necropsies should be performed at facilities and by personnel
with capabilities and expertise to perform necropsy examination of
racehorses. Relationships and contact information shall be included in
the necropsy standard operating procedure. The Veterinarian performing
the necropsy shall not be an Attending Veterinarian of the affected
Horse.
(c) Field necropsy is strongly discouraged. When a field necropsy
is the only practical option available, necropsy examinations shall be
performed under direct or indirect supervision of a board-certified
pathologist including phone call guidance or video conferencing.
Necropsies shall be performed in a secure area on all Horses that die
or are euthanized on Racetrack premises, isolated from the general
public. Whenever possible, the Veterinarian performing the necropsy
shall not be an Attending Veterinarian of the affected Horse.
(d) Transportation options for necropsy cases and invoicing for the
transportation and necropsy shall be identified prior to need and
included in a standard operating procedure. Secure storage, pending
transport, and transportation of the body should be managed in such a
way that tissue degradation and the development of post-mortem
artifacts are minimized. Care shall also be taken to implement sound
infection control practices with respect to equine infectious or
zoonotic disease.
(e) Gross necropsy examination findings must be submitted by the
Regulatory Veterinarian to the Authority within 72 hours of receiving
the necropsy report, and updates submitted to the Authority within 72
hours as the results of ancillary tests and the final report are
received. This workflow shall be included in the necropsy standard
operating procedures.
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 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 must complete, on an annual basis, at
least 8 hours continuing education specific to racetrack regulatory
medicine;
(2) Attending Veterinarians must complete, on an annual basis, at
least 8 hours continuing education specifically applicable to racetrack
practice;
(3) Medical Directors must complete, on an annual basis, at least 8
hours continuing education;
(4) stewards shall be either accredited or actively participating
in gaining accreditation through the ROAP and Certification Programs
(maintenance of the ROAP Accreditation requires at least 16 hours of
continuing education every 2 calendar years);
(5) Trainers must complete, on an annual basis, at least 4 hours
annual continuing education;
(6) assistant trainers must complete, on an annual basis, at least
4 hours annual continuing education;
(7) Owners must complete, on an annual basis, at least 2 hours
annually;
(8) Racetrack surface managers must complete at least 8 hours of
continuing education every 2 years;
(9) Grooms must complete, on an annual basis, at least 2 hours
annual continuing education offered in English and Spanish;
(10) outriders must complete, on an annual basis, at least 2 hours
safety and outrider protocol training delivered locally prior to the
beginning of a Race Meet;
(11) Jockeys and exercise riders must complete at least 2 hours
safety and rider protocols delivered locally in English and Spanish
prior to the beginning of a Race Meet;
(12) starters and assistant starters must complete, on an annual
basis, at least 2 hours safety training either delivered locally prior
to the beginning of a Race Meet or through the ROAP certification; and
(13) Equipment operators must complete, on an annual basis, at
least 2 hours safety training either delivered locally prior to the
beginning of a Race Meet or through a continuing education program.
2190. Jockey Health
2191. Jockey 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. 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, subject to the approval of the Authority.
2192. Concussion Management
State Racing Commissions, or Racetracks if the applicable State
Racing Commission does not enter into an agreement with the Authority,
shall implement a Concussion management program for Jockeys containing
the following elements:
(a) Each Jockey shall acknowledge in writing that they have been
made aware of the Concussion protocols in place for the facility at
which they are riding;
[[Page 454]]
(b) A minimum assessment shall include a current Concussion
assessment tool examination;
(c) 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
(d) 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 accident medical expense coverage for all Jockeys.
2200. Specific Rules and Requirements of 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 Jockey
safety in Horse racing.
(b) Violation of, or failure to comply with, the requirements of
Rules 2200 through 2293 shall result in disciplinary action by racing
officials and the Authority.
(c) Safety rules arising under State laws or regulations not
preempted by 15 U.S.C. 3054(b) shall be governed by applicable State
laws and regulations.
2220. Attending Veterinarian
(a) Only Veterinarians licensed by the State Racing Commission may
attend to Covered Horses at any location under the jurisdiction of a
State Racing Commission.
(b) Veterinarians attending 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 drug treatments by Attending
Veterinarians of Covered Horses that are engaged in activities related
to racing, including training:
(a) No drug shall be prescribed, dispensed, or administered except
in the context of a valid Veterinarian-client patient relationship
between a Veterinarian, the Owner (who may be represented by the
Trainer) and the Covered Horse. The Owner is not required to follow the
Veterinarian's instructions, but no drug may be administered without a
Veterinarian having examined the Horse and provided the treatment
recommendation. Such relationship requires the following:
(1) The Veterinarian, with the consent of the Trainer (on behalf of
the Owner), has accepted responsibility for making medical judgments
about the health of the Horse;
(2) the Veterinarian has sufficient knowledge of the Horse to make
a preliminary diagnosis of its medical condition;
(3) the Veterinarian has performed an examination of the Horse and
is acquainted with the keeping and care of the 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 Trainer or Owner of the Horse.
(b) The Trainer and Veterinarian are both responsible for ensuring
compliance with this Rule, 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 Owner (who
may be represented by the Trainer or other agent).
2230. Treatment Restrictions
(a) Only Trainers or their designees shall be permitted to
authorize veterinary medical treatment of Covered Horses under their
care, custody, and control at locations under the jurisdiction of the
State Racing Commission.
(b) No person other than a Veterinarian licensed to practice
veterinary medicine in the State and licensed by the State Racing
Commission may prescribe medication with instructions for
administration by a Responsible Person for a Covered Horse.
(c) Attending Veterinarians shall not have contact with an entered
Horse within 24 hours before the scheduled post time of the race in
which the Horse is scheduled to compete unless approved by the
Regulatory Veterinarian, or in an emergency. Any unauthorized contact
may result in the Horse being scratched from the race in which it was
scheduled to compete and may result in further disciplinary action by
the stewards.
(d) 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 paragraph (f) 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 Regulatory Authority, 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 may request permission of the stewards
or the State Racing Commissioning in writing, shall furnish 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
all Horses that are determined to be ineligible to compete in a Covered
Horserace in any jurisdiction until released by a Regulatory
Veterinarian.
(b) The following Horses shall be placed on the Veterinarians' List
until removed in accordance with Rules 2241 and 2242:
(1) Horses affected by illness, physical distress, medical
compromise, unsoundness, injury, infirmity, heat exhaustion, positive
test or overage, administration of a medication invoking a mandatory
stand down time, administration of Shock Wave Therapy, positive Out-of-
Competition test or any other assessment or determination by Regulatory
Veterinarians that such Horse is unfit to race;
(2) Horses which have not started in more than 365 days; and
(3) Horses which have not made a start prior to January 1 of their
4-year-old year.
(c) Trainers and Owners shall be notified in writing within 24
hours that their Horse has been placed on the Veterinarians' List.
(d) Diagnostic testing may be required for any Horse placed on the
Veterinarians' List, at the discretion of
[[Page 455]]
the Safety Director, Regulatory Veterinarian, or Association
Veterinarian.
2241. Duration of Stay on the Veterinarians' List
Horses placed on the Veterinarians' List in accordance with Rule
2240 shall remain on the Veterinarians' List as follows:
(a) Horses placed on the Veterinarians' List for unsoundness or
Epistaxis shall remain on the list for 14 days;
(b) Horses placed on the Veterinarians' List multiple times for
unsoundness within the previous 365 days shall remain on the
Veterinarians' List for 45 days for the second time, 75 days for the
third time, and shall be barred from further racing after the fourth
time;
(c) Horses placed on the Veterinarians' List multiple times for
Epistaxis within the previous 365 days shall remain on the
Veterinarians' List for 30 days for the second time, 180 days for the
third time, and shall be barred from further racing after the fourth
time;
(d) Horses placed on the Veterinarians' List for illness shall
remain on the list for 7 days;
(e) Horses treated with Shock Wave Therapy shall be placed on the
Veterinarians' List for 30 days; and
(f) If before, during, or after the workout for removal from the
Veterinarians' List, the Horse is deemed to be unsound or to have Bled,
the stay on the Veterinarians' List shall be extended an additional 14
days, and further diagnostic testing may be required as determined by
the Regulatory Veterinarian.
2242. Removal of Horses From the Veterinarians' List
Regulatory Veterinarians may remove Horses from the Veterinarians'
List in accordance with Rule 2242 and shall document such removal to
the Authority.
(a) A Horse placed on the Veterinarians' List as unsound or
suffering from Epistaxis may be removed from the Veterinarians' List
upon satisfaction of paragraphs (1) through (3) below.
(1) A trainer must apply to the Regulatory Veterinarian for
permission to work the Horse for removal from Veterinarians' List. Upon
receiving such approval, the Trainer and Attending Veterinarian must
observe the Horse jog and submit to the Regulatory Veterinarian a co-
signed statement that the Horse is fit to perform a Workout.
(2) The Horse must perform a Workout under the supervision of the
Regulatory Veterinarian and demonstrate to the satisfaction of the
Regulatory Veterinarian that the Horse is sound to race.
(3) The Regulatory Veterinarian determines there is no evidence or
signs of Epistaxis, physical distress, medical compromise, unsoundness,
or lameness within1 hour after the Workout conducted pursuant to
paragraph (a)(2) above.
(b) A Horse placed on the Veterinarians' List as physically
distressed or medically compromised may be removed from the
Veterinarians' List provided sound health has been declared by the
Attending Veterinarian or demonstrated to the Regulatory Veterinarian
and documented to the Authority.
(c) 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.
2250. Racehorse 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 of 60 day medical records
to the new trainer of a claimed Horse, and for purposes of research to
enhance the safety and welfare of racehorses.
(b) 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 such
examination or treatment, submit the following information in an
electronic format designated by the Authority:
(1) The identity of the Horse treated;
(2) the name of the Trainer of the Horse;
(3) the name of the Veterinarian;
(4) contact information for the Veterinarian (phone, email
address);
(5) any information concerning the presence of unsoundness and
responses to diagnostic tests;
(6) diagnosis;
(7) condition treated;
(8) 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 Horse.
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 his or
her control.
(b) For purposes of this Rule, the term treatment:
(1) Means the administration of any medication or substance
containing a medication to a Horse by a Responsible Person or his or
her designee;
(2) includes the administration of medications that are prescribed
by a Veterinarian but administered by the Responsible Person or his or
her designee, or medications prescribed or administered by a
Veterinarian not licensed by the State Racing Commission; and
(3) specifically excludes medications or procedures directly
administered by a Veterinarian licensed by the State Racing Commission
or that Veterinarian's employees.
(c) Records must include the information outlined in paragraphs (1)
and (2) below.
(1) For medical treatments:
(i) Name of the Horse (or, if unnamed, the registered name of the
dam and year of foaling);
(ii) name of Trainer;
(iii) generic name of the drug, or brand name if a non-generic drug
is used;
(iv) name 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
[[Page 456]]
(ix) full name and contact information of the individual who
administered the treatment.
(2) For medical procedures, including, but not limited to,
physiotherapy, acupuncture, chiropractic, and surgeries:
(i) Name of the Horse, or, if unnamed, the registered name of the
dam and year of foaling;
(ii) name of Trainer;
(iii) diagnosis and condition being treated;
(iv) name of procedure or surgery;
(v) date of the procedure;
(vi) first and last name 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 Horse.
(d) In addition to the uses of records set forth in the Rules
Series 3000, records may be used by Regulatory Veterinarians in the
performance of their duties at the Racetrack, for transfer of 60 day
medical records to the new Owner of a claimed Horse, and for purposes
of research to enhance the safety and welfare of racehorses. Records
may also be accessed by the State Racing Commission or the stewards.
2253. Records for Horses Shipping to the Racetrack
(a) If a 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 for the
previous 30 days:
(1) Name of the 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; and
(8) any other information necessary to maintain and improve the
health and welfare of the Horse.
(b) If a Horse is not stabled at a facility under the Authority's
jurisdiction for 60 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) The last 30 days of exercise activity at the facility;
(2) the last 30 days of treatments and procedures at the facility;
and
(3) any other information necessary to maintain and improve the
health and welfare of the Horse.
2260. Claiming Races
2261. Transfer of Claimed Horse Records
(a) Entry of Horses subject to being claimed in a Claiming Race
implies Owner (Trainer as the agent of the Owner) consent for transfer
of all Trainer and veterinary examination and treatment records for the
last 60 days to the new Trainer of the claimed Horse.
(b) If a Horse is successfully claimed by a new Trainer, the
previous Trainer must transfer Trainer records and authorize transfer
of veterinary records to the new Trainer within 3 days of transfer of
the Horse to the new Trainer.
2262. Void Claim
(a) Title to a 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 Horse becomes a starter.
(b) All claimed Horses shall go to the test barn for observation by
the Regulatory Veterinarian.
(c) The claim shall be voided, and ownership of the Horse retained
by the original Owner if:
(1) The Horse dies on the racing track;
(2) the Horse is euthanized before leaving the racing track;
(3) the Horse is vanned off of the racing track by discretion of
the Regulatory Veterinarian;
(4) the Regulatory Veterinarian determines within 1 hour of the
race that the Horse will be placed on the Veterinarians' List as Bled,
physically distressed, medically compromised, unsound, or lame before
the Horse is released to the successful claimant; or
(5) the Horse has a positive test for a Prohibited Substance.
(d) The claim shall not be voided if, prior to the Race in which
the Horse is claimed, the claimant elects to claim the Horse regardless
of whether the Regulatory Veterinarian determines the Horse will be
placed on the Veterinarians' List as Bled or unsound or the Horse tests
positive for a Prohibited Substance.
2262. Waiver Claiming Option
At time of entry into a Claiming Race an Owner or Trainer may opt
to declare a Horse ineligible to be claimed provided:
(a) The Horse has not started in 120 days;
(b) the Horse's last start must have been for a claiming price; and
(c) the Horse is entered for a claiming price equal or greater than
the price it last started for.
2270. Prohibited Practices and Requirements for Safety and Health of
Horses
2271. Prohibited Practices
The following are prohibited practices:
(a) 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 Horse's health and welfare.
(b) Use of extracorporeal shock wave therapy in a manner that may
desensitize any limb structures during racing or training.
(c) Surgical or chemical neurectomy to cause desensitization of
musculoskeletal structures associated with the limbs.
(d) Thermocautery including but not limited to pin firing and
freeze firing, or application of any substance to cause vesiculation or
blistering of the skin, or a counter-irritant effect.
(e) Use of a device to deliver an electrical shock to the Horse
including but not limited to cattle prods and batteries.
(f) Use of electrical medical therapeutic devices including
magnetic wave therapy, laser, electro-magnetic blankets, boots,
electro-shock, or any other electrical devices that may produce an
analgesic effect within 48 hours of a training activity or of the start
of the published post time for which a Horse is scheduled to race.
2272. Shock Wave Therapy
(a) The use of Shock Wave Therapy shall be disclosed to the
Regulatory Veterinarian no less than 48 hours prior to use and shall
not be permitted unless the following conditions are met:
(1) Any Shock Wave Therapy may only be performed with machines that
are:
(i) Registered and approved for use by the State Racing Commission;
and
(ii) used at a previously disclosed location that is approved by
the State Racing Commission.
(2) The use of Shock Wave Therapy shall be limited to licensed
Veterinarians and must be reported to the Regulatory Veterinarian
within 48 hours of treatment to the Authority.
(3) Any treated Horse shall be placed on the Veterinarians' List
and shall not be permitted to Race or breeze for 30 days following
treatment.
(b) The Veterinarian and Trainer shall be suspended from the
Racetrack for a period of 5 days if Shock Wave Therapy
[[Page 457]]
has not been reported within 48 hours of any treatment or procedure
administered to a Covered Horse. For each subsequent omission of
reporting, an additional 5 days suspension shall be added. If there are
3 violations in a calendar year, the Veterinarian and Trainer shall be
suspended for 6 months in the subsequent calendar year.
2273. Other Devices
No electrical or mechanical device or other expedient designed to
increase or retard the speed of Covered Horse, other than the riding
crop permitted under these regulations, shall be possessed by anyone,
or applied by anyone, to a Covered Horse at any time on Racetrack
grounds or during a Workout.
2274. Other Device Penalties
Penalties for violations of Rule 2273 shall be as follows:
(a) The penalty for a first offense shall be loss of eligibility to
obtain a racing license in all racing jurisdictions for 10 years.
(b) For any subsequent violation, the penalty shall be loss of
eligibility to obtain a racing license in all racing jurisdictions for
the life of the Covered Person.
2275. Communication Devices
The use of a hand-held communication device by a rider is
prohibited while the rider is on the racing track.
2276. Horseshoes
(a) Except for full rims 2 millimeters or less from the ground
surface of the Horseshoe, traction devices are prohibited on forelimb
and hindlimb Horseshoes during racing and training on dirt or synthetic
racing tracks.
(b) Traction devices are prohibited on forelimb and hindlimb
Horseshoes during training and racing on the turf.
(c) Traction devices include but are not limited to rims, toe
grabs, bends, jar calks and stickers.
2280. Use of Riding Crop
(a) A Jockey or exercise rider who uses a crop during a Race or
Workout shall do so only in a professional manner consistent with
maintaining focus and concentration of the Horse for safety of Horses
and riders, or for encouragement to achieve optimal performance.
(b) A rider may:
(1) Use the crop on the hindquarters to activate and focus the
Horse a maximum of 6 times during a race. The 6 permitted uses shall be
in increments of 2 or fewer strikes. The rider must allow at least 2
strides for the Horse to respond before using the crop again.
(2) Tap the 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
Horse.
(3) Show or wave the crop to the Horse without physically
contacting the Horse.
(4) Use the crop to preserve the safety of Horses and riders.
(c) A rider may not:
(1) Raise the crop with the rider's wrist above the rider's helmet
when using the crop;
(2) Injure the Horse with the crop or leave any physical marks,
such as welts, bruises, or lacerations;
(3) Use the crop on any part of the 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 Horses and riders;
(5) Use the crop if the Horse has obtained its maximum placing;
(6) Use the crop persistently even though the Horse is showing no
response;
(7) Use a crop on a 2-year-old Horse in races before April 1 of
each year other than to avoid a dangerous situation or preserve the
safety of Horses and riders; or
(8) Strike another Horse or person with the crop.
(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 the scales.
(b) All riding crops must be soft-padded.
(c) Riding crops shall have a shaft and a 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, including the smooth foam
cylinder attachment, shall be 30 inches;
(3) The minimum diameter of the shaft shall be three-eighths of one
inch; and
(4) The shaft, beyond the grip, must be smooth, with no protrusions
or raised surface, and covered by shock absorbing material that gives a
compression factor of at least one millimeter throughout its
circumference.
(5) There shall be no binding within 7 inches of the end of the
shaft.
(6) The 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 throughout its circumference;
(vi) Shall be made of a waterproof, ultraviolet, and chemical
resistant 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.
(7) Riding crops shall not be altered and shall have an appropriate
label or marking designating that the riding crop meets the required
standards as established by the Authority.
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:
(1) Class 3 Violation--
(i) $250 or 10% of Jockey's portion of the purse, whichever is
greater;
(ii) Minimum 1-day suspension for the Jockey; and
(iii) 3 points;
(2) Class 2 Violation--
(i) $500 or 20% of Jockey's portion of the purse, whichever is
greater;
(ii) Horse disqualified from purse earnings,
(iii) Minimum 3-day suspension for the Jockey; and
(iv) 5 points;
(3) Class 1 Violation--
(i) $750 fine or 30% of Jockey's portion of the purse, whichever is
greater,
(ii) Horse disqualified from purse earnings,
(iii) Minimum 5-day suspension for the Jockey;
[[Page 458]]
(iv) 10 points.
2283. Multiple Violations
(a) Stewards shall submit violations of Rule 2282 to the Authority
to identify when multiple violations warrant additional suspensions
consistent with the following schedule:
(1) 11-15 points: 7 days.
(2) 16-20 points: 15 days.
(3) 21 or more points: 30 days.
(b) Points assigned under Rule 2282 shall expire according to the
following schedule:
(1) Class 3 Violation: 6 months.
(2) Class 2 Violation: 9 months.
(3) Class 1 Violation: 1 year.
(c) For purposes of paragraph (b), points are expunged from the
date of final adjudication of the violation and not from the date of
the violation. Mandatory suspensions are based on points accumulated
for multiple violations and do not apply to single violations.
2290. Requirements for Safety and Health of Jockeys
2291. Jockey Eligibility
(a) A Jockey shall pass a physical examination given within the
previous 12 months by a licensed physician affirming the Jockey's
fitness to participate as a Jockey, as well as a baseline Concussion
test using a current Concussion testing protocol. The results of the
physical examination and the baseline Concussion test shall be
submitted to the State Racing Commission and the Authority.
(b) 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.
2292. Jockey and Exercise Rider Medical History Information
(a) At all times while mounted on a Horse at a Racetrack, a Jockey
or exercise rider shall securely attach to his or her safety vest one
or more medical information cards describing his or her medical history
and any conditions pertinent to emergent 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 Jockey or
exercise rider found in violation of Rule 2292.
2293. Equipment
(a) Helmets.
(1) Any person mounted on a Horse or stable pony anywhere on
racetrack grounds shall always wear a properly secured safety helmet.
(2) All starting gate personnel shall always wear a properly
secured safety helmet 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 designees, shall inspect safety helmets
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 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 person mounted on a Horse or stable pony on the racetrack
grounds must wear a properly secured safety vest at all times.
(2) All starting gate personnel must wear a properly secured safety
vest at all times while performing their duties or handling a Horse.
(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) F1781-08 or
F1937;
(iv) Shoe and Allied Trade Research Association (SATRA) Jockey Vest
Document M6-3; or
(v) Australian Racing Board (ARB) Standard 1.1998.
Appendix--Supporting Documentation Submitted by HISA
The Authority submitted a variety of materials to reflect
existing standards, scientific data, studies, and analysis utilized
in the development of the proposed rules, which are available for
public inspection at https://www.regulations.gov under docket number
FTC-2021-0076. These materials are referred to in the Authority's
filing as exhibits, a complete list of which appears below:
Exhibit 1--National Thoroughbred Racing Association Safety &
Integrity Alliance Code of Standards (2021).
Exhibit 2--Association of Racing Commissioners International,
Model Rules of Racing, Version 10.1 (2021), https://www.arci.com/wp-content/uploads/2021/12/MODELRULESMASTERVERSION10. 11129.pdf.
Exhibit 3--A comparison of the substantive terms of the proposed
rule with safety standards and provisions of the NTRA Code of
Standards and the specific ARCI Rules.
Exhibit 4--International Federation of Horseracing Authority,
International Agreement on Breeding, Racing and Wagering.
Exhibit 8--Mid-Atlantic Strategic Plan to Reduce Equine
Fatalities Goal l: Develop regional safety best practices.
Exhibit 9--Mid-Atlantic Strategic Plan to Reduce Equine
Fatalities--Best Practices Mortality Review Board.
Exhibit 10--California Code of Regulations Article 15;
Veterinary Practices 1846.5; Postmortem Examination (a)-(h).
Exhibit 11--Jockeys' Guild, Inc. and the NTRA Safety & Integrity
Alliance Medical Director Committee, Medical Care Recommendations.
Exhibit 12--AAEP Healthy Horse Protocol: Biosecurity Guidelines
for Racetrack Entry and Stabling (2020).
Exhibit 13--AAEP General Biosecurity Guidelines.
Exhibit 14--AAEP Clinical Guidelines for Veterinarians
Practicing in a Pari-Mutuel Environment--Infectious Disease Control.
Exhibit 15--Walsh KM, Cooper MA, Holle R, Rakov VA, Roeder WP,
Ryan M. ``Lightning Safety for Athletics and Recreation.'' Journal
of Athletic Training (2013): 258-70.
Exhibit 16--American Association of Equine Practitioners,
Thoroughbred Race Day Injury Management Guidelines.
Exhibit 17--Equine Disease Communication Center website.
Exhibit 18--National Thoroughbred Racing Association Safety &
Integrity Alliance Code of Standards: Surfaces 2020.
Exhibit 19--Racing Surfaces Testing Laboratory website.
Exhibit 20--AAEP Guidelines, Necropsies of Racehorses, General
Guidelines, Revised by AAEP Racing Committee 2020.
Exhibit 21--NYCRR Title 9, Executive Subtitle T New York State
Gaming Commission Chapter 1 Division of Horse Racing and Pari-mutuel
Wagering, Subchapter A Thoroughbred Racing, Article 1 Rules of
Racing, Part 4007 Horses.
[[Page 459]]
Exhibit 22--Thoroughbred Horseman's Association, Continuing
Education for Trainers and Assistant Trainers.
Exhibit 23--Centers for Disease Control, Heads Up--Brain Injury
Basics--Returning to Sports and Activities.
Exhibit 24--National Athletic Trainers' Association Position
Statement: Management of Sports Concussion.
Exhibit 25--MedStar Sports Medicine Concussion Protocol for
Jockeys and Horsemen.
Exhibit 26--MedStar Sports Medicine--Concussion Protocol video.
Exhibit 27--The Jockey Club Thoroughbred Safety Committee
Recommendation, August 12, 2012 (revised August 5, 2021).
Exhibit 28--Kane AJ, Stover SM, Gardner IA, et al. Horseshoe
characteristics as possible risk factor for fatal musculoskeletal
injury of Thoroughbred racehorses. American Journal of Veterinary
Research, 1996, Vol. 57, No. 8, Pages 1147-52.
Exhibit 29--Casner B. 2010 Jockey Club Welfare & Safety
Committee Presentation--Welfare and Safety of the Racehorse Summit.
Exhibit 30--Harvey AM, Williams SB, Singer ER. The effect of
lateral heel studs on the kinematics of the equine digit while
cantering on grass. Veterinary Journal 2012 May;192(2):217-21. doi:
10.1016/j.tvjl.2011.06.003. Epub 2011 Jul 12. PMID: 21752677.
Exhibit 31--Hill AE, Gardner IA, Carpenter TE, Stover SM.
Effects of injury to the suspensory apparatus, exercise, and
horseshoe characteristics on the risk of lateral condylar fracture
and suspensory apparatus failure in forelimbs of Thoroughbred
racehorses. American Journal Veterinary Research, 2004, 65 (11),
1508-17.
Exhibit 32--Hill AE, Stover SM, Gardner IA, et al. Risk factors
for and outcomes of noncatastrophic suspensory injury in
Thoroughbred racehorses. Journal American Veterinary Medical
Association. 2001, Vol. 218, 1136-44.
Exhibit 33--Hernandez JA, Scollay MC, Hawkins DL, et al.
Evaluation of horseshoe characteristics and high-speed exercise
history as possible risk factors for catastrophic musculoskeletal
injury in Thoroughbred racehorses. American Journal Veterinary
Research 2005; 66:1314-1320.
Exhibit 34--Anthenill LA, Stover SM, Garner IA, Hill AE. Risk
Factors for proximal sesamoid bone fractures associated with
exercise history and horseshoe characteristics in Thoroughbred
racehorses. American Journal Veterinary Research, 2007, 68 (7), 760-
71.
Exhibit 35--Kentucky Horse Racing Commission Administrative
Regulations--810 KAR 4:010. Horses--Section 11 Equipment.
Exhibit 36--IFHA Use of the Whip, ``IFHA Principles of Good
Practice for the use of the Whip in Horseracing.''
Exhibit 37--Schambourg nociceptive thresholds in endurance
horses, Vet Rec 2019.
Exhibit 38--The Use of Whips in Thoroughbred Racing in
Australia, RSPCA Information Paper--November 2020.
Exhibit 39--Thompson--Is Whip Use Important to Thoroughbred
Racing Integrity? What Stewards' Reports Reveal about Fairness to
Punters, Jockeys and Horses--Animals, 1985.
Exhibit 40--Toma--Assessing Forces Exerted on Horses Using
Varying Riding Crop--Journal of Equine Veterinary Science, 2021.
Exhibit 41--Tong--A Comparative Neuro-Histological Assessment of
Gluteal Skin.
Exhibit 42--Ueda Y, Yoshia K, Oikawa M. Analysis of race
accident conditions through use of patrol video. J Equine Vet Sci
1993;13:707-710.
Exhibit 43--Deuel--Effects of Urging by the Rider on Gallop
Stride Characteristics of Quarter Horses--Equine Nutrition and
Physiology Society--1988 Issue.
Exhibit 44--McGreevy--Whip Use by Jockeys in a Sample of
Australian Thoroughbred Races--An Observational Study--PLOS ONE
2012.
Exhibit 45--Pinchbeck--Whip use and race progress are associated
with horse falls in hurdle and steeplechase racing in the UK--Equine
Veterinary Journal, 2004.
Exhibit 46--Mills and Higgins--Investigation of the Potential of
Whips to Injure Horses--1996.
Exhibit 47--Jones--A Critical Analysis of the British
Horseracing Authority's Review of the Use of the Whip in
Horseracing--Animals 2015.
Exhibit 48--Luna--Validation of mechanical, electrical and
thermal nociceptive stimulation methods in horses--Equine Veterinary
Journal 2015.
Exhibit 49--McGreevy--A note on the force of whip impacts
delivered by jockeys using forehand and backhand strikes--Journal of
Veterinary Behavior 2013.
Exhibit 50--Evans--An Investigation of Racing Performance and
Whip Use by Jockeys in Thoroughbred Races--PLOS ONE 2011.
Exhibit 51--Graham--Changing Human-Animal Relationships in
Sport: An Analysis of the UK and Australian Horse Racing Whips
Debates, Animals, 2016.
Exhibit 52--Haussler--Mechanical nociceptive thresholds in the
axial skeleton of horses, Equine Veterinary Journal, 2006.
Exhibit 53--ARCI Crop Rule Penalties--ARCI-010-035 Running of
the Race--(Proposed Rule Text).
Exhibit 54--The Jockey Club Thoroughbred Safety Committee
Recommendation, August 14, 2016 (modified 8/11/19).
Exhibit 55--California Proposed Crop Equipment Rule--1685.
Equipment Requirement.
Exhibit 56--New Jersey Rule 13:70-11.12.
Exhibit 57--Gulfstream Park Crop Rule.
Exhibit 58--British Horseracing Authority Rules of Racing 1
October 2021 Version 2021.4.1, 4-Whip Rule (F)45.
By direction of the Commission.
April J. Tabor,
Secretary.
[FR Doc. 2021-28513 Filed 1-4-22; 8:45 am]
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