[Federal Register Volume 89, Number 68 (Monday, April 8, 2024)]
[Notices]
[Pages 24574-24626]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-06911]



[[Page 24573]]

Vol. 89

Monday,

No. 68

April 8, 2024

Part II





Federal Trade Commission





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Horseracing Integrity and Safety Authority Racetrack Safety Rule 
Modification; Notice

  Federal Register / Vol. 89 , No. 68 / Monday, April 8, 2024 / 
Notices  

[[Page 24574]]


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FEDERAL TRADE COMMISSION

[File No. P222100]


Horseracing Integrity and Safety Authority Racetrack Safety Rule 
Modification

AGENCY: Federal Trade Commission.

ACTION: Notice of Horseracing Integrity and Safety Authority (HISA) 
proposed rule modification; request for public comment.

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SUMMARY: As required by the Horseracing Integrity and Safety Act of 
2020, the Federal Trade Commission publishes a proposed modification of 
the Horseracing Integrity and Safety Authority's rules addressing 
horseracing in the United States. The proposed rule modification would 
amend the Rule Series 2000 Racetrack Safety Rule, which establishes 
rules concerning racetrack safety and the safety of Covered Horses and 
Covered Persons. This document contains the Authority's proposed rule 
modification's text and explanation, and it seeks public comment on 
whether the Commission should approve the proposed rule modification.

DATES: The Commission must approve or disapprove the proposed 
modification on or before June 7, 2024. If approved, the proposed rule 
modification would be effective on July 8, 2024. Comments must be filed 
on or before April 22, 2024.

ADDRESSES: Interested parties may file a comment online or on paper by 
following the instructions in the Comment Submissions part of the 
SUPPLEMENTARY INFORMATION section below. Write ``HISA Racetrack Safety 
Rule Modification'' on your comment and file your comment online at 
https://www.regulations.gov by following the instructions on the web-
based form. If you prefer to file your comment on paper, mail your 
comment to the following address: Federal Trade Commission, Office of 
the Secretary, 600 Pennsylvania Avenue NW, Mail Stop H-144 (Annex H), 
Washington, DC 20580.

FOR FURTHER INFORMATION CONTACT: Sarah Botha (202-326-2036), Attorney 
Advisor and Acting HISA Program Manager, Office of the Executive 
Director, Federal Trade Commission, 600 Pennsylvania Avenue NW, 
Washington, DC 20580.

SUPPLEMENTARY INFORMATION: 
    The Horseracing Integrity and Safety Act of 2020 \1\ (the ``Act'') 
recognizes a self-regulatory nonprofit organization, the Horseracing 
Integrity and Safety Authority (``HISA'' or the ``Authority''), which 
is charged with developing proposed rules on a variety of subjects. 
Those proposed rules and later proposed rule modifications take effect 
only if approved by the Federal Trade Commission (``FTC'' or the 
``Commission'').\2\ The proposed rules and rule modifications must be 
published in the Federal Register for public comment.\3\ Thereafter, 
the Commission has 60 days from the date of publication to approve or 
disapprove the proposed rule or rule modification.\4\
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    \1\ 15 U.S.C. 3051 through 3060.
    \2\ 15 U.S.C. 3053(b)(2).
    \3\ 15 U.S.C. 3053(b)(1).
    \4\ 15 U.S.C. 3053(c)(1).
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    Pursuant to section 3053(a) of the Act and Commission Rule 1.142, 
notice is hereby given that, on September 21, 2023, the Authority filed 
with the Commission a proposed Racetrack Safety Rule modification and 
supporting documentation as described in Items I, II, III, and IX 
below, which Items have been prepared by the Authority. The Office of 
the Secretary of the Commission determined that the filing complied 
with the Commission's rule governing such submissions.\5\ The 
Commission is publishing this document to solicit comments on the 
proposed rule modification from interested persons.
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    \5\ 16 CFR 1.140 through 1.144; see also FTC, Procedures for 
Submission of Rules Under the Horseracing Integrity and Safety Act, 
86 FR 54819 (Oct. 5, 2021).
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I. Self-Regulatory Organization's Statement of the Background, Purpose 
of, and Statutory Basis for the Proposed Rule Modification

a. Background and Purpose

    The Act recognizes that a national uniform set of standards for 
racetrack safety will apply to a broad range of racetracks with widely 
varying environments in terms of economic structure, race dates, 
physical attributes, prevailing weather conditions, and other factors. 
As such, the Act directs the Authority to develop and implement 
``training and racing safety standards and protocols taking into 
account regional differences and the character of differing racing 
facilities.'' \6\ The Racetrack Safety Rule utilized a practical 
approach to this implementation, recognizing that some practices are 
already in place or can be put in place immediately, while others will 
require adequate time and resources to implement.
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    \6\ 15 U.S.C. 3056(b)(1).
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    As directed in section 3052(c)(2) of the Act, the Authority's 
Racetrack Safety Standing Committee (the ``Committee'') was constituted 
and undertook developing a comprehensive proposed rule setting forth a 
uniform set of training and racing safety standards and protocols. 
Since the initial Racetrack Safety Rule was submitted to the 
Commission,\7\ the Committee has spent hundreds of hours over the last 
twenty months reviewing and analyzing modifications to the safety rules 
that will enhance human and horse safety and welfare issues. The 
Committee is comprised of four independent members and three industry 
members.
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    \7\ See FTC, Notice of HISA Racetrack Safety Proposed Rule, 87 
FR 435 (Jan. 5, 2022) (``2022 Proposed Rule Notice''); FTC, Order 
Approving the Racetrack Safety Rule Proposed by the Horseracing 
Integrity and Safety Authority (Mar. 3, 2022), https://www.ftc.gov/system/files/ftc_gov/pdf/order_re_racetrack_safety_2022-3-3_for_publication.pdf.
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    This submission is also made in order to comply with the 
Commission's March 27, 2023 Order that directed ``the Authority to 
review all of its existing rules (Racetrack Safety, Assessment 
Methodology, Enforcement, Registration, and [Anti-Doping and Medication 
Control (``ADMC'')]) and submit any proposed rule modifications to the 
Commission by September 27, 2023.'' \8\ The Authority has reviewed all 
of its existing rules and this submission was the first to be filed in 
accordance with the March 27, 2023, Order.
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    \8\ FTC, Order Approving the Anti-Doping and Medication Control 
Rule Proposed by the Horseracing Integrity and Safety Authority at 6 
(Mar. 27, 2023), https://www.ftc.gov/system/files/ftc_gov/pdf/P222100CommissionOrderAntiDopingMedication.pdf.
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    On April 29, 2023, for the first draft of the Rule 2100 
modifications, and on May 9, 2023, for the first draft of the Rule 2200 
modifications, HISA representatives shared a draft of the these 
proposed rule modifications with the following interested stakeholders 
for input: Racing Officials Accreditation Program; Racing Medication 
and Testing Consortium (Scientific Advisory Committee); Water Hay Oats 
Alliance; National Thoroughbred Racing Association; The Jockey Club; 
The Jockeys' Guild; Thoroughbred Racing Association; Arapahoe Park; 
Rillito Downs; Thoroughbred Owners of California; California Horse 
Racing Board; Kentucky Racing Commission; Delaware Racing Commission; 
Maryland Racing Commission; National Horsemen's Benevolent and 
Protective Association; Thoroughbred Horsemen's Association; 
Thoroughbred Owners and Breeders Association; Kentucky Thoroughbred 
Association; American Association of Equine Practitioners; American 
Veterinary Medical Association; Stronach Racing Group (5

[[Page 24575]]

thoroughbred racetracks); Churchill Downs (6 thoroughbred racetracks); 
Breeders' Cup; Keeneland; Del Mar; and the Racing Operations Committee. 
Additionally, both drafts of the proposed modifications were made 
available to the public for review and comment on the HISA website at 
https://hisaus.org/. On July 24, 2023, for the second draft of the Rule 
2100 modifications, and on July 30, 2023, for the second draft of the 
Rule 2200 modifications, HISA representatives shared a draft of these 
proposed rule modifications with the interested stakeholders set forth 
above for input. On July 24, 2023, the revised Rule 2100 modifications 
were made available to the public for review and comment on the HISA 
website at https://www.hisaus.org/. On July 31, 2023, the revised Rule 
2200 modifications were made available to the public for review and 
comment on the HISA website at https://www.hisaus.org/. Voluminous 
comments were received from various stakeholders, which are outlined in 
Item II of this publication. Attached to this publication is Exhibit A, 
which includes copies of all comments received concerning the rule 
modification proposal.
    In accordance with the Commission's March 27, 2023 Order, the 
Authority's submission in support of the proposed rule modification 
discusses each of the suggestions made by commenters on the Federal 
Register from the original Racetrack Safety Rule submission where the 
Authority in its February 2, 2022 letter to the Commission \9\ (the 
``February 2, 2022 Letter'') committed to further consider the 
suggestions. In accordance with the Order, Item III below sets forth 
the relevant comments and states the reasons why the Authority did or 
did not adopt the suggestions within the text of the proposed rule 
modification.
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    \9\ This letter is available on the docket for the 2022 Proposed 
Rule Notice at https://www.regulations.gov/docket/FTC-2021-0076/document.
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    The Authority's Rule 2000 safety rules were implemented in racing 
jurisdictions nationwide on July 1, 2022. Since that time Covered 
Horseraces have been successfully conducted under a uniform set of 
rules devoted to equine and human health and safety, and that serve to 
ensure that horseracing under the jurisdiction of the Authority is 
conducted in the safest manner possible. Since July 1, 2022, the 
Authority has closely observed the rules in action, the Authority staff 
have engaged on a daily basis with the implementation of the rules, and 
many helpful comments have been received from members of the industry 
concerning the numerous aspects of the rules. Throughout this process, 
the Authority has been careful to focus on the further development and 
modification of various rules to enhance racetrack safety and welfare. 
After much study and analysis under the direction of the Authority's 
Racetrack Safety Committee, the Authority now submits this proposed 
modification to the Rule 2000 Series. The submission consists of a 
comprehensive set of modifications to many of the rules, as described 
in detail in this publication. In some instances, modifications are 
proposed to include more detail concerning a regulated activity, or to 
create new instrumentalities to further the purposes of the Act (as in 
the creation of the concept of Designated Equine Facilities in Rule 
2144). In other instances, modifications are proposed to address 
unanticipated circumstances encountered in the implementation of the 
rules, or to provide clarity where questions have surfaced concerning 
the proper implementation of the rules in various situations. The 
reasons for the modifications, and any problems the modifications are 
intended to address and resolve, are outlined in the discussion of each 
particular rule modification.
    In general, the Authority states that the rule modifications will 
affect Covered Horses by ensuring that races are run on safe racing 
surfaces and with properly inspected equipment and highly trained 
racetrack personnel; these matters are examined by the Authority's 
accreditation team pursuant to the Rule 2100 series. Numerous 
modifications are proposed for the accreditation rules to ensure timely 
and accurate reporting of information. In addition, Covered Horses will 
be affected by and benefit from procedures implemented to ensure the 
timely and accurate reporting of equine injuries and fatalities, rule 
modifications pertaining to veterinary examinations, the veterinarian's 
list, horseshoe inspections, and the performance of necropsies. These 
are only a few examples; all of the modifications are described further 
in this publication.
    Covered Persons will be affected by and benefit from the proposed 
rule modifications as well. A chief example, and a matter of particular 
concern to the Authority, are the measures taken to safeguard the 
safety of Jockeys and other riders on the racetrack grounds. This 
publication will outline in detail the significant modification of 
provisions concerning Jockey concussion protocols, physical 
examinations, and human ambulance support.
    Covered Horseraces will be affected by and benefit from the 
modifications in additional ways as described herein. The efficient 
running of claiming races will be much enhanced by the modifications to 
the claiming rules set forth in Rule 2262.\10\ The prompt and efficient 
resolution of violations of the rules of racing will be enhanced by 
modifications to the riding crop rules and penalty structure, as well 
as the establishment of an intermediate appeal process that will hasten 
the resolution of riding crop violations. When the rules of racing are 
strongly enforced, Covered Horseraces will be run in a safe manner that 
directly affects and benefits both Covered Horses and Covered Persons.
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    \10\ A ``Claiming Race'' is defined in HISA Rule 1020 as a 
Covered Horserace in which a Covered Horse, after leaving the 
starting gate, may be claimed (or, purchased for a designated 
amount) in accordance with the rules and regulations of the 
applicable State Racing Commission.
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    The Authority is always open to comments from industry 
participants, and in the development of rule modifications, these 
comments have often led to the consideration and adoption of 
alternatives in the proposed rule drafts circulated to the industry. In 
the numerous instances in which alternatives to the proposed 
modifications were considered, this publication will describe the 
proposals and state the reasons why a proposal was adopted or rejected 
by the Authority, or in some cases deferred for future consideration.
    The Authority states that the proposed rule modifications in this 
submission are consistent with the Act. The proposed rule modifications 
meet the requirements in 15 U.S.C. 3056(b), because the modifications 
are made to the originally filed safety rules that were crafted upon 
and established the 12 elements of the horseracing safety program as 
enumerated in 15 U.S.C. 3056(b). The new provisions that are 
established in these proposed rule modifications are also within the 
ambit of the elements of the horseracing safety program. Furthermore, 
the Authority incorporates by reference into this modification the 
existing standards that were set forth in the Notice of Filing of 
Proposed Rule previously submitted to the Commission in the original 
filing of the Rule 2000 Series on December 6, 2021.\11\ As was the case 
then, and pursuant to 15 U.S.C. 3056(a)(2), the rule modifications 
herein take into

[[Page 24576]]

consideration existing safety standards, including the National 
Thoroughbred Racing Association Safety and Integrity Alliance Code of 
Standards, Association of Racing Commissioners International (``ARCI'') 
Model Rules, the International Federation of Horseracing Authority's 
International Agreement on Breeding, Racing, and Wagering, and the 
British Horseracing Authority's Equine Health and Welfare program.
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    \11\ This supporting documentation is available on the docket 
for the 2022 Proposed Rule Notice at https://www.regulations.gov/docket/FTC-2021-0076/document.
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    With the review, input and ultimate approval of the Authority's 
Board of Directors, the proposed modifications to the Rule 2000 Series 
modify and enhance the penalties and adjudication procedures for the 
enforcement of rules promulgated by the Authority. The Authority 
submits herewith the proposed rules for Commission approval.

b. Statutory Basis

    The Horseracing Integrity and Safety Act of 2020, 15 U.S.C. 3051 
through 3060.

II. Self-Regulatory Organization's Statement of the Terms of Substance 
of the Proposed Rule Modification

Rule 2010. Definitions

a. References to Corresponding Definition in Rule 1020
    Various definitions currently established in Rule 2010 are also 
referenced in Rule 1020 of the ADMC Program Rules. The following 
definitions have been modified to reference the corresponding 
definition in Rule 1020, for consistent usage throughout the 
Authority's Rules: Act, Adverse Analytical Finding, Association 
Veterinarian, Attending Veterinarian, Authority, Claim, Claiming Race, 
Commission, Covered Horse, Covered Horserace or Race, Covered Person, 
Designated Owner, Owner, Person, Prohibited List, Prohibited Methods, 
Prohibited Substance, Protocol, Race Day, Regulatory Veterinarian, 
Responsible Person, State Racing Commission, Timed and Reported 
Workout, Trainer, Training Facility, Veterinarian, Vets' List Workout, 
and Workout.
b. Proposed New Definitions
    The Authority proposes to add several new terms to the definitions 
section in Rule 2010 to aid in the proper interpretation and 
application of the Authority's existing and proposed new rules included 
in the Rule 2100 and Rule 2200 Series of the Racetrack Safety Rule. The 
proposed new definitions are set forth below.
    Catastrophic Injury means an Equine Injury that resulted in death 
or euthanasia of a Covered Horse within 72 hours of injury.
    A commenter requested that the definition of Catastrophic Injury be 
broadened to include both sickness and accidents, and that it 
specifically incorporate the concept of sudden death, maintaining that 
sudden death is not an ``injury.'' \12\ The Authority believes the 
proposed modification in its current form is appropriate, but will 
consider this comment in further deliberations upon rulemaking.
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    \12\ California Horse Racing Board (``CHRB'').
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    Designated Equine Facility means an equine facility designated by a 
Racetrack in accordance with the procedures established in Rule 2144, 
whose biosecurity protocols are consistent with those of the Racetrack, 
and from which the Racetrack will accept horses onto its grounds with a 
valid health certificate issued within the last 30 days or in a shorter 
period of time if high risk situations dictate.
    This term was modified significantly over the two rounds of 
informal public comment. The original draft stated that the required 
biosecurity protocols be ``reasonably consistent,'' but in response to 
comment the definition was revised to require the protocols to be 
``consistent.'' \13\ The same commenter suggested that the protocols be 
specified in the rule.\14\ The Authority declines to adopt this 
suggestion, as it is incumbent upon the Racetracks to apply and review 
the appropriate biosecurity protocols.
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    \13\ The Jockey Club.
    \14\ The Jockey Club.
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    Several commenters suggested that the definition should be written 
to give the state racing commission the duty to approve the designation 
by the Racetrack.\15\ The Authority considered this comment, but 
declined to adopt the idea because not all state racing commissions 
have a process in place to review and approve designated equine 
facilities.
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    \15\ The Jockey Club, Tom Robbins, Racing Operations Committee 
(``ROCO'').
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    Some commenters stated that no health certificate should be 
required for horses that ship to a Racetrack from training facilities 
owned by the Racetrack, and that to impose this requirement places an 
undue burden on horsemen, attending vets, and stable gate 
personnel.\16\ The Authority on balance does not consider the 
requirement to be an undue burden when weighed against the health and 
safety of Covered Horses.
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    \16\ Comment jointly submitted by NYRA, Del Mar, Keeneland, 
Churchill Downs, Breeders' Cup, and 1/ST Racing.
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    Epistaxis means that blood from one or both nostrils of a Covered 
Horse has been observed after exercise, attributable to an episode of 
exercise-induced pulmonary hemorrhage (``EIPH''). The term Epistaxis is 
referred to in numerous places in the Rule 2000 Series, and especially 
in Rules 2240 and 2241 concerning the Veterinarians' list. This 
definition will make it clear that the only horses subject to 
regulatory action are those experiencing EIPH to the degree they show 
signs of Epistaxis. The definition of the term Bled will be deleted in 
this rule modification.
    Equine Injury means an injury to a Covered Horse that occurred 
during racing or training for which intervention by the Regulatory 
Veterinarian or reporting by the Safety Director pursuant to Rule 2131 
is required, and for which an injury report must be submitted pursuant 
to the Rule 2000 Series.
    A commenter asked whether entering injury information into the 
Equine Injury Database is sufficient to satisfy the reporting 
requirement.\17\ In answer, the Authority notes that it is sufficient 
if the Racetrack shares with the Authority information entered into the 
Equine Injury Database; however, not all Racetracks do so. The 
Authority does not believe the filing of an injury report is unduly 
burdensome but will consider this possible concept in future 
rulemaking.
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    \17\ 1/ST Racing.
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    A commenter opined that the definition is too broad and that the 
definition should apply to horses whose participation in racing or 
training has been restricted, in a manner similar to the definition of 
human injury.\18\ The Authority notes that drafting the definition in a 
manner similar to the Human Injury definition would actually broaden 
the definition to include conditions that might temporarily restrict a 
horse's participation but are not reportable. The reporting obligation 
in the proposed rule is more appropriately keyed to intervention by the 
Regulatory Veterinarian or reporting by the Safety Director.
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    \18\ Thoroughbred Owners and Breeders Association, and Mid-
Atlantic Strategic Plan to Reduce Equine Fatalities (collectively, 
``THA'').
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    Equine Mortality means a fatality of a Covered Horse that is not 
attributable to a Catastrophic Injury.
    This definition is added to facilitate the distinction between 
Equine Mortality and Catastrophic Injury, which is used in prescribing 
the duties of the Racetrack Risk Management Committee in new provisions 
proposed to be added in Rule 2112.

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    Exercise Rider means a rider of a Covered Horse during a training 
activity that is not a Covered Horserace.
    The defined term is included in the application of several proposed 
rules that are necessary to regulate the safety and conduct of persons 
mounted on horses on the grounds of the Racetrack.
    Farrier means a farrier (or horseshoer, plater or blacksmith) who 
provides all aspects of hoof care or orthotic services to Covered 
Horses, including trimming and/or the application of various orthotics 
to the hoof.
    This new definition is added to define the term as used in proposed 
new Rule 2138 and elsewhere in the proposed rules.
    Horseshoe Inspector means a person (for example, a paddock farrier) 
employed, contracted, or appointed by a State Racing Commission, 
Racetrack, or the Authority, who has been trained in, and is 
responsible for, inspecting horseshoes or other orthotics on hooves of 
Covered Horses.
    This definition establishes the new position of Horseshoe 
Inspector, who will inspect horseshoes under new rules of the 
Authority. These inspections are a vital component in ensuring the 
health and safety of Covered Horses.
    A commenter asked if the qualifications of the horseshoe inspector 
can be defined.\19\ The Authority believes that it is unnecessary to 
prescribe at length the specific qualifications of the Horseshoe 
Inspector and further notes that minimum qualifications for this 
position are set out in Rule 2137(b). The Authority exercises oversight 
over personnel performing functions on its behalf that allows the 
Authority to ensure that personnel are qualified to perform their 
duties.
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    \19\ National Horsemen's Benevolent and Protective Association 
(``HBPA'').
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    Human Injury means an injury to a Covered Person that requires 
medical attention and, as a result, may restrict a Covered Person's 
current or future participation or employment in racing, and for which 
an injury report must be submitted.
    The Authority adopted the suggestion that the definition refer to 
current or future participation in racing.\20\
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    \20\ Breeders' Cup.
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    In line with another commenter's query as to the extent of the 
persons who are embraced by the rule, the word ``individual'' was 
replaced by ``Covered Person.'' \21\ The commenter also asked who must 
submit the report.\22\ A commenter suggested the term ``may restrict,'' 
since at the time of the report the effects of the injury may not be 
known. This phrase was incorporated into the definition.\23\
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    \21\ HBPA.
    \22\ HBPA. The Medical Director must submit the report under 
Rule 2132.
    \23\ CHRB.
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    Layoff Report means a report completed in a manner prescribed by 
the Authority and submitted by the Trainer or Trainer's designee for a 
Covered Horse that has not raced in a Covered Horserace for 150 
consecutive days or more. The Layoff Report shall include, at a 
minimum, information regarding all examinations, medical treatments, 
surgical treatments, and exercise history of the Covered Horse during 
the layoff period.
    This definition is added to define the term Layoff Report in accord 
with the new provision creating the obligation to provide Layoff 
Reports in Rule 2142(a).
    A commenter asked whether the Authority already has all of the 
information included in the definition of Layoff Report.\24\ The 
Authority does not have all of the information; during a typical layoff 
period, much of the information is not subject to the Authority's 
reporting requirements. Another commenter queried concerning the length 
of time over which records will be required to be provided, suggesting 
that a period of 30 days prior to submission should be sufficient.\25\ 
In response, the Authority notes that the Rule requires reporting ``in 
a manner prescribed by the Authority,'' and the Authority will specify 
a reasonable span of time for which the information is requested.
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    \24\ The Jockey Club.
    \25\ THA.
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    Outrider means a rider employed or contracted by the Racetrack who 
oversees and assists with the safety of all Riders, Trainers, and 
horses on the Racetrack.
    The definition is added because various rules govern the 
responsibilities and duties of Outriders.\26\
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    \26\ NYRA, Del Mar, Keeneland, Churchill Downs, Breeders' Cup, 
and 1/ST Racing made helpful suggestions to the wording, including 
the inclusion of the reference to ``contracted by.''
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    Pony Horse means a horse, including the Outrider's horse, that 
accompanies a Covered Horse(s) during training or racing activities.
    This definition is added because various new provisions create 
rules governing Pony Horses and racehorses in the same manner.\27\
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    \27\ NYRA, Del Mar, Keeneland, Churchill Downs, Breeders' Cup, 
and 1/ST Racing offered a helpful suggestion which resulted in the 
inclusion of a reference to the Outrider's horse.
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    Racetrack Risk Management Committee means the committee established 
pursuant to Rule 2121.
    This definition is added in order to change the name of the 
Racetrack Safety and Welfare Committee to the Racetrack Risk Management 
Committee. The term Racetrack Safety and Welfare Committee has caused 
confusion due to its similarity to the term Racetrack Safety Committee.
    Racetrack Safety Committee means the committee (or its delegate) 
established pursuant to 15 U.S.C. 3052(c)(2).
    The definition is modified to include the words ``or its 
delegate,'' which is necessary to specify that the Racetrack Safety 
Committee has the power to delegate certain responsibilities and duties 
to other functionaries under the supervision of the Racetrack Safety 
Committee.
    Rider means any person who is mounted on a Covered Horse or Pony 
Horse on the Racetrack, including a Jockey.
    This definition is proposed in order to cover in one term the 
various racing participants who are mounted on Covered Horses or Pony 
Horses on the Racetrack. Several proposed rules and modifications refer 
to all such participants, who are now referred to as Riders. For the 
sake of clarity, the definition explicitly states that the term Rider 
includes Jockeys.
    Safety Program Effective Date means July 1, 2022.
    Traction Device means any device that extends beyond the ground 
surface of the horseshoe and includes but is not limited to inserts, 
wear plates, rims, toe grabs, bends, jar calks, stickers, ice nails, 
frost nails, and mud nails.
    A definition of Traction Device is added which aids in the proper 
interpretation of the Rule 2276 Horseshoe Rule. Traction devices have 
been thought to increase a horse's ability to ``dig in'' to the track 
surface to enhance propulsion and to prevent slipping. Traction devices 
also reduce the horse's ability to plant its hoof level with a hard 
surface and to dampen forces from the ground to the limb by inhibiting 
hoof movement through the surface. These effects can contribute to 
catastrophic musculoskeletal injuries. Rule 2276 follows scientific 
evidence that toe grab traction devices are associated with equine 
catastrophic injuries and appropriately limits the height of rims used 
as traction devices on forelimb and hindlimb horseshoes. The rule 
prohibits use of any other traction devices.
    Veterinarians' List means a list maintained, or approved for use, 
by the Authority of all Covered Horses that are determined to be 
ineligible to compete in a Covered Horserace in any

[[Page 24578]]

jurisdiction until released by a Regulatory Veterinarian.
    This definition is added to define the Veterinarians' List more 
clearly. The term is used extensively in conjunction with Rules 2240, 
2241, and 2242, and aids in the application of those rules. A commenter 
suggested inclusion of the phrase ``approved for use,'' as it appears 
in the modification.\28\ The phrase is used to allow for flexibility in 
the event that the Authority does not itself maintain the list, but 
instead at some point in time utilizes a list maintained by another 
organization pursuant to an agreement with the Authority.
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    \28\ The Jockey Club.
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c. Additional Proposed Modifications
    The Authority proposes additional modifications to the definitions 
as set forth below:
    Groom means a Covered Person who is engaged by a Responsible Person 
to assist in the daily physical care of Covered Horses.
    Jockey means a rider licensed in any state and registered with the 
Authority to ride a Covered Horse in a Covered Horserace.
    The Jockeys' Guild requested that the rule specify the rider of a 
Covered Horse in a Covered Horserace ``or during training.'' The 
request is understandable but unnecessary, as the rule only requires 
licensure and registration of the rider; the definition does not 
exclude Jockeys from the ambit of the Authority's regulatory provisions 
simply because an activity occurs during training hours rather a horse 
race.\29\
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    \29\ The Jockeys' Guild.
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    Starting Gate Person means any individual licensed as a starter, 
assistant starter, or any individual who handles Covered Horses in the 
starting gate.
    Veterinarian shall have the meaning set forth in Rule 1020. 
Notwithstanding any provision set forth in the Rule 9000 Series 
(Registration Rules), a Veterinarian who provides veterinarian services 
to Covered Horses shall register with the Authority.
    The definition is modified to state that it has the meaning set 
forth in Rule 1020. In addition, a new sentence is added that requires 
Veterinarians who provide services to Covered Horses to register with 
the Authority. The safety and welfare of Covered Horses are of 
paramount concern to the Authority, and it is vital that information 
concerning any treatment rendered to Covered Horses be provided to the 
Authority, along with the identity of, and contact information for, the 
Veterinarian who has treated the Covered Horse. Registration of 
Veterinarians with the Authority is the most effective means to obtain 
the required information.
    The following list contains those definitions that are modified 
with only a change in the form of the citation:
    Lead Veterinarian means any Veterinarian appointed pursuant to Rule 
2134(c).
    Racetrack Safety Accreditation or Accreditation means the process 
for achieving, and the issuance of, safety Accreditation to a Racetrack 
in accordance with Rules 2100 through 2193.
    Finally, the Authority proposes deletion of the following 
definitions as unnecessary: Out of Competition, Program Effective Date, 
and Racetrack Safety and Welfare Committee.

2015. Racehorse Epidemiology Database and Study

    The Horseracing Integrity and Safety Act mandates that the 
Authority, in consultation with the Federal Trade Commission, develop 
and maintain a nationwide database of racehorse safety, performance, 
health, and injury information for the purpose of conducting an 
epidemiological study. 15 U.S.C. 3056(c)(3)(A). The Act further 
provides that ``the Authority may require covered persons to collect 
and submit to the database described in subparagraph (A) such 
information as the Authority may require to further the goal of 
increased racehorse welfare.'' Id. at (c)(3)(B). The Authority proposes 
this rule in connection with its statutory mandate under the Act.
    This proposed new rule identifies all sources of records and data 
that will be collected by the Authority for purposes of developing the 
nationwide database referenced in section 3056 of the Act. The majority 
of sources identified in this rule are references to other existing 
rules in the Racetrack Safety Rule under which the Authority is already 
receiving pertinent information and do not contain new, separate 
reporting obligations on Covered Persons. Paragraph (c), however, does 
require, upon the written request of the Authority, Racetracks to 
provide historical equine injury and fatality data for the previous 10 
years from the date of the request. One commenter questioned whether 
the Authority has the statutory authority to request information and 
records that pre-date the Act.\30\ In response, the Authority states 
that access to this historical information ``furthers the goal of 
increased racehorse welfare'' as it will aid in the Authority's 
research and understanding of the patterns and trends relative to 
racehorse injuries and fatalities. Additionally, the information will 
be used to initially develop the database which will expedite the 
research process. Other commenters \31\ noted that some of the 
information referenced in this rule is already being captured and 
collected through other non-Authority sources, such as the InCompass 
database. These commenters are correct and, where applicable, the 
Authority does receive information directly from these third-party 
sources, obviating the concern of duplicative reporting.
---------------------------------------------------------------------------

    \30\ Dr. Jeff Blea.
    \31\ The Jockey Club, the Maryland Racing Commission, and 
comment jointly submitted by NYRA, Del Mar, Keeneland, Churchill 
Downs, Breeders' Cup, and 1/ST Racing.
---------------------------------------------------------------------------

2100. Racetrack Accreditation

2101. General
    Language in this rule concerning the adoption of best practices and 
guidance by the Racetrack Safety Committee has been stricken as 
unnecessary.
2110. Accreditation Process
2111. Interim and Provisional Accreditation
    No significant modifications are being proposed with regard to this 
rule; minor modifications to terms used have been made.
    The Jockeys' Guild expressed concerns about the granting of 
``interim accreditation'' to Racetracks prior to HISA performing an 
assessment under Rule 2112. The Jockey Club noted that the delay could 
result in unaddressed safety concerns for up to three years.\32\ The 
Jockeys' Guild also expressed concerns that the automatic granting of 
``interim Racetrack Safety Accreditation'' by the Authority, and the 
length of time before the Authority is able to conduct an assessment of 
the track, might allow safety concerns to go unaddressed.\33\ The 
Authority notes that these comments do not address the modifications 
and concern provisions that have already been approved. Regardless, if 
safety concerns arise, the Authority may intervene by issuing a Notice 
of Suspected or Actual Violation. In the case of very serious hazards, 
provisional suspension under Rule 2117 also provides the Authority with 
the ability to address safety concerns rapidly in the interest of 
protecting Covered Horse and Riders.
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    \32\ The Jockeys' Guild.
    \33\ The Jockeys' Guild.

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[[Page 24579]]

2112. Accreditation Assessment
    Modifications are proposed in three paragraphs. Paragraph (a) is 
amended to require a Racetrack to respond to questions and inquiries 
posed by the Racetrack Safety Committee within a deadline established 
by the Committee, rather than within 60 days. This provides more 
flexibility in the time permitted to respond, in relation to the extent 
and nature of the questions and inquiries posed.
    In addition, paragraph (c) is amended to require a Racetrack's 
response to a post-inspection report within 30 days, rather than 60 
days. This change expedites the accreditation inspection and review 
process and will result in more rapid remedial action taken to cure any 
deficiencies in Racetrack operations or equipment. A commenter asked 
whether there will be a response from the Authority indicating that a 
Racetrack reporting submission has been received by the Authority.\34\ 
The Authority is currently developing an IT modality that will confirm 
receipt of all submissions.
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    \34\ Tom Robbins.
---------------------------------------------------------------------------

    Finally, Paragraph (d) is amended to include a new sentence that 
permits the Racetrack Safety Committee to require a Racetrack, as a 
condition of accreditation, ``to take any remedial or other action that 
is consistent with the Authority's safety rules and Accreditation 
standards established in the Rule 2100 Series and Rule 2200 Series.'' 
This provision provides greater flexibility in encouraging Racetracks 
to meet the accreditation requirements expeditiously, as an alternative 
to denying accreditation for non-compliance.
2113. Issuance of Accreditation
    No significant changes are proposed for this rule. Minor changes to 
the language of the Rule are proposed for clarity.
2114. Effective Periods of Accreditation
    Rule 2114 in its current form establishes 3-year periods of 
accreditation, which may be modified to 1 to 7 years if the Authority 
determines that a modified period is consistent with the rules of 
accreditation. No significant changes are proposed for this rule. A 
``notwithstanding'' clause is included in paragraph (a) to make clear 
that the 3-year period of accreditation is subject to the 1-to-7-year 
terms set forth in paragraph (b). Other minor changes to the language 
of the Rule are proposed for clarity.
2115. Racetrack Reporting
    Rule 2115 establishes reporting requirements for Racetracks. A new 
paragraph (a) provides more detail concerning annual reports to the 
Authority by Racetracks; the rule explicitly requires Racetracks to 
file a report within 30 days after the end of each race meeting, and, 
by December 31 of each year, to complete a Racetrack Safety 
Accreditation Audit. The audit is a key tool by which the Authority may 
monitor a Racetrack's level of compliance with Authority rules.
    An additional new provision, paragraph (g), requires Racetracks to 
submit a certified report to the Authority within 30 days of the end of 
each Race Meet. A commenter asked whether the information required in 
the end of Race Meet report can be prescribed in the rule.\35\ The 
Authority prefers the current language in the rule, which states that 
the report shall be submitted ``in such form as the Authority may 
prescribe.'' This provides greater flexibility, and the Authority will 
outline in an appropriate form the precise information required, all of 
which will pertain to Racetrack safety matters and requirements as set 
forth in the rules of the Authority. Another commenter suggested that 
the deadline for the report should be 60 days rather than 30 days.\36\ 
The Authority believes the 30-day requirement is appropriate and not 
burdensome, and notes that the end of meet report consists only of data 
reporting; no narrative composed by the Racetrack is required. The 
sooner the information is provided to the Authority after the end of 
the meet, the more likely it is to be accurate.
---------------------------------------------------------------------------

    \35\ Minnesota Racing Commission.
    \36\ Tom Robbins.
---------------------------------------------------------------------------

    New proposed rules will require Racetracks to maintain a list of, 
and contact information for, key personnel at the Racetrack. Racetracks 
will also be required to authorize third party system providers who 
collect information regarding Covered Persons, Covered Horses, and 
Covered Racetracks to provide data upon request, and to authorize any 
video replay or video service provider to provide to the Authority upon 
request high-resolution video replays of Covered Horseraces at the 
Racetrack. These new provisions will ensure the Authority may access 
data relative to Covered Persons, Covered Horses, or Covered Horseraces 
that is submitted by the Racetrack to the third-party system provider 
(such as, fatality information submitted to the Equine Injury Database 
or video replays to be used for injury and fatality review). These new 
requirements will further the Authority's goal of increased racehorse 
welfare and aid in making accreditation determinations.
    Finally, new provisions in the rule permit the Authority to obtain 
upon request information pertaining to accreditation or suspected 
violations of Authority rules. Tracks are also made subject to on-site 
inspection by the Authority at any time so that any suspected safety 
violation can be promptly investigated and addressed.
    All of these modifications refine the reporting requirements in 
Rule 2115, so that the Authority possesses the information it needs to 
review Racetrack compliance and make appropriate decisions concerning 
Racetrack accreditation. The painstaking review of all aspects of 
Racetrack operations are of vital importance in securing the health, 
safety and welfare of Covered Horses and Covered Persons.
2116. Suspension and Revocation of Accreditation
    Rule 2116 establishes the procedures for situations in which a 
Racetrack is in material non-compliance with the Accreditation 
requirements. In addition to stylistic changes, a new provision is 
added which states that the Authority may consider all factors that it 
deems important, including factors established in Rule 8360(e)(1)-(5).
    Commenters suggested that the factors for material non-compliance 
should be clearly established in the rules.\37\ The Authority prefers 
to leave ``material non-compliance'' as an open term; the circumstances 
under which a Racetrack might be in material non-compliance are many 
and varied, and difficult to anticipate and articulate in their 
entirety in a rule. In response, however, the Authority proposed new 
language clarifying that the Authority shall consider all factors that 
it deems appropriate, including the factors established in Rule 
8360(e)(1)-(5).
---------------------------------------------------------------------------

    \37\ This is a comment jointly submitted by NYRA, Del Mar, 
Keeneland, Churchill Downs, Breeders' Cup, and 1/ST Racing.
---------------------------------------------------------------------------

2117. Provisional Suspension of Racetrack Accreditation
    Rule 2117, Provisional Suspension of Racetrack Accreditation, is a 
new proposed rule. This provision permits the Authority to suspend 
racing activity in a short period of time if ``the Authority has 
reasonable grounds to believe that the conditions or operations of a 
Racetrack present an imminent danger to the health, safety, or welfare 
of Covered Horses or Riders arising from specific violations by the 
Racetrack of

[[Page 24580]]

the Authority's Racetrack safety or accreditation rules.'' \38\
---------------------------------------------------------------------------

    \38\ Rule 2117(a)(1).
---------------------------------------------------------------------------

    Proposed Rule 2117 was distributed for public comment in July 2023. 
Since that time, the Authority has received numerous comments and has 
worked with industry stakeholders to address due process concerns that 
were raised during the informal public comment period. This proposed 
rule is the result of both collaboration with industry stakeholders and 
the Authority's input. Under this rule, the Authority may issue a show-
cause notice concerning a provisional suspension of a Racetrack's 
accreditation if the Authority has reasonable grounds to believe that 
the conditions or operations of the Racetrack present an imminent 
danger to the health, safety, or welfare of Covered Horses or Riders 
arising from specific violations by the Racetrack of the Authority's 
Racetrack safety or accreditation rules. The show-cause notice will 
include an itemization of the rules which the Racetrack is believed to 
have violated, the corrective actions suggested to achieve compliance, 
a request for a written response from the Racetrack, and a statement 
indicating that the Racetrack may request a provisional hearing within 
3 business days of receipt of the notice. Notably, the Racetrack's 
accreditation would not be suspended during the time between receipt of 
the show-cause notice and the provisional hearing.
    The Racetrack is afforded significant procedural due process 
protections under this rule; first at the provisional hearing stage 
and, later, at the final hearing. For instance, if the Racetrack 
requests a provisional hearing, the provisional hearing will be 
promptly held within 3 business days of receipt of the Racetrack's 
request for a hearing. The provisional hearing will be conducted by a 
3-person panel consisting of 1 industry member of the Board, 1 
independent member of the Board, and 1 member of the Arbitral Body 
selected by the Chair of the Board. The sole issue to be determined at 
the provisional hearing is whether the Racetrack's provisional 
suspension of Accreditation shall go into immediate effect following 
the provisional hearing, be stayed pending a final hearing under this 
rule, or be withdrawn. The burden is on the Authority to demonstrate 
good cause why the provisional suspension of the Racetrack's 
accreditation should go into immediate effect or be stayed pending a 
final adjudication. Within 7 business days of the conclusion of the 
provisional hearing, the 3-person panel will issue a written decision 
imposing an immediate provisional suspension of the Racetrack's 
accreditation, staying the provisional suspension, or dismissing the 
notice.
    The Racetrack may seek prompt review of any decision rendered at 
the provisional hearing by requesting a final hearing, which will take 
place within 14 calendar days of the Racetrack's request for a final 
hearing. The final hearing will be conducted by a quorum of the Board 
and the 2 Board members who participated in the provisional hearing 
will be precluded from participating in the final hearing. The final 
hearing will be conducted pursuant to the procedural rules established 
in Rules 8340(d) through (j), which provide for a full presentation of 
evidence and place the burden on the Authority to demonstrate, by a 
preponderance of the evidence, that the Racetrack is in violation of 
the Accreditation rules.
    Within 7 business days of the conclusion of the final hearing, the 
Board may (1) order that the Racetrack's accreditation be reinstated, 
suspended, or revoked; (2) reinstate accreditation subject to any 
requirements the Board deems necessary to address the specific safety 
violations; and/or (3) impose a fine in an amount not to exceed 
$50,000.
    The outcome of the final hearing of the Authority will be 
considered a final civil sanction subject to appeal and review in 
accordance with the provisions of 15 U.S.C. 3058.
2120. Accreditation Requirements
2121. Racetrack Risk Management Committee
    The title of the Committee has been changed to Racetrack Risk 
Management Committee. As noted in several comments, the previous title, 
the Racetrack Safety and Welfare Committee, was sometimes confused with 
the Racetrack Safety Committee established by the Act.
    The Rule sets forth the composition of the Committee. Revisions are 
proposed which rename several positions; the term ``Horsemen's 
representative'' has been replaced by ``Owners' representative'' and 
``Trainers' representative,'' as Owners and Trainers are often 
collectively referred to as ``Horsemen.''
    The Racetrack may alter the composition of the Racetrack Risk 
Management Committee, if approved by the Racetrack Safety Committee. 
This allows the Racetrack to adapt the structure of the Racetrack Risk 
Management Committee to well-functioning structures already in place in 
states such as California.\39\
---------------------------------------------------------------------------

    \39\ Prompted by a comment from the CHRB.
---------------------------------------------------------------------------

    The current rule specifies the responsibilities of the Racetrack 
Risk Management Committee in paragraph (c); several modifications 
clarify terminology and duties. New provisions require interviews of 
witnesses to be conducted in the case of Human Injury, and to interview 
Racetrack personnel when appropriate in the review of Catastrophic 
Injuries and Equine Mortalities. In addition, the Rule expands upon 
current language to specify that the Racetrack Risk Management 
Committee must file a certified end of meet report, with attached 
meeting minutes, within 60 days of the end of a race meet of fewer than 
60 days (this is separate from the Racetrack's obligation to submit an 
end of meet report 30 days after the meet). Quarterly reports are 
required for race meets of 60 days or more. The Racetrack Safety 
Committee will specify the contents of the post-meet report, in 
response to a commenter who queried concerning the contents of the 
report.\40\
---------------------------------------------------------------------------

    \40\ Minnesota Racing Commission.
---------------------------------------------------------------------------

    A new paragraph (b)(2) clarifies that the Regulatory Veterinarian 
shall chair the Racetrack Risk Management Committee, unless there is no 
agreement between the Authority and the State Racing Commission. If 
there is no agreement, a Lead Veterinarian shall be appointed by the 
Racetrack and shall chair the Racetrack Risk Management Committee, and 
the cost of this position will be funded by the Racetracks.
    The purpose of the Racetrack Risk Management Committee is to 
review, with the input of members from multiple disciplines, 
information and occurrences relevant to equine and human safety. This 
allows the Racetrack Risk Management Committee to take action to 
improve safety at the Racetrack. The purpose of the Racetrack Risk 
Management Committee is not to impose discipline upon Covered Persons, 
but rather to facilitate the process of discussion, risk analysis, 
education and implementation of strategies for injury prevention.
    A commenter asked whether all of the members of the committee are 
required to perform all of the responsibilities outlined in 
2121(c).\41\ Another commenter expressed concern that provision was not 
being made for small groups.\42\ As noted above, a Racetrack may alter 
the composition of the committee upon approval of the Racetrack Safety 
Committee. The

[[Page 24581]]

Authority further notes that the rule does not require the Safety 
Director to perform all of the work of the Committee; the various 
members of the Committee will perform much of the work. The role of the 
Safety Director is to oversee the Committee's work to make sure that 
the work is performed in a coordinated manner, and to provide 
assistance and additional resources where necessary to ensure the tasks 
of the Committee are thoroughly and efficiently performed. It is 
anticipated that members of the Committee may perform as sub-groups to 
assist in accomplishing the Committee's various duties and tasks.
---------------------------------------------------------------------------

    \41\ HBPA.
    \42\ CHRB.
---------------------------------------------------------------------------

    A commenter suggested that Starting Gate Persons and Track 
Superintendents should be among those persons required to be 
interviewed after a Catastrophic Injury or Equine Mortality.\43\ The 
Authority notes that such interviews are covered by the rule, with 
flexibility to adjust for individual cases; the rule currently requires 
interviews when appropriate with ``Racetrack personnel.''
---------------------------------------------------------------------------

    \43\ The Breeders' Cup.
---------------------------------------------------------------------------

    Commenters opined that an attending veterinarian should be a member 
of the committee.\44\ The Authority believes the committee is best 
served by the membership of the Regulatory Veterinarian or Association 
Veterinarian.
---------------------------------------------------------------------------

    \44\ THA, Dr. Scott Hay.
---------------------------------------------------------------------------

2130. Required Safety Personnel
2131. Safety Director
    Rule 2131 concerning the Safety Director is modified in several 
provisions in addition to minor clarifications of terminology. The most 
significant change is the new provision, establishing a new 
responsibility for the Safety Director: ``(c)(4) Establishing a formal 
protocol by which health, safety, and welfare issues are reported, 
investigated, and resolved by the Racetrack. The protocol shall address 
coordination between racetrack management, Veterinarians, safety 
stewards, and Stewards, so that all persons involved have a clear 
understanding of their roles and further action may be taken where 
appropriate.'' This provision tasks the Safety Director with creating a 
comprehensive protocol that systematizes the methods by which health, 
safety and welfare issues are addressed and resolved. The provision 
also requires that the protocol address vital issues concerning how the 
various officials will cooperate in addressing issues. The protocol 
ensures that officials may work together in a pre-determined and 
coordinated way, rather than in an ad hoc manner with no consistent 
approach.
    Commenters have expressed concern that the Safety Director cannot 
perform all of the duties set forth in the rule.\45\ The rule, however, 
does not require the Safety Director to perform all of the work of the 
Committee; the various members of the Committee will perform the work 
in collaboration. The role of the Safety Director is to oversee the 
Committee's work to make sure that the work is performed in a 
coordinated manner, and to provide assistance and additional resources 
where necessary to ensure the tasks of the Committee are thoroughly and 
efficiently performed. In response to a comment expressing concern 
about the Safety Director's oversight of Regulatory and Association 
Veterinarians,\46\ the Authority emphasizes that the veterinarian's 
prerogative and medical judgment of equine welfare issues will not be 
limited or constrained by the Safety Director.
---------------------------------------------------------------------------

    \45\ The Jockeys' Guild and a comment jointly submitted by NYRA, 
Del Mar, Keeneland, Churchill Downs, Breeders' Cup, and 1/ST Racing.
    \46\ This is a comment jointly submitted by NYRA, Del Mar, 
Keeneland, Churchill Downs, Breeders' Cup, and 1/ST Racing.
---------------------------------------------------------------------------

    Paragraph (c)(8) is modified to state that the Safety Director 
shall be responsible for: ``(8) Report[ing] all equine injuries that 
required equine ambulance assistance and fatalities to the Racetrack's 
Risk Management Committee and the Authority within 72 hours of an 
injury, and within 24 hours of a fatality[.]'' The provision, suggested 
by a commenter,\47\ more precisely limits the reporting of equine 
injuries to those that required ambulance assistance, rather than minor 
injuries that do not require extensive medical care. The provision also 
now requires that equine fatalities be reported to the Racetrack Risk 
Management Committee and the Authority within 24 hours. The reporting 
of equine fatalities is vital to ensure that Racetrack officials may 
take prompt action to determine the cause of fatalities and take action 
to mitigate the possibility of further injuries to Covered Horses on 
Racetrack grounds. It is important to note that the reporting 
requirement does not require the filing of a written report; verbal 
notification satisfies the initial 24-hour reporting requirement.
---------------------------------------------------------------------------

    \47\ Tom Robbins.
---------------------------------------------------------------------------

    A commenter asked whether the Safety Director will also be 
responsible for emergency drills concerning, for example, weather-
related events.\48\ In response, the Authority notes that the Safety 
Director is not charged with personally directing emergency drills, but 
is charged with the oversight function of ensuring that the drills are 
conducted pursuant to Rule 2161.
---------------------------------------------------------------------------

    \48\ Breeders' Cup.
---------------------------------------------------------------------------

    A commenter urged that the Equine Injury Database be used for the 
reporting of equine injuries within 24 hours of a fatality, and 72 
hours of an injury.\49\ The veterinarians do not have to report to both 
the Equine Injury Database and the Authority, provided the Racetracks 
permit the Authority to access the Equine Injury Database. If the 
Racetrack does not permit access, the reporting must be made directly 
to the Authority in addition to the Equine Injury Database.
---------------------------------------------------------------------------

    \49\ The Jockey Club.
---------------------------------------------------------------------------

2132. Medical Director
    There are several significant additions to Rule 2132. Rule 2132 is 
modified with the following language: ``The Medical Director shall be 
either a licensed physician, a board-certified athletic trainer, or an 
individual qualified to perform the duties and responsibilities set 
forth in this Rule with the assistance of the Authority's National 
Medical Director.'' While the engagement of a licensed physician is 
ideal, this is not possible at this time at some Racetracks. The rule 
allows, for example, a qualified medical provider (such as a nurse 
practitioner) to perform the duties of the Medical Director, with the 
proviso that the Medical Director shall have the assistance of the 
Authority's National Medical Director in performing the duties.
    An additional significant provision is added to the duties of the 
Medical Director. The provision states that the Medical Director shall: 
``(c)(3) Require notification of Human Injuries during racing or 
training to the Authority's National Medical Director within 1 hour of 
transport of the individual(s) from the scene of the injury.'' This 
rule will enhance the safety of Riders by ensuring that HISA's National 
Medical Director is informed of Human Injuries very quickly, so that 
the Medical Director can assist in providing any services needed by the 
Rider or the medical responders. A commenter questioned whether 1 hour 
was realistic, recommending 24 hours instead.\50\ The Authority 
disagrees with this view, and notes that all the rule requires is 
``notification,'' which can include verbal notification. No written 
report or communication is required to satisfy the 1-hour requirement.
---------------------------------------------------------------------------

    \50\ Tom Robbins.
---------------------------------------------------------------------------

    An early draft of Rule 2132 implied that all human injuries be 
reported

[[Page 24582]]

under the rule. Commenters noted,\51\ and the Authority agrees, that 
the reporting of all human injuries that occur at a Racetrack is 
impractical. The definition of Human Injuries was therefore modified to 
limit Human Injuries to those injuries requiring medical attention and 
that may restrict a Covered Person's current or future participation or 
employment in racing.
---------------------------------------------------------------------------

    \51\ Tom Robbins, HBPA.
---------------------------------------------------------------------------

    In the provision requiring the Racetracks to reimburse the 
Authority for the costs associated with the employment of the Medical 
Director, the clause that provides for the reimbursement to be based on 
``total handle wagered in the applicable state in the prior calendar 
year'' has been removed. This change is made to conform to substantive 
changes in the Authority's Rule 8500 Series concerning the allocation 
of costs.
    A provision is modified to state that the Medical Director shall 
``develop and implement a process for certifying a Jockey's fitness to 
resume riding.'' This clarifies that the Medical Director is not 
required to certify the Jockey's fitness to ride, but instead is 
charged with the development of the certification process.
    A provision is modified to require the reporting of Human Injuries 
to the Racetrack Risk Management Committee and the Authority within 24 
hours rather than the current requirement of 72 hours. This allows the 
Racetrack Risk Management Committee and the Authority's National 
Medical Director to review the factors contributing to the injury more 
rapidly.
    Finally, a provision is added that requires the Safety Director to 
coordinate with the Authority's National Medical Director. This ensures 
effective coordination between these two officials in addressing Human 
Injuries.
2133. Stewards
    In Rule 2133, paragraph (b) is amended to state: ``Unless the 
Authority determines that the applicable individual is otherwise 
qualified, to qualify for appointment as a Steward, the appointee shall 
meet the experience, education, and examination requirements necessary 
to be accredited by [the Racing Officials Accreditation Program 
(``ROAP''].''
    A commenter expressed opposition to the amended introduction, 
stating that it might undermine standards of racing experience.\52\ The 
Authority understands the need for competent and experienced Stewards, 
and will carefully consider any individual who is not accredited by 
ROAP.
---------------------------------------------------------------------------

    \52\ Dan Fick and ROAP.
---------------------------------------------------------------------------

    A commenter suggested that the term ``or contracted with'' should 
be added to Rule 2133(c), which concerns the contractual agreements 
entered into by the Authority and State Racing Commissions.\53\ This 
change was made, so that Rule 2133(c) now reads as follows: ``The 
requirements of Rule 2133 for any Steward employed by or contracted 
with a State Racing Commission are subject to the applicable State 
Racing Commission electing to enter into an agreement with the 
Authority.''
---------------------------------------------------------------------------

    \53\ CHRB.
---------------------------------------------------------------------------

2134. Regulatory Veterinarian
    Rule 2134 sets forth the requirements and duties concerning 
Regulatory Veterinarians at the Racetrack. A new proposed rule is added 
as paragraph (a) which requires Racetracks to ensure that that no fewer 
than 2 Regulatory Veterinarians (as defined in Rule 1020 and excluding 
test barn veterinarians) are present at the Racetrack during all live 
racing. Upon a request and a showing of undue hardship by the 
Racetrack, the Racetrack Safety Committee may permit a Racetrack to 
have 1 Regulatory Veterinarian present at the Racetrack during all live 
racing. Some commenters observed that the shortage of veterinarians 
nationwide will make it difficult for Racetracks to have 2 Regulatory 
Veterinarians present at the track.\54\ The Authority recognizes that a 
shortage exists, and in response to these concerns has added a 
provision allowing the Racetrack Safety Committee to permit a Racetrack 
to have 1 Regulatory Veterinarian present at the Racetrack upon a 
showing of undue hardship. The Racetrack Safety Committee will 
scrutinize any such request very carefully, and always with the safety 
of Covered Horses firmly in mind.
---------------------------------------------------------------------------

    \54\ ROAP, Washington Horse Racing Commission.
---------------------------------------------------------------------------

    Other commenters questioned how a Racetrack can be charged with 
controlling the number of Regulatory Veterinarians on the grounds of 
the Racetrack.\55\ In response, the Authority notes that Racetracks are 
permitted (and encouraged) to appoint a veterinarian to supplement the 
duties of the Regulatory Veterinarians and to comply with the 
requirement in proposed Rule 2134(a). Such veterinarians are referred 
to as ``Lead Veterinarians'' and have the same duties, obligations, and 
responsibilities of the Regulatory Veterinarians under these rules.
---------------------------------------------------------------------------

    \55\ ROAP, Mike Hopkins, Joe Wilson.
---------------------------------------------------------------------------

    Paragraphs (b)(1) and (2) of this rule are modified to clarify that 
the Regulatory Veterinarians may be contracted or appointed by a State 
Racing Commission or the Authority, and that Regulatory Veterinarians 
need only be licensed to practice in the state in which the Regulatory 
Veterinarian is performing the duties established under the rule, if 
required in the applicable jurisdiction. A number of commenters 
expressed viewpoints concerning proposed amendments to this rule, 
weighing in favor of retaining the requirement that Regulatory 
Veterinarians must be licensed to practice in the state in which they 
perform their regulatory duties. The Rule is amended for greater 
flexibility in light of the nationwide veterinary shortage and 
accommodates the possibility that a jurisdiction might not require the 
Regulatory Veterinarians to be licensed by the state in which they 
perform regulatory duties, in which case no license is required. Of 
course, if the applicable jurisdiction requires the veterinarian to be 
licensed in the jurisdiction, this rule does not alter that 
requirement.
    Paragraph (b)(4) is amended to clarify that the Regulatory 
Veterinarian is restricted from prescribing ``medications'' for any 
Covered Horse within the applicable jurisdiction except in cases of 
emergency, accident, or injury. A comment had noted that Regulatory 
Veterinarians must be able to prescribe diagnostics; the term 
``medications'' more precisely states the activity intended to be 
prohibited.\56\
---------------------------------------------------------------------------

    \56\ This is a comment jointly submitted by NYRA, Del Mar, 
Keeneland, Churchill Downs, Breeders' Cup, and 1/ST Racing.
---------------------------------------------------------------------------

    Paragraph (c) contains changes to the provisions concerning the 
appointment of a Lead Veterinarian. In those jurisdictions where the 
state racing commission does not elect to enter into an agreement with 
the Authority to establish a Regulatory Veterinarian, the Racetrack is 
required to appoint a Lead Veterinarian to carry out the duties, 
obligations, and responsibilities of the Regulatory Veterinarian under 
the rules. New language is added to this rule to clarify that even in 
jurisdictions where the applicable state racing commission does elect 
to enter into an agreement with the Authority to establish a Regulatory 
Veterinarian, the Racetrack may still appoint a Veterinarian(s) to 
serve as the Lead Veterinarian(s) to supplement the duties of the 
Regulatory Veterinarian(s) and to comply with the requirements in Rule 
2134(a). In both cases, the appointment of the Lead

[[Page 24583]]

Veterinarian(s) is subject to the Racetrack Safety Committee's 
approval.
    A comment stated that the sharing of a Lead Veterinarian may be 
impractical in some states in which racing dates overlap.\57\ In 
response, the Authority notes that nothing in the rule requires 
Racetracks within a state to share a Lead Veterinarian.
---------------------------------------------------------------------------

    \57\ This is a comment jointly submitted by NYRA, Del Mar, 
Keeneland, Churchill Downs, Breeders' Cup, and 1/ST Racing.
---------------------------------------------------------------------------

2135. Responsibilities and Duties of Regulatory Veterinarian
    Paragraph (a)(5) of this rule is revised to clarify that the 
Stewards retain the authority to scratch horses, upon receiving 
notification from the Regulatory Veterinarian that the horse is 
injured, ill, otherwise unable to compete due to a medical or health 
related condition, or poses a hazard to other horses or racing 
participants. This codifies pre-existing industry practice and is in 
accord with the preference of several commenters who opined that the 
Stewards should retain the ultimate authority to scratch horses.\58\
---------------------------------------------------------------------------

    \58\ ROAP, Tom Robbins, ROCO, Washington Horse Racing 
Commission.
---------------------------------------------------------------------------

    Paragraph (a)(7) is revised to clarify that, notwithstanding Rule 
2220 (specifying that only Attending Veterinarians may attend to 
Covered Horses at any location under the jurisdiction of the State 
Racing Commission), a Regulatory Veterinarian may provide emergency 
medical care and effect case transfer to the Attending Veterinarian. 
This is necessary for the health and safety of Covered Horses. The 
addition of ``training'' is intended to cover emergency situations 
where an Attending Veterinarian is not present on the Racetrack 
grounds.
    Paragraph (a)(9) is amended to state that the Regulatory 
Veterinarian must ``report to the Safety Director and the Authority 
within 24 hours the names of all Covered Horses who are euthanized or 
which otherwise die at the meeting and the reasons therefor.'' The 
addition of ``and the Authority within 24 hours'' is intended to 
facilitate prompt notice to the Authority of potentially emerging 
safety situations.
    A commenter suggested that the reference to the Safety Director 
should be deleted from this rule.\59\ The Authority prefers to retain 
the reference to the Safety Director because regular communication of 
safety and welfare issues with the Authority is expected and is in the 
best interest of equine safety and welfare.
---------------------------------------------------------------------------

    \59\ 1 S/T Racing.
---------------------------------------------------------------------------

    Paragraph (a)(10) is modified as follows: ``collaborate with the 
Safety Director, Chief Veterinarian of the State Department of 
Agriculture (or comparable State government official), Equine Disease 
Communication Center (EDCC), and other regulatory agencies to take 
measures to control communicable or reportable equine diseases.'' This 
provision was developed while considering a comment that suggested the 
inclusion of the ``comparable State government officials'' phrase, 
since states vary as to the specific state officials responsible for 
the communicable diseases.
    Paragraph (b) is amended to clarify that a Regulatory Veterinarian 
may access Covered Horses on Racetrack grounds, perform inspections of 
Covered Horses, observe Covered Horses during training activities, and 
place a Covered Horse on the Veterinarians' List. This codifies pre-
existing industry measures intended to reduce the number of injured or 
at-risk horses participating in racing activities.
    Paragraph (c) is modified to permit the Authority to retain 
additional veterinarians if it determines that the Regulatory 
Veterinarian identified in the agreement with the Authority requires 
additional assistance to perform the regulatory duties set out under 
these rules. The modification is necessary to address situations where 
a vacancy can be difficult to fill, especially as a stop gap measure, 
and the Authority may be able to deploy additional veterinary personnel 
in the short term.
    Paragraph (d) is modified to clarify that the Regulatory 
Veterinarian identified in the agreement with the Authority or, if 
there is no Regulatory Veterinarian, the Lead Veterinarian has 
jurisdiction over all veterinarians within the grounds of the 
Racetrack. A commenter noted that jurisdiction over the Attending 
Veterinarian should be vested in the Association Veterinarian where 
there is no Regulatory Veterinarian filing such as role, as in the 
state of Florida.\60\ In response, the Authority states that the 
Racetrack can appoint the Association Veterinarian as a Lead 
Veterinarian, which obviates the concern raised in this comment. 
However, only the Regulatory Veterinarian may review and consult with 
the Stewards and State Racing Commission regarding licensing 
applications under paragraph (d) of this rule.
---------------------------------------------------------------------------

    \60\ 1 S/T Racing.
---------------------------------------------------------------------------

2136. Racetrack Safety Officer
    Rule 2136 sets out the duties of the Racetrack Safety Officer. This 
rule contains minor modifications. The rule in paragraph (b) specifies 
the duties the Safety Officer must carry out, and modifies the 
prefatory sentence as follows: ``The Safety Officer or the Safety 
Officer's designee shall. . . .'' This phrase referring to the Safety 
Officer's designee is added to make clear that the Safety Officer may 
designate other individuals to assist in the performance of the 
specified duties. This addition is in response to concerns expressed by 
a commenter that the Safety Officer's duties are too expansive.\61\ 
Under the modified rule, the Safety Officer may enlist assistance in 
the performance of the prescribed duties.
---------------------------------------------------------------------------

    \61\ The Jockeys' Guild.
---------------------------------------------------------------------------

    One of these duties, as set forth in paragraph (b)(5), is modified 
to state that the Safety Officer shall monitor ambulance and medical 
personnel protocols for Covered Horses and Riders in cooperation with 
the Medical Director. This addition is made to emphasize that the 
Safety Officer will monitor protocols in conjunction with, and with the 
benefit of, the medical knowledge and expertise of the Medical 
Director.
    Finally, the rule is modified in (b)(8) to specify that the Safety 
Officer will conduct ``HISA registration checks,'' rather than 
``license checks;'' the latter term is more applicable to State Racing 
Commission licenses, whereas registration is a function of the 
Authority under the Rule 9000 Series.
    A commenter observed that the Safety Officer should ``either 
participate in the creation of or be the sole individual to draft 
standard operating protocols for racetrack safety and equine welfare.'' 
\62\ The Safety Director is charged with the development of the 
protocols pursuant to Rule 2131(c)(4), but the Safety Officer under 
Rule 2136(b)(13) may make recommendations to Racetrack management and 
officials to ensure the safety and welfare of Covered Horses and 
Riders. The Safety Officer may certainly make recommendations 
concerning the protocols.
---------------------------------------------------------------------------

    \62\ Jeanne Schnell.
---------------------------------------------------------------------------

2137. Horseshoe Inspector; 2138. Responsibilities and Duties of 
Horseshoe Inspector; 2139. Horseshoe Inspections
    The Authority proposes a set of three new rules aimed at reducing 
equine injuries and riding-related incidents attributable to 
noncompliant horseshoes. The first rule, Rule 2137, establishes a 
requirement on Racetracks (or State Racing Commissions where the 
applicable State Racing Commission elects to enter into an agreement 
with the Authority), to employ or contract

[[Page 24584]]

with a Horseshoe Inspector (defined in Rule 2010) to perform the duties 
and responsibilities specified in Rule 2138. The Authority believes it 
is important to have a designated individual at each Racetrack 
responsible for inspecting horseshoes and ensuring compliance with the 
Authority's rules. Not all Racetracks currently have an individual who 
is solely responsible for inspecting horseshoes prior to racing.
    Rule 2137 was originally circulated for informal industry comment 
in April 2023. That version of the rule required the Horseshoe 
Inspector to be licensed by the State Racing Commission. The Authority 
received a comment in response to this rule, noting that this is not a 
position which is licensed by State Racing Commissions.\63\ The 
Authority believes that it is likely that the position will require 
licensure but has revised this rule to only require licensing if such 
licensing is required in the applicable jurisdiction. In addition to 
licensing, this rule requires the Horseshoe Inspector to be 
knowledgeable of matters pertaining to hooves, horseshoes, and the 
Authority's rules pertaining to these subjects. The rule also includes 
a continuing education requirement for Horseshoe Inspectors.
---------------------------------------------------------------------------

    \63\ HBPA.
---------------------------------------------------------------------------

    The second rule, Rule 2138, sets out the specific responsibilities 
and duties of the Horseshoe Inspector--that is, conducting inspections 
of horseshoes and other orthotics on all Covered Horses entered in a 
Covered Race on Race Day and notifying the Stewards of any Covered 
Horse that is shod with horseshoes that are not compliant with the 
Authority's rules. The rule instructs the Horseshoe Inspector to 
perform additional inspections if requested by the Steward. Involving 
Stewards in this process provides an additional safeguard as they have 
the authority to scratch a Covered Horse from a race. Reducing the 
number of Covered Horses competing with noncompliant shoes will lead to 
fewer Racetrack incidents and injuries and enhance the overall safety 
of Covered Riders and Covered Horses.
    Finally, Rule 2139 contains the process for pre-race horseshoe 
inspections. The rule specifies that the trainer of each Covered Horse 
must present the Covered Horse for inspection on the day of the race 
and that the Horseshoe Inspector's inspection must include, at a 
minimum, identification of the Covered Horse and examination of the 
horseshoe and other orthotics and documentation of features relating to 
a violation of horseshoe rules of the Authority. If, prior to starting 
a Race, the Horseshoe Inspector is unable to make a determination, or 
determines that a Covered Horse is wearing non-compliant horseshoes, 
the Horseshoe Inspector shall notify the Stewards prior to the Covered 
Horse leaving the paddock. Again, this measure ensures that the 
Stewards are notified of Covered Horses that should not be competing 
and can take the appropriate steps to remove the horse from the race. 
Intervention on the part of the Horseshoe Inspector or Steward has the 
potential to prevent or reduce the number of incidents and injuries 
associated with the use of shoes that are not compliant with the 
Authority's rules.
2140. Racehorse Inspections and Monitoring
2141. Veterinary Inspections
    Rule 2141 establishes that Veterinary inspections shall be 
performed by the Regulatory Veterinarians on all Covered Horses entered 
in a Race, and that such inspections shall include the items listed in 
Rule 2142. The current rule specifies that if the Regulatory 
Veterinarian determines that a Covered Horse is unfit for competition, 
or if the Regulatory Veterinarian is unable to make a determination of 
racing soundness, the Regulatory Veterinarian shall have the 
unconditional authority to scratch the Covered Horse from the race, and 
shall notify the Stewards that the Covered Horse shall be scratched.
    The rule is modified in paragraph (a) to change the phrase ``unfit 
for competition'' to ``unsound for competition,'' because the word 
``unsound'' is a more holistic veterinary term that embraces a wider 
range of conditions that could potentially compromise the horse's 
safety and welfare. In addition, the rule is modified to state that if 
the Regulatory Veterinarian determines that the Covered Horse should be 
scratched for the specified reasons articulated in the rule, the 
Regulatory Veterinarian shall notify the Stewards that the horse shall 
be scratched, and the Stewards shall then scratch the horse from the 
race. This change was suggested and supported by commenters,\64\ 
because it accords with existing state racing commission rules which 
provide only the Stewards with the authority to scratch a horse from a 
race.
---------------------------------------------------------------------------

    \64\ Tom Robbins, ROCO.
---------------------------------------------------------------------------

2142. Assessment of Racing Soundness
    Rule 2142 details the various reports, inspections and procedures 
that promote equine welfare and safety. A commenter suggested the 
removal of a provision in the modified rule as originally drafted that 
required the Layoff Report to be submitted not less than 30 days prior 
to entry.\65\ The Racetrack Safety Committee considered this suggestion 
and removed the provision; the committee concluded that the Racetrack 
entry schedule (under which entries routinely close several days in 
advance of the race) provides adequate time for the Regulatory 
Veterinarian to review the lay-off reports.
---------------------------------------------------------------------------

    \65\ Gary Palmisano.
---------------------------------------------------------------------------

    Another commenter asked whether the Regulatory Veterinarian should 
be required to sign off on the horse prior to entry.\66\ The California 
rule requires an additional regulatory inspection. The intent of the 
rule is to mirror more closely that in place in the Mid-Atlantic 
region, which is to require that the information be made available to 
the Regulatory Veterinarian to review. The intent is not to require an 
additional pre-entry regulatory inspection.
---------------------------------------------------------------------------

    \66\ Tom Robbins.
---------------------------------------------------------------------------

    Concerning paragraph 2142(b), which governs post-entry screening, 
the modification requires Layoff Reports to be reviewed (in accord with 
the new provision concerning Layoff Reports in paragraph (a)). The 
modification also adds a sentence which states: ``Additional physical 
inspection and observation in motion may be performed by the Regulatory 
Veterinarian.'' This addition makes clear that the Regulatory 
Veterinarian may exercise the discretion to expand the inspection as 
needed to ensure the safety and well-being of the horse under 
inspection. At the suggestion of commenters,\67\ the Authority removed 
a provision that required the Racetrack Safety Committee to approve any 
additional inspection. This allows the Regulatory Veterinarian to 
exercise immediate discretion according to the Regulatory 
Veterinarian's professional judgement concerning the horse.
---------------------------------------------------------------------------

    \67\ Comment jointly submitted by NYRA, Del Mar, Keeneland, 
Churchill Downs, Breeders' Cup, and 1/ST Racing.
---------------------------------------------------------------------------

    Commenters requested that the Authority develop a reporting form 
that will provide the medical history of all horses entered, to aid in 
the review of the last 30 days of medical history as required in the 
current rule.\68\ The Authority agrees and is working on developing the 
form.
---------------------------------------------------------------------------

    \68\ Comment jointly submitted by NYRA, Del Mar, Keeneland, 
Churchill Downs, Breeders' Cup, and 1/ST Racing.
---------------------------------------------------------------------------

    A commenter asked whether hindlimbs should be included in the 
current requirement that digital

[[Page 24585]]

palpation be performed on forelimbs.\69\ The Racetrack Safety Committee 
will consider this proposed requirement in future rulemaking. Nothing 
in the proposed rule prohibits a Regulatory Veterinarian from palpating 
hindlimbs.
---------------------------------------------------------------------------

    \69\ Tom Robbins.
---------------------------------------------------------------------------

    The current rule in paragraph (b)(3) requires that a report 
summarizing the results of pre-race inspections shall be submitted to 
the Authority on the day of the inspection. A commenter suggested that 
the Responsible Person be provided a copy of the report immediately in 
the event of a scratch by the Regulatory Veterinarian, so that all 
parties are kept informed as to the horses' condition.\70\ The 
Authority will consider this suggestion in future rulemaking.
---------------------------------------------------------------------------

    \70\ THA.
---------------------------------------------------------------------------

    A minor modification is made to the current rule which requires 
that a Covered Horse be presented for inspection with bandages removed, 
and with legs in clean and dry condition. The current rule specifies 
that Covered Horses ``may not be placed in ice,'' to which the 
modification adds the clarifying language that the horse may not be 
placed in ice ``until the Regulatory Veterinarian has completed the 
veterinary inspection.'' This clarification is made in response to 
inquiries concerning the meaning of the rule. The rule makes clear that 
the practice is permitted once the regulatory inspection is complete.
    With regard to various reporting requirements in various portions 
of the rule, a comment suggested that reporting be accomplished through 
InCompass, for the sake of efficiency.\71\ Currently, the Authority is 
encouraging Racetracks to provide the Authority with access to their 
InCompass Equine Examination modules so that Regulatory Veterinarians 
do not have to report to both the Authority and InCompass. Under 
proposed Rule 2115(d), Racetracks will be required to authorize third-
party system providers to provide this type of information directly to 
the Authority.
---------------------------------------------------------------------------

    \71\ This is a comment jointly submitted by NYRA, Del Mar, 
Keeneland, Churchill Downs, Breeders' Cup, and 1/ST Racing.
---------------------------------------------------------------------------

2143. Racehorse Monitoring
    Rule 2143 provides the procedures by which necessary vaccinations 
of Covered Horses are monitored. This is very important in the 
prevention or mitigation of the transmission of infectious diseases, 
which benefits the health and safety of Covered Horses. Paragraph (a) 
of the rule is modified to specify that the paragraph applies to all 
horses entering Racetrack grounds ``directly from any location or 
facility other than a Designated Equine Facility or licensed racing 
facility within the same state as the receiving Racetrack.'' (The new 
proposed Rule 2144 establishes the concept of Designated Equine 
Facilities and will be discussed further under Rule 2144 below). The 
purpose of this exemption for Designated Equine Facilities and licensed 
racing facilities within the same state as the receiving Racetrack is 
to reduce the compliance burden on Responsible Persons and Attending 
Veterinarians when horses are stabled at auxiliary training centers 
where the risk of infectious disease transmission is deemed low.
    The rule is also modified to require a ``current'' health 
certificate; the modification is necessary to clarify questions as to 
whether horses would be accepted from these facilities without any 
health certificate at all.
    The rule is modified at the suggestion of a commenter \72\ to 
permit the acceptance of a current health certificate or, in the 
alternative, ``other health documentation sufficient for importation to 
the United States and approved by the [United States Department of 
Agriculture-Animal and Plant Health Inspection Service (``USDA-
APHIS'')] representatives.'' This phrase is added because horses at 
times arrive to race in the United States from foreign countries and 
are under USDA-APHIS surveillance, which includes surveillance for 
signs of infectious disease. This surveillance is documented and is 
considered to sufficiently mitigate the risk of infectious disease 
transmission.
---------------------------------------------------------------------------

    \72\ Breeders' Cup.
---------------------------------------------------------------------------

    Finally, the rule is modified to impose the requirements upon 
``Pony Horses'' as well as Covered Horses, because Pony Horses often 
travel with, are stabled next to, and work in close proximity to 
Covered Horses. As such, transmission of infectious disease is 
increased. Extending the requirement to Pony Horses will mitigate that 
risk.
    Concerning current Rule 2143(a)(1), which requires a certificate of 
veterinary inspection (``CVI'') within the prior 5 days, or fewer days 
if high risk situations dictate, a commenter opined that ``5-day health 
certificates do not work in many situations; consider something 
intrastate or go back to 30 days.'' \73\ In response, the Authority 
notes that the Designated Equine Facility was a compromise created to 
reduce the compliance burden of Rule 2143(a)(1) in those situations 
deemed to be at lower risk for transmission of infectious disease while 
still affording a reasonable level of protection to Racetracks and 
stakeholders who have a shared financial interest in keeping the stable 
area and racing program safeguarded from infectious disease outbreak.
---------------------------------------------------------------------------

    \73\ HBPA.
---------------------------------------------------------------------------

    Another commenter opined that there ``should be explicit language 
allowing the racetrack to require in-state horses to provide a CVI in 
the face of an outbreak.'' \74\ In response, the Authority replies that 
there is nothing in the rule that would prohibit this, and notes that 
the requirement was implemented by several Racetracks in 2023 during 
periods of heightened infectious disease concern.
---------------------------------------------------------------------------

    \74\ 1/ST Racing.
---------------------------------------------------------------------------

    A commenter expressed frustration with the varying health 
certificate rules in different jurisdictions.\75\ The Authority 
understands the issue, but adopting, for example, a uniform flu-rhino 
requirement would eliminate the ability of Racetracks and state 
Departments of Agriculture to respond with shorter vaccination window 
requirements in high-risk situations. These entities believe this 
flexibility is needed to manage outbreaks of disease of economic 
importance to protect the equine industry at large.
---------------------------------------------------------------------------

    \75\ Dr. Scott Hay.
---------------------------------------------------------------------------

    A new paragraph (b) is included in Rule 2143, which states as 
follows: ``(b) The applicable Racetrack shall maintain records that 
document that the requirements of Rule 2143(a) have been satisfied for 
each Covered Horse entering racetrack grounds. Such records shall be 
subject to inspection and audit by the Authority.'' This provision is 
added in response to stakeholder requests for clarification about whose 
responsibility it is to maintain these records beyond the time of entry 
into the stable gate.
    A commenter asked: ``Is the racetrack responsible for maintaining 
records of all vaccinations or is the trainer themselves? Isn't the 
trainer responsible for adding them to each individual horse record 
through HISA?'' \76\ In response, the Authority notes that Rule 2143 
does not relieve the Responsible Person from the duty to keep the 
vaccines current in the horse's health record in the HISA portal. The 
Racetrack, in turn, is responsible for maintaining records that 
document that the horse's vaccination status was verified when the 
horse entered the Racetrack grounds.
---------------------------------------------------------------------------

    \76\ Minnesota Racing Commission.
---------------------------------------------------------------------------

    A new paragraph (c) is added which states as follows:

[[Page 24586]]

    (c) Exemption for vaccination requirements. Covered Horses that are 
imported to the United States to participate in a specific race or 
races or to enter race training in the United States may, upon 
application to the Authority, be exempted from the vaccination 
requirements, with the exception of requirements for Influenza and 
Rhinopneumonitis, for the following periods:
    (1) if the Covered Horse is leaving the United States immediately 
following the specific race or races, then for the period of USDA 
temporary importation or transit to an approved USDA location, or
    (2) if the Covered Horse is remaining in the United States, then 
for the period of 14 days following the specific race or races, or from 
arrival at a Racetrack, whichever is longer.
    The proposed provision governs the health certificate rules for 
imported horses, with certain exemptions from vaccine requirements as 
specified. This takes into account the fact that certain vaccines are 
not available in some foreign nations, and a temporary exemption 
process in the rule provides a mechanism by which imported horses enter 
the U.S. Department of Agriculture quarantine facility; the rule 
provides a window of time within which any vaccines that the horse 
lacks can be administered once the horse arrives at the Racetrack. A 
commenter noted: ``Just want to make sure that should such foreign 
horses stay beyond 14 days if okay. Del Mar had a Japanese horse stay 
beyond 14 days post Breeders' Cup that remained under USDA observation/
isolation before shipping to run In Hong Kong.'' \77\ In response, the 
Authority notes that extensions may be granted by the Racetrack Safety 
Committee on a case-by-case basis upon consideration of the 
circumstances.
---------------------------------------------------------------------------

    \77\ Tom Robbins.
---------------------------------------------------------------------------

    Commenters opined that the vaccination exemption for imported 
horses should not include EHV/EIV.\78\ The Authority agrees, and the 
rule was changed accordingly. This is because Equine Influenza and 
Equine Rhinopneumonitis are the two respiratory diseases of greatest 
concern in racehorses.
---------------------------------------------------------------------------

    \78\ 1/ST Racing and a comment jointly submitted by NYRA, Del 
Mar, Keeneland, Churchill Downs, Breeders' Cup, and 1/ST Racing.
---------------------------------------------------------------------------

    Paragraphs (b) and (c) of the current rule (now restyled as 
paragraphs (d) and (e)), enumerate the items of information that must 
be submitted to the Authority by the Racetrack with respect to each 
Covered Horse on its grounds, and each Covered Horse leaving its 
grounds. This rule is modified to state in each case that the 
information must only be provided ``upon request by the Authority.'' 
This change is made to clarify that Racetracks are not required to 
upload this detailed information on a daily basis to the Authority.
2144. Designated Equine Facility
    A new proposed Rule 2144 will establish a procedure by which 
Racetracks may seek to designate equine facilities as Designated Equine 
Facilities under the rules. The reason for the adoption of this rule is 
to balance the interest in safeguarding the equine population from 
infectious disease outbreak with the compliance burden imposed by a 
health certificate requirement.
    The proposed rule states in full:
    (a) To qualify an equine facility as a Designated Equine Facility, 
the applicable Racetrack shall certify to the Authority in such form as 
the Authority may prescribe that it has reviewed and determined that 
the biosecurity protocols and procedures of the Designated Equine 
Facility are consistent with the biosecurity protocols and procedures 
of the Racetrack.
    (b) The applicable Racetrack shall maintain records that document 
that the requirements of Rule 2144(a) have been satisfied for each 
Designated Equine Facility, including but not limited to the written 
biosecurity protocols and procedures of the Designated Equine Facility. 
Such records shall be subject to inspection and audit by the Authority.
    In essence, the rule allows Racetracks to designate certain 
facilities as exempt from specified health certificate requirements, on 
the condition that the Racetrack certifies to the Authority that it has 
confirmed that the biosecurity protocols at the facility are consistent 
with those at the Racetrack.
    A commenter maintained that if the Authority chooses ``to certify 
Designated Training Facilities that are not owned by a racetrack, [the 
Authority] should be responsible for certifying their biosecurity 
protocols and oversight of compliance.'' \79\ The commenter further 
asserted that ``[a]s an independent entity, the racetrack has no 
authority over their operations or right of entry.'' \80\ In response, 
the Authority notes that it will not be certifying Designated Equine 
Facilities, though it will, as part of a Racetrack's Accreditation 
process, review the records referenced in paragraph (b) of this rule. 
The risk assessment and Designation determination is left to the 
Racetrack, and Racetracks are free to require 5-day health certificates 
(or lesser, in high-risk situations) for horses coming from any 
property at any time. A commenter stated: ``Please note, not all 
training facilities are affiliated with Covered Racetracks. Will HISA 
be recognizing and allowing horses to run off of training facilities 
that are not affiliated or designated by Covered Racetracks? Regardless 
if the training facility is affiliated with a Racetrack or if it is 
independent operation, there are certain safety precautions and 
protocols that must be adhered to, similar to a Racetrack. 
Additionally, the Authority should be reviewing and approving all 
protocols and procedures of the training facilities, and not just those 
pertaining to the biosecurity.'' \81\ In response, the Authority notes 
that the Racetrack Safety Committee considered the risk assessment with 
regard to nearby, intrastate facilities was best left to the Racetrack 
operators whose familiarity with the local landscape and ability to 
respond quickly to emerging diseases exceeds that of the Authority. The 
alternative was to keep the original 5-day health certificate intact 
for all horses coming from off-site, and the Racetrack Safety Committee 
felt the creation of the Designated Equine Facility was a reasonable 
compromise.
---------------------------------------------------------------------------

    \79\ This is a comment jointly submitted by NYRA, Del Mar, 
Keeneland, Churchill Downs, Breeders' Cup, and 1/ST Racing. A 
previous version of this proposed rule referred to the facilities 
contemplated in this rule as ``Designated Training Facilities.''
    \80\ Id.
    \81\ The Jockeys' Guild.
---------------------------------------------------------------------------

    Another commenter stated: ``Designated Training Facilities should 
be subject to their own accreditation process, tailored to that 
particular circumstance. As the Racetrack Safety and Antidoping and 
Medication Control Programs continue to develop, it is very likely that 
owners and trainers will relocate their Covered Horses to such 
facilities in order to avoid the increased protocols being observed on 
Racetrack grounds. This calls for regulation of such facilities in 
greater depth which will, in turn, bring with it increased levels of 
safety and integrity protections while also providing further sources 
of data and information for the Authority's programs.'' \82\ In 
response, the Authority notes the intent of the comment, and does not 
disagree in principle. However, the comment does not appear to be 
directly relevant to the creation of a compromise proposed solution to 
the requirement of a 5-day health certificate in certain situations.
---------------------------------------------------------------------------

    \82\ The Jockey Club.

---------------------------------------------------------------------------

[[Page 24587]]

2150. Racetrack and Racing Surface Monitoring and Maintenance
2151. Data Collection, Recordkeeping and Submission
    The Authority is proposing minor clarifying language to this rule.
2152. Testing Methods
    The Authority is not proposing any modifications to this rule.
2153. Racetrack Facilities
    Rule 2153 is modified with the addition of the following 
requirement in paragraph (b)(2): ``The top of the inner and outer rails 
on dirt and turf courses must be at least 40 inches but not more than 
50 inches above the top of the race surface.''
    Commenters expressed concerns about the reasonable allowances for 
variations in rail height.\83\ The Authority believes that the 10-inch 
span for compliance with the top inner and outer rails on dirt and turf 
courses provides considerable latitude for variation. In response to a 
comment concerning the sources of information concerning rail 
height,\84\ the Authority states that it consulted extensively with 
experienced racetrack superintendents in specifying the appropriate 
dimensions.
---------------------------------------------------------------------------

    \83\ Comment jointly submitted by NYRA, Del Mar, Keeneland, 
Churchill Downs, Breeders' Cup, and 1/ST Racing.
    \84\ Mike Hopkins.
---------------------------------------------------------------------------

    A commenter expressed the view that more precise specifications 
concerning metrics, measurement devices, and time and space intervals 
should be prescribed in the rule.\85\ The Authority will be considering 
all requirements in the course of its ongoing study and analysis of 
Racetrack facility requirements and their relationship to equine and 
rider safety.
---------------------------------------------------------------------------

    \85\ CHRB.
---------------------------------------------------------------------------

    A current provision under new paragraph (d)(2) requires protective 
padding on starting gates; the modification adds Riders and Starting 
Gate Persons to the persons whose safety is to be ensured. This 
addition is made to ensure that the specific safety requirements of 
these persons be considered when addressing padding requirements.
    Commenters asked whether there should be a requirement for backup 
starting gate batteries on Racetrack grounds.\86\ The Authority's rule 
requires a functioning starting gate; track management is given the 
latitude to determine how that shall be accomplished, whether by using 
backup batteries or other functionalities.
---------------------------------------------------------------------------

    \86\ Comment jointly submitted by NYRA, Del Mar, Keeneland, 
Churchill Downs, Breeders' Cup, and 1/ST Racing; Breeders Cup.
---------------------------------------------------------------------------

    A modification of the paragraph clarifies the requirement that the 
Racetracks have in place a written plan for the removal of the starting 
gate after the start of each Race in a safe and timely manner. The 
modification will also require the plan to be reviewed annually. This 
further enhances the safety of starting gate operation and procedures.
    An important new modification now states: ``(8) A Racetrack shall 
ensure there is at least 1 Starting Gate Person present for each 
Covered Horse starting in a Covered Horserace.'' Although some 
commenters expressed concern about complying with the requirement,\87\ 
the requirement is a vital component of ensuring the safety of all 
persons working at the starting gate.\88\
---------------------------------------------------------------------------

    \87\ Comment jointly submitted by NYRA, Del Mar, Keeneland, 
Churchill Downs, Breeders' Cup, and 1/ST Racing; Mike Hopkins.
    \88\ This new language was suggested by the Jockeys' Guild.
---------------------------------------------------------------------------

    A new rule is added stating as follows: (f) The Racetrack shall 
provide a suitable area for jogging claimed horses in or near the Test 
Barn or, if approved by the Authority, a secured area used for claimed 
horse exams. The jogging area shall be of sufficient length to jog the 
claimed horse in hand in a straight line of not fewer than 5 strides 
and have consistent, firm, and level footing, and shall be out of the 
view of persons not authorized in the Test Barn or secured area. The 
purpose of the rule is to provide adequate space for the jogging of 
claimed horses. The ``out-of-view requirement'' is a component of 
maintaining the integrity of the examination.
    A commenter expressed the view that the emergency warning system 
should be more specifically defined in Rule 2153(d)(1) of the current 
rule (now restyled as paragraph (e)(1)).\89\ The Authority requires an 
emergency warning system to be in place, but the rule properly allows 
Racetracks the discretion to conform to the rule requirements as local 
track conditions dictate.
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    \89\ The Jockeys' Guild.
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2154. Racetrack Surface Monitoring
    In addition to minor terminological changes, the language in Rule 
2154(b) is modified to more clearly state that Racetracks shall perform 
pre-meet inspections on surfaces; the current language does not specify 
the person or entity charged with performing the inspections.
    Rule 2154(d) is modified to explicitly state that the surface 
equipment inventory, surface maintenance logs, and surface material 
addition or renovation logs specified in the current rule are to be 
documented daily and uploaded weekly by the Racetrack to an electronic 
database designated by the Authority; the current language does not 
make clear to whom the information is submitted, and the rule will now 
establish the timing of the documentation and upload requirements, 
rather than leaving this unspecified.
    At the suggestion of commenters,\90\ the words ``and speed'' are 
added to the specified contents of the daily surface maintenance logs 
addressed in Rule 2154(d)(1). Additionally, the words ``material 
specifications'' are added to the documentation requirements concerning 
additions to surfaces set forth in Rule 2154(d)(2). These are minor 
modifications intended to ensure that all important informational items 
are included within the requirements of these rules.
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    \90\ Dan Fick and ROAP.
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2160. Emergency Preparedness
2161. Emergency Drills
    Rule 2161 governing emergency drills is modified to require 
emergency protocols to be reviewed periodically during each Race Meet, 
in addition to prior to the Race Meet as required under the current 
rule. Modifications also add Starting Gate Person injury and medical 
emergencies to the list of emergencies to be included in the protocols, 
and the term ``Jockey'' is deleted in favor of the term ``Rider'' in 
two provisions, widening the ambit of the injury scenarios that must be 
anticipated and included in the protocols. These modifications will 
benefit Covered Horses and Riders by enhancing a Racetrack's response 
to the emergencies specified in the rule.
2162. Catastrophic Injury
    Rule 2162 concerning Catastrophic Injury is modified with minor 
changes in terminology. A modification deletes a provision that 
currently requires communication to the public to be a component of the 
protocols required in the rule. The need for communication is difficult 
to specify when Racetracks are responding to an emergency, and may have 
little information to provide until the situation is assessed.
2163. Fire Safety
    This rule is unchanged.
2164. Hazardous Weather
    Rule 2164 is modified to include a new provision requiring 
Racetracks to

[[Page 24588]]

comply with State Racing Commission rules governing the delay or 
cancellation of races due to inclement weather, extreme heat, extreme 
cold, lightning or other hazardous racing conditions. In the absence of 
state rules, Racetracks are required, in conjunction with the 
Racetrack's Stewards, Jockeys, and Horsemen, to develop Racetrack-
specific protocols for the delay or cancellation of races due to 
inclement weather, extreme heat, extreme cold, lightning or other 
hazardous racing conditions. The terms ``extreme heat'' and ``extreme 
cold'' were added at the suggestion of a commenter to the list of 
environmental conditions that must be addressed in the hazardous 
weather protocols that are developed under the rule.\91\ The terms 
cover extremes of weather that are prevalent at some Racetracks. In 
addition, new provisions are added to provide a structured method by 
which Air Quality Index may lead to a cessation of racing. Air quality 
is an important consideration in preserving the health and safety of 
Covered Horses and Riders. The Authority will consider in future 
rulemaking suggested provisions provided by a commenter concerning 
lightning protocols.\92\
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    \91\ ROCO.
    \92\ The Jockeys' Guild.
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2165. Infectious Disease Management
    Rule 2165 is largely unchanged, except for the modification of the 
word ``symptoms'' to ``signs'' in paragraph (b). A particular condition 
of a Covered Horse may be difficult initially to identify as symptom of 
a particular infectious disease. ``Signs'' refers only to an observed 
physical condition or behavior. The Authority is also proposing a 
modification to paragraph (d) to expand the reporting requirements in 
the event of a disease outbreak at the Racetrack. The proposed 
modification will now require reporting to the Authority in addition to 
the applicable state official.
2166. Human Ambulance Support
    The Authority proposes several modifications to its human ambulance 
rule. These modifications were the subject of considerable debate and 
discussion, and this revised rule has undergone numerous iterations in 
response to important and thoughtful comments submitted by industry 
stakeholders over the last few months. All of the proposed changes are 
intended to improve the efficiency and speed of the medical response to 
an on-track riding incident, which, in turn, improves the health and 
safety of all racing participants, including Covered Persons and 
Covered Horses.
    A new proposed rule is added as paragraph (a), which will require 
Racetracks to ensure that no fewer than 2 properly staffed and equipped 
Advanced Life Support (``ALS'') ambulances or ALS adapted vehicles are 
present at the Racetrack during training and racing hours. This is in 
accord with a comment submitted by the Jockeys' Guild. ALS ambulances 
are staffed by a minimum of 1 paramedic and 1 emergency medical 
technician, who are trained in a variety of first aid and resuscitation 
techniques. The Authority recognizes the economic burden this 
requirement may place on Racetracks, and in response to these concerns 
has added a provision allowing the Racetrack Safety Committee to permit 
a Racetrack to have 1 ALS ambulance or ALS adapted vehicle present 
during racing and training hours. The Racetrack Safety Committee will 
scrutinize any such request very carefully, and always with the safety 
of Riders and Covered Horses firmly in mind.
    Paragraph (c) requires Racetracks that operate a training track in 
addition to a main track to provide at least 1 of the following medical 
response vehicles dedicated to the training track during training 
hours: 1 ALS ambulance, ALS adapted vehicle, Basic Life Support 
(``BLS'') ambulance or BLS adapted vehicle. Requiring a medical 
response unit to be present on the training track is necessary to 
effectively and swiftly respond to medical events and incidents that 
take place at the training track. The Authority again recognizes the 
economic burden this may place on Racetracks, and in response to these 
concerns has provided tracks with some flexibility as to the type of 
ambulance or adapted vehicle present at the track.
    Paragraphs (e), (f), and (g) require the tracks to develop and 
implement (1) a training program for all ambulance staff to ensure they 
are familiar with and adequately trained on the unique safety and 
incident response issues present in horseracing; (2) protocols for 
incidents involving injuries to more than one Covered Person during the 
same race; and (3) an incentive program to retain skilled and certified 
ambulance staff experienced in the medical response issues present in 
horseracing. The Authority believes these measures are critical to 
ensure on-site medical staff are properly trained and experienced in 
the unique safety and incident response issues associated with 
horseracing. Commenters noted that mandating creation of an incentive 
program for retaining personnel is an overreach into the business 
operations of the Racetrack.\93\ The Authority appreciates this comment 
and recognizes that incentive programs can take many forms. Thus, the 
Authority has intentionally left it to the tracks to identify the 
type(s) and details of the incentive program that will be most 
effective for that track.
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    \93\ Comment jointly submitted by NYRA, Del Mar, Keeneland, 
Churchill Downs, Breeders' Cup, and 1/ST Racing.
---------------------------------------------------------------------------

    Finally, paragraph (h) imposes a requirement on tracks to have an 
ALS ambulance or ALS adapted vehicle to follow the field at a safe 
distance during the running of races. The Authority received comments 
expressing concern over mandating the use of a chase vehicle without 
accounting for poor weather conditions or narrow Racetrack.\94\ The 
Authority appreciates and agrees with these commenters and has modified 
the rule to clarify the steps the track should take in the event 
Racetrack surface conditions prevent the ALS ambulance or ALS adapted 
vehicle from safely following the racing field.
---------------------------------------------------------------------------

    \94\ Mike Hopkins, Tracks.
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2167. Rider Injury Reporting Procedure
    Rule 2167 is modified to change the title of the rule from 
``Accident Reporting System'' to ``Rider Injury Reporting Procedure'' 
as this better identifies the subjects addressed in this rule.
    The rule is also modified to specify that State Racing Commissions 
that enter into an agreement with the Authority shall develop the 
procedures outlined in the rule, rather than the Racetracks. The term 
``Rider'' will replace ``Jockey and exercise rider,'' and the 
modification specifies that data collected under the rule shall be 
submitted to the Racetrack Risk Management Committee, in addition to 
the Authority. This change ensures that the Racetrack Risk Management 
Committee is provided with Rider injury data, a critical element in the 
Committee's endeavor to ensure the safety of Riders and Covered Horses. 
A final change is the inclusion of ``safety equipment used'' in the 
listing of data elements to be collected.
    The Jockeys' Guild asked several important questions concerning how 
the data will be collected and stored. In any Rider injury situation, 
the first responders and racetrack safety personnel will have available 
data and information that is submitted by the Jockey to the Authority's 
electronic platform designated for collection and storage of Jockey 
eligibility documentation. This system is designed for use at the scene 
of the injury for

[[Page 24589]]

entry of data concerning the Jockey and the circumstances of the 
injury. The system will provide an accident report form into which 
injury information will be entered in detail. The Jockey's records will 
be stored in a database maintained by the electronic platform 
referenced above. It will also be available to the Authority for use in 
further analysis of issues pertaining to Jockeys and Covered Horses. 
The Jockeys' Guild asked if the information may be shared with the 
Guild. The Authority is willing to provide the information, provided 
the transfer is authorized by the Jockey and in compliance with all 
applicable laws.
2168. Equine Ambulance
    Several modifications are proposed for this rule to establish 
specified performance and equipment requirements. The requirements 
specify that the ambulance must be able to operate in all weather 
conditions, that it is properly equipped to stabilize distal limb 
injuries, and that it is capable of removing a recumbent horse from the 
racetrack and safely transporting the horse off of association grounds. 
These requirements will enhance the safety of Covered Horses by 
ensuring that the ambulance is properly equipped to respond effectively 
to any equine injury.
2169. Paddock Safety
    Rule 2169 is amended to specify that when State Racing Commissions, 
rather than racetracks, enter into an agreement with the Authority, the 
State Racing Commissions shall ensure that the protocols outlined in 
the rule are in place. This provides greater flexibility to the rule, 
and allows State Racing Commissions that agree to do so to perform the 
duties in Rule 2169.
2170. Necropsies
    Rule 2170 is modified significantly. The current rule states that 
``field necropsies are strongly discouraged.'' (In the racing industry, 
``field necropsies'' means necropsies performed at the Racetrack.) 
Field necropsies are extremely rare today and are not favored. The 
modified rule specifies that necropsies shall be performed at a 
laboratory. The rule mandates necropsies to be performed on all Covered 
Horses that die or are euthanized on Racetrack grounds. In addition, 
the rule is extended to include all horses that die or are euthanized 
due to, or related to, a musculoskeletal injury within 72 hours of 
leaving Racetrack grounds. The rule specifies musculoskeletal injuries 
because these injuries are usually sustained as a result of high-speed 
training and racing. If the horse leaves the Racetrack after sustaining 
the injuries, a necropsy must be performed if the horse dies or is 
euthanized within 72 hours. The 72-hour benchmark is an industry 
standard; for example, the existing Equine Injury Database by InCompass 
operates according to a 72-hour reporting criteria for many types of 
injuries. The 72-hour reporting requirement does not apply to other 
types of injuries. If, for example, a horse leaves a Racetrack and dies 
or is euthanized soon afterward due to colic (which has nothing to do 
with racing and might as easily develop on a farm), a necropsy is 
required only if the horse dies or is euthanized on Racetrack grounds. 
Several Racetracks encouraged the Authority to include the 
musculoskeletal injuries 72-hour specification, and the Authority 
agrees.\95\
---------------------------------------------------------------------------

    \95\ This is a comment jointly submitted by NYRA, Del Mar, 
Keeneland, Churchill Downs, Breeders' Cup, and 1/ST Racing.
---------------------------------------------------------------------------

    The modified rule requires Racetracks to establish standard 
operating procedures that specify various elements of necropsy 
procedure, including contact and coordination between persons and 
organizations necessary to perform the necropsy, transportation 
options, secure storage procedures, sound infection control practices, 
and procedures for reporting necropsy findings.
    The modified rule requires Racetracks, or State Racing Commissions 
that have an agreement with the Authority, to coordinate with a 
diagnostic laboratory that performs necropsies. A contract is not 
required because, as noted by several Racetrack commenters, ``it is 
difficult to require a contract between a state laboratory and the 
racetrack. Simply, the diagnostic laboratory chosen for a particular 
necropsy is often based upon volume of horses that can be examined. 
Some facilities are very limited in the number of horses they can take 
at one time. This often necessitates sending other horses to another 
facility. Mandating a contract decreases flexibility in these instances 
and will lead to an increase in field necropsies which are less 
effective.'' \96\ The requirement in the rule to coordinate with a 
diagnostic laboratory that performs necropsies means that arrangements 
concerning means of communication, transportation, and intake 
procedures must be established. In some states, laboratories may lack 
the resources necessary to conduct musculoskeletal injury examinations; 
in this case, the rule authorizes Racetracks and/or diagnostic 
laboratories to contract with a laboratory that specializes in 
musculoskeletal injury racehorse examinations. The rule requires 
initial necropsy findings and subsequent reports to be filed with the 
Regulatory Veterinarian, the Racetrack Risk Management Committee, and 
the Authority within 72 hours of receipt.
---------------------------------------------------------------------------

    \96\ Id.
---------------------------------------------------------------------------

    The modified rule imposes the cost of necropsies upon ``those 
persons who are responsible for necropsy costs pursuant to existing 
state rules. In jurisdictions that do not provide for necropsy costs or 
address the responsibility for payment, the Racetrack shall be 
responsible for payment.'' Some commenters expressed that Racetracks 
should not have to bear some or any of the costs of necropsies.\97\ 
Nationwide, Racetracks do bear much of the cost, though states have 
varying rules and agreements by which the Racetracks, state racing 
commissions, and horsemen's groups share the cost together. While the 
Racetracks do bear the cost in the absence of state rules or 
agreements, nothing in the rule inhibits Racetracks from entering into 
such agreements.
---------------------------------------------------------------------------

    \97\ ROCO, Joe Wilson.
---------------------------------------------------------------------------

    Necropsies are a vital source of information in the effort to 
prevent equine fatalities. The information obtained from 
musculoskeletal injury examinations can help determine the cause of 
breakdowns and injuries, and can lead to the discovery or enhancement 
of preventive measures. The necropsy rule as modified will ensure that 
necropsies are performed effectively and efficiently, and will thereby 
benefit Covered Horses.
2180. Safety Training and Continuing Education
2181. Uniform National Trainers Test
    This rule is unchanged, except for the capitalization of the word 
``State'' and additional language clarifying that Trainers shall be 
knowledgeable of the rules set out in the Racetrack Safety Rule and the 
Anti-Doping and Medication Control Program.
2182. Continuing Education
    Several modifications are proposed for Rule 2182 which establishes 
continuing education (``CE'') requirements. The rule is modified to 
make clear that Jockeys and Exercise Riders are required to complete at 
least 2 hours of safety and rider protocols on an annual basis. 
Paragraph (4) concerning CE for Stewards is modified to refer generally 
to continuing education programs that might be approved by the 
Authority, rather than

[[Page 24590]]

to the specialized ROAP. ROAP is approved by the Authority and provides 
high quality CE programs; the modification will allow the Authority to 
identify other useful CE programs as well.\98\
---------------------------------------------------------------------------

    \98\ ROAP suggested the continued use of the term ``ROAP,'' but 
the Authority believes the better course is to avoid identifying a 
particular program by name, since a number of programs may 
ultimately be identified.
---------------------------------------------------------------------------

    New requirements are added for Safety Directors and for the 
Farriers and Horseshoe Inspectors who will have roles and 
responsibilities under new Rules 2137, 2138, and 2139, which together 
create a structured procedure for horseshoe inspections. Minor changes 
include the modification to refer to the new proposed defined term 
``Starting Gate Persons,'' rather than starters and assistant starters.
    Several commenters asked who will provide the CE and monitor 
compliance, sanction non-compliance, and set the curriculum.\99\ The 
Authority is developing a CE program that will be a component of the 
registration portal and will be made available to Covered Persons 
participating in states where the State Racing Commission has not 
entered into an agreement with the Authority to implement the provision 
of Rule 2182. It will allow the entry and monitoring of CE credit hours 
for the convenience and benefit of all Covered Persons required to 
complete CE hours.
---------------------------------------------------------------------------

    \99\ ROCO, HPBA, Washington Horse Racing Commission.
---------------------------------------------------------------------------

    A state racing commission asked if it would be required to provide 
CE, rather than identify existing training opportunities.\100\ The 
current rule and modified proposed rule both require a State Racing 
Commission that has an agreement with the Authority to ``identify 
existing, or provide locally, training opportunities.'' The State 
Racing Commission may fully comply with the rule by identifying CE 
rather than providing it.
---------------------------------------------------------------------------

    \100\ Kentucky Horse Racing Commission.
---------------------------------------------------------------------------

2183. Sexual Harassment Prevention
    Rule 2183 is a new provision requiring Covered Racetracks to 
implement and enforce a sexual harassment and non-discrimination policy 
that offers protection to Covered Persons by prohibiting discriminatory 
behavior at its facilities. The Authority proposes this new rule in 
response to reports it received from racing participants pertaining to 
sexual harassment and discrimination at the Racetrack or in a racing 
workplace. The reports focused primarily on the absence of an 
established reporting process for harassing and discriminatory 
behavior, and other comments touched on a lack of confidence in the 
reporting system (if any). The Authority aims to address, at least in 
part, some of these issues by requiring each Racetrack to develop and 
implement and enforce a sexual harassment and non-discrimination policy 
that offers protection to Covered Persons by prohibiting discriminatory 
behavior at its facilities. At a minimum, the policy must define and 
prohibit sexual harassment and discrimination against Covered Persons 
within the applicable legal protected classifications and provide an 
effective process for reporting and investigation of prohibited sexual 
harassment and discrimination. The policy must also memorialize the 
Racetrack's authority to impose discipline on any individual found to 
be in violation of the policy, including but not limited to exclusion 
from the Racetrack (and all related Racetrack grounds and facilities) 
and any racing activities.
    Several commenters expressed the view that this rule exceeds the 
scope of the Authority's jurisdiction under the Act.\101\ The Authority 
disagrees. Part of the Authority's statutory mandate is to exercise 
independent and national authority over the safety, welfare, and 
integrity of Covered Persons. This rule is consistent with that 
mandate.
---------------------------------------------------------------------------

    \101\ See, e.g., comment jointly submitted by NYRA, Del Mar, 
Keeneland, Churchill Downs, Breeders' Cup, and 1/ST Racing; comment 
submitted by Mike Hopkins.
---------------------------------------------------------------------------

    In further support of this Rule, the Authority refers the Federal 
Trade Commission to a report recently commissioned by controlling 
bodies of racing in Australia (Racing Victoria Limited, Harness Racing 
Victoria, and Greyhound Racing Victoria), which demonstrates that 
harassment and discrimination are widespread in the racing industry and 
underscores the need for well-defined channels for reporting sexual 
harassment and discrimination in the racing workplace.\102\
---------------------------------------------------------------------------

    \102\ See Racing Integrity Commissioner, Independent Review into 
Victorian Racing Industry Victim Support and Complaint Processes 
(Aug. 31, 2023), available at https://racingintegrity.vic.gov.au/__data/assets/pdf_file/0026/201869/Independent-Review.pdf.
---------------------------------------------------------------------------

2190. Jockey and Starting Gate Person Health
2191. Drug and Alcohol Testing
    Currently, Rule 2191 requires State Racing Commissions electing to 
enter into an agreement with the Authority to develop and implement a 
testing program for drugs and alcohol for Jockeys. The rule is modified 
to add Starting Gate Persons to the testing program. Starting Gate 
Persons perform a vital role in handling horses and loading them into 
the starting gate. Ensuring that Starting Gate Persons are not impaired 
is important for their safety and the safety of Jockeys and Covered 
Horses. The Jockeys' Guild urged that the program be required for 
additional categories of racing officials.\103\ The Authority agrees 
that this is an important proposal to consider in future rulemaking. At 
present, the most immediate need is to ensure that both Jockeys and 
Starting Gate Persons are subject to drug and alcohol testing, and that 
will be accomplished under the terms of the proposed rule modification.
---------------------------------------------------------------------------

    \103\ The Jockeys' Guild.
---------------------------------------------------------------------------

2192. Concussion Management
    A minor modification is proposed for Rule 2192, Concussion 
Management. Paragraph (a)(1) is amended to make clear that the 
requirement that Jockeys must acknowledge in writing that they have 
been made aware of the Concussion protocols is an annual requirement, 
rather than a requirement to review the protocols ``in place for the 
facility at which they are riding;'' the quoted phrase will be deleted 
in the modification.
    The Jockeys' Guild stressed the importance of developing a unified 
national concussion management protocol with return to ride guidelines 
established by medical experts in concussions. The Jockeys' Guild 
emphasized that the return to ride protocol should operate to clear a 
Jockey to return to riding for all Jockey injuries, and not just 
concussions. The Authority's return to ride protocol does embrace all 
Jockey injuries. The Authority recognizes the vital importance of these 
components of racing safety. The Authority has developed a national 
concussion management protocol, as well as a return to ride protocol in 
collaboration with the third-party medical records storage organization 
with which the Authority has partnered. Both protocols are currently 
being implemented nationwide.
2193. Insurance
    Rule 2193 requires Racetracks, in states that do not afford Jockeys 
workers compensation insurance, to maintain primary accidental medical 
expense coverage for all Jockeys. The rule is modified to clarify that 
the insurance covers training as well as racing. In addition, the 
modified rule will require that the current policy's declaration page 
shall be posted in the Jockeys'

[[Page 24591]]

quarters prior to the beginning of the racing season.
    Medical insurance is a vital component of ensuring the well-being 
of Jockeys, and the extension of medical insurance to training 
activities is a natural and beneficial extension of insurance coverage. 
The majority of Racetracks across the United States already provide 
this coverage, but the rule makes it an explicit and uniform 
requirement. The requirement that the declaration page be posted in the 
Jockey's quarters allows Jockeys to review the coverage, and to obtain 
the name of the insurance company involved in case a Jockey wishes to 
inquire further about coverage.

2200. Specific Rules and Requirements of the Racetrack Safety Program

2210. Purpose and Scope
    The Authority proposes minor stylistic modifications to this rule 
along with elimination of the preemption language referenced in 
paragraph (c) as it is a general statement of law that need not be 
included in this rule.
2215. Welfare and Deprivation of Care
    The Authority proposes this new rule to establish a prohibition on 
abusive practices, neglect and mistreatment of Covered Horses that is 
not otherwise covered by the rules and to incorporate existing industry 
principles and standards codified in the National Thoroughbred Racing 
Association Safety and Integrity Alliance Code of Standards and the 
Association of Racing Commissioners International Model Rules.
    Commenters requested that the Authority describe with particularity 
the types of conduct prohibited under this rule.\104\ Abuse, neglect or 
mistreatment of a Covered Horse, however, may take many forms and is 
not easily capable of definition. Thus, the Authority believes that 
this rule, like the Code of Standards and the ARCI Model Rules, should 
remain open-ended to provide flexibility in its application to varied 
circumstances that could constitute abuse, neglect or mistreatment of a 
Covered Horse.
---------------------------------------------------------------------------

    \104\ Dr. Jeff Blea and the CHRB.
---------------------------------------------------------------------------

2220. Attending Veterinarian
    The Authority proposes new language to Rule 2220(a) to specify that 
an Attending Veterinarian must be licensed by a ``State's board of 
veterinary examiners (or applicable veterinary licensing board),'' in 
addition to the current requirement of licensure by the State Racing 
Commission in the jurisdiction in which the Attending Veterinarian is 
attending to Covered Horses.\105\
---------------------------------------------------------------------------

    \105\ The additional language was suggested by the HBPA.
---------------------------------------------------------------------------

    Several commenters noted that treatment should not be limited to 
Attending Veterinarians, as Association Veterinarians often provide 
emergency care as well as supportive care for Covered Horses that are 
injured.\106\ The Authority agrees and has proposed new introductory 
language to Rule 2220(a), authorizing Regulatory Veterinarians and Lead 
Veterinarians (which are appointed by the Authority and may include 
Association Veterinarians) to administer emergency treatment to Covered 
Horses on Racetrack grounds when the Attending Veterinarian is not 
present.\107\ This exception is necessary to protect the safety and 
welfare of Covered Horses in emergency situations.
---------------------------------------------------------------------------

    \106\ This is a comment jointly submitted by NYRA, Del Mar, 
Keeneland, Churchill Downs, Breeders' Cup, and 1/ST Racing.
    \107\ The new introductory language in Rule 2220(a) provides, 
``[s]ubject to Rule 2230(d), only Attending Veterinarians . . . may 
attend to Covered Horses at any location under the jurisdiction of 
the State Racing Commission.'' (emphasis added). Rule 2230(d) 
authorizes the Regulatory Veterinarian to administer emergency 
treatment to horses on Racetrack grounds when the Attending 
Veterinarian is not present. Rule 2134(c) provides that the ``Lead 
Veterinarian(s) shall perform all of the duties, obligations and 
responsibilities of the Regulatory Veterinarian(s) as specified in 
these Rules.'' Thus, this exception permits the Regulatory 
Veterinarian(s) and Lead Veterinarian(s) to attend to Covered Horses 
in emergency situations.
---------------------------------------------------------------------------

2221. Treatments by Attending Veterinarian
    In addition to minor modifications to include the words 
``Responsible Person'' and ``Covered Horse,'' the word ``drug'' is 
replaced by ``Controlled Medication'' in the rule's prohibition against 
prescribing, dispensing, or administering a Controlled Medication 
except in the context of a valid Veterinarian-client patient 
relationship. The term ``Controlled Medication'' is preferred to avoid 
confusion, to clarify what is being referenced in this rule, and to 
correspond to the term as used and defined in the Anti-Doping and 
Medication Control Program Rules.
2230. Treatment Restrictions
    Paragraph (a) of the rule is modified to remove the qualifier ``at 
locations under the jurisdiction of the State Racing Commission'' from 
the provision that now states in pertinent part that only Responsible 
Persons ``or their designees shall be permitted to authorize veterinary 
medical treatment of Covered Horses under their care, custody, and 
control.'' The language is deleted as improperly restrictive; the 
restriction concerning the authorization of veterinary medical 
treatment exists regardless of where the Covered Horse is located. This 
further promotes the welfare of Covered Horses.
    Paragraph (b) restricts to Veterinarians the power to prescribe 
medication with instructions for administration by a Responsible Person 
for a Covered Horse. Paragraph (b) is modified to make clear that a 
Veterinarian must be licensed to practice veterinary medicine in the 
applicable state only if such licensure is required in the State. 
Veterinarians often travel from state to state, and should not be 
required to be licensed to practice veterinary medicine in a particular 
state if that state does not require such licensure. In addition, 
paragraph (b) is modified to delete the requirement that the 
Veterinarian be licensed by the State Racing Commission; instead, the 
rule now explicitly requires that the Veterinarian be registered with 
the Authority.
    Paragraph (c) generally prohibits contact by an Attending 
Veterinarian with a Covered Horse within the 24 hours before post-time 
of race in which the Covered Horse is scheduled to compete. The current 
rule permits an exception to this restriction in ``an emergency.'' This 
phrase is replaced by more precise language that permitting contact if 
``such contact is necessitated by an imminent risk to equine welfare, 
health, or safety.'' The rule is also modified to require that any 
contact with the Covered Horse within the specified 24 hours be 
reported to the Regulatory Veterinarian. This reporting requirement is 
necessary to prompt intervention by the Regulatory Veterinarian to 
determine whether a Covered Horse should be scratched from the race.
    The introductory clause ``notwithstanding Rule 2220(a)'' is added 
to paragraph (d). This clause clarifies that paragraph (d), which 
permits the Regulatory Veterinarian (and, by extension, the Lead 
Veterinarian) to administer emergency treatment to Covered Horses on 
Racetrack grounds when the Attending Veterinarian is not present, is an 
exception to Rule 2220(a), which states that only Attending 
Veterinarians may attend to Covered Horses at locations under the 
jurisdiction of the State Racing Commission. Paragraph (g), governing 
the ability of persons with medical conditions to possess a syringe at 
locations under the jurisdiction of the State Racing Commission, is 
modified to require that any request for permission to possess a 
syringe must be in writing, and to clarify that the person making the 
request must submit a letter from a physician to the Stewards or the 
State

[[Page 24592]]

Racing Commission in connection with the request. This modification is 
necessary to clarify the process for submitting requests to possess a 
syringe on Racetrack grounds.
2240. Veterinarians' List
    This rule establishes the Veterinarians' List, which is a list of 
Covered Horses that have compromised health or unsoundness and 
prohibits these Covered Horses from racing. Rules 2240 through 2242 
outline the process by which Covered Horses are determined to have 
recovered from their illness or unsoundness and may return to racing. 
Covered Horses that participate in a race while medically or physically 
compromised are at risk for exacerbating the illness or physical 
injury, and in some cases having a career ending or catastrophic 
injury, also risking severe injury to the Jockey. The rule prevents 
affected Covered Horses from racing until the Covered Horses have 
recovered from their illness or injury. The rule is designed to protect 
Covered Horses from worsening an existing condition, and allow for 
recovery, rehabilitation, and return to racing in a healthy state. The 
rule is intended to protect Jockeys from injury associated with a fall 
from a Covered Horse due to the Covered Horse incurring a severe injury 
during a race and falling at high speed. Racetracks will benefit from 
the prevention of horse fatalities during races. Racetracks and Racing 
Commissions will benefit because the Veterinarians' List will be shared 
among all racing jurisdictions so that Covered Horses put on the list 
at one jurisdiction will be identifiable when the Covered Horse moves 
to another jurisdiction.
    The Authority proposes several modifications to this rule. 
Paragraph (b) is modified to state with more precision, and in specific 
respects to alter, the current rule governing those Covered Horses 
required to be placed on the Veterinarians' List. The modification 
deletes the phrase ``positive test or overage, administration of a 
medication invoking a mandatory stand down time,'' and the phrase 
``positive Out of Competition Test.'' The Authority proposes deletion 
of these phrases as no longer necessary with the implementation of the 
ADMC Program. Covered Horses with a positive test may be subject to 
periods of ineligibility under the ADMC Program, which, like the 
Veterinarians' List, prevents the Covered Horse from racing while in a 
compromised state.
    The current language setting out the triggering conditions or 
events that require placement on the Veterinarians' List is re-written 
to distinguish placement on the Veterinarians' List by the Regulatory 
Veterinarian from placement on the Veterinarians' List by the 
Authority. Generally speaking, the Regulatory Veterinarian regulates 
and monitors the physical condition of Covered Horses at the Racetrack, 
and may place Covered Horses on the Veterinarians' List for physical 
conditions such as unsoundness, injury, Epistaxis, and other conditions 
listed in the rule. In the new language, three conditions in particular 
(unsoundness, injury, Epistaxis) prohibit Covered Horses from 
participating in a Workout for 7 days. This is an added safety measure 
for the Covered Horse.
    The Authority is permitted to place Covered Horses on the 
Veterinarians' List for any of the grounds specified in Rule 
2240(b)(3)(i) through (vii). These grounds correspond to treatments or 
racing status that the Authority has the ability to monitor through 
required reporting to the Authority by Responsible Persons and 
Attending Veterinarians and include:
    (i) Covered Horses which have not started in more than 365 days;
    (ii) unraced Covered Horses which have not made a start prior to 
January 1 of their 4-year-old year;
    (iii) Covered Horses which have been administered Shock Wave 
Therapy;
    (iv) Covered Horses which have been administered an intra-articular 
injection;
    (v) Covered Horses which have been administered clenbuterol;
    (vi) Covered Horses designated by the Agency; and
    (vii) Covered Horses currently on a Veterinarian's List in any 
state, if trying to enter in a Covered Horserace.
    Several of these categories are added to this rule to harmonize 
with the ADMC Rules and to ensure that all reasons for placement on the 
Veterinarians' List are included in a single location for easy 
reference by stakeholders. Category (vii) is included to account for 
Covered Horses that race in Covered Horseraces and non-Covered 
Horseraces over the course of their career. This ensures that any 
Covered Horse placed on any Veterinarians' List--regardless of 
jurisdiction--is accurately captured by the Authority's Veterinarians' 
List.
    Rule 2240(c) is modified to use the phrases ``Responsible Person'' 
and ``Designated Owner'' in place of the words ``trainers and owners.'' 
The essential requirement of the rule remains the same: the Responsible 
Person and Designated Owner are required to be notified within 24 hours 
that their Covered Horse has been placed on the Veterinarians' List. 
The Authority received several comments pertaining to this 24-hour 
notification requirement, asking who is responsible for sending the 
notification as well as the method for notifying the Responsible Person 
and Designated Owner.\108\ Under current practice, notifications are 
being delivered through the Authority's portal to the Responsible 
Person and the Designated Owner (their contact information is on file 
with the Authority) when the Covered Horse is placed on the 
Veterinarians' List for a category that requires the Covered Horse to 
complete a workout for removal from the Veterinarians' List, such as 
Epistaxis, unsoundness, no starts within the last 365 days, and no 
start prior to January 1 of the Covered Horse's 4-year-old year. The 
Authority is currently developing a system to notify the Responsible 
Person and Designated Owner when the Covered Horse is placed on the 
Veterinarians' List for all other reasons. The Authority anticipates 
this notification system will be live when these rules take effect.
---------------------------------------------------------------------------

    \108\ Graham Motion, Tom Robbins, Breeders' Cup, ROCO, Dr. Lynn 
Hovda, and a comment submitted jointly by submitted by NYRA, Del 
Mar, Keeneland, Churchill Downs, Breeders' Cup, and 1/ST Racing.
---------------------------------------------------------------------------

2241. Duration of Stay on the Veterinarians' List
    Rule 2241 specifies the duration of periods for which Covered 
Horses must remain on the Veterinarians' List. The provisions 
concerning multiple placements on the Veterinarians' List for 
unsoundness and Epistaxis remain essentially the same--multiple 
placements on the Veterinarians' List within a 365-day period could 
subject the Covered Horse to an extended period of time on the 
Veterinarians' List. This rule is designed to identify Covered Horses 
that may be at an increased risk of injury and mandate additional 
recovery time.
    Physical distress, medical compromise, injury, infirmity, and heat 
exhaustion are added to illness in paragraph (a)(5) as conditions 
requiring a Covered Horse to remain on the Veterinarians' List for 7 
days. These additions are intended to correct an oversight in the 
original safety rules which did not provide a duration of stay for 
these conditions. The 7-day period on the Veterinarians' List is 
consistent with standard industry practice. The phrase ``a minimum'' is 
also added to this paragraph to provide discretion to the Regulatory 
Veterinarian to extend the duration on the Veterinarians' List.

[[Page 24593]]

    The Authority received a comment in response to paragraph (a)(6), 
questioning whether a Covered Horse is permitted to participate in 
training activities while on the Veterinarians' List following Shock 
Wave Therapy treatment.\109\ The Authority supplemented the language in 
this rule to clarify that Covered Horses treated with Shock Wave 
Therapy are prohibited from participating in a Workout for 14 days. 
This permits the Covered Horse to continue light training while 
undergoing Shock Wave Therapy treatment, which was a request submitted 
by various industry participants.\110\
---------------------------------------------------------------------------

    \109\ Tom Robbins.
    \110\ See, e.g., Dr. Scott Hay.
---------------------------------------------------------------------------

    Language is added to paragraph (a)(7) to incorporate the provisions 
in Rule 4222 of the Anti-Doping and Medication Control Program 
regarding the standdown times following administration of an intra-
articular injection to a Covered Horse. The Authority believes the use 
and regulation of intra-articular injections is a safety issue that is 
best addressed in the Rule 2000 Series. This paragraph (a)(7) requires 
Covered Horses administered any intra-articular injection to be placed 
on the Veterinarians' List for 14 days and further prohibits the 
Covered Horses from participating in a Workout for 7 days. However, 
consistent with Rule 2271(a)(12), if the Covered Horse is administered 
a corticosteroid intra-articular injection in the fetlock joint, the 
duration on the Veterinarians' List is extended to 30 days.
    The Authority received a question asking whether a Covered Horse 
may apply to perform a Workout 7 days into the 14-day period on the 
Veterinarians' List following administration of an intra-articular 
injection.\111\ As noted above, this rule has been modified to clarify 
that, with the exception of corticosteroid intra-articular injections 
in the fetlock joint, a Covered Horse may participate in a Workout and 
resume training activities 7 days after being placed on the 
Veterinarians' List.
---------------------------------------------------------------------------

    \111\ Breeders' Cup.
---------------------------------------------------------------------------

2242. Removal of Covered Horses From the Veterinarians' List
    Rule 2242 sets forth the criteria for removal of a Covered Horse 
from the Veterinarians' List. Under the current rule, a process is 
established by which the Trainer and the Attending Veterinarian, after 
observing the horse jog, may submit a co-signed statement that the 
Covered Horse is fit to perform a Workout. New language will address 
diagnostics required by the Regulatory Veterinarian and application by 
the Trainer for permission to perform a Workout, such application to be 
made no less than 48 hours in advance of the Workout. A new provision 
in this rule specifies that: ``If the Covered Horse does not perform 
the Workout for the Regulatory Veterinarian within 7 days, the Trainer 
and Attending Veterinarian must observe the Covered Horse again at the 
jog and submit a new co-signed statement.'' This is to ensure that the 
co-signed statement and Workout are taking place as contemporaneously 
as practically possible to avoid any significant changes to the health 
of Covered Horse between the time of the jog (and co-signed statement) 
and the Workout.
    Under the current rule, a Covered Horse may be released if the 
Regulatory Veterinarian determines that there are no signs of 
Epistaxis, physical distress, medical compromise, or unsoundness. New 
language requires this determination to be made after the Workout, but 
during a period that is no less than 30 minutes and no greater than two 
hours after the Workout.\112\ This range enhances safety and is in the 
best interests of the health and welfare of the Covered Horse.
---------------------------------------------------------------------------

    \112\ This is in response to comments received from Dr. Lynn 
Hovda, Tom Robbins, Dr. Jeff Blea, and a comment jointly submitted 
by NYRA, Del Mar, Keeneland, Churchill Downs, Breeders' Cup, and 1/
ST Racing.
---------------------------------------------------------------------------

    Additional new language requires the collection of a blood sample 
after the Workout, and requires the Regulatory Veterinarian who 
conducts the Workout to communicate the results to the Regulatory 
Veterinarian who placed the Covered Horse on the Veterinarians' List. 
Currently, some racing jurisdictions require a blood test before a 
Covered Horse may be removed from the Veterinarians' List. The 
Authority agrees with this requirement as it enhances equine welfare. 
Thus, the Authority proposes this new requirement as a measure to 
improve equine safety and welfare of Covered Horses and to benefit the 
industry by creating a uniform standard for removal of Covered Horses 
from the Veterinarians' List.
    A new provision, in paragraph (c), states: ``A Covered Horse which 
has not started in more than 365 days or has not made a start prior to 
January 1 of its 4-year-old year may perform a Workout in the presence 
of the Regulatory Veterinarian beginning 335 days since its last start 
or, if unraced, December 1st of its 3-year-old year. If the Covered 
Horse has not started within 60 days of being released by the 
Regulatory Veterinarian, the Covered Horse must fulfill the 
requirements in 2242(a) again.'' This ``pre-clearance process'' is 
proposed at the request of stakeholders and provides a mechanism 
whereby the Covered Horse may complete a Workout and submit to a blood 
sample beginning 335 days since the last start. If cleared by the 
Regulatory Veterinarian, the Covered Horse will be permitted to enter a 
race immediately (provided it is no later than 60 days from the date 
the Covered Horse was cleared by the Regulatory Veterinarian) as 
opposed to starting or restarting the clearance process beginning on 
day 365 or later. The practical effect is that horses that are 
approaching race readiness will not have an additional wait time 
imposed if they can be pre-authorized. The time between requesting an 
appointment to work off the Veterinarians' List, being cleared by the 
testing lab, and having the right race come up for entry can be in 
excess of 30 days. The 60-day reset is consistent with pre-existing 
standard industry practice.
    The following language is to be deleted from the rule: ``In 
addition to the requirements set forth herein and any requirements of 
the Protocol, if a Horse is placed on the Veterinarians' List for a 
positive test or overage of a primary substance invoking a mandatory 
stand down time, a positive Out-of-Competition test, or any other 
veterinary administrative withdrawal, the Horse shall be prohibited 
from entering a Race and may be released from the Veterinarians' List 
only after also undergoing a post-Workout inspection by the Regulatory 
Veterinarian.'' As noted above, the Authority is deleting language from 
Rule 2240 regarding the placement of Covered Horses on the 
Veterinarians' List for positive tests. Accordingly, the Authority 
proposes deletion of the language in Rule 2242 concerning the 
corresponding procedures for removal of these horses from the 
Veterinarians' List.
    Multiple commenters requested clarification as to the permitted 
activities while a Covered Horse is on the Veterinarians' List.\113\ 
Placement on the Authority's Veterinarians' List restricts a Covered 
Horse from participating in a Covered Horserace during the applicable 
period of time but, unless expressly prohibited in the rules, the 
Covered Horse may participate in a Workout and other training 
activities.
---------------------------------------------------------------------------

    \113\ Breeders' Cup and the Kentucky Horse Racing Commission.

---------------------------------------------------------------------------

[[Page 24594]]

2250. Covered Horse Treatment History and Records
2251. Veterinary Reports
    Rule 2251 sets forth the reporting requirements imposed upon 
Veterinarians who treat Covered Horses. The current rule specifies the 
information that must be provided; these requirements are modified to 
apply to ``treatments, procedures, and surgeries performed at a 
location licensed by a State Racing Commission or a Training 
Facility.'' An additional category is established in new paragraph (c): 
``For treatments, procedures, and surgeries performed at a location 
that is not a Training Facility or is not licensed by a State Racing 
Commission, and in addition to the information required to be submitted 
by Veterinarians pursuant to Rule Series 3000, every Veterinarian who 
examines or treats a Covered Horse shall, within 24 hours of ambulatory 
care, outpatient care, or discharge from a clinic or hospital, submit 
to the Authority the following information in an electronic format 
designated by the Authority:. . .'' In response to industry feedback, 
the Authority proposes separate reporting requirements to ease the 
administrative burden on referral clinics and other medical facilities 
that are not licensed by the State Racing Commission. In some 
instances, these clinics may be providing multiple treatments per day 
to a Covered Horse. To reduce their compliance obligation, the 
Authority has limited the reporting requirements of these facilities to 
information that is relevant to racing eligibility and the safety and 
health of Covered Horses.
    A commenter suggested that ``all HISA Registered Vets'' should be 
included at the beginning of paragraph (a) of this Rule.\114\ All 
veterinarians that treat Covered Horses are required to register with 
the Authority. Thus, the Authority does not believe the addition of 
this language is necessary. Moreover, the Authority does not want to 
exclude unregistered veterinarians from reporting information to the 
Authority pertaining to the treatment of Covered Horses. Another 
commenter asked what is meant by the term ``treatments'' as used in 
this rule.\115\ This term is intended to capture the types of treatment 
or practices that would require the Veterinarian to generate a written 
record under applicable state veterinary laws.
---------------------------------------------------------------------------

    \114\ The Jockey Club.
    \115\ Keeneland.
---------------------------------------------------------------------------

    Finally, the Authority is proposing new language to this Rule to 
explicitly authorize it to utilize the information included in the 
treatment records for purposes of research conducted by the Authority 
in accordance with its mandate under the Act.
2252. Responsible Persons' Records
    Rule 2252 imposes upon Responsible Persons the requirement to 
maintain specified categories of records of medical, therapeutic, and 
surgical treatments and procedures for every Covered Horse under their 
control. The rule specifies that treatment includes ``the 
administration of medications that are prescribed by a Veterinarian but 
administered by the Responsible Person or the Responsible Person's 
designee . . . and specifically excludes medications or procedures 
directly administered by a Veterinarian.'' The Authority proposes 
deleting all references to ``Veterinarians licensed by the State Racing 
Commission'' as duplicative of the definition of Veterinarian in Rule 
1020, which already includes a licensing requirement.
    A commenter questioned whether the current version of (b)(3) 
(``specifically excludes medications or procedures directly 
administered by a Veterinarian. . . .'') contradicts with the wording 
in Rule 3040(8).\116\ The Authority agrees with this comment and has 
revised (b)(3) to include the introductory phrase ``notwithstanding 
Rule 3040(8)'' to avoid any potential conflict between the rules.
---------------------------------------------------------------------------

    \116\ HBPA.
---------------------------------------------------------------------------

    Additional language is added to clarify that the approval of the 
Authority is required for State Racing Commissions and Stewards to 
access treatment records, and that no provision of the rules shall 
limit the Authority's use of records submitted under the Rule 2000 
Series. These changes are made to ensure the Authority may use the 
information for purposes of research conducted by the Authority in 
accordance with the Horseracing Integrity and Safety Act to enhance the 
safety and welfare of Covered Horses.
2253. Records for Covered Horses Shipping to the Racetrack
    The Authority proposes a few modifications to Rule 2253 pertaining 
to records for Covered Horses shipping to a Racetrack. Currently, the 
rule requires the Responsible Person to maintain specified treatment 
information regarding the Covered Horse for the ``previous thirty (30) 
days.'' The Authority proposes removing this requirement to ensure all 
treatment information is being maintained by the Responsible Person. 
Moreover, the Authority proposes the addition of new categories of 
information to be maintained by the Responsible Person, including daily 
logs of exercise activities and daily logs of treatments and 
procedures. Finally, consistent with Rule 2251 and Rule 2252, the 
Authority has proposed new language authorizing it to use the 
information for purposes of research in accordance with the Act.
    A commenter asked whether the trainer is responsible for 
maintaining these records or whether this rule requires submission to 
the Authority or someone else.\117\ This Rule 2253 requires the 
Responsible Person to obtain and maintain the information set out in 
the Rule; there is no language in this Rule requiring the information 
to be submitted to the Authority, though the Authority may request the 
information at any time.
---------------------------------------------------------------------------

    \117\ ROCO.
---------------------------------------------------------------------------

2260. Claiming Races
2261. Transfer of Claimed Covered Horse Records
    Claiming races are races in which horses entered in the race may be 
purchased for the claiming price by a new trainer/owner. The horse 
becomes the property of the new trainer/owner as soon as the horse 
leaves the starting gate in the race. In the case of a successful claim 
(horse purchase), Rule 2261 effects transfer of medical records of the 
horse to the new trainer/owner. Knowledge of the past medical history 
provides information to the new trainer/owner so that the horse may be 
managed appropriately, given its history, and obtain the best training 
and medical care for the horse's optimal health. The proposed 
modifications to this Rule clarify the records to be transferred to the 
new owner as well as the process for effectuating the transfer of 
information.
2262. Void Claim
    Rule 2262 contains the Authority's void claim rule. The rule 
currently in effect provides the claim exceptions that if the horse 
dies, is euthanized, is vanned off (due to the inability of the horse 
to exit the racecourse), becomes unsound or medically compromised, 
bleeds from the nostrils (and presumably the lungs) after the race, or 
has a positive drug test, then transfer of the horse does not occur. 
The rule protects the purchaser of the horse from acquiring an injured, 
compromised, or dead horse and provides disincentives to trainers/
owners to enter a horse that is compromised from latent injury or 
ailment in a race with the intent for another trainer/owner to take 
responsibility by claiming the horse in

[[Page 24595]]

the race. The rule does permit the claimant the option not to void the 
claim if, prior to the race in which the Covered Horse is claimed, the 
claimant elects to claim the Covered Horse by checking the appropriate 
box on the claim slip regardless of whether the Regulatory Veterinarian 
determines the Covered Horse will be placed on the Veterinarians' List 
for Epistaxis or as unsound or lame. The option not to be voided by the 
potential new trainer/owner is useful in circumstances in which a 
compromised horse may be rehabilitated after the race, or where the new 
trainer/owner desires to acquire a horse for breeding purposes as 
opposed to continuing to train and race.
    The void claim rule protects Covered Horses from being raced when 
they are not physically or medically fit to do so. The rule protects 
Covered Persons from purchasing a compromised horse. Racetracks, racing 
commissions, and the racing industry benefit because compromised horses 
in races are more likely to suffer a catastrophic injury, and thus the 
rule prevents some catastrophic or career ending injuries. The rule is 
now modified in a number of ways to enhance equine safety.
    The current rule requires the claimed horse to go to the test barn 
for observation by the Regulatory Veterinarian. New provisions are 
added that provide more detailed requirements for the observation. A 
modification specifies that the horse may be sent to a test barn ``or 
approved secured area,'' since the test barn at some Racetracks is not 
large enough to accommodate claimed horse inspections. New provisions 
include a minimum period of 30 minutes during which the horse shall be 
periodically observed, unless excused by the Regulatory Veterinarian; a 
requirement that the horse be jogged to determine if the horse exhibits 
signs of Epistaxis or is unsound or lame; and a specific direction that 
the horse be observed for Epistaxis, or any other clinical 
abnormalities. If a horse is placed on the Veterinarians' List for 
Epistaxis, or is unsound or lame, a new rule requires the Regulatory 
Veterinarian to inform the Stewards, who may order the claim to be 
voided.
    Current language has been re-worked and new provisions added 
stating that if a post-race sample collected from a horse that is 
claimed results in an Adverse Analytical Finding (as that term is 
defined in the Rule 1000 Series), the claimant is provided 48 hours to 
exercise the option to void the claim. This rule was the subject of 
much analysis and consideration during its development, and comments 
expressed a number of divergent views concerning the rule. If a 
Prohibited Substance is determined to be present in the Covered Horse, 
the claimant should have the option to void the claim in part because 
the Prohibited Substance may have enhanced the performance of the 
horse. Claimants should have the option to void the claim under these 
circumstances, since the horse's performance in the race is not 
reflective of its actual abilities in a race. However, in those 
instances in which the Prohibited Substance does not alter the value of 
the horse to the claimant, the claimant should have the option to keep 
the horse. This might be the case if the claimant desires to purchase 
the horse for breeding purposes, rather than to run the horse in future 
races.
    New provisions are added that specify that the claim may not be 
voided if the Covered Horse makes a start under the new owner, if the 
new owner fails to exercise due care in maintaining and boarding the 
Covered Horse, makes material alterations to the horse, or if the 
Covered Horse dies or is euthanized, as these acts demonstrate an 
intent on the part of the claimant to exercise ownership of the horse 
and could result in physical changes to the horse. The meaning of the 
term ``material alterations'' is left open-ended to provide flexibility 
in its application to varied circumstances that can constitute and 
alteration.
    Finally, a new provision is added to permit the claimant whose 
claim is voided to recover all sums paid, as well as reasonable 
expenses incurred for care of the horse while the horse was in the 
care, custody, and control of the claimant. This conforms with pre-
existing industry practice.
2263. Waiver Claiming Option
    Under the Waiver Claiming Option Rule, if a horse trainer/owner has 
rehabilitated a horse and wishes to start the horse in a race, the 
trainer/owner can start the horse in a claiming race without the 
possibility of the horse being claimed by another trainer/owner. This 
allows a horse trainer/owner to take time to rehabilitate a horse and 
then start the horse in a race without the possibility of losing the 
horse to another trainer/owner. The rule incentivizes trainers/owners 
to rehabilitate horses for long term health and an extended racing 
career. A new provision is added which allows a Responsible Person to 
declare a Covered Horse to be ineligible to be claimed for a second 
consecutive race provided certain conditions are met, including (1) the 
waiver was asserted in the first race back; (2) the horse does not win 
its first race back; (3) no change in majority ownership; and (4) the 
horse is entered in a claiming race with a claiming price equal to or 
greater than the claiming price for which it last started. Permitting a 
second consecutive waiver encourages owner/trainer continuity and is in 
the best interest of the Covered Horse.
2270. Prohibited Practices and Requirements for Safety and Health of 
Covered Horses
2271. Prohibited Practices
    This rule regulates the use of practices that: (1) mask pain to 
allow horses to train and race with injuries or joint disease (e.g., 
neurectomy, shock wave therapy, electrical medical devices); (2) induce 
inflammation and pain with the intent to speed healing of injured 
structures (e.g., pin-firing); or, (3) cause pain to stimulate a horse 
to run faster (e.g., electrical shock). Certain specific practices 
(such as shock wave therapy) are also addressed in specific rules in 
this section. The rule is intended to prevent abuse of racehorses by 
preventing the masking of pain that allows horses to train and race 
while injured, and by preventing the stimulation of pain to coerce 
racehorses to perform beyond their athletic potential. Inhumane and 
dangerous practices on racehorses will be prevented.
    This rule also prohibits horses within the foal crop of 2023 or 
later from participating in a Covered Horserace or a Timed and Reported 
Workout if they have been subject to pin-firing of any structure or 
freeze-firing of the shins (dorsal surface of the third metacarpal/
metatarsal bones). These procedures are associated with permanent, 
material alterations to the horse and this rule is designed to deter 
owners, trainers, and veterinarians from performing these practices on 
future Covered Horses.
    Paragraph (a)(9) is modified to prohibit use of any medical 
therapeutic device requiring an external power source within 48 hours 
prior to the start of the published post time for which a Covered Horse 
is scheduled to race. The Authority received two comments suggesting 
the addition of ``battery operated devices'' to this list; however, the 
Authority believes these devices are already captured by the rule as 
written.\118\
---------------------------------------------------------------------------

    \118\ Dr. Lynn Hovda and a comment jointly submitted by NYRA, 
Del Mar, Keeneland, Churchill Downs, Breeders' Cup, and 1/ST Racing.
---------------------------------------------------------------------------

    Sections (a)(11) and (a)(12) of the rule contain mandatory 
standdown times following the administration of an intra-articular 
injection. Any Covered Horse treated with any intra-articular injection 
of any joint shall not be permitted to

[[Page 24596]]

perform a Workout for 7 days following treatment or participate in a 
Covered Horserace for 14 days following treatment. However, if the 
Covered Horse is treated with a corticosteroid intra-articular 
injection of the metacarpophalangeal or metatarsophalangeal joint, the 
horse shall not be permitted to perform a Workout for 14 days following 
treatment or participate in a Covered Horserace for 30 days following 
treatment. One commenter opposed this increased standdown time for 
fetlock joint injections, claiming that these joints should be treated 
the same way as other joints.\119\ The Authority disagrees. 
Approximately 50 percent of musculoskeletal fatalities are attributable 
to an injury to the fetlock joint. The administration of 
corticosteroids to the fetlock joint can alleviate inflammation and 
pain associated with abnormalities that promote injury in this joint, 
leading to potential overexertion, injury, and catastrophic breakdown. 
Introduction of a mandatory standdown time from training and racing 
activities provides an additional safety margin for horses to recover 
from abnormalities that promote injury and reduce susceptibility to 
catastrophic injury to this high-risk joint.
---------------------------------------------------------------------------

    \119\ Dr. Scott Hay.
---------------------------------------------------------------------------

    One commenter stated that the increased standdown time for fetlock 
joint injections should be limited to corticosteroids.\120\ The 
Authority agrees with this recommendation and the proposed language 
limits the increased standdown time to corticosteroid injections.
---------------------------------------------------------------------------

    \120\ Dr. Jeff Blea.
---------------------------------------------------------------------------

    Finally, a new penalty section sets forth escalating fines and 
suspension periods to be assessed against the Responsible Person for 
successive violations within a 365-day period. In addition, if the 
Covered Horse involved is the subject of two or more violations with a 
365-day period, the Covered Horse may be placed on the Veterinarian's 
List for 30 days.
2272. Shock Wave Therapy
    This rule regulates the use and monitoring of a treatment (Shock 
Wave Therapy) used on bone, tendon, and ligament injuries. Shock Wave 
Therapy can also provide pain relief that allows affected horses to 
continue to train and race on a mild injury. Continued training and 
racing on a mild injury could precipitate a career ending or 
catastrophic injury. The rule addresses the problem by closely 
monitoring treatments and requiring treated horses to refrain from 
training at high speed or racing until an appropriate time for 
rehabilitation of the injury that was treated. The rule enhances safety 
of Covered Horses by reducing the incidence of career ending and 
catastrophic injuries. Because Jockey injuries are associated with 
horse falls due to catastrophic injuries during high-speed training and 
racing, the rule also enhances Jockey safety and welfare.
    There are new reporting requirements incorporated into this rule. 
The industry has long recognized the concern that underreported Shock 
Wave treatments could be associated with equine musculoskeletal injury. 
Administration of Shock Wave Therapy must be reported by the treating 
Veterinarian to the Authority within 24 hours after treatment and by 
the Responsible Person to the Regulatory Veterinarian within 48 hours 
after treatment. This dual-reporting requirement is essential for 
promoting Rider and equine welfare and ensures the Covered Horse is 
placed on the Veterinarians' List following Shock Wave Therapy 
treatment.
    This rule also contains a slight expansion to the registration 
requirement for machines used to administer Shock Wave treatment. The 
rule now makes clear that these machines are required to be registered 
with the Authority, if they are being used to treat Covered Horses. The 
Authority's previous registration requirements reflected the industry's 
interest in understanding the locations where Shock Wave treatments 
were being administered. Knowing that Shock Wave treatment machines are 
in use at facilities not licensed by State Racing Commissions, this new 
registration requirement is intended to extend the industry's pre-
existing registration requirements to include unlicensed locations.
    Finally, this rule contains enhanced penalties for a failure to 
report Shock Wave Therapy treatment. A commenter expressed concern over 
the leniency of the existing penalties for a failure to report 
treatment, which included a 5-day suspension for a first offense.\121\ 
The commenter urged the Authority to adopt the penalty schedule 
established in the ARCI Model Rules, which carries a minimum 1-year 
suspension and $10,000 fine for a first offense. The Authority agreed 
that enhanced penalties are in the best interests of Covered Horses and 
Riders and has proposed a penalty structure that more closely aligns 
with the ARCI Model Rules.
---------------------------------------------------------------------------

    \121\ The Jockeys' Guild.
---------------------------------------------------------------------------

2273. Other Devices
    This rule currently prohibits the possession of any device which is 
designed to increase or retard the speed of a Covered Horse, with the 
exception of riding crops. The rule is in place in all US racing 
jurisdictions. The penalty for noncompliance is not standard across 
jurisdictions and varies from a 10-year loss of racing license to 
suspensions and fines. The rule is intended to standardize the language 
nationally and standardize sanctions. Stewards will have national 
standardized language and sanctions when adjudicating cases and issuing 
sanctions. Covered Persons will know that the industry considers the 
use of performance-affecting devices a serious issue.
    Initially, the rule was intended to cover horses in racing and 
training. Now the coverage of the rule is expanded to embrace horse 
welfare in the context of any use of prohibited devices upon Covered 
Horses. The rule is modified to prohibit devices that are ``purchased, 
designed, or used with the intent'' to retard or increase the speed of 
a Covered Horse. This will preclude, for example, use of a cattle prod 
on the grounds, even though a cattle prod is not specifically designed 
to be used on a horse. The phrase ``or during a Workout'' is deleted as 
unnecessary due to the fact workouts are conducted on Racetrack 
grounds.\122\
---------------------------------------------------------------------------

    \122\ A comment by the CHRB prompted deletion of the reference 
to ``Workout.''
---------------------------------------------------------------------------

    A commenter suggested that various specific items that might be 
used as prohibited devices be specifically listed.\123\ The Authority 
prefers to the more flexible language referring to ``electrical, 
mechanical, or other devices,'' as it expresses more broadly any type 
of device is prohibited that may be used to retard or increase the 
speed of a Covered Horse and will also capture devices that are not 
currently known by the Authority.
---------------------------------------------------------------------------

    \123\ ROCO.
---------------------------------------------------------------------------

2274. Other Device Penalties
    Rule 2274, which provides the penalties for violation of Rule 2273, 
is modified to impose restrictions upon registration with the Authority 
as the penalty for violations of Rule 2273. The modification deletes 
the reference to loss of eligibility ``to obtain a racing license in 
all racing jurisdictions.'' The change is made because restrictions 
upon registration with the Authority are more appropriate penalties 
imposed by the Authority.

[[Page 24597]]

2275. Communication Devices
    Rule 2275, which regulates the use of communication devices by 
Riders, is modified to clarify that the prohibition upon the use of a 
hand-held communication device applies to a Rider who is mounted on a 
``Covered Horse or Pony Horse.'' Two commenters questioned whether this 
rule should be revised to clarify whether this prohibition applies to 
just the racing surface or all areas of the racetrack.\124\ The term 
``Rider'' is limited to persons mounted on a Covered Horse or Pony 
Horse on the racing surface. Therefore, the rule is already clear that 
the prohibition on the use of hand-held communication devices applies 
just to the racing surface.
---------------------------------------------------------------------------

    \124\ Dr. Jeff Blea and 1/ST Racing.
---------------------------------------------------------------------------

    Several commenters expressed concerns that the rule might prohibit 
the use of two-way radios entirely.\125\ The rule does not prohibit 
two-way radios that, as an example, clip onto a vest and are equipped 
with a shoulder microphone. The purpose of the rule is to prohibit the 
use of devices that are hand-held and interfere with a Rider's control 
of the horse.
---------------------------------------------------------------------------

    \125\ Barbara Borden, ROCO, Jockeys' Guild, The Jockey Club.
---------------------------------------------------------------------------

    In addition to the above, a new provision is added that states: ``A 
Rider, while on a Covered Horse or Pony Horse, shall not wear an audio 
device that obstructs or impairs the Rider's ability to hear other 
horses, Riders, hazards, or the Racetrack's emergency warning system.'' 
This rule does not prohibit the use of hearing aids, which enhances 
hearing, but rather is intended to prohibit, for example, audio devices 
on both ears with noise cancelling features.
2276. Horseshoes
    The rule limits the height of rims used as traction devices on 
forelimb and hindlimb horseshoes. The rule prohibits use of any other 
traction devices except in specific circumstances. Traction devices 
affect the interaction of the hoof with the racetrack surface, altering 
movement of the hoof through the racetrack surface. That reduction of 
movement contributes to catastrophic breakdowns and skeletal injuries. 
The rule follows the scientific evidence that shows that traction 
devices increase equine injuries. The rule is intended to increase the 
safety of Riders and Covered Horses by reducing the number of accidents 
resulting from injuries associated with the use of traction devices. 
The rule will standardize traction device use nationwide.
    The Authority proposes modifications to this Rule to establish 
specific prohibitions on the use of traction devices based on the type 
of racing surface (dirt, synthetic, and turf). A commenter requested 
clarification as to whether certain inserts and wear plates would be 
considered a prohibited traction device under this rule.\126\ The 
Authority has addressed this question through the creation of a new 
definition for ``Traction Device'' in the definitions section of Rule 
2010. This definition clarifies that ``Traction Device'' includes ``any 
device that extends beyond the ground surface of the horseshoe and 
includes but is not limited to inserts, wear plates, rims, toe grabs, 
bends, jar calks, stickers, ice nails, frost nails, and mud nails.''
---------------------------------------------------------------------------

    \126\ Dan Burke.
---------------------------------------------------------------------------

2280. Use of Riding Crop
    Allowing use of the crop enhances safety of Covered Horses and 
Riders. The rule limits the number of times the crop can be used for 
encouragement. The rule unifies crop design and use of the crop across 
all jurisdictions. The rule unifies penalties for crop abuse or use of 
prohibited devices across jurisdictions. There has been heated debate 
about use of the riding crop, especially for encouragement. Some 
believe the new crops do not hurt the horse at all, while others remain 
concerned about the public perception of using a crop for 
encouragement. The rule allows riding crop use for safety of the horse 
and Jockey. It also limits the number of times the crop can be used for 
encouragement during a race. This compromise of use of the crop for 
safety, and limited use for encouragement that will be unified across 
racing jurisdictions is in the best interest of the horses, horsemen, 
the owners, the Jockeys, the betting public, racing commissions, and 
the general public. The rule is intended to protect horses from 
excessive use of the crop. Jockeys will have a clear understanding of 
crop use rules and will be able to adapt their usage due to uniformity 
of the rules.
    The Authority proposes additional language clarifying that a tap to 
the shoulder of the horse is permitted and does not count towards the 6 
permitted uses of the crop as set forth in Rule 2280. The Rule is 
modified to make clear that the rule applies to Jockeys who use a 
riding crop on a ``Covered Horse.'' A new provision is added that 
prohibits a Jockey from striking a Covered Horse with any other object 
than a riding crop that conforms to the requirements established in 
Rule 2281.
    Commenters urged that additional strikes be permitted depending 
upon the length of the race, or that the number of permitted strikes be 
increased under varying circumstances.\127\ The Authority believes that 
6 strikes is an appropriate limit, and that the length of the race is 
less significant as most crop use takes place in the final stretch. The 
Authority also notes that the exception concerning use of the crop for 
safety purposes provides proper flexibility in the use of the crop.
---------------------------------------------------------------------------

    \127\ The Jockeys' Guild, HBPA, Christine Sanchez.
---------------------------------------------------------------------------

    Commenters suggested that the language in this rule be modified to 
make clear that the riding crop rules apply only to Covered Horseraces 
so that Racetracks and State Racing Commissions can further limit the 
use of the crop during training activities.\128\ The Authority believes 
this is an appropriate modification and has revised this rule to 
clarify that it only applies ``during a Covered Horserace.''
---------------------------------------------------------------------------

    \128\ Comment jointly submitted by NYRA, Del Mar, Keeneland, 
Churchill Downs, Breeders' Cup, and 1/ST Racing.
---------------------------------------------------------------------------

2281. Riding Crop Specifications
    The Authority proposed numerous modifications to Rule 2281. 
Paragraph (c) is modified to include the word ``flap'' in addition to 
``smooth foam cylinder'' to permit the use of riding crops that 
incorporate a flap, rather than a foam cylinder. This will permit the 
use of additional riding crops which may be used safely and effectively 
by Jockeys. Paragraph (c)(6) is modified to require riding crops to 
``have a mark identifying the name and manufacturer of the crop.'' This 
language was suggested by a commenter and will assist in ensuring 
compliance with the riding crop specifications.\129\ The requirement 
that the riding crop bear a label stating that the riding crop meets 
the Rule 2281 standards is deleted as unnecessary.
---------------------------------------------------------------------------

    \129\ The Jockeys' Guild.
---------------------------------------------------------------------------

    A commenter suggested that the rule explicitly require riding crops 
to be tested for durability and use.\130\ The Authority appreciates the 
comment. There are currently no standards for durability testing of 
crops. The Authority has initiated the process for development of a 
durability test and will reconsider this comment when an appropriate 
test is available.
---------------------------------------------------------------------------

    \130\ Id.
---------------------------------------------------------------------------

2282. Riding Crop Violations and Penalties
    The proposed modification for Rule 2282 will alter the system of 
penalties applicable to riding crop violations. The new system 
establishes a scale of

[[Page 24598]]

penalties that escalate in severity as the purse value of the race 
increases. Some members of the industry believe that the imposition of 
the same penalties upon Jockeys regardless of purse size, is too severe 
as applied to Jockeys running at small tracks for small purses, and 
that the Jockeys running in high stakes races should be penalized more 
heavily for violations. The rule will be based upon five tiers of purse 
levels, and will impose fines, suspensions and disqualifications that 
are tailored to the particular tier. The rule will benefit Jockeys and 
other Covered Persons by ensuring that riding crop violations result in 
meaningful penalties that are fairly administered. The number of riding 
crop violations has declined significantly since the implementation of 
the riding crop rule on July 1, 2022. The Authority believes that the 
rule is having the desired effect upon excessive use of the crop at 
Covered Horseraces.
    A commenter suggested increasing the purse level on the lowest 
tier, which is set at $9,000.00 in the proposed rule.\131\ The 
Authority believes the current purse levels as matched with penalties 
are appropriate and fair to Jockeys at all levels of competition. 
Another commenter opined that horses should not be disqualified as part 
of the penalty against the Jockey.\132\ The Authority believes the 
penalty of disqualification is appropriate as applied to violations by 
the penalty scheme. Among other things, this penalty disincentivizes 
trainers/owners from encouraging Jockeys to violate the crop rule for 
purposes of winning races, and in some instances paying the jockey 
penalty for the Jockey. The Authority's Racetrack Safety Committee 
studied all aspects of the riding crop rule thoroughly and over a 
prolonged period, and received a great deal of comment and advice from 
Jockey experts in the industry. The Authority believes the penalties 
achieve an equitable balance as applied to all Jockeys.
---------------------------------------------------------------------------

    \131\ Breeders' Cup.
    \132\ HPBA.
---------------------------------------------------------------------------

    Another commenter asked who is responsible for adjudicating the 
initial violation of the riding crop rule.\133\ This question is 
addressed by Rule 8320, which states that the Stewards shall adjudicate 
all alleged violations of Rule 2280 relating to the use of the riding 
crop.
---------------------------------------------------------------------------

    \133\ Keeneland.
---------------------------------------------------------------------------

2283. Multiple Violations
    Rule 2283 is modified by the establishment of a new set of rules 
concerning multiple violations of the Rule 2280 riding crop rules. The 
point system in the current rule will be deleted, and replaced by a 
system in which an escalating multiplier is applied to repeated 
violations in the previous 180 days. A commenter has urged that the 
severity of the penalties is excessive.\134\ The Authority closely 
studies and monitors the riding crop use and the imposition of 
appropriate penalties, and will consider all views expressed by members 
of the industry. As one commenter noted, ``multiple violation penalty 
rules for riding crop violations were recommended to better ensure 
compliance, deter excessive use of the riding crop, and give teeth to 
the new requirements.'' \135\ The Authority agrees. The Authority 
believes that the riding crop rule is operating very effectively as a 
deterrent, and this multiple violation rule is vital to the safety and 
welfare of Covered Horses as it disincentivizes ``jockeys who routinely 
flout the new riding crop rules.'' \136\
---------------------------------------------------------------------------

    \134\ The Jockeys' Guild.
    \135\ THA.
    \136\ Id.
---------------------------------------------------------------------------

2284. Redistribution of Purse
    Rule 2284 is a proposed new rule, which states: ``Upon the 
disqualification of a Covered Horse from a Covered Horserace pursuant 
to the Rule 2000 Series, the purse shall be redistributed in accordance 
with the revised order of finish.'' The rule is meant to resolve any 
confusion concerning whether post-race redistribution of purses should 
be carried out by the Stewards upon disqualification of a horse under 
the Rule 2000 Series; the rule affirmatively requires the 
redistribution of the purse in accordance with the order of finish.
2285. Intermediate Appeal of Violations
    A new proposed Rule 2285 establishes a level of intermediate appeal 
of rulings issued to Jockeys by the Stewards for violations of the 
riding crop provisions in Rules 2280 and 2281. The rule provides that 
the appeals shall be heard initially by a three-member appeal panel 
appointed from the pool of adjudicators who constitute the Internal 
Adjudication Panel as established under the Rule 7000 Series. Any 
decision rendered by the Internal Adjudication Panel is appealable to 
the Board of the Authority, who may hold a hearing on the matter, or in 
the alternative may decide the appeal based upon the record and any 
written submissions required to be filed by the Board. The Board also 
has the option to adopt the decision of the Internal Adjudication 
Panel. The rule will benefit Jockeys by affording a prompt appeal to 
the Internal Adjudication Panel. The expeditious nature of the appeal 
process will benefit the administration of the riding crop rule 
generally, a rule which is vital to serve the safety and welfare of 
Covered Horses.
2286. Procedures for Adjudications of Violations in the Rule 2200 
Series
    New proposed Rule 2286 is strictly procedural in nature, and 
establishes that the violation cases referred to the Internal 
Adjudication Panel or an Arbitral Body pursuant to Rules 8320(b)(1) and 
(b)(2) shall be adjudicated according to the procedures set forth in 
Rule 8340(c) through (j).\137\ The Rule 8340 procedures are a 
comprehensive set of rules that will provide the necessary structure 
for efficient administration of appeals by the Internal Adjudication 
Panel and the Arbitral Body.
---------------------------------------------------------------------------

    \137\ The Internal Adjudication Panel is also referred to as the 
National Stewards Panel throughout the Authority's Rule Series. The 
Authority's proposed modifications to its various Rule Series 
include updating all references to the National Stewards Panel to 
the Internal Adjudication Panel.
---------------------------------------------------------------------------

2287. Provisional Suspension of Registration
    This proposed Rule 2287, Provisional Suspension of Covered Person's 
Registration, was distributed for public comment in July 2023. The 
Authority received numerous comments and made significant revisions to 
address the concerns raised in the industry comments. Under this rule, 
the Authority may issue a show-cause notice concerning a provisional 
suspension of a Covered Person's registration if the Authority or the 
Stewards have reasonable grounds to believe that the actions or 
inactions of a Covered Person present an imminent danger to the health, 
safety, or welfare of Covered Horses or Riders arising from specific 
violations by the Covered Person of the Authority's safety rules. The 
show-cause notice will include an itemization of the rules which the 
Covered Person is believed to have violated, the corrective actions 
suggested to achieve compliance, a request for a written response from 
the Covered Person, and a statement indicating that the Covered Person 
may request a provisional hearing within 3 days of receipt of the 
notice. The Covered Person's registration would not be suspended during 
the time between receipt of the show-cause notice and the provisional 
hearing unless the Stewards or the Authority have clear and convincing 
evidence that the actions or inactions of the Covered Person present

[[Page 24599]]

an immediate threat of serious injury or death to Covered Horses or 
Riders.
    A Covered Person who has received a show-cause notice or whose 
registration has been provisionally suspended is entitled to a 
provisional hearing to be conducted by the Internal Adjudication Panel, 
an independent Arbitral Body, the state Stewards, or a panel of 3 board 
members appointed by the Board chair. The provisional hearing would be 
conducted within 3 business days of receipt by the Authority of the 
Covered Person's request for a provisional hearing. The sole issue to 
be determined at the provisional hearing is whether the Covered 
Person's provisional suspension of registration shall remain in effect, 
go into immediate effect following the provisional hearing, be stayed 
pending a final hearing under this rule, or be withdrawn. The burden is 
on the Authority to demonstrate good cause why the provisional 
suspension should remain in effect, go into immediate effect, or be 
stayed pending a final adjudication. Within 72 hours of the conclusion 
of the provisional hearing, the adjudicatory panel will issue a written 
decision determining whether the provisional suspension shall remain in 
effect, go into immediate effect, be stayed pending a final 
adjudication, or be withdrawn.
    The Covered Person may seek prompt review of any decision rendered 
at the provisional hearing by requesting a final hearing, which will 
take place within 14 days of the Covered Person's request for a final 
hearing. The final hearing will be conducted by a quorum of the Board 
and, if the provisional hearing was conducted by a panel of Board 
members, the Board members that participated in the provisional hearing 
would be precluded from participating in the final hearing. The final 
hearing will be conducted pursuant to the procedural rules established 
in Rules 8340(d) through (j), which provide for a full presentation of 
evidence and place the burden on the Authority to demonstrate, by a 
preponderance of the evidence, that the Covered Person is in violation 
of the Authority's safety rules.
    Within 7 days of the conclusion of the final hearing, the Board may 
(1) order that the Covered Person's registration be reinstated, 
suspended, or revoked; (2) reinstate registration subject to any 
requirements the Board deems necessary to address the specific safety 
violations; and/or (3) impose a fine in an amount not to exceed 
$50,000. The outcome of the final hearing of the Authority will be 
considered a final civil sanction subject to appeal and review in 
accordance with the provisions of 15 U.S.C. 3058.
2290. Requirements for Safety and Health of Riders
2291. Jockey Eligibility
    Rule 2291 requires that a Jockey have a physical examination, 
including baseline concussion testing, in order to be eligible to ride 
in races. The rule ensures that Jockeys are physically fit and capable 
of riding without endangering themselves or other participants during a 
race.
    Rule 2291 is modified to make more explicit the requirements for 
the physical examination and baseline concussion test required of 
Jockeys on an annual basis or more frequently as needed following 
illness, injury, or other circumstances impacting a Jockey's fitness to 
participate. The modified rule will serve to specify the concussion 
assessment tools applicable to the baseline concussion test. New 
provisions are added by the modified rule that require Jockeys to 
submit to the Authority documentation concerning fitness to ride, 
physical examination and the concussion test.
    Some commenters raised concerns concerning HIPAA laws and medical 
record privacy issues.\138\ These issues have been resolved, as the 
Authority has engaged with a third-party HIPAA compliant medical 
records organization to receive medical information. The new rule 
directs all Jockey medical records to be submitted to the third-party 
electronic platform. Another new provision requires Jockeys to execute 
a written authorization permitting the release of medical information 
as needed to assist in the collection or receipt of Jockey eligibility 
documentation and coordination of care in response to racing related 
injury or illness.
---------------------------------------------------------------------------

    \138\ 1/ST Racing; Tracks.
---------------------------------------------------------------------------

    A commenter recommended referencing the rules applicable to 
international Jockeys who arrive in the United States for a specific 
event.\139\ There is no need to revise Rule 2291 in this way; the rules 
of the Authority apply in all respects to international Jockeys in the 
same way as they apply to all other jockeys. Another commenter urged 
the Authority to require cross-track concussion reporting for 
Jockeys.\140\ The Authority agrees and this is being undertaken by the 
Authority as part of the partnership with the third-party medical 
records organization.
---------------------------------------------------------------------------

    \139\ Breeders' Cup.
    \140\ THA.
---------------------------------------------------------------------------

2292. Rider Medical History Information
    Rule 2292 is modified to replace the words ``Jockey and exercise 
rider'' with the word ``Rider.'' Rider is a newly proposed defined 
term, which states: ``Rider means any person who is mounted on a 
Covered Horse or Pony Horse on the Racetrack, including a Jockey.'' The 
modification of Rule 2292 thus extends the requirements concerning 
medical information cards to all persons mounted on a Covered Horse or 
Pony Horse on the racetrack. This enhances the safety and welfare of 
additional mounted racing participants. If a Rider is injured, the 
medical information card provides medical responders with vital 
information about the injured Rider's medical history and condition, 
which may be important for the provider.
2293. Equipment
    Rule 2293 sets forth the standards for helmets and vests. The rule 
is modified to delete the term ``stable pony'' and include instead the 
word ``Pony Horse,'' in accordance with the new definition for that 
term. A new rule in paragraph (b)(2) requires all Starting Gate Persons 
to ``securely attach to their safety vest one or more medical 
information cards describing their medical history and any conditions 
pertinent to emergency care, including a listing of any previous 
injuries, drug allergies, and current medications.'' The addition of 
this rule was suggested by a commenter, and parallels the similar rule 
medical card for Riders in Rule 2292.\141\
---------------------------------------------------------------------------

    \141\ Breeders' Cup.
---------------------------------------------------------------------------

2294. Weight of Riders
    Rule 2294 is a new proposed rule, which states: ``The weight of an 
approved safety helmet and an approved safety vest will be excluded 
from the required weight to be carried by a Jockey during a race.'' 
This rule encourages use of helmet and safety vest without 
consideration of the effect on applicable weight requirements.
    Jurisdictions vary in their rules concerning whether helmets and 
vests are to be included in required weight. Under Rule 2294, the rule 
is standardized. A commenter suggested that the Authority address the 
issue of establishing the minimum weights for Jockeys nationwide.\142\ 
The Authority will consider this proposal in future rulemaking.
---------------------------------------------------------------------------

    \142\ The Jockeys' Guild.
---------------------------------------------------------------------------

III. Compliance With the Commission's March 27, 2023 Order

    In accordance with the Commission's March 27, 2023 Order, the 
Authority's

[[Page 24600]]

submission in support of the proposed rule modification discusses each 
of the suggestions made by commenters on the Federal Register from the 
original Racetrack Safety Rule submission where the Authority in its 
February 2, 2022 Letter committed to further consider the suggestions. 
The Authority's response to each of the suggestions is set out below.
    1. A commenter urged the Authority to establish a sub-committee of 
the Safety Committee formed to propose and draft ``Jockey, Exercise 
Rider, and Horsemen Health Protocols.''
    The Authority has not yet established any subcommittees of the 
Racetrack Safety Committee. To date, the Committee has relied upon, and 
frequently seeks input from, industry participants and subject matter 
experts to assist the Committee in developing safety rules and 
otherwise implementing the Racetrack Safety Program. The Authority 
believes there is value in utilizing subcommittees to research and dive 
more deeply into the racetrack safety issues and will consider 
developing subcommittees in the near future.
    2. Two commenters criticized the removal of the purse to claim 
price ratio that was contained in earlier drafts of the Racetrack 
Safety Rules.
    The Racetrack Safety Committee again considered the issue of 
developing and implementing rules regarding a purse-to-claim ratio. The 
Committee received comments urging it to adopt a purse-to-claim ratio 
and this topic was debated extensively by the Committee over the last 
several months. The Committee declined to adopt such a rule, 
determining that it lacks sufficient data at this time. The Committee 
will continue to study this issue and may, at the appropriate time, 
develop rules regarding a purse-to-claim ratio. The Authority notes 
that, until that time, existing racetrack rules and state laws 
concerning a purse-to-claim ratio will continue to apply.
    3. Two commenters stated that the definition of Claiming Race is 
not clear.
    The safety rules currently in effect contain the following 
definition of ``Claiming Race'': ``a Race in which a Horse after 
leaving the starting gate may be claimed in accordance with the rules 
and regulations of the applicable State Racing Commission.'' The 
Authority is proposing a modification to this definition, which will 
incorporate the definition of ``Claiming Race'' from the Rule 1000 
Series of the ADMC Program: ``a Covered Horserace in which a Covered 
Horse after leaving the starting gate may be claimed in accordance with 
the rules and regulations of the applicable State Racing Commission.'' 
This proposed modification clarifies that application of the definition 
is limited to Covered Horses and Covered Horseraces. The Authority did 
not receive any comments on this definition during the informal comment 
periods and believes this modification makes this definition 
sufficiently clear.
    4. Two commenters suggested that the term exercise rider and 
catastrophic injury be added to the definitions.
    The Authority agrees and has proposed adding both ``Catastrophic 
Injury'' and ``Exercise Rider'' to the list of defined terms in the 
definitions section of the Rule 2000 Series.
    5. A commenter urged the Authority to develop rules permitting it 
to suspend accreditation in emergency situations.
    The Authority has proposed Rule 2117, which, if approved, will 
permit the Authority to suspend racing activity in a short period of 
time if ``the Authority has reasonable grounds to believe that the 
conditions or operations of a Racetrack present an imminent danger to 
the health, safety, or welfare of Covered Horses or Riders arising from 
specific violations by the Racetrack of the Authority's racetrack 
safety or accreditation rules.'' See Rule 2117(a)(1).
    6. A commenter urged that the period of accreditation in Rule 
2114(2) be changed from one to seven years to one to five years.
    It is important to note that under Rule 2114(a)(1), accreditation 
is effective for three (3) years, and the one (1) to seven (7) year 
period modification in Rule 2114(a)(2) is only utilized if the 
Authority determines that such modified period will be consistent with 
the requirements of Accreditation outlined in the Rule 2100 Series. To 
further alleviate the concerns expressed by this commenter, the 
Authority notes that it has the authority--regardless of the number of 
years of Accreditation granted under Rule 2114(a)(2)--to suspend or 
revoke a Racetrack's accreditation if the Racetrack is in material 
noncompliance with the Accreditation requirements. See Rules 2116 and 
2117.
    7. One commenter suggested that the Medical Director should oversee 
the medical needs not only of jockeys, but of all covered persons and 
invitees while on covered racetracks.
    The Horseracing Integrity and Safety Act recognizes the Authority 
to exercise exclusive national authority over Covered Persons, which 
are defined in the Act as ``all trainers, owners, breeders, jockeys, 
racetracks, veterinarians, persons (legal and natural) licensed by a 
State racing commission and the agents, assigns, and employees of such 
persons and other horse support personnel who are engaged in the care, 
training, or racing of covered horses.'' The Authority does not have 
jurisdiction over non-Covered Persons.
    8. A commenter maintained that the first sentence of Rule 2133(c) 
needs to be amended to include the following italicized words: ``The 
requirements of this Rule for any steward employed or contracted by a 
State Racing Commission are subject to the applicable State Racing 
Commission electing to enter into an agreement with the Authority.''
    The Authority agrees and has proposed this amendment to Rule 
2133(c).
    9. One commenter noted that Rule 2142(b) requires that all entered 
horses must be inspected no later than one (1) hour prior to scratch 
time. The commenter states that racing jurisdictions have different 
scratch times ranging from a few hours to one day prior to the race. 
Therefore, the rule should be changed to require inspection on race day 
not later than one (1) hour prior to scratch post time for the race in 
which the horse is to compete.
    In recognition of this comment, the Authority has proposed an 
amendment to this rule to require the inspection of the horse to be 
completed ``prior to starting in the Race for which it is entered on 
Race Day.'' (The provision has been renumbered and now appears at 
2142(c)).
    10. One commenter suggested that the phrase ``may be placed on the 
Veterinarians' List'' be changed to ``shall be placed on the 
Veterinarians' List'' in Rule 2142(d).
    In recognition of this comment, this change has been proposed by 
the Authority. (The provision has been renumbered and now appears at 
2142(e).
    11. Two commenters requested stricter requirements for the 
construction of the racetrack rails and the elimination of the use of 
wooden rails in Rule 2153.
    The Racetrack Safety Committee consulted several of the industry's 
safety rail experts and proposed amendments to Rule 2153 to require 
specific rail heights. The Racetrack Safety Committee will, through the 
Accreditation process, evaluate Racetrack rails to determine compliance 
with 2153(a)(1), which requires that the rails be ``designed, 
constructed and maintained to provide for the safety of Riders and 
Covered Horses.'' Regarding the elimination of the use of wooden rails, 
the Racetrack Safety Committee

[[Page 24601]]

maintains that this issue deserves additional discussion and 
deliberation. If this deliberation concludes that it is appropriate to 
eliminate wooden rails, this issue will be addressed in future 
modifications of the rules.
    12. One commenter opined that the emergency warning system should 
include mandatory use of lights and sirens for both racing and training 
[Rule 2153].
    Rule 2153(e) (previously (d)), states that each Racetrack ``shall 
have an operational emergency warning system on all racing and training 
tracks. The emergency warning system shall be approved by the State 
Racing Commission, subject to the applicable State Racing Commission 
electing to enter into an agreement with the Authority. If such 
agreement does not exist, the emergency warning system shall be 
approved by the Authority.'' The Racetrack Safety Committee believes 
that Racetracks and, where applicable, the State Racing Commissions are 
in the best position to determine the type of warning system that is 
most effective in their racing environment. Further discussions 
regarding the standardization of a warning system will continue as 
additional data is gathered.
    13. A commenter stated that Rule 2162 needs to add a requirement 
that biological samples be collected in all instances of catastrophic 
injury, not just those injuries that occur during racing and training.
    The language regarding collection of biological samples has been 
struck from the safety rules, following the program effective date of 
the ADMC rules. It is HIWU protocol to collect samples from all 
fatalities when practical, and proposed rule 5436(l) will require 
samples to be collected ``in case of any fatality howsoever 
occurring.''
    14. One commenter objected to the stewards making the determination 
of whether a Jockey who falls or is thrown from a horse may continue 
riding.
    Proposed Rule 2166(d) addresses this commenter's concern as the new 
language in the rule clarifies that it is a medical provider who is 
making the determination of whether a Jockey should continue riding 
following an incident: ``Any Jockey who falls or is thrown from a 
Covered Horse during a race shall be examined by a medical provider 
experienced in concussion management and familiar with the HISA 
Concussion Protocol. The medical provider shall report their findings 
to the Stewards who, upon the recommendation of the medical provider 
shall order the Jockey taken off any remaining mounts.''
    15. One commenter suggested that insurance coverage should be 
included in the collected data under Rule 2167, and asked who will 
analyze the data and how the data will be used. The commenter also 
enquired concerning private medical data.
    Racetracks are responsible for designating a person to collect the 
data in their respective standard operating procedures. The data 
collected can be analyzed to determine risk factors for injury and can 
thus be used to further develop and implement injury prevention 
measures. The Racetrack Safety Committee does not currently believe 
that insurance information should be included in the list of 
information collected under this rule as it is not relevant to the 
evaluation of contributory factors and safety intervention measures.
    16. The commenter stated that Rule 2168 does not provide minimum 
standards for equipment necessary to treat a horse or remove a horse 
from the track.
    The Authority has proposed modifications to the Equine Ambulance 
Rule (Rule 2168) to now include the following minimum standards for the 
track's dedicated equine ambulance: (1) navigate on the racetrack 
during all weather conditions; (2) safely transport a horse off the 
association grounds; (3) contain equipment to stabilize distal limb 
injuries; and (4) remove a recumbent horse from the racetrack.
    17. One commenter claimed that section (b) of Rule 2170 contradicts 
itself by first stating that necropsies should be performed by 
personnel with capabilities and expertise to perform necropsy 
examination of racehorses and subsequently implying that a veterinarian 
always performs a necropsy. The commenter suggests that the second 
sentence could be amended to read: ``An Attending Veterinarian of the 
affected Horse should never perform the necropsy.''
    Rule 2170 has been significantly revised and the language of 
concern has been struck altogether.
    18. One commenter stated that it is not practical for Jockeys to 
complete 2 hours of continuing education before each meet.
    Under the Authority's proposed modifications to Rule 2182, Jockeys 
will need to complete just 2 hours of continuing education each year. 
Thus, the concerns raised in this comment have been addressed.
    19. Commenters made the following significant comments regarding 
Rule 2182: (i) the burden to create training content should not fall on 
the State racing commissions; (ii) continuing education specific to 
racetrack regulatory and racetrack practice is not consistently offered 
and available; (iii) the rule requires grooms to complete continuing 
education offered in English and Spanish and asked whether it is a 
violation of the rule if a groom completes a training that is only 
available in English, or only available in Spanish; (iv) bilingual 
continuing education be available for trainers and outriders; and (v) 
asked who is responsible for arranging and administering the continuing 
education.
    It is important to note that any role for a State Racing Commission 
in the continuing education rule is subject to the State Racing 
Commission entering into an agreement with the Authority. In response 
to (i), (ii), and (v), the Authority states that Rule 2182 requires the 
State Racing Commission to identify existing, or provide locally, 
training opportunities for the individuals referenced in Rule 2182(b). 
The State Racing Commissions are not required to create content to 
comply with this Rule. The Authority is currently developing a process 
for approval of continuing education content. Regarding (iii), the 
Authority states that it would not be a violation of Rule 2182 for a 
groom to complete training that is only available in English or only 
available in Spanish. Finally, in response to (iv), the Authority 
states that bilingual continuing education will be made available for 
trainers and outsiders.
    20. One commenter stated that all racing officials and licensees in 
positions that allow them to affect the outcome of a race or diminish 
the conditions of safety or decorum should also be subject to drug and 
alcohol regulations.
    The Racetrack Safety Committee recognizes the Jockey's uniquely 
hazardous role in horseracing and feels strongly that a testing program 
for drug and alcohol use for Jockeys is critical to increasing safety 
during training and racing. The expansion of testing to include 
Starting Gate Persons is currently being proposed by the Authority in 
Rule 2191. The Racetrack Safety Committee will consider adding 
additional categories of Covered Persons to this rule in the future.
    21. The commenter stated that the rule [2193] should include a 
requirement that the Racetrack shall have an actual copy of the policy 
on file with the Commission and send a copy to the Guild at least 10 
days prior to the start of the meet. The commenter also stated that the 
rule should also require that any changes to the policy and/or carrier 
must be provided to all

[[Page 24602]]

concerned parties in writing prior to the changes being implemented.
    The Racetrack Safety Committee considered these comments from the 
Jockeys' Guild and has proposed modifications to this rule to require 
insurance coverage to be in place for all training and racing 
activities and a copy of the current policy's declaration page to be 
posted in the Jockeys' quarters prior to the beginning of the racing 
season.
    22. One commenter stated that the rule [2230] should require an 
onsite central pharmacy at each racetrack to control and monitor 
medication use and to prevent abuse.
    The Racetrack Safety Committee believes this issue deserves further 
study but did not believe such a rule was ripe for adoption at this 
time.
    23. One commenter suggested the following changes to Rule 2230: 
first, in (a) after the phrase ``. . . care, custody and control'', 
delete ``at locations under the jurisdiction of the State Racing 
Commission''; second, change (g) to read: ``. . . that person must 
request permission of the stewards or the State Racing Commissioning in 
writing'' and delete the word ``may''; and third, add language to (e) 
to allow the Regulatory Vet (as well as the commission) to approve the 
use of these items.
    The Racetrack Safety Committee considered all of these comments and 
is proposing modifications consistent with the first two suggested 
revisions noted in this comment.
    24. One commenter suggested that the Safety Director be removed 
from the list of persons in Rule 2240(d) who may require diagnostic 
testing for any Horse placed on the Veterinarian's List.
    In recognition of this comment, the Authority is recommending 
removing the Safety Director from the list of persons authorized to 
require veterinary diagnostics be performed.
    25. One commenter was opposed to the practice of placing a horse 
treated with shock-wave therapy on the Veterinarians' List for 30 days. 
The commenter recommended placing horses on the List for only 10 days, 
stating that a 10-day period is sufficient to safeguard the welfare of 
the horse.
    The Racetrack Safety Committee carefully considered industry input 
and has proposed an amendment to the prohibition on Workouts from 30 
days to 14 days. This permits the horse to continue in light training 
during the course of therapy. The Committee opted not to amend the 30-
day prohibition on racing.
    26. One commenter stated that Rule 2242 should require a post-work 
blood test for unsound horses and those horses placed on the 
Veterinarians' List for a positive test.
    In recognition of this comment, the Authority has added the 
requirement for a post-Workout blood test for horses placed on the 
Veterinarians' List as unsound, having experienced Epistaxis, not 
having started in more than 365 days, and unraced horses after January 
1st of their 4-year-old year. (The provision has been renumbered and 
may be found at 2242(b)(6)). The language placing horses on the 
Veterinarians' List for a ``positive test'' has been struck from the 
safety rules.
    27. One commenter believed that ``individual Horse risk factors'' 
in Rule 2142(b) was too subjective in identifying the risk factors and 
suggested that language be added to identify the risk factors to ensure 
compliance with the rules.
    Individual horse risk factors, while inclusive of horse age and 
sex, will expand as data are collected and analyzed to identify 
additional individual horse factors. Consequently, an explicit 
statement of all individual horse risk factors would preclude useful 
assessment. However, individual horse risk factors will be considered 
for revision in future rule modifications as data and analysis dictate.
    28. One commenter suggested that sections (a) and (b) [of Rule 
2253] be amended to state ``. . . maintain the information for the 
previous 30 days and make available to the Regulatory Veterinarian 
within 1 hour of request.''
    Because of the importance of this information, the proposed rule 
eliminates the time restriction of 30 days. The Racetrack Safety 
Committee did not propose a time requirement be adopted for production.
    29. A commenter noted that not all horses vanned off are unsound 
[Rule 2262].
    In recognition of this comment, the revised rule specifies 
categories of Veterinarians' List placement that trigger the voiding of 
the claim. The provision has been renumbered and now appears at 
2262(e)(2).
    30. Several commenters noted that the definition of claiming races 
varies between states and these commenters believe that a standard 
definition is needed.
    See the Authority's response to question no. 3 herein.
    31. In response to comments on ``Prohibited Practices'' (Rule 
2271), the Authority noted that, while Rule 2271 is appropriate as 
written, the phrase ``or a counter-irritant effect'' will be the 
subject of future study by the Racetrack Safety Committee, and if 
necessary future rule modifications will be considered.
    Rule 2271 is the subject of extensive revision. Language has been 
added to make clear that a ``counter irritant effect'' is only 
prohibited if it is produced via injection of a substance, not 
topically. (The provision has been renumbered and now appears at 
2271(a)(7)).
    32. One commenter suggested that the term ``workout'' should be 
substituted for the use of the undefined term ``breeze'' in section 
(a)(3).
    The term ``breeze'' has been deleted where it previously appeared 
in the safety rules and has been replaced by the defined term 
``Workout.''
    33. One commenter stated that section (a)(1) requires disclosure 48 
hours prior to use, while (a)(2) requires disclosure within 48 hours of 
treatment. The commenter suggests requiring the disclosure of shock 
wave therapy at any time prior to use and notes that veterinarians 
often do not know that shock wave treatment will be necessary 48 hours 
in advance of the treatment.
    Non-enforcement of the 48-hour pre-treatment notification 
requirement was the subject of an announcement dated December 21, 2022. 
The elimination of the provision is codified in these proposed rules.
    34. One commenter suggested that Rule 2273 could be interpreted to 
prohibit outriders and pony riders from using spurs.
    A horse being utilized by an outrider or a pony rider is unlikely 
to be a Covered Horse. Therefore, the Authority does not believe 
further modifications are necessary in response to this comment.
    35. One commenter asked what license or registration would be 
suspended under Rule 2274.
    This rule is modified to impose restrictions upon registration with 
the Authority as the penalty for violations of Rule 2273. The 
modification deletes the reference to loss of eligibility ``to obtain a 
racing license in all racing jurisdictions.'' The change is made 
because restrictions upon registration with the Authority are more 
appropriate penalties imposed by the Authority.
    36. One commenter stated that ``communication device'' should be 
defined in Rule 2275.
    The Racetrack Safety Committee proposed new language to the rule 
that further prohibits any audio device that ``. . . obstructs or 
impairs the Rider's ability to hear other horses, Riders, hazards, . . 
.''. The Authority feels that these changes assist in defining 
``communication device''.

[[Page 24603]]

    37. The commenters submitted a wide range of comments on Rule 2280. 
PETA and the Animal Welfare Institute stated that crop use should be 
banned. The CHRB, NJRC, Senator Feinstein and the Humane Society stated 
that the overhand use of the riding crop should be prohibited. The 
Jockeys' Guild submitted over four pages of comments and urged that 
more permissive riding crop rules should be implemented.
    There has been heated debate about use of the riding crop for 
encouragement. The comments previously posted to the Federal Register 
are consistent with the comments the Authority has received throughout 
the development of the Racetrack Safety Rule. Some believe the new 
crops do not hurt the horse at all, while others remain concerned about 
the public perception of crop use. The Racetrack Safety Committee has 
carefully considered all of these comments in developing the rule. The 
rule permits use of the riding crop for the safety of the horse and 
Jockey, but prohibits excessive use of the crop by limiting the number 
of times the crop can be used during a race for encouragement. This 
compromise, as embodied in the rule, will establish a uniform standard 
across racing jurisdictions that is in the best interest of the horses, 
horsemen, the owners, the Jockeys, the betting public, racing 
commissions, and the general public. Jockeys will benefit from a single 
uniform rule in all jurisdictions to which they can adapt their usage. 
It is also important to note that the proposed rule is more restrictive 
than the rules currently in place in numerous jurisdictions.
    A modification has been made to Rule 2280, Use of the Riding Crop, 
making clear that crop strikes to the shoulder of the horse are counted 
in the total allowable strikes. Additionally, the penalties for misuse 
of the crop have been structured to be more punitive as the level of 
purses increases.
    38. One commenter asked the Authority review section (c) of Rule 
2281 to ensure that the rule does not refer to a crop specific to one 
brand or vendor. The description of a ``smooth cylinder'' crop appears 
to refer to a specific brand and the commenter opposes allowing one 
vendor to have a monopoly on crop sales. One commenter stated that the 
rule refers to a specific style and brand of crop and argues that none 
of the crops used at Indiana Grand last year would be permitted under 
the rule. Another commenter requested that the rule allow the use of 
cushioned, shock absorbing and/or the cylinder popper.
    The Racetrack Safety Committee has determined that the crop 
specifications should be defined to prevent the use of crops that have 
features likely to injure the horse. The rule is largely based on the 
ARCI Model Rules and the NTRA Safety and Integrity guidelines with 
modifications to ``soften'' the end of the crop that contacts the 
horse. The Authority is proposing modification to this rule to include 
a wider range of allowable crops. In addition to ``smooth cylinder'' 
crops, ``padded flat'' crops are allowed. To date, 6 ``smooth 
cylinder'' crops have been approved by the Racetrack Safety Committee 
for use as well as 1 ``padded flat'' crop.
    39. One commenter asked regarding Rule 2282: ``if a horse is 
disqualified from purse earnings under either (b)(2) or (b)(3), how is 
it possible to also forfeit a percentage of the Jockey's portion of the 
purse?'' Another commenter asked whether the suspension days are 
calendar or racing days. One commenter noted that the rule fails to 
specify penalties for violations other than exceeding the number of 
strikes.
    The Authority is proposing modifications to Rule 2282 to clarify 
the forfeiture of a percentage of the Jockey's portion of the purse 
when the horse is disqualified. The 8000 Rule Series provides for 
Stewards to address crop violations other than exceeding the number of 
strikes.
    40. One commenter stated that a protocol was needed to share 
concussion information across racetracks. Another recommended that the 
Racetrack Safety Committee review New York's licensing requirements and 
rider medical fitness for incorporation into the rules. One commenter 
expressed the opinion that the rule should address exercise riders. One 
commenter urged the Authority to create a banned substance list. 
Another commenter noted that the rule does not contain a protocol for 
weight practices.
    The Authority has received several comments regarding cross-track 
concussion reporting for Jockeys. The Authority agrees and this is 
being undertaken by the Authority as part of the partnership with the 
Authority's electronic platform designated for collection and storage 
of Jockey eligibility documentation. As for the other issues raised in 
this comment, the Authority states that this rule is being modified to 
make more explicit the requirements for the physical examination and 
baseline concussion test required of Jockeys on an annual basis. The 
modified rule will serve to specify the concussion assessment tools 
applicable to the baseline concussion test. New provisions are added by 
the modified rule that require Jockeys to submit to the Authority 
documentation concerning fitness to ride, physical examination and the 
concussion test.
    41. The commenter expressed support for the requirement in Rule 
2292 that medical information cards be attached to the rider's vest. 
The commenter urged that a centralized database be developed and 
utilized.
    Rule 2292 will now require all Riders to securely attach to the 
Rider's safety vest one or more medical information cards describing 
the Rider's medical history and any conditions pertinent to emergency 
care, including a listing of any previous injuries, drug allergies and 
current medications.

IV. Legal Authority

    This rule is proposed by the Authority for approval or disapproval 
by the Commission under 15 U.S.C. 3053(c)(1).

V. Date of Effectiveness

    If approved by the Commission, this proposed rule will take effect 
on July 8, 2024.

VI. Request for Comments

    Members of the public are invited to comment on the Authority's 
proposed rule. The Commission requests that factual data on which the 
comments are based be submitted with the comments. The supporting 
documentation referred to in the Authority's filing are available for 
public inspection on the docket for this matter at https://www.regulations.gov.
    The Commission seeks comments that address the decisional criteria 
provided by the Act. The Act gives the Commission two criteria against 
which to measure proposed rules and rule modifications: ``The 
Commission shall approve a proposed rule or modification if the 
Commission finds that the proposed rule or modification is consistent 
with--(A) this chapter; and (B) applicable rules approved by the 
Commission.'' \143\ In other words, the Commission will evaluate the 
proposed rule for its consistency with the specific requirements, 
factors, standards, or considerations in the text of the Act as well as 
the Commission's procedural rule.
---------------------------------------------------------------------------

    \143\ 15 U.S.C. 3053(c)(2).
---------------------------------------------------------------------------

    Although the Commission evaluates the Authority's proposed rule for 
its consistency with the Act and the Commission's procedural rule, the 
Commission may consider broader questions--about the health and safety 
of horses and jockeys, the integrity of horseraces and wagering on 
horseraces, and the administration of the Authority

[[Page 24604]]

itself--in another context: ``The Commission . . . may abrogate, add 
to, and modify the rules of the Authority promulgated in accordance 
with this chapter as the Commission finds necessary or appropriate to 
ensure the fair administration of the Authority, to conform the rules 
of the Authority to requirements of this chapter and applicable rules 
approved by the Commission, or otherwise in furtherance of the purposes 
of this chapter.'' \144\ The Commission may exercise this rulemaking 
power on its own initiative or in response to a petition from a member 
from the public. If members of the public wish to provide comments to 
the Commission about its use of the rulemaking power, they are 
encouraged to submit a petition requesting that the Commission issue a 
rule addressing the subject of interest. The petition must meet all the 
criteria established in the Rules of Practice (part 1, subpart D); 
\145\ if it does, the petition will be published in the Federal 
Register for public comment. In particular, the petition for a 
rulemaking must ``identify the problem the requested action is intended 
to address and explain why the requested action is necessary to address 
the problem.'' \146\
---------------------------------------------------------------------------

    \144\ 15 U.S.C. 3053(e) (as amended by the Consolidated 
Appropriations Act, 2023, H.R. 2617, 117th Cong., Division O, Title 
VII (2022)).
    \145\ 16 CFR 1.31; see FTC, Procedures for Responding to 
Petitions for Rulemaking, 86 FR 59851 (Oct. 29, 2021).
    \146\ 16 CFR 1.31(b)(3).
---------------------------------------------------------------------------

VII. Comment Submissions

    You can file a comment online or on paper. For the Commission to 
consider your comment, we must receive it on or before April 22, 2024. 
Write ``HISA Racetrack Safety Rule Modification'' on your comment. Your 
comment--including your name and your State--will be placed on the 
public record of this proceeding, including the https://www.regulations.gov website.
    Postal mail addressed to the Commission is subject to delay due to 
heightened security screening. As a result, we strongly encourage you 
to submit your comments online. To make sure the Commission considers 
your online comment, you must file it at https://www.regulations.gov, 
by following the instructions on the web-based form.
    If you file your comment on paper, write ``HISA Racetrack Safety 
Rule Modification'' on your comment and on the envelope, and mail your 
comment to the following address: Federal Trade Commission, Office of 
the Secretary, 600 Pennsylvania Avenue NW, Mail Stop H-144 (Annex H), 
Washington, DC 20580. If possible, please submit your paper comment to 
the Commission by overnight service.
    Because your comment will be placed on the public record, you are 
solely responsible for making sure that your comment does not include 
any sensitive or confidential information. In particular, your comment 
should not contain sensitive personal information, such as your or 
anyone else's Social Security number; date of birth; driver's license 
number or other State identification number or foreign country 
equivalent; passport number; financial account number; or credit or 
debit card number. You are also solely responsible for making sure your 
comment does not include any sensitive health information, such as 
medical records or other individually identifiable health information. 
In addition, your comment should not include any ``[t]rade secret or 
any commercial or financial information which . . . is privileged or 
confidential''--as provided in section 6(f) of the FTC Act, 15 U.S.C. 
46(f), and FTC Rule 4.10(a)(2), 16 CFR 4.10(a)(2)--including, in 
particular, competitively sensitive information such as costs, sales 
statistics, inventories, formulas, patterns, devices, manufacturing 
processes, or customer names.
    Comments containing material for which confidential treatment is 
requested must be filed in paper form, must be clearly labeled 
``Confidential,'' and must comply with FTC Rule 4.9(c), 16 CFR 4.9(c). 
In particular, the written request for confidential treatment that 
accompanies the comment must include the factual and legal basis for 
the request and must identify the specific portions of the comment to 
be withheld from the public record. See FTC Rule 4.9(c). Your comment 
will be kept confidential only if the General Counsel grants your 
request in accordance with the law and the public interest. Once your 
comment has been posted publicly at https://www.regulations.gov--as 
legally required by FTC Rule 4.9(b), 16 CFR 4.9(b)--we cannot redact or 
remove your comment, unless you submit a confidentiality request that 
meets the requirements for such treatment under FTC Rule 4.9(c), and 
the General Counsel grants that request.
    Visit the FTC website to read this document and any news release 
describing it. The FTC Act and other laws that the Commission 
administers permit the collection of public comments to consider and 
use in this proceeding as appropriate. The Commission will consider all 
timely and responsive public comments it receives on or before April 
22, 2024. For information on the Commission's privacy policy, including 
routine uses permitted by the Privacy Act, see https://www.ftc.gov/siteinformation/privacypolicy.

VIII. Communications by Outside Parties to the Commissioners or Their 
Advisors

    Written communications and summaries or transcripts of oral 
communications respecting the merits of this proceeding, from any 
outside party to any Commissioner or Commissioner's advisor, will be 
placed on the public record. See 16 CFR 1.26(b)(5).

IX. Self-Regulatory Organization's Proposed Rule Language

    The following language reflects the Racetrack Safety Rule with the 
proposed modifications incorporated. A redline version that shows every 
way in which the previously approved Racetrack Safety Rule would be 
modified by the proposed rule modification is available as Exhibit B on 
the docket at https://www.regulations.gov.
    [insert new clean rule text]

Rule 2000 Series--Racetrack Safety Program

2010 Definitions
2015 Racehorse Epidemiology Database and Study
2100 Racetrack Accreditation
2110 Accreditation Process
2120 Accreditation Requirements
2130 Required Safety
2140 Racehorse Inspections and Monitoring
2150 Racetrack and Racing Surface Monitoring and Maintenance
2160 Emergency Preparedness
2170 Necropsies
2180 Safety Training and Continuing Education
2190 Jockey Health
2200 Specific Rules and Requirements of Racetrack Safety Program
2210 Purpose and Scope
2220 Attending Veterinarian
2230 Treatment Restrictions
2240 Veterinarians' List
2250 Racehorse Treatment History and Records
2260 Claiming Races
2270 Prohibited Practices and Requirements for Safety and Health of 
Horses
2280 Use of Riding Crop
2290 Requirements for Safety and Health of Jockeys
2010. Definitions
    When used in the Rule 2000 Series:
    Act shall have the meaning set forth in Rule 1020.
    Adverse Analytical Finding shall have the meaning set forth in Rule 
1020.
    Association Veterinarian shall have the meaning set forth in Rule 
1020.
    Attending Veterinarian shall have the meaning set forth in Rule 
1020.

[[Page 24605]]

    Authority shall have the meaning set forth in Rule 1020.
    Catastrophic Injury means an Equine Injury that resulted in death 
or euthanasia of a Covered Horse within 72 hours of injury.
    Claim shall have the meaning set forth in Rule 1020.
    Claiming Race shall have the meaning set forth in Rule 1020.
    Commission shall have the meaning set forth in Rule 1020.
    Concussion means an injury to the brain that results in temporary 
loss of normal brain function.
    Covered Horse shall have the meaning set forth in Rule 1020.
    Covered Horserace or Race shall have the meaning set forth in Rule 
1020.
    Covered Person shall have the meaning set forth in Rule 1020.
    Designated Equine Facility means an equine facility designated by a 
Racetrack in accordance with the procedures established in Rule 2144, 
whose biosecurity protocols are consistent with those of the Racetrack, 
and from which the Racetrack will accept horses onto its grounds with a 
valid health certificate issued within the last 30 days or in a shorter 
period of time if high risk situations dictate.
    Designated Owner shall have the meaning set forth in Rule 1020.
    Epistaxis means that blood from one or both nostrils of a Covered 
Horse has been observed after exercise, attributable to an episode of 
exercise induced pulmonary hemorrhage.
    Equine Injury means an injury to a Covered Horse that occurred 
during racing or training for which intervention by the Regulatory 
Veterinarian or reporting by the Safety Director pursuant to Rule 2131 
is required, and for which an injury report must be submitted pursuant 
to the Rule 2000 Series.
    Equine Mortality means a fatality of a Covered Horse that is not 
attributable to a Catastrophic Injury.
    Exercise Rider means a rider of a Covered Horse during a training 
activity that is not a Covered Horserace.
    Farrier means a farrier (or horseshoer, plater or blacksmith) who 
provides all aspects of hoof care or orthotic services to Covered 
Horses, including trimming and/or the application of various orthotics 
to the hoof.
    Groom means a Covered Person who is engaged by a Responsible Person 
to assist in the daily physical care of Covered Horses.
    Horseshoe Inspector means a person (for example, a paddock farrier) 
employed, contracted, or appointed by a State Racing Commission, 
Racetrack, or the Authority, who has been trained in, and is 
responsible for, inspecting horseshoes or other orthotics on hooves of 
Covered Horses.
    Human Injury means an injury to a Covered Person that requires 
medical attention and, as a result, may restrict a Covered Person's 
current or future participation or employment in racing, and for which 
an injury report must be submitted.
    Jockey means a rider licensed in any state and registered with the 
Authority to ride a Covered Horse in a Covered Horserace.
    Layoff Report means a report completed in a manner prescribed by 
the Authority and submitted by the Trainer or Trainer's designee for a 
Covered Horse that has not raced in a Covered Horserace for 150 
consecutive days or more. The Layoff Report shall include, at a 
minimum, information regarding all examinations, medical treatments, 
surgical treatments, and exercise history of the Covered Horse during 
the layoff period.
    Lead Veterinarian means any Veterinarian appointed pursuant to Rule 
2134(c).
    Medical Director means an individual designated as Medical Director 
in accordance with the provisions of Rule 2132.
    Outrider means a rider employed or contracted by the Racetrack who 
oversees and assists with the safety of all Riders, Trainers, and 
horses on the Racetrack.
    Owner shall have the meaning set forth in Rule 1020.
    Person shall have the meaning set forth in Rule 1020.
    Pony Horse means a horse, including the Outrider's horse, that 
accompanies a Covered Horse(s) during training or racing activities.
    Prohibited List shall have the meaning set forth in Rule 1020.
    Prohibited Methods shall have the meaning set forth in Rule 1020.
    Prohibited Substance shall have the meaning set forth in Rule 1020.
    Protocol shall have the meaning set forth in Rule 1020.
    Race Day shall have the meaning set forth in Rule 1020.
    Race Meet means the entire period granted by the State Racing 
Commission to a Racetrack for the conduct of Covered Horseraces on the 
Racetrack's premises.
    Racetrack means an organization licensed by a State Racing 
Commission to conduct Covered Horseraces.
    Racetrack Risk Management Committee means the committee established 
pursuant to Rule 2121.
    Racetrack Safety Accreditation or Accreditation means the process 
for achieving, and the issuance of, safety Accreditation to a Racetrack 
in accordance with Rules 2100 through 2193.
    Racetrack Safety Committee means the committee (or its delegate) 
established pursuant to 15 U.S.C. 3052(c)(2).
    Regulatory Veterinarian shall have the meaning set forth in Rule 
1020.
    Responsible Person shall have the meaning set forth in Rule 1020.
    Rider means any person who is mounted on a Covered Horse or Pony 
Horse on the Racetrack, including a Jockey.
    ROAP means the Racing Officials Accreditation Program.
    Safety Director means an individual designated as, and having the 
responsibilities of, a Safety Director as set forth in Rule 2131.
    Safety Officer means an individual designated as, and having the 
responsibilities of, a Safety Officer as set forth in Rule 2136.
    Safety Program Effective Date means July 1, 2022.
    Shock Wave Therapy means extracorporeal shock wave therapy or 
radial pulse wave therapy.
    Starting Gate Person means any individual licensed as a starter, 
assistant starter, or any individual who handles Covered Horses in the 
starting gate.
    State Racing Commission shall have the meaning set forth in Rule 
1020.
    Steward or Stewards shall have the meaning set forth in Rule 2133.
    Timed and Reported Workout shall have the meaning set forth in Rule 
1020.
    Traction Device means any device that extends beyond the ground 
surface of the horseshoe and includes but is not limited to inserts, 
wear plates, rims, toe grabs, bends, jar calks, stickers, ice nails, 
frost nails, and mud nails.
    Trainer shall have the meaning set forth in Rule 1020.
    Training Facility shall have the meaning set forth in Rule 1020.
    Veterinarian shall have the meaning set forth in Rule 1020. 
Notwithstanding any provision set forth in the Rule 9000 Series 
(Registration Rules), a Veterinarian who provides veterinarian services 
to Covered Horses shall register with the Authority.
    Veterinarians' List means a list maintained, or approved for use, 
by the Authority of all Covered Horses that are determined to be 
ineligible to compete in a Covered Horserace in any jurisdiction until 
released by a Regulatory Veterinarian.
    Vets' List Workout shall have the meaning set forth in Rule 1020.
    Workout shall have the meaning set forth in Rule 1020.

[[Page 24606]]

2015. Racehorse Epidemiology Database and Study
    (a) The Authority, in consultation with the Commission, shall 
develop and maintain a nationwide database of Covered Horse safety, 
performance, health, and injury information.
    (b) The database shall consist of information from the following 
sources:
    (1) Post-inspection reports developed by the Racetrack Safety 
Committee pursuant to Rule 2112, and all information and documentation 
submitted by Racetracks and obtained from other sources that relate to 
the post-inspection reports requested by the Authority pursuant to Rule 
2112.
    (2) Annual Racetrack Safety Accreditation Audits and any supporting 
documentation submitted by Racetracks to the Authority pursuant to Rule 
2115(b).
    (3) End of meet reports submitted by Racetracks to the Authority 
pursuant to Rule 2115(g).
    (4) End of Race Meet Reports submitted by the Racetrack Risk 
Management Committees to the Authority pursuant to Rule 2121(c)(8).
    (5) Risk management and injury prevention programs and protocols 
developed by the Racetrack Risk Management Committees and submitted to 
the Authority pursuant to Rule 2131.
    (6) The names of all Covered Horses that suffer an injury requiring 
equine ambulance assistance, are euthanized, or which otherwise die, as 
submitted to the Racetrack's Risk Management Committee and the 
Authority by the Safety Director pursuant to Rule 2131(c)(8).
    (7) The names of all Covered Horses euthanized, or which otherwise 
die at a race meeting, as submitted to the Authority by Regulatory 
Veterinarians pursuant to Rule 2135(a)(9).
    (8) Reports summarizing the results of pre-Race inspection and 
submitted to the Authority by Regulatory Veterinarians pursuant to Rule 
2142(c)(3).
    (9) Post-race inspection findings documented to the Authority by 
Regulatory Veterinarians pursuant to Rule 2142(d)(1).
    (10) Information documented to the Authority by Regulatory 
Veterinarians pursuant to Rule 2142(d)(2) concerning any observed skin 
lacerations, swellings, or welts resulting from crop use.
    (11) Information reported to the Authority by Regulatory 
Veterinarians concerning Covered Horses observed during training 
pursuant to Rule 2142(e).
    (12) Information concerning Racehorse Monitoring submitted by 
Racetracks to the Authority pursuant to Rule 2143.
    (13) Racetrack design records, racing and training surface 
maintenance records, surface material tests, and daily tests data 
submitted by Racetracks to the Authority pursuant to Rule 2151(b).
    (14) Racetrack surface monitoring logs and documentation required 
to be submitted by Racetracks to the Authority pursuant to Rule 2154.
    (15) Information concerning infectious disease management submitted 
to the Authority pursuant to Rule 2165.
    (16) Information concerning Rider injuries collected by Racetracks 
and submitted to the Authority pursuant to Rule 2167.
    (17) Necropsies and any related information findings that are 
required to be submitted to the Authority pursuant to Rule 2170.
    (18) Any information concerning Jockey concussion management 
required to be submitted to the Authority pursuant to Rule 2192.
    (19) Covered Horse treatment records required to be submitted to 
the Authority pursuant to Rule 2251.
    (20) Records submitted to the Authority by Responsible Persons 
pursuant to Rule 2252.
    (21) Records, information, and data pertaining to Jockey Crop 
violations.
    (22) Records, information, and data pertaining to the basis for the 
voiding of claims at Covered Racetracks.
    (23) Any other records, information or data generated or obtained 
by the Authority that is relevant to Covered Horse safety, performance, 
health, and injury.
    (c) Upon the written request of the Authority, a Racetrack shall 
provide historical equine injury and fatality data for the previous 10 
years from the date of the request. Such information may be included in 
the national database at the discretion of the Authority.
    (d) To the extent that records, information, or data are not 
specifically required to be submitted under the rules of the Authority, 
the Authority may require the production from Covered Persons of 
records, information and data that are relevant to Covered Horse 
safety, performance, health and injury.
    (e) The Authority shall review the data received under this Rule to 
conduct an epidemiological study pertaining to racehorse safety, 
performance, health, and injury. Epidemiological studies may be 
conducted on a periodic basis as deemed appropriate by the Authority.
2100. Racetrack Accreditation
2101. General
    (a) The Racetrack Safety Committee and the Authority shall oversee 
Racetrack Safety Accreditation in accordance with the provisions of 
Rules 2100 through 2193.
    (b) All Racetracks shall meet the requirements of Racetrack Safety 
Accreditation with the Racetrack Safety Committee in accordance with 
the provisions of Rules 2100 through 2193.
2110. Accreditation Process
2111. Interim and Provisional Accreditation
    (a) Interim Accreditation.
    (1) A Racetrack that is accredited by the National Thoroughbred 
Racing Association as of the Safety Program Effective Date shall be 
granted interim Racetrack Safety Accreditation, which shall be 
effective until the later of:
    (i) such time as the Racetrack Safety Committee completes an 
Accreditation assessment under Rule 2112 with respect to such 
Racetrack; or
    (ii) the time period established by the Authority under Rule 
2114(a).
    (b) Provisional Accreditation.
    (1) A Racetrack that is not accredited by the National Thoroughbred 
Racing Association as of the Safety Program Effective Date shall be 
granted provisional Racetrack Safety Accreditation, which shall be 
effective until the later of:
    (i) such time as the Racetrack Safety Committee completes an 
Accreditation assessment under Rule 2112 with respect to such 
Racetrack; or
    (ii) the time period established by the Authority under Rule 
2114(b).
    (2) The Authority may at any time upon reasonable notice require a 
Racetrack with provisional Racetrack Safety Accreditation to report on 
its progress toward achieving full Accreditation. The Authority may 
request any additional information from the Racetrack that the 
Authority deems necessary or relevant to an Accreditation determination 
and may conduct unannounced on-site inspections at any time.
2112. Accreditation Assessment
    (a) Upon the initiation of an Accreditation assessment by the 
Racetrack Safety Committee, the subject Racetrack shall submit or 
provide access to any relevant information and documentation requested 
by the Racetrack Safety Committee. The Racetrack Safety Committee may 
request additional information and documentation as the assessment 
proceeds. The Racetrack Safety

[[Page 24607]]

Committee may at any time propound written questions or inquiries to 
the Racetrack, to which the Racetrack shall respond in writing by the 
deadline established by the Racetrack Safety Committee.
    (b) After review of all information submitted by the Racetrack 
under Rule 2112(a), the Racetrack Safety Committee shall conduct an on-
site inspection of the Racetrack. The Racetrack Safety Committee shall 
then prepare a post-inspection report identifying any aspects of the 
Racetrack's operations that are not in compliance with the requirements 
of Rules 2100 through 2193.
    (c) Within 30 calendar days of the Racetrack's receipt of the post-
inspection report under Rule 2112(b), the Racetrack shall respond in 
writing to the Racetrack Safety Committee setting forth all actions to 
be taken by the Racetrack to remedy the areas of non-compliance 
identified in the post-inspection report, and the timeframes necessary 
for implementation of such remedial actions.
    (d) The Racetrack Safety Committee shall assess the Racetrack's 
response and make a written recommendation to the Authority whether to 
issue or deny Accreditation or provisional Accreditation of the 
Racetrack. As a condition of Accreditation, the Racetrack Safety 
Committee may require a Racetrack to take any remedial or other action 
that is consistent with the Authority's safety rules and Accreditation 
standards established in the Rule 2100 Series and Rule 2200 Series.
2113. Issuance of Accreditation
    (a) The Authority shall determine whether a Racetrack is entitled 
to Accreditation by evaluating compliance with the requirements set 
forth in Rules 2100 through 2193.
    (b) In determining whether to grant, renew, or deny Accreditation 
to a Racetrack, the Authority shall review all information submitted by 
the Racetrack and the Racetrack Safety Committee's recommendation.
2114. Effective Periods of Accreditation
    (a) Accreditation.
    (1) Subject to Rule 2114(a)(2), Accreditation shall be effective 
for a period of 3 years.
    (2) The Authority may modify the Accreditation period to a period 
of 1 to 7 years if the Authority determines that such modified period 
will be consistent with the requirements of Accreditation outlined in 
Rules 2100 through 2193.
    (b) Provisional Accreditation.
    (1) Provisional Accreditation shall be effective for an initial 
period of 1 year.
    (2) Upon the expiration of the initial 1 year period referenced in 
paragraph (1) above, provisional Accreditation may be extended for 
additional 1 year periods if the Authority determines that the subject 
Racetrack is continuing to undertake good faith efforts to comply with 
the requirements of Rules 2100 through 2193 and achieve Accreditation.
2115. Racetrack Reporting
    (a) All Racetracks under these Rules shall participate in ongoing 
reporting and review to the Authority.
    (b) All Racetracks shall, by December 31 of each calendar year, 
submit to the Racetrack Safety Committee a completed Racetrack Safety 
Accreditation Audit along with any supporting documentation required by 
the Authority demonstrating efforts to comply with all Accreditation 
requirements. The Audit shall be certified by an appropriate Racetrack 
official who can attest to the truth and accuracy of the information in 
the Audit.
    (c) All Racetracks shall maintain on file with the Authority an 
accurate list of names and contact information for key personnel within 
their organization as designated by the Authority.
    (d) All Racetracks shall authorize any third-party system provider 
who collects or returns data related to a Covered Person, Covered 
Horse, or Covered Horserace, to provide to the Authority, upon request, 
any data submitted by the Racetrack that relates to a Covered Person, 
Covered Horse, or Covered Horserace.
    (e) All Racetracks shall authorize any video replay or video 
service provider of Covered Horseraces to make available to the 
Authority, upon request, unedited, high-resolution video replays of all 
Covered Horseraces taking place at the Racetrack.
    (f) The Authority may request from the Racetrack any information 
and records that it deems necessary or relevant to an Accreditation 
determination or a suspected violation of the Accreditation rules and 
may conduct unannounced on-site inspections at any time.
    (g) All Racetracks shall submit a report within 30 calendar days of 
the end of each Race Meet in such form as the Authority may prescribe. 
The report shall be certified by an appropriate Racetrack official who 
can attest to the truth and accuracy of the information in the report.
2116. Suspension and Revocation of Accreditation
    (a) An accredited Racetrack that is in material noncompliance with 
the Accreditation requirements, after having received notice of the 
noncompliance and been given a reasonable opportunity to remedy the 
noncompliance, may have its Accreditation suspended by the Authority.
    (b) In determining whether a Racetrack is in material noncompliance 
with the Accreditation requirements, the Authority shall consider all 
factors that it deems appropriate, including but not limited to the 
factors established in Rule 8360(e)(1)-(5).
    (c) A Racetrack that has been granted provisional or interim 
Accreditation and that is in material noncompliance with the 
Accreditation requirements, after having received notice of the 
noncompliance and been given a reasonable opportunity to remedy the 
noncompliance, may have its provisional or interim Accreditation 
suspended by the Authority.
    (d) Notwithstanding Rule 8360(b), a Racetrack under suspension 
shall not conduct any Covered Horserace during the period of the 
suspension.
    (e) A suspended Racetrack that fails to remedy the noncompliance in 
a reasonable time may have its Accreditation or provisional 
Accreditation revoked by the Authority.
2117. Provisional Suspension of Racetrack Accreditation
    (a) Provisional Suspension of Racetrack Accreditation
    (1) If the Authority has reasonable grounds to believe that the 
conditions or operations of a Racetrack present an imminent danger to 
the health, safety, or welfare of Covered Horses or Riders arising from 
specific violations by the Racetrack of the Authority's racetrack 
safety or Accreditation rules, the Authority may issue to such 
Racetrack a written notice to show cause concerning a potential 
provisional suspension of the Racetrack's Accreditation, which notice 
shall include:
    (i) an itemization of the specific Authority's safety and 
Accreditation rules which the Racetrack is believed to have violated, 
and a summary of the conditions, practices, facts, or circumstances 
which give rise to each apparent violation;
    (ii) the corrective actions suggested to achieve compliance;
    (iii) a request for a written response to the findings, including 
commitments to suggested corrective action or the presentation of 
mitigating or opposing facts and evidence; and

[[Page 24608]]

    (iv) a statement that the Racetrack may, within 3 business days of 
receipt of the show-cause notice, request a provisional hearing, which, 
absent exceptional circumstances necessitating a reasonable delay of 
the hearing, shall be conducted within 3 business days of receipt by 
the Authority of the Racetrack's request for a provisional hearing. If 
the Racetrack does not request a provisional hearing within 3 business 
days of the Racetrack's receipt of the show-cause notice, the Authority 
shall conduct a provisional hearing in accordance with Rule 2117(b).
    (2) Nothing in the Authority's Rules shall preempt or otherwise 
impair the authority of a State Racing Commission to suspend racing at 
a Racetrack in accordance with its provisions of licensure.
    (b) Provisional Hearing.
    (1) A Racetrack that has received a show cause notice pursuant to 
Rule 2117(a)(1)) is entitled to a provisional hearing to be conducted 
by the Authority. The provisional hearing shall be conducted within 3 
business days of receipt by the Authority of the Racetrack's request 
for a provisional hearing. If the Racetrack does not request a 
provisional hearing, the Authority shall conduct the provisional 
hearing within 7 business days of the date the show-cause notice was 
issued to the track pursuant to Rule 2117(a)(1). The provisional 
hearing is not a full hearing on the merits, and the sole issue to be 
determined at the provisional hearing shall be whether the Racetrack's 
provisional suspension of Accreditation shall go into immediate effect 
following the provisional hearing, be stayed pending a final hearing 
under section (c) of this Rule 2117, or be withdrawn.
    (2) The provisional hearing shall be conducted by a 3-person panel 
consisting of 1 industry member of the Board, 1 independent member of 
the Board, and 1 member of the Arbitral Body selected by the Chair of 
the Board. The hearing may be conducted in person, or by means of an 
audio-visual teleconferencing system or a telephone audio system. The 
panel may submit any findings and make any recommendation to the Board 
that the panel deems appropriate. The panel shall, as appropriate, 
submit to the Board a record of the proceedings conducted under this 
subsection (b)(2).
    (3) At the provisional hearing, the burden is on the Authority to 
demonstrate good cause why the provisional suspension of the 
Racetrack's Accreditation should go into immediate effect, or be stayed 
pending a final adjudication. The panel shall consider all factors that 
it deems appropriate, including but not limited to the factors 
established in Rule 8360(e)(1)-(5). Within 7 business days of the 
conclusion of the hearing, the panel shall issue a written decision 
determining whether the provisional suspension of the Racetrack's 
Accreditation shall go into immediate effect, be stayed pending a final 
adjudication, or be withdrawn. As a condition of issuing a stay of the 
provisional suspension, the panel may require the Racetrack to comply 
with additional safety standards or other requirements necessary to 
address the specific violations by the Racetrack of the Authority's 
safety or Accreditation rules.
    (c) Final Hearing by the Board.
    (1) A final hearing on the matters giving rise to the provisional 
suspension shall be adjudicated by at least a quorum of the Board in 
accordance with the procedures set forth in Rule 8340(d) through (j). 
The 2 Board members that participated in the provisional hearing shall 
not participate in the final hearing. If the Racetrack has requested a 
final hearing, the final hearing shall be conducted by the Board within 
14 calendar days of the request by the Racetrack for a final hearing, 
absent exceptional circumstances which necessitate a reasonable delay 
of the hearing. If the Racetrack does not request a final hearing 
within 10 calendar days of the date of the written decision referenced 
in subsection (b)(3), the Board shall schedule the final hearing. The 
Board in its discretion may adopt any portion of the record submitted 
to the Board by a panel under subsection (b)(2) of this Rule 2117.
    (2) Within 7 business days of the conclusion of the final hearing, 
the Board may take one or more of the following actions:
    (i) order that the Racetrack's Accreditation be reinstated, 
suspended, or revoked, upon a vote in favor of reinstatement, 
suspension, or revocation by two-thirds of a quorum of the members of 
the Board;
    (ii) reinstate Accreditation subject to any requirements the Board 
deems necessary to address the specific violations by the Racetrack of 
the Authority's racetrack safety or Accreditation rules. The Board may 
also impose a fine upon reinstatement in an amount not to exceed 
$50,000.00. The Board may require the Racetrack to report at reasonably 
prescribed intervals on the status of Racetrack safety operations and 
remedial efforts to address specific violations by the Racetrack of the 
Authority's Racetrack safety or Accreditation rules.
    (3) The outcome of the final hearing shall be the final decision of 
the Authority as that term is used in Rule 8350 and Rule 8370, and 
shall constitute a final civil sanction subject to appeal and review in 
accordance with the provisions of 15 U.S.C. 3058.
2120. Accreditation Requirements
2121. Racetrack Risk Management Committee
    (a) General. The Racetracks in each State shall form a Racetrack 
Risk Management Committee to review the circumstances around 
fatalities, injuries, and Racetrack safety issues with the goal of 
identifying possible contributing risk factors that can be mitigated.
    (b) Composition.
    (1) Subject to Rule 2121(b)(4), the Racetrack Risk Management 
Committee shall include, at a minimum, the following:
    (i) Regulatory Veterinarian;
    (ii) Association Veterinarian;
    (iii) Medical Director;
    (iv) Safety Officer or Steward;
    (v) Jockeys' representative;
    (vi) Trainers' representative;
    (vii) Owners' representative;
    (viii) Racing secretary;
    (ix) Racetrack superintendent; and
    (x) Horseshoe Inspector.
    (2) In any jurisdiction where the applicable State Racing 
Commission enters into an agreement with the Authority to establish a 
Regulatory Veterinarian(s), the Regulatory Veterinarian(s) identified 
in the agreement shall chair the Racetrack Risk Management Committee. 
In any jurisdiction where the applicable State Racing Commission does 
not elect to enter into an agreement with the Authority to establish a 
Regulatory Veterinarian(s), the Lead Veterinarian(s) established 
pursuant to Rule 2134(c) shall chair the Racetrack Risk Management 
Committee. The Racetrack Safety Committee may approve the Association 
Veterinarian to serve as the chair of the Racetrack Risk Management 
Committee in place of the Regulatory Veterinarian or Lead Veterinarian 
if the Racetrack Safety Committee determines that the Association 
Veterinarian is capable of performing the duties of the chair of the 
Racetrack Risk Management Committee.
    (3) If the Safety Director is not a committee member, the Safety 
Director shall be an ex officio member of the Racetrack Risk Management 
Committee.
    (4) Subject to the written approval of the Racetrack Safety 
Committee, a Racetrack may alter the composition of the Racetrack Risk 
Management Committee.

[[Page 24609]]

    (5) No individual may concurrently occupy 2 or more of the 
positions established in Rule 2121(b)(1)(i)-(x) on the Racetrack Risk 
Management Committee absent prior written approval of the Racetrack 
Safety Committee.
    (c) Responsibilities. The Racetrack Risk Management Committee 
shall:
    (1) Review all findings relative to Catastrophic Injuries and 
Equine Mortalities. For each Catastrophic Injury and Equine Mortality, 
the Racetrack Risk Management Committee shall:
    (i) interview Trainers, Jockeys, Exercise Riders, and Attending 
Veterinarians, and, when appropriate, Racetrack personnel and a 
qualified human health provider;
    (ii) examine past performances, Workouts, pre-race inspection 
findings, necropsy examination findings, and Trainer and Veterinary 
treatment records;
    (iii) review Race or training video footage, if available;
    (iv) review Racetrack surface conditions and weather information;
    (v) convene a meeting with the connections of the Covered Horse and 
other interested persons who may have information relevant to the 
Catastrophic Injury or Equine Mortality, including, at a minimum, the 
Regulatory Veterinarian, Trainer, Jockey, Rider, and Attending 
Veterinarian, and others if applicable to:
    (A) convey the findings of the review;
    (B) acquire additional information useful for developing strategies 
for injury prevention; and
    (C) provide continuing education or continuing education 
recommendations related to the cause of equine injury, if available, to 
persons related to the applicable Covered Horse;
    (vi) evaluate factors that may have contributed to injuries;
    (vii) evaluate the effectiveness of protocols and procedures for 
managing the equine injury scenario; and
    (viii) develop strategies to mitigate identified factors that may 
have contributed to the injury.
    (2) Review all findings relative to Human Injuries. For each Human 
Injury, the Racetrack Risk Management Committee shall:
    (i) interview witnesses and other persons who may have information 
relevant to the Human Injury;
    (ii) evaluate factors that may have contributed to the Human 
Injury;
    (iii) develop strategies to mitigate risks or safety hazards that 
may have contributed to the Human Injury; and
    (iv) evaluate the effectiveness of protocols and procedures for 
managing Human Injury occurrences.
    (3) Consider Racetrack safety issues brought to the Racetrack Risk 
Management Committee's attention;
    (4) Summary review of all injuries and considerations to review 
existing practices;
    (5) Develop strategies to reduce or mitigate injury occurrences;
    (6) Enhance the identification of Covered Horses or conditions for 
which intervention is warranted;
    (7) Enhance Racetrack safety for equine and human participants; and
    (8) Prepare and submit a report in such form as the Authority may 
prescribe that summarizes the findings of the Racetrack Risk Management 
Committee under this paragraph (c) to the Authority within 60 calendar 
days of the end of Race Meets that are fewer than 60 calendar days in 
length or at least quarterly for Race Meets of 60 calendar days or 
more, unless the Racetrack Safety Committee requires earlier 
submission. The report shall be certified as true and accurate by the 
chair of the Racetrack Risk Management Committee. The minutes from the 
meeting(s) of the Racetrack Risk Management Committee shall be attached 
as an exhibit to the report.
2130. Required Safety Personnel
2131. Safety Director
    (a) The Safety Director shall oversee equine safety, Racetrack 
safety, and risk management and injury prevention at each Racetrack in 
accordance with the provisions of these rules. The Safety Director may 
at the same time serve in the applicable jurisdiction as Safety 
Officer. Subject to the approval of the Racetrack Safety Committee, the 
Safety Director may be shared within and among jurisdictions.
    (b) If the applicable State Racing Commission does not enter into 
an agreement with the Authority, then the Racetracks in such 
jurisdiction shall implement the requirements set forth in this Rule, 
subject to the Racetrack Safety Committee's approval of the individual 
named as Safety Director.
    (c) The Safety Director shall:
    (1) Create a culture of safety for Covered Horses, Riders, and 
Racetrack personnel;
    (2) Oversee all aspects of equine safety, Racetrack safety, and 
safety of personnel working with Covered Horses by ensuring that all 
activities and practices involving the training and racing of Covered 
Horses at the track meet safety standards required by the Authority;
    (3) Implement a risk management and injury prevention program under 
the oversight of the Racetrack Risk Management Committee;
    (4) Establish a formal protocol by which health, safety, and 
welfare issues are reported, investigated, and resolved by the 
Racetrack. The protocol shall address coordination between Racetrack 
management, Veterinarians, safety stewards, and Stewards, so that all 
persons involved have a clear understanding of their roles and further 
action may be taken where appropriate;
    (5) Provide guidance to all Covered Persons on safety issues;
    (6) Maintain and annually review standard operating procedures and 
protocols related to the safety of Covered Horses, Riders, and 
Racetrack personnel;
    (7) Coordinate and oversee emergency drills including equine 
injury, starting gate malfunction, and hazardous weather;
    (8) Report all equine injuries that required equine ambulance 
assistance and fatalities to the Racetrack's Risk Management Committee 
and the Authority within 72 hours of an injury, and within 24 hours of 
a fatality; and
    (9) Interact with the Authority concerning Racetrack Safety 
Accreditation compliance.
2132. Medical Director
    (a) The Medical Director shall oversee the care and organization of 
the medical needs of Jockeys. The Medical Director shall be either a 
licensed physician, a board-certified athletic trainer, or an 
individual qualified to perform the duties and responsibilities set 
forth in this Rule with the assistance of the Authority's National 
Medical Director. Subject to the approval of the Racetrack Safety 
Committee, the Medical Director may be shared within and among 
jurisdictions.
    (b) In any jurisdiction where the applicable State Racing 
Commission does not elect to enter into an agreement with the Authority 
to establish a Medical Director consistent with this Rule, the 
Authority shall appoint and employ a Medical Director to serve as 
Medical Director in that jurisdiction. The Racetracks in the applicable 
jurisdiction shall reimburse the Authority for all costs associated 
with the employment of the Medical Director. Such reimbursement shall 
be shared by the Racetracks in such jurisdiction.
    (c) The Medical Director (or their designees) shall:
    (1) identify professional medical providers and referral networks 
that are licensed and certified to oversee Racetrack emergency 
services, which may include hospital affiliations, nursing staff, EMT 
service and paramedics, internists, surgeons, family

[[Page 24610]]

practitioners, dentists, athletic trainers, or psychiatrists;
    (2) make medical provider contact information readily available for 
ease of communication and immediate coordination of care for any 
medical event;
    (3) require notification of Human Injuries during racing or 
training to the Authority's National Medical Director within 1 hour of 
transport of the individual(s) from the scene of the injury;
    (4) require reporting of Human Injuries to the Racetrack's 
Racetrack Risk Management Committee and the Authority within 24 hours 
of injury;
    (5) coordinate and oversee a plan for on-site medical care, 
including provisions for emergency medical facilities and staffing;
    (6) implement an emergency drill for a Jockey injury;
    (7) coordinate and oversee a comprehensive plan for transportation 
of an injured Jockey to the nearest Trauma Level One or Two facility;
    (8) coordinate and oversee a plan for transportation of injured 
Covered Persons to medical care providers;
    (9) ensure compliance with mandatory annual Jockey physical 
examination requirements to indicate readiness to ride for Jockeys;
    (10) exercise oversight of medical standards, including the minimum 
criteria for riding fitness;
    (11) develop and implement a process for certifying a Jockey's 
fitness to resume riding after any incident at the Racetrack that may 
impair the Jockey's reflexes, decision-making or ability to maintain 
control of a Covered Horse in a race;
    (12) implement the program for Concussion evaluation, Jockey 
exclusion and clearance, and return to ride protocol;
    (13) develop in writing, subject to annual review and revision as 
necessary, the Racetrack's Emergency Action Plan, which shall provide 
for rapid response to the medical needs of Covered Persons at the 
Racetrack;
    (14) work with local, State, and Federal regulators to standardize 
the approach and response to pandemic-related issues among Covered 
Persons at the Racetrack; and
    (15) coordinate with the Authority's National Medical Director.
2133. Stewards
    (a) In States where the applicable State Racing Commission elects 
to enter into an agreement with the Authority, the Stewards, in 
addition to their duties under State law, shall enforce the safety 
regulations set forth in Rules 2200 through 2293.
    (b) Unless the Authority determines that the applicable individual 
is otherwise qualified, to qualify for appointment as a Steward, the 
appointee shall meet the experience, education, and examination 
requirements necessary to be accredited by ROAP.
    (c) The requirements of Rule 2133 for any Steward employed by or 
contracted with a State Racing Commission are subject to the applicable 
State Racing Commission electing to enter into an agreement with the 
Authority. If the applicable State Racing Commission does not enter 
into such an agreement, the Racetracks in the jurisdiction shall 
implement the requirements set forth in Rule 2133, subject to the 
Racetrack Safety Committee's approval of the individual(s) named as 
Steward(s) by the Racetracks. The Steward(s) named by the Racetracks 
shall enforce only the safety regulations set forth in Rules 2200 
through 2293. The Racetracks in the applicable jurisdiction shall 
reimburse the Authority for any costs incurred by the Authority 
associated with the Steward(s).
2134. Regulatory Veterinarian
    (a) A Racetrack shall ensure that no fewer than 2 Regulatory 
Veterinarians (as defined in Rule 1020) (excluding test barn 
veterinarians) are present at the Racetrack during all live racing. 
Upon a request and a showing of undue hardship by the Racetrack, the 
Racetrack Safety Committee may permit a Racetrack to have 1 Regulatory 
Veterinarian present at the Racetrack during all live racing.
    (b) The Regulatory Veterinarian shall:
    (1) subject to the provisions of Rule 2134(c), be employed, 
contracted, or appointed by a State Racing Commission or the Authority, 
who, in addition to other duties, is responsible for monitoring the 
health and welfare of Covered Horses during Covered Horseraces;
    (2) be licensed to practice in the state in which the Regulatory 
Veterinarian is performing the duties established under this Rule, if 
such licensing is required in the applicable jurisdiction;
    (3) refuse employment or payment, directly or indirectly, while 
employed as a Regulatory Veterinarian, from any Owner or Trainer of a 
Covered Horse racing or intending to race in the jurisdiction;
    (4) refrain from directly treating or prescribing medications for 
any Covered Horse within the applicable jurisdiction except in cases of 
emergency, accident, or injury; and
    (5) be knowledgeable about identifying and stabilizing common 
musculoskeletal injuries.
    (c) In any jurisdiction where the applicable State Racing 
Commission does not elect to enter into an agreement with the Authority 
to establish a Regulatory Veterinarian(s) consistent with Rule 2134, 
the Racetrack shall appoint a Veterinarian(s) to serve as the Lead 
Veterinarian(s) in such jurisdiction or Racetrack, as the case may be. 
In any jurisdiction where the applicable State Racing Commission does 
elect to enter into an agreement with the Authority to establish a 
Regulatory Veterinarian(s) consistent with Rule 2134, the Racetrack may 
appoint a Veterinarian(s) to serve as the Lead Veterinarian(s) to 
supplement the duties of the Regulatory Veterinarian(s) and to comply 
with the requirements in Rule 2134(a). The appointment of the Lead 
Veterinarian(s) is subject to the Racetrack Safety Committee's 
approval. The Lead Veterinarian(s) shall perform all of the duties, 
obligations and responsibilities of the Regulatory Veterinarian(s) as 
specified in these Rules. The Racetracks in the applicable jurisdiction 
shall reimburse the Authority for any costs incurred by the Authority 
associated with the Lead Veterinarian(s).
2135. Responsibilities and Duties of Regulatory Veterinarian
    (a) Regulatory Veterinarian(s) shall have the following 
responsibilities and duties:
    (1) conduct pre-race inspections on all potential starters on Race 
Day;
    (2) inspect any Covered Horse when there is a question as to the 
physical condition of such Covered Horse independent of the Covered 
Horse's entry status;
    (3) be present in the paddock during saddling, at the Racetrack 
during the post parade, and at the starting gate until the Covered 
Horses are dispatched from the starting gate for the Race;
    (4) perform post-Race observations;
    (5) notify the Stewards of the scratch of any Covered Horse that 
is, in the opinion of the Regulatory Veterinarian, injured, ill, 
otherwise unable to compete due to a medical or health-related 
condition, or that poses a hazard to other horses or racing 
participants. The Stewards shall then scratch the Covered Horse from 
the Race;
    (6) inspect any Covered Horse which appears to be in physical 
distress during the Race or upon completion of the Race;
    (7) notwithstanding Rule 2220(a), provide emergency medical care to 
Covered Horses injured while racing or

[[Page 24611]]

training and effect case transfer to the Attending Veterinarian;
    (8) be authorized to euthanize, consistent with the current version 
of the American Veterinary Medical Association Guidelines for the 
Euthanasia of Animals, any Covered Horse deemed to be so seriously 
injured that it is in the best interests of the Covered Horse to so 
act;
    (9) report to the Safety Director and the Authority within 24 hours 
the names of all Covered Horses who are euthanized or which otherwise 
die at the meeting and the reasons therefor;
    (10) collaborate with the Safety Director, Chief Veterinarian of 
the State Department of Agriculture (or comparable State government 
official), Equine Disease Communication Center (EDCC), and other 
regulatory agencies to take measures to control communicable or 
reportable equine diseases; and
    (11) remove a Covered Horse from the Veterinarians' List in 
accordance with Rules 2241 and 2242.
    (b) Regulatory Veterinarian(s) may:
    (1) access any and all Covered Horses housed on Racetrack grounds 
regardless of entry status;
    (2) perform inspections of any Covered Horse at any time;
    (3) observe Covered Horses during training activities and Workouts; 
and
    (4) place a Covered Horse on the Veterinarians' List.
    (c) If the Regulatory Veterinarian and the Regulatory 
Veterinarian's staff are unable to fulfill any of the duties described 
in Rule 2135(a) and (b), such duties may be performed by an Association 
Veterinarian. In such case, the Association Veterinarian shall be 
responsible for adhering to and upholding the rules and regulations of 
the Authority and the State Racing Commission. Notwithstanding anything 
contained in the Rules of the Authority to the contrary, if after 
consultation with the Regulatory Veterinarian, the Authority determines 
that the Regulatory Veterinarian requires additional assistance to 
perform the duties of the Regulatory Veterinarian as established in the 
Authority's rules, the Authority may retain additional Veterinarians to 
assist the Regulatory Veterinarian. The applicable Racetracks in the 
applicable jurisdiction shall reimburse the Authority for all costs 
associated with the employment of any additional Veterinarians retained 
under this paragraph.
    (d) In any jurisdiction where the applicable State Racing 
Commission enters into an agreement with the Authority to establish a 
Regulatory Veterinarian(s), the Regulatory Veterinarian(s) identified 
in the agreement shall have authority over all Veterinarians within the 
grounds of the Racetrack. In any jurisdiction where the applicable 
State Racing Commission does not elect to enter into an agreement with 
the Authority to establish a Regulatory Veterinarian(s), the Lead 
Veterinarian(s) established pursuant to Rule 2134(c) shall have 
authority over all Veterinarians within the grounds of the Racetrack. 
The Regulatory Veterinarian(s) identified in the agreement shall review 
and consult with the Stewards and State Racing Commission regarding the 
State Racing Commission license applications of Attending 
Veterinarians, veterinary technicians or assistants, vendors of medical 
supplies and equipment, and non-Veterinarian equine health care 
providers. The authority and responsibilities of the Regulatory 
Veterinarian to review and consult with the Stewards and State Racing 
Commission regarding license applications under this paragraph (d) 
shall not be exercised by an Association Veterinarian or Lead 
Veterinarian.
2136. Racetrack Safety Officer
    (a) Each Racetrack shall have a Safety Officer to ensure that all 
activities and practices involving the training and racing of Covered 
Horses at the Racetrack meet required safety standards and regulatory 
guidelines. The Safety Officer may also be a Steward.
    (b) The Safety Officer or the Safety Officer's designee shall:
    (1) monitor daily stable area activities and practices in the barn 
area and on the Racetrack for compliance with the applicable State 
Racing Commission safety regulations and the Rules of the Authority;
    (2) conduct pre-Race Meet Racetrack safety inspections;
    (3) monitor Outrider compliance with Racetrack rules during 
training;
    (4) monitor starting gate procedures;
    (5) monitor ambulance and medical personnel protocols for Covered 
Horses and Jockeys in cooperation with the Medical Director;
    (6) assist Regulatory Veterinarians with follow-up on Covered 
Horses barred from training or vanned off during training and racing;
    (7) review ship-in and ship-out lists and undertake appropriate 
investigations;
    (8) conduct random HISA registration checks for Covered Persons in 
the stable area;
    (9) conduct random barn inspections to monitor safety and 
regulatory compliance, including fire safety regulations;
    (10) conduct random inspections to verify acceptable management, 
equine husbandry, and veterinary practices;
    (11) enforce fire safety rules in the stable area;
    (12) serve as a member or ex officio member of the Racetrack Risk 
Management Committee; and
    (13) make recommendations to Racetrack management and racing 
officials to ensure the safety and welfare of Covered Horses and 
Jockeys, and compliance with applicable horse racing laws and 
regulations.
2137. Horseshoe Inspector
    (a) Racetracks, or State Racing Commissions where the applicable 
State Racing Commission elects to enter into an agreement with the 
Authority, shall employ or contract with a Horseshoe Inspector to 
perform the duties and responsibilities established in Rule 2138.
    (b) The Horseshoe Inspector shall:
    (1) be licensed by the State Racing Commission if required in the 
applicable jurisdiction;
    (2) be knowledgeable of matters pertaining to hooves, horseshoes 
and the rules of the Authority pertaining to Covered Horses and 
horseshoes; and
    (3) annually complete continuing education as required by Rule 
2182(b)(15).
2138. Responsibilities and Duties of Horseshoe Inspector
    (a) The Horseshoe Inspector shall have the following 
responsibilities and duties:
    (1) conduct inspections of horseshoes and other orthotics on all 
Covered Horses entered in a Covered Race on Race Day; and
    (2) notify the Stewards of any Covered Horse that is shod with 
horseshoes that are not compliant with the Authority's rules.
    (b) The Horseshoe Inspector, or any Farrier exercising the duties 
of the Horseshoe Inspector as provided in Rule 2138(a), are authorized 
to perform other inspections of horseshoes or other orthotics of any 
Covered Horse by direction of a Steward.
2139. Horseshoe Inspections
    (a) Pre-race Horseshoe inspection. Every Covered Horse entered to 
participate in a Covered Horserace shall be inspected on Race Day by a 
Horseshoe Inspector prior to starting in the Race.
    (1) the Trainer of each Covered Horse or a representative of the 
Trainer who is knowledgeable about the Covered Horse and able to 
communicate with the Horseshoe Inspector must present the Covered Horse 
for inspection.

[[Page 24612]]

    (2) the Horseshoe Inspector's inspection of each Covered Horse 
prior to participating in a Race shall include, at a minimum, the 
following:
    (i) identification of the Covered Horse; and
    (ii) examination of the horseshoe or other orthotics and 
documentation of any features relating to a violation of horseshoe 
rules of the Authority.
    (b) If, prior to starting a Race, the Horseshoe Inspector is unable 
to make a determination, or determines that a Covered Horse is wearing 
non-compliant horseshoes, the Horseshoe Inspector shall notify the 
Stewards prior to the Covered Horse leaving the paddock.
2140. Racehorse Inspections and Monitoring
2141. Veterinary Inspections
    (a) Veterinary inspections shall be performed by the Regulatory 
Veterinarians on all Covered Horses entered in a Race. Such inspections 
shall include the items listed in Rule 2142.
    (b) If, prior to starting a Race, a Covered Horse is determined to 
be unsound for competition, or if the Regulatory Veterinarian is unable 
to make a determination of racing soundness, the Regulatory 
Veterinarian shall notify the Stewards that the Covered Horse shall be 
scratched. The Stewards shall then scratch the Covered Horse from the 
Race.
2142. Assessment of Racing Soundness
    (a) Post-layoff report. The Trainer or Trainer's designee of any 
Covered Horse that has not raced for 150 or more days shall complete a 
Layoff Report and submit it to the Authority prior to entry. Nothing in 
this rule shall alter any state law requiring a post-layoff examination 
of a Covered Horse.
    (b) Post-entry screening. The Regulatory Veterinarian shall perform 
post-entry screenings of previous pre-Race inspection findings of 
entered Covered Horses to identify Covered Horses that may be at 
increased risk for injury. The Regulatory Veterinarian shall review 
past performances, lay-ups (more than 60 days without a Timed and 
Reported Workout or Race), Layoff Reports, last 30 days medical 
history, previous injury and lameness diagnostics, intra-articular 
corticosteroid injections, previous surgery, and individual Covered 
Horse risk factors. Additional physical inspection and observation in 
motion may be performed by the Regulatory Veterinarian.
    (c) Race Day veterinary inspection. Every Covered Horse entered to 
participate in a Covered Horserace shall be inspected by a Regulatory 
Veterinarian prior to starting in the Race for which it is entered on 
Race Day.
    (1) The Trainer of each Covered Horse or a representative of the 
Trainer who is knowledgeable about the Covered Horse and able to 
communicate with Regulatory Veterinarian(s) must present the Covered 
Horse for inspection. Covered Horses presented for inspection must have 
bandages removed, and the legs must be clean and dry. Covered Horses 
may not be placed in ice until the Regulatory Veterinarian has 
completed the veterinary inspection and no device or substance shall be 
applied to the Covered Horse that impedes veterinary clinical 
assessment on Race Day.
    (2) The Regulatory Veterinarian's inspection of each Covered Horse 
prior to participating in a Race shall include, at a minimum, the 
following:
    (i) identification of the Covered Horse;
    (ii) ascertainment of the sex of the Covered Horse;
    (iii) performance of an overall inspection of the entire Covered 
Horse, assessing general appearance, behavior, disposition, posture, 
and body condition;
    (iv) observation of the Covered Horse jogging in hand, moving 
toward and away from the Veterinarian so that both hind-end and front-
end motion can be evaluated;
    (v) performance of a digital palpation on both distal forelimbs;
    (vi) placement of the Covered Horse on the Veterinarians' List if 
the Covered Horse does not jog sound or warm up to the Regulatory 
Veterinarian's satisfaction;
    (vii) visual observation in the paddock and saddling area, during 
the parade to post, and at the starting gate; and
    (viii) any other inspection deemed necessary by Regulatory 
Veterinarian(s), including Jockey consultation for the Jockey's mount.
    (3) A report summarizing the results of the Race Day inspection 
under paragraph (c) shall be submitted to the Authority on the day of 
the inspection.
    (d) Post-race assessment. Post-Race visual observations shall be 
performed by a Regulatory Veterinarian on all Covered Horses leaving 
the Racetrack at the conclusion of every Race.
    (1) If a Covered Horse is determined to have Epistaxis or to be 
physically distressed, medically compromised, injured, or unsound at 
any time before exiting the racetrack or leaving the Test Barn, the 
Covered Horse shall be placed on the Veterinarians' List and the 
Regulatory Veterinarian shall document post-race inspection findings to 
the Authority.
    (2) If a Covered Horse is determined to have skin lacerations, 
swellings, or welts that resulted from crop use, the Stewards and 
Attending Veterinarian shall be notified, and the information 
documented to the Authority.
    (e) Training. Regulatory Veterinarians may observe Covered Horses 
during training activities. Covered Horses deemed physically 
distressed, medically compromised, injured, or unsound shall be placed 
on the Veterinarians' List and reported to the Authority.
2143. Racehorse Monitoring
    (a) All Covered Horses and Pony Horses entering the Racetrack 
grounds directly from any location or facility other than a Designated 
Equine Facility or licensed racing facility within the same state as 
the receiving Racetrack must have a current health certificate or other 
health documentation sufficient for importation to the United States 
and approved by the USDA-APHIS representatives. Required vaccinations 
shall be current and recorded in the Covered Horse's or Pony Horse's 
health record. These shall include:
    (1) Certificate of veterinary inspection within the prior 5 days, 
or fewer days if high risk situations dictate;
    (2) EEE/WEE, WNV, rabies, and tetanus vaccinations within the last 
365 days;
    (3) Influenza and Rhinopneumonitis vaccinations within the prior 
180 days, or fewer days if high risk situations dictate; and
    (4) Negative equine infectious anemia (Coggins) test within the 
last 365 days or in a shorter period of time if high risk situations 
dictate.
    (b) The applicable Racetrack shall maintain records that document 
that the requirements of Rule 2143(a) have been satisfied for each 
Covered Horse entering Racetrack grounds. Such records shall be subject 
to inspection and audit by the Authority.
    (c) Exemption for vaccination requirements. Covered Horses that are 
imported to the United States to participate in a specific race or 
races or to enter race training in the United States may, upon 
application to the Authority, be exempted from the vaccination 
requirements, with the exception of requirements for Influenza and 
Rhinopneumonitis, for the following periods:
    (1) if the Covered Horse is leaving the United States immediately 
following the specific race or races, then for the period of USDA 
temporary importation or transit to an approved USDA location, or

[[Page 24613]]

    (2) if the Covered Horse is remaining in the United States, then 
for the period of 14 days following the specific race or races, or from 
arrival at a Racetrack, whichever is longer.
    (d) Each Racetrack shall, upon request by the Authority, submit the 
following information to the Authority with respect to each Covered 
Horse on its grounds:
    (1) Covered Horse identification;
    (2) origin of Covered Horse;
    (3) date of entry;
    (4) verification of certificate of veterinary inspection; and
    (5) verification of vaccinations.
    (e) Each Racetrack shall, upon request by the Authority, submit the 
following information to the Authority with respect to each Covered 
Horse leaving its grounds:
    (1) Covered Horse identification;
    (2) intended destination;
    (3) reason for departure;
    (4) date of exit;
    (5) vehicle license plate; and
    (6) transporter.
    (f) Covered Horses moving interstate must also meet the entry 
requirements of the destination State, the State Racing Commission in 
the destination State, and the individual Racetracks or Training 
Facilities to which the Covered Horse is being shipped in the 
destination State.
2144. Designated Equine Facility
    (a) To qualify an equine facility as a Designated Equine Facility, 
the applicable Racetrack shall certify to the Authority in such form as 
the Authority may prescribe that it has reviewed and determined that 
the biosecurity protocols and procedures of the Designated Equine 
Facility are consistent with the biosecurity protocols and procedures 
of the Racetrack.
    (b) The applicable Racetrack shall maintain records that document 
that the requirements of Rule 2144(a) have been satisfied for each 
Designated Equine Facility, including but not limited to the written 
biosecurity protocols and procedures of the Designated Equine Facility. 
Such records shall be subject to inspection and audit by the Authority.
2150. Racetrack and Racing Surface Monitoring and Maintenance
2151. Data Collection, Recordkeeping and Submission
    (a) Racetracks shall have data collection protocols in place to 
assist in the proper and consistent maintenance of all racing and 
training surfaces. Racing and training surface testing and maintenance 
should be performed based on the Racetrack's written standard operating 
procedures which are reviewed annually and updated as needed. The 
Racetrack Safety Committee, or its designees, shall develop and 
annually update a Racetrack Surface Standard Practices Document.
    (b) All Racetrack design records, racing and training surface 
maintenance records, surface material tests, and daily tests data shall 
be recorded in a format acceptable to the Authority and shall be 
submitted to the Authority. Any test results shall be submitted to the 
Authority within 1 week of receipt of the test results.
2152. Testing Methods
    Surface test methods and surface material test methods must be 
documented and consistent with testing standards from internationally 
recognized standards organizations including ASTM International, 
American Society of Agricultural and Biological Engineers, or other 
relevant international standards, and when possible for unpublished 
standards, methods consistent with those documented by the Racing 
Surfaces Testing Laboratory.
2153. Racetrack Facilities
    (a) Racetrack facilities must be designed, constructed, and 
maintained as described in this Rule to provide for the safety of 
Covered Persons and Covered Horses.
    (b) Rails.
    (1) Racetracks shall have inside, outside, and gap rails designed, 
constructed, and maintained to provide for the safety of Riders and 
Covered Horses.
    (2) The top of the inner and outer rails on dirt and turf courses 
must be at least 40 inches but not more than 50 inches above the top of 
the race surface.
    (3) Objects within 10 feet of the inside rail shall be flexible 
enough to collapse upon impact of a Covered Horse or Rider, or 
sufficiently padded as to prevent injury.
    (4) Rails shall be inspected prior to each Race Meet and daily 
during training and racing events.
    (c) Gaps.
    (1) All gaps must be clearly marked, must have protective padding 
covering any sharp edges or unique angles, and have proper mechanisms 
to allow for secure closure when needed.
    (2) Main gaps and on-gaps should include signage with safety rules, 
Racetrack hours, and other applicable rules.
    (3) For Races breaking from a chute there should be sufficient 
temporary rail extension to prevent Covered Horses from ducking in or 
out.
    (d) Starting gate.
    (1) All gates, and the vehicle that moves the gates, must be 
inspected pre-Race Meet and documented to be in proper working 
condition.
    (2) All gates must have protective padding to ensure the safety of 
the Covered Horse, Riders and Starting Gate Persons. Protective padding 
shall protect the Riders and Starting Gate Persons from contact with 
sharp edges and help to distribute impact loads. All padding shall be 
designed to ensure durability for outdoor use and shall be capable of 
maintaining safety and physical integrity during all weather 
conditions.
    (3) Gates and the vehicle that moves the gates shall be inspected 
and tested each Race Day before the Races and each morning before 
schooling to ensure proper functioning.
    (4) No personnel, other than those required for steering the gate, 
shall ride on the gate while the gate is in motion or being 
transported.
    (5) Racetracks shall have in place a written plan for the removal 
of the starting gate after the start of each Race in a safe and timely 
manner. This plan shall also include procedures for gate removal if the 
primary removal mechanism fails. The plan shall be reviewed annually by 
the Racetrack.
    (6) Every Starting Gate Person shall wear protective gear when 
working on or around the starting gate, including approved helmets and 
safety vests.
    (7) If the starting gate becomes inoperable during racing hours, 
racing may not continue until the starting gate is brought back to safe 
operating standards or the inoperable gate is replaced with a properly 
functioning alternate gate.
    (8) A Racetrack shall ensure there is at least 1 Starting Gate 
Person present for each Covered Horse starting in a Covered Horserace.
    (9) A Racetrack shall make at least 1 starting gate and 1 Starting 
Gate Person available for racehorse schooling during designated gate 
training hours.
    (e) Emergency warning system.
    (1) Each Racetrack shall have an operational emergency warning 
system on all racing and training tracks. The emergency warning system 
shall be approved by the State Racing Commission, subject to the 
applicable State Racing Commission electing to enter into an agreement 
with the Authority. If such agreement does not exist, the emergency 
warning system shall be approved by the Authority.

[[Page 24614]]

    (2) The emergency warning system shall be tested twice a week 
before training or racing.
    (3) During training, when the emergency warning system is 
activated, all persons on horseback shall slow to a walk and no one on 
horseback shall enter the Racetrack.
    (4) The Racetrack announcer shall be trained to utilize the public 
address system to:
    (i) warn Riders of potentially dangerous situations and provide 
direction; and
    (ii) warn patrons of potentially dangerous situations and provide 
direction.
    (f) The Racetrack shall provide a suitable area for jogging claimed 
horses in or near the Test Barn or, if approved by the Authority, a 
secured area used for claimed horse exams. The jogging area shall be of 
sufficient length to jog the claimed horse in hand in a straight line 
of not fewer than 5 strides and have consistent, firm, and level 
footing, and shall be out of the view of persons not authorized in the 
Test Barn or secured area.
2154. Racetrack Surface Monitoring
    (a) Racetracks shall provide equipment and personnel necessary to 
maintain the Racetrack surface in a safe and consistent condition.
    (b) Racetracks shall have pre-meet inspections performed on all 
surfaces prior to the start of each Race Meet with sufficient time 
allotted to facilitate corrections of any issues prior to racing. For 
Race Meets spanning periods with significant weather variation, 
inspections shall be performed seasonally prior to anticipated weather 
changes.
    (1) Inspections for dirt and synthetic surfaces shall include the 
following elements:
    (i) determine and document race and training track configurations 
and geometries, including:
    (A) geometry and slopes of straights and turns and slopes at each 
distance marker pole;
    (B) the accuracy of distances from the finish line to the marker 
poles; and
    (C) cushion and base geometries;
    (ii) base inspection, including windrowing and base survey, surface 
survey, ground penetrating radar, or other method;
    (iii) mechanical properties of racing and training tracks using a 
biomechanical surface tester shall be determined and documented;
    (iv) surface material samples of racing and training tracks shall 
be analyzed for material composition pursuant to the Racetrack Surface 
Standard Practices Document; and
    (v) corrective measures to address issues under paragraphs (i) 
through (iv) above.
    (2) Inspections for turf surfaces shall include the following 
elements:
    (i) determine and document Racetrack configuration and geometry, 
including:
    (A) geometry and slopes of straights and turns and slopes at each 
distance marker pole;
    (B) irrigation systems;
    (C) turf profile; and
    (D) ensure distances from the finish line to the marker poles are 
correct;
    (ii) document turf species;
    (iii) mechanical properties of racing and training tracks using a 
surface tester should be determined and documented;
    (iv) surface material samples of racing and training tracks shall 
be analyzed for material composition pursuant to the Racetrack Surface 
Standard Practices Document;
    (v) the irrigation system must be tested to evaluate function of 
all components and water coverage including gaps and overlap; and
    (vi) corrective measures to address issues under paragraphs (i) 
through (v) above.
    (c) Daily measurements shall be taken at the beginning of all daily 
training and racing sessions for racing and training tracks, and taken 
at each \1/4\ mile marker pole at locations 5 and 15 feet outside the 
inside rail.
    (1) For dirt and synthetic surfaces, such daily measurements shall 
include:
    (i) moisture content;
    (ii) cushion depth; and
    (iii) weather conditions and precipitation at 15-minute intervals 
from a national or local weather service.
    (2) For turf surfaces, such daily measurements shall include:
    (i) moisture content; and
    (ii) penetration and shear properties.
    (d) Surface equipment inventory, surface maintenance logs, and 
surface material addition or renovation logs shall be documented daily 
and uploaded weekly by the Racetrack to an electronic database 
designated by the Authority.
    (1) Daily surface maintenance logs should include equipment used, 
direction and speed of travel, and water administration.
    (2) Documentation of the source, timing, quantity, material 
specifications, and method of all additions to the surfaces shall be 
submitted to the Authority.
2160. Emergency Preparedness
2161. Emergency Drills
    (a) Emergency protocols shall be reviewed, and drills shall be 
conducted, prior to the beginning of and periodically during each Race 
Meet for purposes of demonstrating the Racetrack's proficiency in 
managing the following emergencies:
    (1) starting gate malfunction;
    (2) paddock emergencies;
    (3) Equine Injury;
    (4) Rider injury;
    (5) Starting Gate Person injury;
    (6) medical emergencies;
    (7) loose horse;
    (8) fire;
    (9) hazardous weather condition; and
    (10) multiple injury scenarios for both Covered Horses and Riders.
2162. Catastrophic Injury
    Racetracks and Training Facilities under the jurisdiction of a 
State Racing Commission shall have protocols in place for instances of 
Catastrophic Injury to Covered Horses during racing and training.
2163. Fire Safety
    Racetracks and Training Facilities under the jurisdiction of a 
State Racing Commission shall plan for and have protocols in place for 
instances of fire within their enclosures. Fire and life safety 
inspections shall be performed in accordance with the local authority 
and appropriate National Fire Protection Association standards and 
shall be conducted at the required frequency. Racetracks shall document 
adherence to the applicable local fire protection authority.
2164. Hazardous Weather
    (a) Except as set forth in Rule 2164(b), Racetracks shall comply 
with the applicable rules and regulations of the applicable State 
Racing Commission for the delay or cancellation of races due to 
inclement weather, extreme heat, extreme cold, lightning or other 
hazardous racing conditions. If the applicable State Racing Commission 
does not have such rules and regulations, then the Racetracks, in 
conjunction with its Stewards, Jockeys, and horsemen, shall develop 
Racetrack-specific protocols for the delay or cancellation of races due 
to inclement weather, extreme heat, extreme cold, lightning or other 
hazardous racing conditions. Such protocols shall take into 
consideration specific weather conditions and shall include a 
predetermined method for establishing consensus among stakeholders. The 
first priority of all decisions made shall be the well-being and safety 
of all persons and animals. The protocols shall include:
    (1) designation of the personnel responsible for monitoring weather

[[Page 24615]]

conditions, immediately investigating any known impending threat of 
dangerous weather conditions and determining if conditions exist which 
warrant delay or cancellation of training or racing and the 
notification to the public of such dangerous weather conditions;
    (2) use of a designated weather watcher and a reliable source for 
monitoring the weather, including lightning strike distance/radius 
notifications;
    (3) implementation of a dangerous weather protocol, which accounts 
for extreme heat and chill factors and states that participation in 
racing or training activities may be modified or canceled if heat or 
cold conditions are in the extreme range for exertional heat illness, 
frostbite, or hypothermia;
    (4) Designation by the Racetrack of an official responsible for 
monitoring weather conditions during training and racing hours;
    (5) Consideration by the Racetrack of lightning safety guidelines 
such as the National Athletic Trainers' Association Position Statement, 
or more recent evidence-based recommendations;
    (6) Requirements that the Stewards shall contact Racetrack 
management when weather conditions may become hazardous, and that the 
Stewards shall commence a racing and training delay when weather 
conditions pose risks to human and equine welfare; and
    (7) Designation by the Racetrack of an official responsible for 
enforcing any weather associated training delay.
    (b) All Racetracks shall develop and implement a written protocol 
pertaining to training and racing activities when the Air Quality Index 
approaches unhealthy levels. The protocol shall contain the following 
minimum components:
    (1) when the Air Quality Index is elevated for the Racetrack's zip 
code due to particle pollution (defined as an Air Quality Index of 100-
150), Responsible Persons shall monitor Covered Horses and Pony Horses 
for signs of respiratory inflammation and contact their Attending 
Veterinarian to evaluate Covered Horses and Pony Horses exhibiting 
coughing, nasal discharge, or respiratory distress;
    (2) when the Air Quality Index for the Racetrack's zip code is 
considered Unhealthy (defined as an Air Quality Index of >150), both 
equine and human participants shall be provided the option to withdraw 
from competition without penalty. The Air Quality Index shall be 
closely monitored, and Racetracks shall have discretion to cancel 
Covered Horseraces and Timed and Reported Workouts if Air Quality Index 
is trending upward; and
    (3) no Covered Horserace or Timed and Reported Workouts shall be 
conducted when the Air Quality Index for the Racetrack's zip code is at 
or above 175.
2165. Infectious Disease Management
    (a) Plans and protocols shall be put in place by each Racetrack to 
manage an infectious disease outbreak. Such protocols shall be based on 
guidelines recommended by the AAEP General Biosecurity Guidelines and 
AAEP Healthy Horse Protocols: Biosecurity Guidelines for Racetrack 
Entry and Stabling or more recent versions or developed in consultation 
with the appropriate State agency or official.
    (b) The Regulatory Veterinarian shall maintain written biosecurity 
guidelines and standard operating procedures and train Racetrack safety 
personnel in basic biosecurity protocols. All Covered Persons must 
report any signs that may be attributed to an infectious disease to the 
Regulatory Veterinarian and Safety Director.
    (c) During an infectious disease outbreak, the above requirements 
may be revised as dictated by the circumstances, and all Covered 
Persons shall adhere to disease control measures implemented by State 
Racing Commissions or applicable State veterinary authorities.
    (d) The Safety Director, or Regulatory Veterinarian if the Safety 
Director is not a licensed veterinarian, must notify the Authority and 
the Chief Veterinarian of the relevant State Department of Agriculture 
(or comparable State government official) to enable timely and accurate 
reporting of disease outbreaks at the racetrack to the Equine Disease 
Communication Center.
2166. Human Ambulance Support
    (a) A Racetrack shall ensure that no fewer than 2 properly staffed 
and equipped Advanced Life Support (``ALS'') ambulances or ALS adapted 
vehicles are present at the Racetrack during training and racing hours. 
Upon a request and a showing of undue hardship by the Racetrack, the 
Racetrack Safety Committee may permit a Racetrack to have 1 ALS 
ambulance or certified ALS adapted vehicle present at the Racetrack 
during training and racing hours.
    (b) A Racetrack shall not conduct a Covered Horserace or allow 
Covered Horses on the Racetrack until an ALS ambulance or ALS adapted 
vehicle is present at the Racetrack and available for service.
    (c) If a Racetrack operates a training track in addition to a main 
track, the Racetrack shall provide at least 1 ALS ambulance, ALS 
adapted vehicle, Basic Life Support (``BLS'') ambulance or BLS adapted 
vehicle dedicated to the training track.
    (d) Racetracks shall ensure all ambulance staff have been trained 
in Concussion management and have acknowledged review of the HISA 
Concussion Protocol. Any Jockey who falls or is thrown from a Covered 
Horse during a race shall be examined by a medical provider experienced 
in concussion management and familiar with the HISA Concussion 
Protocol. The medical provider shall report their findings to the 
Stewards who, upon the recommendation of the medical provider shall 
order the Jockey taken off any remaining mounts.
    (e) Racetracks shall develop and implement a training program for 
all ambulance staff to ensure they are familiar with and adequately 
trained on the unique safety and incident response issues present in 
horseracing.
    (f) Racetracks shall develop and implement protocols for incidents 
involving injuries to more than one Covered Person during the same 
race.
    (g) Racetracks shall develop and implement an incentive program to 
retain skilled and certified ambulance staff experienced in the medical 
response issues present in horseracing.
    (h) The ALS ambulance or ALS adapted vehicle shall follow the field 
at a safe distance during the running of Covered Horseraces. In the 
event Racetrack surface conditions prevent the ALS ambulance or ALS 
adapted vehicle from following the racing field:
    (1) the ALS ambulance or ALS adapted vehicle shall be stationed at 
the Racetrack entrance; and
    (2) the ALS paramedic shall move to a chase vehicle or other 
vehicle capable of maneuvering on the racing surface and shall follow 
the racing field in that vehicle. In the event of an incident requiring 
the ALS ambulance or certified ALS adapted vehicle, the ALS paramedic 
shall promptly call for it to travel to the appropriate location.
2167. Rider Injury Reporting Procedure
    (a) Racetracks or State Racing Commissions where the applicable 
State Racing Commission elects to enter into an agreement with the 
Authority, shall develop standard operating procedures for the 
collection of data associated with all incidents resulting in Rider 
injuries sustained at the Racetrack and submit such information to the 
Racetrack Risk Management Committee and the Authority within 10 days of 
the injury

[[Page 24616]]

occurrence. Covered Persons involved in, or witnesses to, the 
circumstances surrounding the injury shall make themselves available to 
and cooperate with those individuals collecting data for the database.
    (b) Data collected shall include:
    (1) name of person injured;
    (2) nature of the injury;
    (3) date and time of day of injury;
    (4) occupation of person;
    (5) safety equipment used;
    (6) cause of the incident;
    (7) weather;
    (8) location of the incident; and
    (9) witness statements.
2168. Equine Ambulance
    (a) A dedicated equine ambulance with personnel trained to operate 
the ambulance shall at all times be available for rapid deployment 
during racing and training periods. It is recommended that a second 
ambulance be available in the case of multiple equine injuries or 
failure of the primary equine ambulance. The primary ambulance must be 
equipped to:
    (1) navigate on the racetrack during all weather conditions;
    (2) safely transport a horse off the association grounds;
    (3) contain equipment to stabilize distal limb injuries; and
    (4) remove a recumbent horse from the racetrack.
2169. Paddock Safety
    Racetracks or State Racing Commissions where the applicable State 
Racing Commission elects to enter into an agreement with the Authority 
shall have protocols in place to manage the safety of their saddling 
paddocks and walking rings. Such protocols shall include crowd 
management policies as well as emergency response procedures for human 
and equine injuries. An emergency medical technician or paramedic shall 
be present during saddling.
2170. Necropsies
    (a) All Covered Horses that die or are euthanized on Racetrack 
grounds shall have an autopsy (necropsy) examination performed. All 
Covered Horses that die or are euthanized due to, or related to, a 
musculoskeletal injury within 72 hours of leaving Racetrack grounds 
shall have an autopsy (necropsy) examination performed.
    (b) Racetracks must have a standard operating protocol that 
specifies:
    (1) contact information and coordination procedures for the persons 
and organizations necessary to perform the necropsy;
    (2) transportation options for necropsy cases and invoicing 
procedures for the cost of transportation;
    (3) secure storage of the body pending transport, and 
transportation of the body (and body parts, when necessary) in such a 
way that tissue degradation and the development of post-mortem 
artifacts are minimized;
    (4) sound infection control practices with respect to equine 
infectious or zoonotic disease; and
    (5) procedures for reporting necropsy findings.
    (c) Racetracks or State Racing Commissions where the applicable 
State Racing Commission elects to enter into an agreement with the 
Authority shall coordinate with a diagnostic laboratory equipped with 
the facilities and trained personnel necessary to perform equine 
necropsies.
    (1) The diagnostic laboratory shall perform a systematic gross 
examination of all body systems and shall collect relevant samples for 
further examination and tests.
    (2) For fatalities related to a musculoskeletal injury, the 
Racetrack and/or diagnostic laboratory may contract with a diagnostic 
laboratory that specializes in examination of racehorse musculoskeletal 
injuries. The affected limb and contralateral limb (and when 
appropriate, the skull, vertebral spine or pelvis), shall be shipped to 
the specialty laboratory for examination, with consideration given to 
optimizing the condition of the body tissues.
    (3) Necropsy findings shall be reported in a manner prescribed by 
the Authority, and shall be submitted to the Regulatory Veterinarian, 
the Racetrack Risk Management Committee, and the Authority within 72 
hours of receiving the necropsy report. The ancillary test results and 
the final report shall be submitted to the Regulatory Veterinarian, the 
Racetrack Risk Management Committee, and the Authority within 72 hours 
of their receipt.
    (d) The cost of necropsies set forth in this Rule 2170 shall be 
paid by those persons who are responsible for necropsy costs pursuant 
to existing state rules. In jurisdictions that do not provide for 
necropsy costs or address the responsibility for payment, the Racetrack 
shall be responsible for payment.
2180. Safety Training and Continuing Education
2181. Uniform National Trainers Test
    Subject to the applicable State Racing Commission electing to enter 
into an agreement with the Authority, the State Racing Commission shall 
require the use of a uniform National Trainers Test in addition to any 
State licensing requirements. This test shall have a written component 
and include practical interviews that demonstrate knowledge and 
proficiency in basic horsemanship skills, knowledge of the Protocol, 
the Racetrack Safety Program, racing office protocols, State specific 
information, and basic equine health care.
2182. Continuing Education
    (a) Subject to the applicable State Racing Commission electing to 
enter into an agreement with the Authority, the State Racing Commission 
shall identify existing, or provide locally, training opportunities for 
all Racetrack employees having roles in Racetrack safety or direct 
contact with Covered Horses.
    (b) Required annual continuing education shall include:
    (1) Regulatory Veterinarians shall complete, on an annual basis, at 
least 8 hours of continuing education specific to racetrack regulatory 
medicine;
    (2) Attending Veterinarians shall complete, on an annual basis, at 
least 8 hours of continuing education specifically applicable to 
racetrack practice;
    (3) Medical Directors shall complete, on an annual basis, at least 
8 hours of continuing education;
    (4) Stewards shall complete at least 16 hours of continuing 
education every 2 years;
    (5) Safety Directors shall complete, on an annual basis, at least 8 
hours of continuing education;
    (6) Trainers shall complete, on an annual basis, at least 4 hours 
of continuing education;
    (7) assistant trainers shall complete, on an annual basis, at least 
4 hours of continuing education;
    (8) Owners shall complete, on an annual basis, at least 2 hours of 
continuing education;
    (9) Racetrack surface managers shall complete at least 8 hours of 
continuing education every 2 years;
    (10) Grooms shall complete, on an annual basis, at least 2 hours of 
continuing education offered in English and Spanish;
    (11) Outriders shall complete, on an annual basis, at least 2 hours 
of safety and outrider protocol training delivered locally prior to the 
beginning of a Race Meet;
    (12) Jockeys and Exercise Riders shall complete, on an annual 
basis, at least 2 hours of safety and rider protocols delivered locally 
or virtually in English and Spanish;

[[Page 24617]]

    (13) Starting Gate Persons shall complete, on an annual basis, at 
least 2 hours of safety training either delivered locally prior to the 
beginning of a Race Meet or through the ROAP certification;
    (14) equipment operators shall complete, on an annual basis, at 
least 2 hours of safety training either delivered locally prior to the 
beginning of a Race Meet or through a continuing education program; and
    (15) Farriers and Horseshoe Inspectors shall complete, on an annual 
basis, at least 2 hours of continuing education and be knowledgeable of 
HISA's horseshoe regulations.
2183. Sexual Harassment Prevention
    Each Racetrack shall implement and enforce a sexual harassment and 
non-discrimination policy that offers protection to Covered Persons by 
prohibiting discriminatory behavior at its facilities. At a minimum, 
the policy shall define and prohibit sexual harassment and 
discrimination against Covered Persons within the applicable legal 
protected classifications and provide an effective process for 
reporting and investigation of prohibited sexual harassment and 
discrimination. The policy shall also memorialize the Racetrack's 
authority to impose discipline on any individual found to be in 
violation of the policy, including but not limited to exclusion from 
the Racetrack (and all related Racetrack grounds and facilities) and 
any racing activities.
2190. Jockey and Starting Gate Person Health
2191. Drug and Alcohol Testing
    Subject to the applicable State Racing Commission electing to enter 
into an agreement with the Authority, the State Racing Commission shall 
develop and implement a testing program for drugs and alcohol for 
Jockeys and Starting Gate Persons. The program shall include provisions 
for medications prescribed by licensed medical doctors that do not 
affect mental and physical abilities. If a State Racing Commission does 
not elect to enter into an agreement with the Authority, the Racetracks 
in such States shall develop and implement a testing program for drugs 
and alcohol for Jockeys and Starting Gate Persons, subject to the 
approval of the Authority.
2192. Concussion Management
    (a) State Racing Commissions, or Racetracks if the applicable State 
Racing Commission does not enter into an agreement with the Authority, 
shall implement the Authority's Concussion management protocol 
containing the following elements:
    (1) each Jockey shall acknowledge in writing that they have been 
made aware of the Concussion protocols at least annually;
    (2) a minimum assessment shall include a current Concussion 
assessment tool examination;
    (3) a return-to-ride guideline shall be established in order to 
clear a Jockey who has been concussed, or is believed to have been 
concussed, once the Jockey is declared fit-to-ride; and
    (4) the Stewards shall be notified when a Jockey is not permitted 
to ride and when the Jockey has been authorized to return to riding.
2193. Insurance
    In States where workers compensation benefits are not afforded to 
Jockeys by State statute or regulation, Racetracks shall maintain a 
minimum standard of One Million Dollars ($1,000,000) per incident worth 
of primary accident medical expense coverage for all Jockeys. The 
insurance coverage shall be in place for all training and racing 
activities. A copy of the current policy's declaration page shall be 
posted in the Jockeys' quarters prior to the beginning of the racing 
season.
2200. Specific Rules and Requirements of the Racetrack Safety Program
2210. Purpose and Scope
    (a) The purpose of Rules 2200 through 2293 is to establish specific 
safety rules and requirements designed to enhance equine and Rider 
safety in horseracing.
    (b) Violation of, or failure to comply with, the requirements of 
Rules 2200 through 2293 may result in disciplinary action by racing 
officials and the Authority.
2215. Welfare and Deprivation of Care
    (a) No Covered Person acting alone or in concert with another 
person shall compromise the welfare of a Covered Horse for competitive 
or commercial reasons or subject or permit any Covered Horse under 
their control, custody or supervision to be subjected to or to incur 
the following:
    (1) any form of cruelty, mistreatment, neglect, or abuse;
    (2) abandonment, injury, maiming, or killing (except for euthanasia 
for humane reasons and in a manner consistent with the current version 
of the American Veterinary Medical Association Guidelines for the 
Euthanasia of Animals);
    (3) administration of any noxious substance; or
    (4) deprivation of necessary care, sustenance, shelter, or 
veterinary care.
2220. Attending Veterinarian
    (a) Subject to Rule 2230(d), only Attending Veterinarians licensed 
by the State's board of veterinary examiners (or applicable veterinary 
licensing board) and the State Racing Commission may attend to Covered 
Horses at any location under the jurisdiction of the State Racing 
Commission.
    (b) Attending Veterinarians at any location under the jurisdiction 
of a State Racing Commission are under the authority of the Regulatory 
Veterinarian and the Stewards.
2221. Treatments by Attending Veterinarian
    The following limitations apply to treatments by Attending 
Veterinarians of Covered Horses.
    (a) No Controlled Medication shall be prescribed, dispensed, or 
administered except in the context of a valid Veterinarian-client 
patient relationship between a Veterinarian, the Responsible Person and 
the Covered Horse. The Responsible Person is not required to follow the 
Veterinarian's instructions, but no Controlled Medication may be 
administered without a Veterinarian having examined the Covered Horse 
and provided the treatment recommendation. Such relationship requires 
the following:
    (1) the Veterinarian, with the consent of the Responsible Person, 
has accepted responsibility for making medical judgments about the 
health of the Covered Horse;
    (2) the Veterinarian has sufficient knowledge of the Covered Horse 
to make a preliminary diagnosis of its medical condition;
    (3) the Veterinarian has performed an examination of the Covered 
Horse and is acquainted with the keeping and care of the Covered Horse;
    (4) the Veterinarian is available to evaluate and oversee treatment 
outcomes, or has made appropriate arrangements for continuing care and 
treatment;
    (5) the relationship is maintained by veterinary visits as needed; 
and
    (6) the medical judgments of the Veterinarian are independent and 
are not dictated by the Responsible Person of the Covered Horse.
    (b) The Responsible Person and Veterinarian are both responsible 
for ensuring compliance with this Rule 2221, except that the medical 
judgment to recommend a drug treatment or to prescribe a drug is the 
responsibility of the Veterinarian, and the decision to proceed with a 
drug treatment that has been so recommended is the responsibility of 
the Responsible Person.

[[Page 24618]]

2230. Treatment Restrictions
    (a) Only the Responsible Person or their designees shall be 
permitted to authorize veterinary medical treatment of Covered Horses 
under their care, custody, and control.
    (b) No person other than a Veterinarian licensed to practice 
veterinary medicine in the applicable State, if required in the 
applicable State, and registered with the Authority may prescribe 
medication with instructions for administration by a Responsible Person 
for a Covered Horse.
    (c) Attending Veterinarians shall not have contact with a Covered 
Horse entered in a Covered Horserace within 24 hours before the 
scheduled post time of the race in which the Covered Horse is scheduled 
to compete unless approved by the Regulatory Veterinarian, or such 
contact is necessitated by an imminent risk to equine welfare, health, 
or safety. Any contact by an Attending Veterinarian with a Covered 
Horse entered in a Covered Horserace within 24 hours before the 
scheduled post time of the race shall be reported to the Regulatory 
Veterinarian. Any unauthorized contact may result in the Covered Horse 
being scratched from the race in which it was scheduled to compete and 
may result in further disciplinary action by the Stewards or the 
Authority.
    (d) Notwithstanding Rule 2220(a), the Regulatory Veterinarian may 
administer emergency treatment to horses on Racetrack grounds when the 
Attending Veterinarian is not present.
    (e) Except as set forth in paragraphs (f) and (g) below, no person 
shall possess a hypodermic needle, syringe capable of accepting a 
needle or injectable of any kind on Racetrack grounds or any facility 
under the jurisdiction of the State Racing Commission, unless otherwise 
approved in writing by the State Racing Commission.
    (f) At any location under the jurisdiction of the State Racing 
Commission, Veterinarians may use only one-time disposable syringes, 
needles, or IV infusion sets; and shall dispose of items in a manner 
approved by the State Racing Commission and applicable State and 
governmental regulations.
    (g) If a person has a medical condition which makes it necessary to 
have a syringe at any location under the jurisdiction of the State 
Racing Commission, that person shall request, in writing, permission of 
the Stewards or the State Racing Commission to possess a syringe. The 
person making the request shall furnish to the Stewards or the State 
Race Commission a letter from a licensed physician explaining why it is 
necessary for the person to possess a syringe, and shall comply with 
any conditions and restrictions set by the Stewards and the State 
Racing Commission.
2240. Veterinarians' List
    (a) A Veterinarians' List shall be maintained by the Authority of 
Covered Horses that are determined to be ineligible to compete in a 
Covered Horserace in any jurisdiction until released by a Regulatory 
Veterinarian registered with the Authority.
    (b) Covered Horses shall be placed on the Veterinarians' List until 
removed in accordance with Rules 2241 and 2242:
    (1) the following Covered Horses shall be placed on the 
Veterinarians' List by a Regulatory Veterinarian:
    (i) Covered Horses affected by illness, physical distress, medical 
compromise, unsoundness, injury, Epistaxis, infirmity, heat exhaustion, 
or deemed unfit to race.
    (2) Covered Horses placed on the Veterinarians' List for 
unsoundness, injury, or Epistaxis are prohibited from participating in 
a Workout for 7 days.
    (3) The following Covered Horses shall be placed on the 
Veterinarians' List by the Authority:
    (i) Covered Horses which have not started in more than 365 days;
    (ii) unraced Covered Horses which have not made a start prior to 
January 1 of their 4-year-old year;
    (iii) Covered Horses which have been administered Shock Wave 
Therapy;
    (iv) Covered Horses which have been administered an intra-articular 
injection;
    (v) Covered Horses which have been administered clenbuterol;
    (vi) Covered Horses designated by the Agency; and
    (vii) Covered Horses currently on a Veterinarian's List in any 
state, if trying to enter in a Covered Horserace.
    (c) The Responsible Person and the Designated Owner (as defined in 
Rule 1020) shall be notified in writing within 24 hours that their 
Covered Horse has been placed on the Veterinarians' List.
    (d) Diagnostic testing may be required for any Covered Horse placed 
on the Veterinarians' List, at the discretion of the Regulatory 
Veterinarian or Association Veterinarian.
2241. Duration of Stay on the Veterinarians' List
    (a) Covered Horses placed on the Veterinarians' List in accordance 
with Rule 2240 shall remain on the Veterinarians' List as follows:
    (1) Covered Horses placed on the Veterinarians' List for 
unsoundness shall remain on the list for a minimum of 14 days;
    (2) Covered Horses placed on the Veterinarians' List two or more 
times for unsoundness within the previous 365 days shall remain on the 
Veterinarians' List for a minimum of 45 days for the second time, a 
minimum of 75 days for the third time, and shall be permanently barred 
for life from further participation in Covered Horseraces for the 
fourth time;
    (3) Covered Horses placed on the Veterinarians' List for Epistaxis 
shall remain on the list for a minimum of 14 days;
    (4) Covered Horses placed on the Veterinarians' List two or more 
times for Epistaxis within the previous 365 days shall remain on the 
Veterinarians' List for a minimum of 30 days for the second time, for a 
minimum of 180 days for the third time, and shall be permanently barred 
for life from further participation in Covered Horseraces for the 
fourth time;
    (5) Covered Horses placed on the Veterinarians' List for illness, 
physical distress, medical compromise, injury, infirmity, or heat 
exhaustion shall remain on the list for a minimum of 7 days;
    (6) Covered Horses treated with Shock Wave Therapy shall be placed 
on the Veterinarians' List for 30 days and are prohibited from 
participating in a Workout for 14 days;
    (7) Except as set forth in Rule 2271(a)(11) and Rule 2271(a)(12), 
Covered Horses administered any intra-articular injection(s) shall be 
placed on the Veterinarians' List for 14 days and are prohibited from 
participating in a Workout for 7 days;
    (8) Covered Horses administered clenbuterol shall be placed on the 
Veterinarians' List until they have undergone a release protocol 
approved by the Agency; and
    (9) if before, during, or after the workout for removal from the 
Veterinarians' List, the Covered Horse is deemed to be unsound or to 
have Epistaxis, the stay on the Veterinarians' List shall be extended 
an additional 30 days, and further diagnostic testing may be required 
as determined by the Regulatory Veterinarian.
2242. Removal of Covered Horses from the Veterinarians' List
    (a) Regulatory Veterinarians may remove Covered Horses from the 
Veterinarians' List in accordance with Rule 2242 and shall document 
such removal to the Authority.
    (b) A Covered Horse placed on the Veterinarians' List which has not 
started in more than 365 days or has not made

[[Page 24619]]

a start prior to January 1 of its 4-year-old year, or has been placed 
on the Veterinarians' List as unsound or as having experienced 
Epistaxis may be removed from the Veterinarians' List upon satisfaction 
of paragraphs (1) through (7) below.
    (1) the Trainer and Attending Veterinarian must observe the Covered 
Horse jog and submit to the Regulatory Veterinarian a co-signed 
statement that the Covered Horse is fit to perform a Workout. If the 
Covered Horse does not perform the Workout for the Regulatory 
Veterinarian within 7 days, the Trainer and Attending Veterinarian must 
observe the Covered Horse again at the jog and submit a new co-signed 
statement.
    (2) any diagnostics required by the Regulatory Veterinarian who 
placed the Covered Horse on the Veterinarians' List must be produced by 
the Responsible Person, and any associated diagnostic criteria required 
by the Regulatory Veterinarian must be satisfied, prior to requesting 
permission to work the Covered Horse for removal.
    (3) the Trainer must then apply no less than 48 hours in advance of 
the Workout to the Regulatory Veterinarian for permission to work the 
Covered Horse for removal from the Veterinarians' List.
    (4) the Covered Horse must perform a Workout under the supervision 
of the Regulatory Veterinarian and demonstrate to the satisfaction of 
the Regulatory Veterinarian that the Covered Horse is sound to race.
    (5) the Regulatory Veterinarian must determine, no earlier than 30 
minutes or later than 2 hours after the Workout conducted pursuant to 
paragraph (b)(4) above, that there is no evidence or sign of Epistaxis, 
physical distress, medical compromise, or unsoundness.
    (6) a blood sample shall be collected from the Covered Horse 
following the Workout, and in accordance with Rule 3132(e), is subject 
to all of the same requirements that apply to Sample collection at 
Covered Horseraces.
    (7) the Regulatory Veterinarian shall communicate the determination 
made in paragraph (b)(5) above and the results of the testing conducted 
pursuant to paragraph (b)(6) above to the Regulatory Veterinarian who 
placed the Covered Horse on the list, or in that Regulatory 
Veterinarian's absence, with a Regulatory Veterinarian from the same 
Racetrack, who then may release the Covered Horse from the 
Veterinarians' List.
    (c) A Covered Horse which has not started in more than 365 days or 
has not made a start prior to January 1 of its 4-year-old year may 
perform a Workout in the presence of the Regulatory Veterinarian 
beginning 335 days since its last start or, if unraced, December 1st of 
its 3-year-old year. If the Covered Horse has not started within 60 
days of being released by the Regulatory Veterinarian, the Covered 
Horse must fulfill the requirements in 2242(b) again.
    (d) A Covered Horse placed on the Veterinarians' List for illness, 
physical distress, medical compromise, injury, infirmity, or heat 
exhaustion may be removed from the Veterinarians' List after expiration 
of the applicable minimum duration set forth in Rule 2241 and sound 
health has been declared by the Attending Veterinarian and the 
Regulatory Veterinarian and documented to the Authority.
2250. Covered Horse Treatment History and Records
2251. Veterinary Reports
    (a) All Veterinarians shall provide treatment records pursuant to 
Rule Series 3000. In addition to the uses set forth therein, these 
records may be used by Regulatory Veterinarians in the performance of 
their duties at the Racetrack, for transfer to the new Responsible 
Person of a Covered Horse, and for purposes of research conducted by 
the Authority in accordance with the Act to enhance the safety and 
welfare of racehorses. Subject to the approval of the Authority, 
records may also be accessed by the State Racing Commission or the 
Stewards.
    (b) For treatments, procedures, and surgeries performed at a 
location licensed by a State Racing Commission or a Training Facility, 
and in addition to the information required to be submitted by 
Veterinarians pursuant to Rule Series 3000, every Veterinarian who 
examines or treats a Covered Horse shall, within 24 hours after such 
examination or treatment, submit to the Authority the following 
information in an electronic format designated by the Authority:
    (1) name and HISA ID of the Covered Horse or, if unnamed, the 
registered name of the dam and year of foaling;
    (2) name and HISA ID of the Responsible Person of the Covered 
Horse;
    (3) name and HISA ID of the Veterinarian;
    (4) contact information for the Veterinarian (phone number, email 
address);
    (5) any information concerning the presence of unsoundness and 
responses to diagnostic tests;
    (6) diagnosis;
    (7) condition treated;
    (8) the name of any medication, drug, substance, or procedure 
administered or prescribed, including date and time of administration, 
dose, route of administration (including structure treated if local 
administration), frequency, and duration (where applicable) of 
treatment;
    (9) any non-surgical procedure performed (including but not limited 
to diagnostic tests, imaging, and shockwave treatment) including the 
structures examined/treated and the date and time of the procedure;
    (10) any surgical procedure performed including the date and time 
of the procedure; and
    (11) any other information necessary to maintain and improve the 
health and welfare of the Covered Horse.
    (c) For treatments, procedures, and surgeries performed at a 
location that is not a Training Facility or is not licensed by a State 
Racing Commission, and in addition to the information required to be 
submitted by Veterinarians pursuant to Rule Series 3000, every 
Veterinarian who examines or treats a Covered Horse shall, within 24 
hours of ambulatory care, outpatient care, or discharge from a clinic 
or hospital, submit to the Authority the following information in an 
electronic format designated by the Authority:
    (1) name and HISA ID of the Covered Horse or, if unnamed, the 
registered name of the dam and year of foaling;
    (2) name and HISA ID of the Responsible Person for the Covered 
Horse;
    (3) name and HISA ID of the Veterinarian;
    (4) contact information for the Veterinarian (phone number, email 
address);
    (5) any information concerning the presence of unsoundness;
    (6) summary of all diagnostic tests and test results;
    (7) any intra-articular diagnostic and therapeutic medications 
administered or prescribed, including the date and time of the 
treatment;
    (8) administration of Shock Wave Therapy, including the date and 
time of the Shock Wave Therapy; and
    (9) any surgical procedure performed including the date and time of 
the procedure.
2252. Responsible Persons' Records
    (a) In addition to the information required to be submitted by 
Responsible Persons under Rule Series 3000, a Responsible Person is 
responsible for maintaining a record of medical, therapeutic, and 
surgical treatments and procedures for every Covered Horse in the 
Responsible Person's control.
    (b) For purposes of this Rule, the term treatment:

[[Page 24620]]

    (1) means the administration of any medication or substance 
containing a medication to a Covered Horse by a Responsible Person or 
the Responsible Person's designee;
    (2) includes the administration of medications that are prescribed 
by a Veterinarian but administered by the Responsible Person or the 
Responsible Person's designee; and
    (3) notwithstanding Rule 3040(b)(8), specifically excludes 
medications or procedures directly administered by a Veterinarian or 
that Veterinarian's employees.
    (c) Records must include the information outlined in paragraphs (1) 
and (2) below.
    (1) For medical treatments:
    (i) name and HISA ID of the Covered Horse or, if unnamed, the 
registered name of the dam and year of foaling;
    (ii) name and HISA ID of the Responsible Person;
    (iii) generic name of the drug, or brand name if a non-generic drug 
is used;
    (iv) name and HISA ID of the prescribing Veterinarian;
    (v) date of the treatment;
    (vi) route of administration;
    (vii) dosage administered;
    (viii) approximate time (to the nearest hour) of each treatment; 
and
    (ix) full name and contact information of the individual who 
administered the treatment.
    (2) For medical procedures, including, but not limited to, Shock 
Wave Therapy, physiotherapy, acupuncture, chiropractic, and surgeries:
    (i) name and HISA ID of the Covered Horse, or, if unnamed, the 
registered name of the dam and year of foaling;
    (ii) name and HISA ID of the Responsible Person;
    (iii) diagnosis and condition being treated;
    (iv) name of procedure or surgery;
    (v) date of the procedure;
    (vi) full name and contact information of the individual who 
administered or performed the procedure; and
    (vii) any other information necessary to maintain and improve the 
health and welfare of the Covered Horse.
    (d) In addition to the uses of records set forth in the Rule Series 
3000, records may be used by the Regulatory Veterinarians in the 
performance of their duties at the Racetrack, for transfer of medical 
records to the new Responsible Person of a Covered Horse, and for 
purposes of research conducted by the Authority in accordance with the 
Act to enhance the safety and welfare of racehorses. Subject to the 
approval of the Authority, records may also be accessed by the State 
Racing Commission or the Stewards.
    (e) Nothing set forth in the rules of the Authority shall limit the 
Authority's access to, or use of, records submitted under any provision 
in the Rule 2000 Series.
2253. Records for Covered Horses Shipping to the Racetrack
    (a) If a Covered Horse is not stabled at a facility under the 
Authority's jurisdiction for the full 30 days prior to a Race or 
Workout for purposes of removal from the Veterinarians' List, the 
Responsible Person shall obtain and maintain the following information:
    (1) name and HISA ID of the Covered Horse or, if unnamed, the 
registered name of the dam and year of foaling;
    (2) generic name of the drug, or brand name of the drug if a non-
generic drug is used;
    (3) date and duration of the treatment;
    (4) route of administration;
    (5) dosage administered;
    (6) surgical procedures;
    (7) non-surgical therapies and procedures;
    (8) daily log of exercise activities at the facility;
    (9) daily log of treatments and procedures at the facility; and
    (10) any other information necessary to maintain and improve the 
health and welfare of the Covered Horse.
    (b) In addition to the uses of records set forth in the Rules 
Series 3000, records may be used by the Regulatory Veterinarians in the 
performance of their duties at the Racetrack, for transfer of medical 
records to the new Responsible Person of a Covered Horse, and for 
purposes of research conducted by the Authority in accordance with the 
Act to enhance the safety and welfare of racehorses. Subject to the 
approval of the Authority, records may also be accessed by the State 
Racing Commission or the Stewards.
2260. Claiming Races
2261. Transfer of Claimed Covered Horse Records
    (a) Entry of a Covered Horse subject to being claimed in a Claiming 
Race implies consent of the Responsible Person to the transfer of the 
following records to the new Responsible Person of the claimed Covered 
Horse:
    (1) all medical records required to be maintained pursuant to Rules 
2252 and 2253; and
    (2) all veterinary records required to be submitted pursuant to 
Rule 2251.
    (b) If a Covered Horse is successfully claimed by a new Responsible 
Person, the previous Responsible Person must transfer the Covered 
Horse's medical records required to be maintained pursuant to Rule 2252 
and Rule 2253 to the new Responsible Person within 3 calendar days of 
transfer of the claimed Covered Horse to the new Responsible Person.
2262. Void Claim
    (a) Except as provided in paragraphs (e) and (g), title to a 
Covered Horse which is claimed shall be vested in the successful 
claimant from the time the field has been dispatched from the starting 
gate and the Covered Horse becomes a starter.
    (b) All claimed Covered Horses shall go to the Test Barn, or, if 
approved by the Authority, the secured area used for claimed Covered 
Horse inspections, for observation by the Regulatory Veterinarian.
    (c) Test Barn or approved secured area observation:
    (1) upon entry into the Test Barn or approved secured area, a 
claimed Covered Horse shall be periodically observed for no less than 
30 minutes during the ``cooling out'' process, unless excused by the 
Regulatory Veterinarian.
    (2) a claimed Covered Horse shall be observed by the Regulatory 
Veterinarian at the completion of any required sample collection, or 
immediately before the Covered Horse is released from the Test Barn or 
approved secured area, to determine whether the claimed Covered Horse 
will be placed on the Veterinarians' List for Epistaxis, or as unsound 
or lame.
    (3) the minimum criteria for observation by the Regulatory 
Veterinarian are:
    (i) to assess the claimed Covered Horse for signs of Epistaxis or 
any other concerning clinical abnormalities; and
    (ii) to jog the claimed Covered Horse in hand in a straight line of 
not fewer than 5 strides moving toward and away from the Regulatory 
Veterinarian.
    (d) If a claimed Covered Horse is placed on the Veterinarians' List 
for Epistaxis, or as unsound or lame, it is the responsibility of the 
Regulatory Veterinarian to notify the Stewards immediately so that the 
Stewards may order the Claim voided.
    (e) The Claim shall be voided, and ownership of the Covered Horse 
retained by the original Owner, if:
    (1) the Covered Horse dies or is euthanized before the Covered 
Horse is released to the claimant;
    (2) the Covered Horse is vanned off of the racing track and placed 
on the Veterinarians' List for Epistaxis, or as unsound or lame; or
    (3) the Regulatory Veterinarian determines pursuant to the 
observation described in Rule 2262(c)(1) that the Covered Horse will be 
placed on the

[[Page 24621]]

Veterinarians' List for Epistaxis, or as unsound or lame before the 
Covered Horse is released to the successful claimant.
    (f) The Claim shall not be voided if, prior to the Race in which 
the Covered Horse is claimed, the claimant elects to claim the Covered 
Horse by checking the appropriate box on the claim slip regardless of 
whether the Regulatory Veterinarian determines the Covered Horse will 
be placed on the Veterinarians' List for Epistaxis or as unsound or 
lame.
    (g) Notwithstanding Rule 3060(a) and 3070(c), and subject to Rule 
2262(h), if a post-race sample collected from a claimed Covered Horse 
on the day of the Claim results in an Adverse Analytical Finding, the 
claimant shall be promptly notified by the Agency or the Authority and 
the claimant shall have the option to void the claim. The claimant 
shall have 48 hours from notification of the Adverse Analytical Finding 
to void the claim by submitting in writing to the Stewards the 
claimant's decision to void the claim.
    If the claimant chooses to void the Claim:
    (1) the claimant shall be entitled to the return from the prior 
Owner of all sums paid for the claimed Covered Horse;
    (2) the claimant shall be entitled, upon submission of expense 
records, to recoup reasonable expenses from the prior Owner related to 
the care, custody and control of the Covered Horse incurred after the 
date of the claim; and
    (3) the claimed Covered Horse shall be returned to the prior Owner.
    (h) A claimant shall not have the option to void a Claim pursuant 
to Rule 2262(g) if any of the following events have occurred since the 
Claim:
    (1) the claimed Covered Horse has made a start in a Covered 
Horserace or race;
    (2) the claimant failed to exercise due care in maintaining and 
boarding the claimed Covered Horse;
    (3) the claimant made material alterations to the claimed Covered 
Horse; or
    (4) the claimed Covered Horse dies or is euthanized.
2263. Waiver Claiming Option
    (a) At time of entry into a Claiming Race an Owner or Responsible 
Person may opt to declare a Covered Horse ineligible to be claimed, 
provided:
    (1) the Covered Horse has not started in 120 days;
    (2) the Covered Horse's last start must have been for a claiming 
price; and
    (3) the Covered Horse is entered in a claiming race with a claiming 
price equal to or greater than the claiming price for which it last 
started.
    (b) A Responsible Person may opt to declare a Covered Horse 
ineligible to be claimed for a second consecutive race, provided:
    (1) the waiver must have been asserted in the first race back to be 
eligible for the second waiver;
    (2) if the Covered Horse wins the first race back, it is ineligible 
for the second waiver;
    (3) if the Covered Horse changes majority ownership subsequent to 
the first race, it is ineligible for the second waiver; and
    (4) the provisions in 2263(a)(3) still apply.
2270. Prohibited Practices and Requirements for Safety and Health of 
Covered Horses
2271. Prohibited Practices
    (a) The following are prohibited practices:
    (1) use of physical or veterinary procedures to mask the effects or 
signs of injury so as to allow training or racing to the detriment of 
the Covered Horse's health and welfare.
    (2) use of Shock Wave Therapy in a manner that may desensitize any 
limb structures during racing or training.
    (3) surgical or chemical neurectomy to cause desensitization of 
musculoskeletal structures associated with the limbs. Horses within the 
foal crop of 2023 or later shall not be allowed to participate in a 
Covered Horserace or a Timed and Reported Workout if they have been 
subject to the procedure(s) described in this Rule 2271(a)(3).
    (4) pin-firing and freeze-firing of the shins (dorsal surface of 
the third metacarpal/metatarsal bones) are prohibited. Horses within 
the foal crop of 2023 or later shall not be allowed to participate in a 
Covered Horserace or a Timed and Reported Workout if their shins have 
been pin-fired or freeze-fired.
    (5) pin-firing of any structure. Horses within the foal crop of 
2023 or later shall not be allowed to participate in a Covered 
Horserace or a Timed and Reported Workout if any structure on their 
body has been pin-fired.
    (6) application of any substance to cause vesiculation, blistering, 
or any physical disruption of the epidermis or surface of the skin.
    (7) injection of any substance to cause inflammation or a counter-
irritant effect.
    (8) the use of a device to deliver an electrical shock to the 
Covered Horse including but not limited to cattle prods and batteries.
    (9) the use of any medical therapeutic device requiring an external 
power source within 48 hours prior to the start of the published post 
time for which a Covered Horse is scheduled to race. This includes but 
is not limited to pulsed electromagnetic field (PEMF), laser, 
nebulizer, electro-magnetic blankets, and boots.
    (10) the use of acupuncture within 48 hours prior to the start of 
the published post time for which a Covered Horse is scheduled to race.
    (11) notwithstanding Rule 4222, and except as set forth in Rule 
2271(a)(12), any Covered Horse treated with any intra-articular 
injection of any joint shall not be permitted to perform a Workout for 
7 days following treatment or participate in a Covered Horserace for 14 
days following treatment.
    (12) notwithstanding Rule 2271(a)(11) and Rule 4222, any Covered 
Horse treated with any corticosteroid intra-articular injection of the 
metacarpophalangeal or metatarsophalangeal joint shall not be permitted 
to perform a Workout for 14 days following treatment or participate in 
a Covered Horserace for 30 days following treatment.
    (b) The Responsible Person of any Covered Horse that violates the 
prohibitions established in Rule 2271(a)(11) or Rule 2271(a)(12) shall 
be subject to the following penalty schedule:
    (1) first violation (within a 365-day period): $3,000 fine.
    (2) second violation (within a 365-day period): $6,000 fine, 10-day 
suspension from participating in any Timed and Reported Workout or 
Covered Horserace.
    (3) third violation (within a 365-day period): $10,000 fine, 30-day 
suspension from participating in any Timed and Reported Workout or 
Covered Horserace.
    (4) fourth violation (within a 365-day period): $20,000 fine, 60-
day suspension from participating in any Timed and Reported Workout or 
Covered Horserace.
    (5) fifth and subsequent violations (within a 365-day period): 
$25,000 fine, 120-day suspension from participating in any Timed and 
Reported Workout or Covered Horserace.
    (c) If the Covered Horse is the subject of 2 or more violations of 
the prohibitions established in Rule 2271(a)(11) or Rule 2271(a)(12) 
within a 365-day period, the Covered Horse may be placed on the 
Veterinarians' List for 30 days.
2272. Shock Wave Therapy
    (a) The use of Shock Wave Therapy shall be limited to licensed 
Veterinarians and, in addition to the

[[Page 24622]]

reporting required under Rule 2251, must be reported by the Responsible 
Person to the Regulatory Veterinarian within 48 hours after treatment.
    (b) Shock Wave Therapy treatment administered to a Covered Horse 
may only be performed using a machine that is registered with the 
Authority.
    (c) Any Covered Horse treated with Shock Wave Therapy shall be 
placed on the Veterinarians' List and shall not be permitted to Race 
for 30 days following treatment or perform a Workout for 14 days 
following treatment.
    (d) Failure to report Shock Wave Therapy in accordance with Rule 
2251 shall subject the Veterinarian to a suspension of the 
Veterinarian's registration for a period not to exceed 1 year and a 
fine not to exceed $10,000.
    (e) Failure to report Shock Wave Therapy in accordance with Rule 
2272(a) shall subject the Responsible Person to a suspension of the 
Responsible Person's registration for a period not to exceed 1 year and 
a fine not to exceed $10,000.
    (f) The Stewards shall adjudicate all alleged violations of this 
Rule 2272. For purposes of determining the period of suspension and the 
amount of the fine to be imposed under Rule 2272(d) and Rule 2272(e), 
the Stewards shall consider all mitigating and aggravating factors 
presented by the Veterinarian or Responsible Person, including the 
severity of the underlying circumstances or conduct giving rise to the 
violation. Examples of aggravating factors shall include, but are not 
limited to, a Covered Horse that was removed from Racetrack grounds 
with the intent to evade the reporting requirements under this Rule 
2272; and multiple violations of this Rule 2272 within a 365-day 
period.
2273. Other Devices
    No electrical, mechanical, or other device, which is purchased, 
designed, or used with the intent to increase or retard the speed of a 
Covered Horse, other than a riding crop, shall be possessed by anyone, 
or applied by anyone, to a Covered Horse at any time on Racetrack 
grounds.
2274. Other Device Penalties
    (a) Penalties for violations of Rule 2273 shall be as follows:
    (1) for a first offense, loss of eligibility for, or revocation of, 
registration with the Authority for 10 years.
    (2) for any subsequent violation, the penalty shall be a lifetime 
ban from registration with the Authority.
2275. Communication Devices
    (a) The use of a hand-held communication device by a Rider is 
prohibited while the Rider is on a Covered Horse or Pony Horse.
    (b) A Rider, while on a Covered Horse or Pony Horse, shall not wear 
an audio device that obstructs or impairs the Rider's ability to hear 
other horses, Riders, hazards, or the Racetrack's emergency warning 
system.
2276. Horseshoes
    (a) The following prohibitions apply to the use of horseshoes 
during training and racing:
    (1) on dirt surfaces, Traction Devices (as defined in Rule 2010) 
other than full rims 2 millimeters or less in height from the ground 
surface of the horseshoe are prohibited on forelimb horseshoes. 
Traction Devices other than full rims 4 millimeters or less in height 
from the ground surface of the horseshoe, or toe grabs 4 millimeters or 
less in height from the ground surface of the horseshoe, are prohibited 
on hindlimb horseshoes.
    (2) on synthetic surfaces, Traction Devices other than full rims 
that are 2 millimeters or less in height from the ground surface of the 
horseshoe are prohibited on forelimb and hindlimb horseshoes.
    (3) on turf surfaces, Traction Devices are prohibited on forelimb 
and hindlimb horseshoes.
2280. Use of Riding Crop
    (a) Subject to paragraphs (b) and (c) of this Rule, a Jockey who 
uses a riding crop on a Covered Horse during a Covered Horserace shall 
do so only in a professional manner consistent with maintaining focus 
and concentration of the Covered Horse for safety of Covered Horses and 
Riders, or for encouragement to achieve optimal performance.
    (b) A Jockey may:
    (1) use the crop only on the hindquarters or the shoulders to 
activate and focus the Covered Horse;
    (2) use the crop a maximum of 6 times during a race. Use of the 
crop shall be considered any contact of the crop with the Covered Horse 
except for a tap to the shoulder of the Covered Horse as permitted by 
Rule 2280(b)(4);
    (3) use the crop in increments of 2 or fewer strikes. A Jockey must 
allow at least 2 strides for the Covered Horse to respond before using 
the crop again;
    (4) tap the Covered Horse on the shoulder with the crop while both 
hands are holding on to the reins and both hands are touching the neck 
of the Covered Horse. A tap to the shoulder of a Covered Horse in 
accordance with the first sentence of this paragraph (4) shall not 
count towards the 6 permitted uses of the crop established in Rule 
2280(b)(2);
    (5) show or wave the crop to the Covered Horse without physically 
contacting the Covered Horse; and
    (6) use the crop to preserve the safety of Covered Horses and 
Jockeys.
    (c) A Jockey shall not:
    (1) raise the crop with the Jockey's wrist above the Jockey's 
helmet when using the crop;
    (2) injure the Covered Horse with the crop or leave any physical 
marks, such as welts, bruises, or lacerations;
    (3) use the crop on any part of the Covered Horse's body other than 
the shoulders or hindquarters;
    (4) use the crop during the post parade or after the finish of the 
race other than to avoid a dangerous situation or preserve the safety 
of Covered Horses and Riders;
    (5) use the crop if the Covered Horse has obtained its maximum 
placing;
    (6) use the crop persistently even though the Covered Horse is 
showing no response;
    (7) use a crop on a 2 year-old Covered Horse in races before April 
1 of each year other than to avoid a dangerous situation or preserve 
the safety of Covered Horses and Riders;
    (8) strike another horse or person with the crop; or
    (9) strike a Covered Horse with any object other than a riding crop 
that conforms to the requirements established in Rule 2281.
    (d) In any Race in which a Jockey will ride without a crop, that 
fact shall be declared at entry, included in the official program, and 
an announcement of that fact shall be made over the public address 
system.
2281. Riding Crop Specifications
    (a) Riding crops are subject to inspection by the Safety Officer, 
Stewards, and the clerk of scales.
    (b) All riding crops must be soft-padded.
    (c) Riding crops shall have a shaft and a flap or smooth foam 
cylinder and must conform to the following dimensions and construction:
    (1) the maximum allowable weight shall be 8 ounces;
    (2) the maximum allowable length, shall be 30 inches;
    (3) the minimum diameter of the shaft shall be three-eighths of one 
inch;
    (4) the shaft, beyond the grip, must be smooth with no protrusions 
or raised surface and covered by shock absorbing materials;
    (5) there shall be no binding within 7 inches of the end of the 
shaft;

[[Page 24623]]

    (6) the flap or smooth foam cylinder is the only allowable 
attachment to the shaft and must meet the following specifications:
    (i) shall have no reinforcements;
    (ii) shall have a maximum length beyond the shaft of one inch;
    (iii) shall have a minimum diameter of 0.8 inches and a maximum 
width of 1.6 inches;
    (iv) there shall be no other reinforcements or additions beyond the 
end of the shaft;
    (v) shall be made of shock absorbing material with a compression 
factor of at least 5 millimeters;
    (vi) shall be made of a waterproof, ultraviolet, and chemical 
resistant flap or foam material that is durable and preserves its shock 
absorption in use under all conditions; and
    (vii) shall be replaced after reasonable wear and tear is visibly 
evident.
    (d) Riding crops shall not be altered and shall have a mark 
identifying the name and manufacturer of the crop.
2282. Riding Crop Violations and Penalties
    (a) Violations of Rule 2280 shall be categorized as follows, with 
the exception that use of the crop for the safety of horse and Rider 
shall not count toward the total crop uses:
    (1) Class 3 Violation--1 to 3 strikes over the limit.
    (2) Class 2 Violation--4 to 9 strikes over the limit.
    (3) Class 1 Violation--10 or more strikes over the limit.
    (b) Unless the Stewards determine the merits of an individual case 
warrant consideration of an aggravating or mitigating factor, the 
penalties for violations are as follows:

----------------------------------------------------------------------------------------------------------------
               Purse                          Class 3                   Class 2                  Class 1
----------------------------------------------------------------------------------------------------------------
Up to $9,000.......................  Fine: $150..............  Fine: $300..............  Fine: $500
                                     AND.....................  AND.....................  AND
                                     Minimum 1-day             Minimum 3-day suspension  Minimum 5-day
                                      suspension..             AND.....................   suspension
                                                               Disqualification of the   AND
                                                                horse from the race.*.   Disqualification of the
                                                                                          horse from the race.*
$9,001-$50,000.....................  Fine: $250..............  Fine: $500..............  Fine: $750
                                     AND.....................  AND.....................  AND
                                     Minimum 1-day             Minimum 3-day suspension  Minimum 5-day
                                      suspension..             AND.....................   suspension
                                                               Disqualification of the   AND
                                                                horse from the race.*.   Disqualification of the
                                                                                          horse from the race.*
$50,001-$200,000...................  Fine: $500..............  Fine: $750..............  Fine: $1000
                                     AND.....................  AND.....................  AND
                                     Minimum 1-day             Minimum 3-day suspension  Minimum 5-day
                                      suspension..             AND.....................   suspension
                                                               Disqualification of the   AND
                                                                horse from the race.*.   Disqualification of the
                                                                                          horse from the race.*
$200,001-$500,000..................  Fine: 10% of Jockey's     Fine: 20% of Jockey's     Fine: 30% of Jockey's
                                      portion of the purse or   portion of the purse or   portion of the purse
                                      $750 whichever is >       $1000 whichever is >      or $2000 whichever is
                                     AND.....................  AND.....................   >
                                     Minimum 1-day             Minimum 3-day suspension  AND
                                      suspension..             AND.....................  Minimum 5-day
                                                               Disqualification of the    suspension
                                                                horse from the race.*.   AND
                                                                                         Disqualification of the
                                                                                          horse from the race.*
$500,001-higher....................  Fine: 10% of Jockey's     Fine: 20% of Jockey's     Fine: 30% of Jockey's
                                      portion of the purse or   portion of the purse or   portion of the purse
                                      $1000 whichever is >      $2000 whichever is >      or $3000 whichever is
                                     AND.....................  AND.....................   >
                                     Minimum 1-day suspension  Minimum 3-day suspension  AND
                                                               AND.....................  Minimum 5-day
                                                               Disqualification of the    suspension
                                                                horse from the race.*.   AND
                                                                                         Disqualification of the
                                                                                          horse from the race.*
----------------------------------------------------------------------------------------------------------------
* Disqualification of the horse from the race includes forfeiture of the purse and all attendant benefits,
  including but not limited to: placing, black type earnings, automatic entry berths, and trophies. Parimutuel
  payouts are not affected.

    (c) Except for violations of Rule 2280(b)(2), for which penalties 
are imposed pursuant to Rule 2282(a) and (b), the Stewards may impose 
any of the penalties set forth in Rule 8200(b) for violations of Rules 
2280 and 2281.
2283. Multiple Violations of Rule 2280
    (a) Stewards shall submit violations of Rule 2280 to the Authority.
    (b) Multiple violations of Rule 2280 within a 180-day period shall 
be subject to the enhanced penalties in paragraph (c) of this Rule.
    (c) For each violation after the first violation within a 180-day 
period, the fine and the suspension day(s) associated with the current 
violation, as established in Rule 2282(b), shall be multiplied by the 
number of cumulative violations of any class (Class 1, 2, and 3 
violations) within the prior 180 calendar days. The following examples 
demonstrate the application of this rule:
    (1) 1 prior violation + current violation = 2 x fine and 2 x 
suspension day(s) of the current violation.
    (2) 2 prior violations + current violation = 3 x fine and 3 x 
suspension day(s) of the current violation.
    (3) 3 prior violations + current violation = 4 x fine and 4 x 
suspension day(s) of the current violation.
2284. Redistribution of Purse
    Upon the disqualification of a Covered Horse from a Covered 
Horserace pursuant to the Rule 2000 Series, the purse shall be 
redistributed in accordance with the revised order of finish.
2285. Intermediate Appeal of Violations
    (a) Notwithstanding any other provision in the rules of the 
Authority, any appeal of a Stewards ruling issued for violation of any 
rule set forth in Rule 2280 or 2281 shall be heard initially by the 
Internal Adjudication Panel established in the Rule 7000 Series. The 
Internal Adjudication Panel shall

[[Page 24624]]

appoint 3 members from the pool of adjudicators to hear the appeal.
    (b) An appeal made pursuant to this Rule 2285 shall not 
automatically stay the Stewards' ruling. A request for a stay pending 
an appeal under this Rule 2285 may be made to the Board pursuant to the 
procedures established in Rule 8350(c).
    (c) A party to the Stewards' ruling may appeal to the Internal 
Adjudication Panel by filing with the Authority a written request for 
an appeal within 10 calendar days of receiving the Stewards' written 
ruling. The appeal request shall contain the following information:
    (1) the name, address, and telephone number, if any, of the 
appellant;
    (2) a description of the objection(s) to the ruling;
    (3) a statement of the relief sought; and
    (4) whether the appellant desires to have a hearing of the appeal.
    (d) The Internal Adjudication Panel may waive the requirement that 
a written submission be filed by the appellant and permit the appellant 
to make an oral presentation at a hearing if doing so is in the 
interest of justice and the conduct of the hearing will not prejudice 
any of the other parties.
    (e) If the appellant requests a hearing, the Internal Adjudication 
Panel shall set a date, time, and place for a hearing. Notice shall be 
given to the appellant in writing and shall set out the date, time, and 
place of the hearing, and shall be served personally or sent by 
electronic or U.S. mail to the last known address of the appellant. If 
the appellant objects to the date of the hearing, the appellant may 
obtain a continuance, but the continuance shall not automatically stay 
imposition of a sanction or prolong a stay issued by the Board. At the 
discretion of the Internal Adjudication Panel, the hearing may be 
conducted in person, or by means of an audio-visual videoconferencing 
system or a telephone audio system.
    (f) If the appellant does not request a hearing, the Internal 
Adjudication Panel may in its discretion review a Stewards' ruling 
based solely upon written submissions scheduled for filing with such 
timing and response requirements as the Internal Adjudication Panel may 
require.
    (g) Upon review of the Stewards' ruling which is the subject of the 
appeal, the Internal Adjudication Panel shall uphold the ruling unless 
it is clearly erroneous or not supported by the evidence or applicable 
law.
    (h) Upon completing its review, the Internal Adjudication Panel 
shall issue a written decision based on the record and any further 
proceedings, testimony, or evidence. The decision shall:
    (1) affirm the Stewards' ruling; or
    (2) reject or modify the Stewards' ruling, in whole or in part.
    (i) Any decision rendered by the Internal Adjudication Panel may be 
appealed to the Board of the Authority for review pursuant to Rule 
8350. The Board may in its discretion:
    (1) schedule a hearing to hear the appeal under the procedures set 
forth in Rule 8350; or
    (2) decide the appeal based solely upon the record and any written 
submissions required to be filed by the Board. The Board may adopt the 
decision of the Internal Adjudication Panel.
2286. Procedures for Adjudications of Violations in the Rule 2200 
Series
    (a) Notwithstanding any provision in the Rule 8000 Series to the 
contrary, any matter referred to the Internal Adjudication Panel 
pursuant to Rule 8320(b)(1) shall be adjudicated in conformity with the 
procedures established for an initial hearing before the Racetrack 
Safety Committee or the Board of the Authority as set forth in Rule 
8340 (c) through (j). All references to the ``Board'' or the 
``Racetrack Safety Committee'' in Rule 8340 (c) through (j) shall be 
deemed to be references to the ``Internal Adjudication Panel''.
    (b) Notwithstanding any provision in the Rule 8000 Series to the 
contrary, any matter referred to the independent Arbitral Body pursuant 
to Rule 8320(b)(2) shall be adjudicated in conformity with the 
procedures established for an initial hearing before the Racetrack 
Safety Committee or the Board of the Authority as set forth in Rule 
8340 (c) through (j). All references to the ``Board'' or the 
``Racetrack Safety Committee'' in Rule 8340 (c) through (j) shall be 
deemed to be references to the ``Arbitral Body''.
2287. Provisional Suspension of Registration
    (a) Provisional Suspension of Covered Person's Registration.
    (1) If the Stewards or the Authority have reasonable grounds to 
believe that the actions or inactions of a Covered Person present an 
imminent danger to the health, safety, or welfare of Covered Horses or 
Riders arising from specific violations by the Covered Person of the 
Authority's Racetrack safety or accreditation rules, the Stewards or 
the Authority may issue to such Covered Person a written notice to show 
cause concerning a potential provisional suspension of the Covered 
Person's registration, which notice shall include:
    (i) an itemization of the specific Authority's safety and 
accreditation rules which the Covered Person is believed to have 
violated, and a summary of the conditions, practices, facts, or 
circumstances which give rise to each apparent violation;
    (ii) the corrective actions suggested to achieve compliance;
    (iii) a request for a written response to the findings, including 
commitments to suggestive corrective action or the presentation of 
mitigating or opposing facts and evidence; and
    (iv) a statement that the Covered Person may within 3 business days 
of receipt of the show-cause notice request a provisional hearing, 
which, absent exceptional circumstances necessitating a reasonable 
delay of the hearing, shall be conducted within 3 business days of 
receipt by the Authority of the Covered Person's request for a 
provisional hearing. If the Covered Person does not request a 
provisional hearing within 3 business days of the Covered Person's 
receipt of the show-cause notice, the Authority shall initiate a 
provisional hearing in accordance with Rule 2287(b).
    (2) Notwithstanding Rule 2287(a)(1), if the Stewards or the 
Authority have clear and convincing evidence that the actions or 
inactions of the Covered Person present an immediate threat of serious 
injury or death to Covered Horses or Riders arising from violations by 
the Covered Person of the Authority's safety or accreditation rules, 
the Stewards or the Authority may immediately issue a provisional 
suspension of the Covered Person's registration, which shall remain in 
effect until the provisional hearing described in paragraph (b) of this 
Rule.
    (3) Nothing in the Authority's rules shall preempt or otherwise 
impair the authority of a State Racing Commission to suspend a Covered 
Person in accordance with its provisions of licensure.
    (b) Provisional Hearing.
    (1) A Covered Person who has received a show cause notice pursuant 
to Rule 2287(a)(1) or whose registration has been provisionally 
suspended pursuant to Rule 2287(a)(2) is entitled to a provisional 
hearing to be conducted by one of the following, as determined by the 
Authority:
    (i) one or more members of the Internal Adjudication Panel;
    (ii) an independent Arbitral Body;
    (iii) the Stewards for adjudication in accordance with the hearing 
procedures of the applicable state jurisdiction. Provided however, that 
in any state that has not entered into an agreement with the Authority 
under which the state

[[Page 24625]]

Stewards serve in an adjudicatory capacity under the Rule 8000 Series 
and enforce the Rule 2200 Series, a hearing may be conducted by one or 
more Stewards, notwithstanding any state rule to the contrary; or
    (iv) a panel of 3 Board members appointed by the Board chair.
    (2) The provisional hearing may be conducted in person, or by means 
of an audio-visual teleconferencing system or a telephone audio system.
    (3) The provisional hearing shall be conducted within 3 business 
days of receipt by the Authority of the Covered Person's request for a 
provisional hearing. If the Covered Person does not request a 
provisional hearing, the Authority shall conduct the provisional 
hearing within 7 business days of the date the show-cause notice was 
issued to the Covered Person pursuant to Rule 2287(a)(1) or the date 
the provisional suspension was issued pursuant to Rule 2287(a)(2). The 
provisional hearing is not a full hearing on the merits, and the sole 
issue to be determined at the provisional hearing shall be whether the 
Covered Person's provisional suspension shall remain in effect, go into 
immediate effect, be stayed pending a final hearing under section (c) 
of this Rule 2287, or be withdrawn.
    (4) At the provisional hearing, the burden is on the Authority to 
demonstrate good cause why the provisional suspension should remain in 
effect, go into immediate effect, or be stayed pending a final 
adjudication. The adjudicatory panel conducting the hearing shall 
consider all factors that it deems appropriate, including but not 
limited to the factors established in Rule 8360(e)(1)-(5). Within 72 
hours of the conclusion of the hearing, the adjudicatory panel shall 
issue a written decision determining whether the provisional suspension 
shall remain in effect, go into immediate effect, be stayed pending a 
final adjudication, or be withdrawn. As a condition of issuing a stay 
of the provisional suspension, the adjudicatory panel may require the 
Covered Person to comply with additional safety standards or other 
requirements necessary to protect the health, safety, or welfare of 
Covered Horses or Riders.
    (c) Final Hearing by the Board.
    (1) A final hearing on the matters giving rise to the provisional 
suspension shall be adjudicated by at least a quorum of the Board in 
accordance with the procedures set forth in Rule 8340(d) through (j). 
If a panel of Board members conducted the provisional hearing pursuant 
to Rule 2287(b)(1)(iv), the Board members that participated in the 
provisional hearing shall not participate in the final hearing. If the 
Covered Person has requested a final hearing, the final hearing by the 
Board shall be conducted within 14 calendar days of the request by the 
Covered Person for a final hearing, absent exceptional circumstances 
which necessitate a reasonable delay of the hearing. If the Covered 
Person does not request a final hearing within 10 calendar days of the 
written decision referenced in subsection (b)(3), the Board shall 
schedule the final hearing.
    (2) Within 7 business days of the conclusion of the final hearing, 
the Board may take one or more of the following actions:
    (i) order that the Covered Person's registration be reinstated, 
suspended, or revoked, upon a vote in favor of reinstatement, 
suspension, or revocation by two-thirds of a quorum of the members of 
the Board; or
    (ii) reinstate the Covered Person's registration subject to any 
requirements the Board deems necessary to ensure that horseracing will 
be conducted in a manner consistent with the Authority's safety or 
accreditation rules. The Board may also impose a fine upon 
reinstatement in an amount not to exceed $50,000.00.
    (3) The outcome of the final hearing shall be the final decision of 
the Authority as that term is used in Rule 8350 and Rule 8370 and shall 
constitute a final civil sanction subject to appeal and review in 
accordance with the provisions of 15 U.S.C. 3058.
    (d) This Rule 2287 shall not apply to Racetracks. Provisional 
suspensions of Racetracks shall be governed exclusively by Rule 2117.
2290. Requirements for Safety and Health of Riders
2291. Jockey Eligibility
    (a) A Jockey shall pass a physical examination given within the 
previous 12 months by a licensed medical provider affirming the 
Jockey's fitness to participate as a Jockey, as well as a baseline 
Concussion test using the Sport Concussion Assessment Tool, Fifth 
Edition, or such other generally accepted Concussion testing protocol 
specified by the Authority's National Medical Director. Documentation 
affirming the Jockey's fitness to participate as a Jockey and 
successful completion of the physical examination and concussion test 
in a form and format approved by the Authority's National Medical 
Director shall be submitted by the Jockey to the Authority's electronic 
platform designated for collection and storage of Jockey eligibility 
documentation. Jockey eligibility documentation must be submitted by 
the Jockey at least annually and updated examination, testing, and 
affirming documentation may be required more frequently as needed 
following illness, injury, or other circumstances impacting Jockey's 
fitness to participate as reasonably determined by the Medical Director 
or the Authority's National Medical Director. The Stewards may require 
that any Jockey be reexamined and may refuse to allow any Jockey to 
ride in a race or Workout pending completion of such examination.
    (b) All Jockeys shall execute a written authorization permitting 
the release of medical information as needed to assist in the 
collection or receipt of Jockey eligibility documentation and 
coordination of care in response to racing related injury or illness. 
Medical information submitted to the Authority shall be maintained by 
the Authority's electronic platform designated for collection and 
storage of Jockey eligibility documentation.
2292. Rider Medical History Information
    (a) At all times while mounted on a Covered Horse or Pony Horse at 
a Racetrack, a Rider shall securely attach to the Rider's safety vest 
one or more medical information cards describing the Rider's medical 
history and any conditions pertinent to emergency care, including a 
listing of any previous injuries, drug allergies and current 
medications.
    (b) The Stewards shall confirm compliance during their safety vest 
inspections at the beginning of the season and with random inspections 
throughout the Race Meet.
    (c) The Stewards may, in their discretion, take disciplinary action 
against, suspend, make ineligible to race, or fine any Rider found in 
violation of this Rule.
2293. Equipment
    (a) Helmets.
    (1) Any Rider mounted on a Covered Horse or Pony Horse anywhere on 
Racetrack grounds shall wear a properly secured safety helmet.
    (2) All Starting Gate Persons shall wear a properly secured safety 
helmet at all times while performing their duties or handling a horse.
    (3) The safety helmet may not be altered in any manner and the 
product marking shall not be removed or defaced.
    (4) The Stewards, or their designee, shall inspect safety helmets 
at the beginning of a Race Meet and randomly throughout the Race Meet.

[[Page 24626]]

    (5) The clerk of scales shall report to the Stewards any variances 
of safety helmets seen during the course of their work.
    (6) The helmet must comply with one of the following minimum safety 
standards or later revisions:
    (i) American Society for Testing and Materials (ASTM 1163);
    (ii) European Standards (EN-1384 or PAS-015 or VG1);
    (iii) Australian/New Zealand Standards (AS/NZ 3838 or ARB HS 2012); 
or
    (iv) Snell Equestrian Standard 2001.
    (b) Vests.
    (1) Any Rider mounted on a Covered Horse or Pony Horse on the 
Racetrack grounds must wear a properly secured safety vest.
    (2) All Starting Gate Persons shall wear a properly secured safety 
vest at all times while performing their duties or handling a horse. 
All Starting Gate Persons are required to securely attach to their 
safety vest one or more medical information cards describing their 
medical history and any conditions pertinent to emergency care, 
including a listing of any previous injuries, drug allergies, and 
current medications.
    (3) The safety vest may not be altered in any manner and the 
product marking shall not be removed or defaced.
    (4) The Stewards shall inspect safety vests at the beginning of a 
Race Meet and randomly throughout the Race Meet.
    (5) The clerk of scales shall report to the Stewards any variances 
of safety vests seen during their course of work.
    (6) The safety vest must comply with one of the following minimum 
standards, as the same may be from time to time amended or revised:
    (i) British Equestrian Trade Association (BETA):2000 Level 1;
    (ii) iEuro Norm (EN) 13158:2000 Level 1;
    (iii) American Society for Testing and Materials (ASTM) F2681-08 or 
F1937;
    (iv) Shoe and Allied Trade Research Association (SATRA) Jockey Vest 
Document M6-3; or
    (v) Australian Racing Board (ARB) Standard 1.1998.
2294. Weight of Riders
    The weight of an approved safety helmet and an approved safety vest 
shall be excluded from the required weight to be carried by a Jockey 
during a race.

    By direction of the Commission.
April J. Tabor,
Secretary.
[FR Doc. 2024-06911 Filed 4-5-24; 8:45 am]
BILLING CODE 6750-01-P