How will new HISA regulations affect Europeans sending horses to the US this autumn?

Article by Annie Lambert

Breeders’ Cup contestants travelling to Kentucky this fall will have more to worry about than flight delays and shipping reservations. Owners, trainers and jockeys will need to bone up on new racing regulations now enforced across America. It appears they are well into that task.

The new rules and regulations became United States federal law in December 2020. The Horseracing Integrity and Safety Authority (HISA) is responsible for drafting and enforcing safety and integrity rules in thoroughbred racing across the U.S. Overseen by the government’s Federal Trade Commission (FTC), HISA is implementing a national, uniform set of rules applicable to all thoroughbred racing participants and racetrack facilities.

HISA comprises the Racetrack Safety Program, which went into effect 1 July 2022, as well as the Anti-Doping and Medication Control (ADMC) program, which will be implemented in January 2023. The ADMC will impact next year’s Breeders’ Cup.

According to Lisa Lazarus, chief executive officer of HISA, the Racetrack Safety Program includes operational safety rules and national racetrack accreditation standards, seeking to enhance equine welfare and minimise horse and jockey injuries. This program expands veterinary oversight and imposes track surface maintenance and testing requirements. It also enhances jockey (and exercise rider) safety, regulates riding crop use and implements voided claim rules, in addition to other measures.

The ADMC program will create a centralised testing and results management process while applying uniform penalties for integrity violations across the country. The rules and enforcement protocols will be administered by a new independent agency, the Horseracing Integrity and Welfare Unit (HIWU), which was established by Drug Free Sport International (DFS).

HIWU will oversee testing, educate stakeholders on the new system, accredit laboratories, investigate potential integrity violations and prosecute those breaking rules and protocols.

HISA completed and pending rules and regulations can be found at https://www.hisaus.org/.

Shifting protocols

Not everyone required to opt into the Horseracing Integrity & Safety Act is pleased to oblige. The confusing regulations have left many with less than a clear understanding of what the new rules actually mean. Those details have constantly been modified and most likely will continue to fluctuate as flaws in the statute are arbitrated. 

The legislation timeline—a very rapid implementation—did not leave an abundance of time for the busy and independent members of the racing community to thoroughly digest the new rules and oversights: In a hurry, they are being asked/required to become obligated by registering themselves and their horses. Horsemen felt left in the dust.

HISA is now, however, in the process of adding a means for horsemen to have a bigger voice in forming regulations and protocols—a complaint horsemen have had since the onset is being excluded from the process. Lazarus announced her executive team would be selecting 10–12 horsemen to participate on the Horsemen’s Advisory Group.

Barry Irwin, founder and chief executive officer of Team Valor International, has been promoting additional integrity in the racing industry for two decades or longer. As a turf writer, breeder, owner and bloodstock agent for over 50 years, Irwin looks forward to implementation of the ADMC. He might have hoped for a smoother execution of HISA, but he is glad things are progressing.

“The safety element is so big and all encompassing, some people may think overreaching, that it stalled the implementation of the integrity piece,” Irwin opined. “There is a lot of good in it; there is a lot of confusion in it. Part of the confusion stems from the perceived lack of input and influence of the people to whom these rules apply.

“A lot of trainers are [unhappy] because there are a bunch of [changed] procedures that they have been using for years, such as blistering horses, pin-firing horses—things like that. There are growing pains, so they have invited horsemen to join an advisory committee for input now and in the future, which I found to be a good thing. It’s just a little late.”  

People responsible for registering horses, usually the trainer, are required to keep precise records for each animal. Most horsemen have a vivid aversion to bookkeeping; they’d much rather concentrate on training horses and keeping owners happy and informed.

Most countries require medical and procedural records be kept on their equine competitors. HISA also requires trainers and veterinarians to maintain detailed, daily health and treatment records for equines in their care. This also applies to international trainers temporarily in town for major races. Those records must be made available to regulatory veterinarians, stewards and HISA upon request. Imagine the daily hours to keep up with a barn full of trainees. There is a solution—a software program—to ease the struggle.

Solution for keeping records

Equine MediRecord became operational in 2018. It was the brainstorm of Pierce Dargan in County Kildare, Ireland. Dargan, a fifth generation horseman, is the company’s CEO. Dargan’s system was created for his family’s training operation in Ireland, to help keep current with racing regulations they faced at the time. 

Trainers can sign up for Dargan’s company platform, which allows them to keep the tedious records required by HISA. Those with multiple stables and facilities can add assistant trainers and veterinarians to assist with inputting information.

“What our system then does is notify the trainer when a record has been put in by someone else for them to sign off, ensuring they know at all times what is being given to their horses,” Dargan explained. “Any horse with an open treatment on our system will [be marked] to remind the trainer to check this horse before entering into any races, as there is still a treatment in the horse’s profile; this ensures the withdrawal period is completed before they race.”

Presently, the cost is $1.50 per horse, per month for the initial year, increasing to $3.00 per horse/month the second year. “We wanted to make sure this was a tool that all trainers, big and small, could afford,” Dargan said. “One of the benefits of having clients globally is we can spread the costs, making it cheaper for all.”

 “We have done the Breeders’ Cup World Championships for the last two years, as well as the Pegasus World Cup, Saudi Cup and Preakness in 2022,” Dargan pointed out.                    

Coming to America

International Breeders’ Cup entries and connections appear prepared to take on HISA, although there could be a few speed bumps on the road to America.

Not registering for HISA—no matter what continent you hail from—means a person or horse may not participate in U.S. racing. Once signed up, however, being misinformed or not following the rules can land people and equines severe punishments, large monetary fines and/or disqualification from industry participation.

Early in the process, HISA’s website was not particularly user friendly, but those issues have been worked out for the most part. International connections preparing to run in major U.S. races initially registered with HISA prior to entering or declaring to run. However, to register for HISA, one needs to be licensed in the state where they will be running. Some states, like New York, require digital fingerprinting of the licensee by track personnel, causing problems for horsemen in far away corners of the world.
“HISA has made it impossible to do things on race day,” explained Adrian Beaumont, director of Racecourse Services for the International Racing Bureau in Newmarket, England. “Therefore, we had to be proactive and get connections licensed beforehand. This often means having to get connections fingerprinted in advance of the meeting. This was especially true of connections, like owners, who would not be going to the races but still needed a HISA registration. New York Racing Association made their cut-off time for HISA as 10 a.m., scratch time, on the day of the race.”

According to Beaumont, HISA’s Lisa Lazarus organised a Zoom call, for Breeders’ Cup principles, including Japan, on 16 September. “I will be interested to know the timeframe they will require all HISA registrations to be completed by, especially as declarations to run are due on Monday, October 31,” added Beaumont.

While the Lazarus Zoom call may flatten some organisational speed bumps, the initial dismay for HISA created a flurry of ongoing legal actions by several state racing commissions, jockey organisations, different Horsemen’s Benevolent and Protective associations and other groups. North American Trainer magazine contributor and equine attorney Peter J. Sacopulos expressed the issue in the magazine’s Issue #65 - Summer 2022, on page 48. In the article, Sacopulos questions how HISA affects international trainers and owners.

“In registering, the foreign national trainer is responsible for and obligated to fully and completely understand and comply with all HISA requirements. Once properly registered and deemed a ‘covered person,’ the foreign national trainer has certain ongoing obligations. For example, Thoroughbred trainers are required to complete four (4) hours of training annually pursuant to Section 2182(b)(5) of the rules governing the Racetrack Safety Program. Additionally, there are requirements for filing records relative to the medical care and treatment of horses. Also, the licensing and ongoing requirements for covered persons apply to owners of Thoroughbred horses. Therefore, it is recommended that the Thoroughbred trainer who is going through the registration process informs his or her owner of those requirements and sees that the owner(s) are properly registered as covered persons.”

It gets complicated.

Riders, whips, rules & penalties 

Beaumont was somewhat surprised by the requirement for jockeys to have an annual baseline concussion test as part of the HISA registration. Riders in England and Ireland have concussion baselines done every two years. French jockeys are not required to have annual baseline concussion tests.

The chief medical officers at the main European Jockey Clubs and the Jockeys’ Associations are now aware of this test requirement. Beaumont recommended their website as informative and helpful. 

https://jockeyclub.com/pdfs/HISA/HISA_Jockey.pdf

“It is the jockeys [who] require the extra briefing about all the rules,” Beaumont said, “but we will do that with them all before race day. “At the last two Breeders’ Cups, the stewards have also briefed all the jockeys about their rules on the mornings of the races. This will obviously now include any extra regulations brought in by HISA.”

Jockeys with Breeders’ Cup mounts will need to study HISA restrictions for use of the whip, which in some cases are similar to, yet vary from, European rules.

Until the limitations on use of the whip become muscle memory, riders are finding themselves punished for extra strikes or improper handling of the whip. Numerous penalties have been dished out to even the best of the American riding colony thus far. One costly example occurred last month.

Jockey Luis Rodriguez-Castro was fined $500 and suspended three days for his ride on Drafted (Field Commission) while finishing fifth in the Forego (Gr. 1) at Saratoga in New York. The rider’s violation was striking Drafted with the whip ten times during the race. HISA rules allow only six strikes during a race; Rodriguez-Castro’s four strike overage cost the horse’s connections $26,000 in purse money.

But Germany and other European nations are also inflicting stringent rules on riders who are overly aggressive with crop use. 

German-bred Torquator Tasso, winner of last year’s Qatar Prix de l'Arc de Triomphe (Gp. 1), finished a near second to Mendocino in Baden-Baden, Germany. Jockey Frankie Dettori felt the sting of striking his mount one time too many with a 14-day suspension.

Strict German whip rules permit for the crop to be used only five times during a race, with the use of it down the shoulder with hands on the reins still considered as one strike.

Team Valor International races horses in Germany, and Barry Irwin voiced respect for their programs in general and regard for their accomplishments with smaller thoroughbred crops of 750 to 800 foals; Torquator Tasso is an example.

“[Germany] has a lot of rules, and they are different from England, Ireland and France,” Irwin said. “You can’t use a tongue tie, for example. I don’t know any other jurisdiction that does that. They are very good at testing, and they have a lot of rules about bleeders.”

Handling and properly holding the whip have become strict and exacting in many racing nations. A BHA steering group has proposed 20 changes to their current whip rules in four areas—how the whip is used, changes to regulation, changes to enforcement, plus other recommendations. (See sidebar)

“Most of our jurisdictions are run as tightly, if not more tightly, than your new HISA rules over in the states,” Beaumont pointed out. In some countries, such as Denmark, Norway and Sweden, whips are banned. Most other countries have strict rules on the use of the whip in terms of how many times a horse can be hit and where they can be hit.”

“The new rules, which are likely to come into force with BHA, include using [the whip] in the backhand position only,” he added. “There are examples every week of jockeys getting fined and banned for use of the whip, and generally longer suspensions than in the states.”

Nation-to-nation compatibility?

HISA regulations overall are not so dissimilar from other international edicts. There are so many variables, geographically for one, that synchronising worldwide regulations may never come to fruition. But, it’s a thought for the future.

When the ADMC portion of HISA kicks into gear the first of next year, there will likely be even more details to be digested by horsemen and other stakeholders. After all, that was the initial consideration when seeking reforms.

Irwin has “great hope” that those marring the integrity of thoroughbred racing will be prosecuted and severely penalised, and that the punishments will be severe enough to stop the cheating.

“As for the Anti-Doping and Medication Control regulations for 2023, I await their details,” said Beaumont. “Of course, we are already subject to strict restrictions over here, so this should not be an issue. Every horse shipping to run at Breeders’ Cup, for example, will already have done an out-of-competition test sanctioned by the state governing body and carried out by the likes of BHA on their behalf.

“They have a tough task,” Irwin said of HISA. “There are so many elements, groups to try to appeal to—it is a tough job.”

HOW THE WHIP SHOULD BE USED

1. Use of the whip for safety purposes should continue to be a fundamental principle of regulation.

2. The Rule requiring the whip to be carried (though not necessarily used) should be retained.

3. Use of the ProCush whip should continue to be permitted for encouragement, with strong and appropriate regulation for its use.

4. The whip rules will be amended to restrict use for encouragement to the backhand position only.

5. Harmonisation of whip rules and penalties is a positive aspiration. The BHA should continue to play a leading role in discussions about harmonisation with its international counterparts, particularly Ireland and France.

CHANGES TO REGULATION

1. The regulatory approach to the whip should be reframed to drive continuous improvement, both in standards of whip use and in the consistency of stewarding.

2. Official guidance notes relating to some aspects of the whip rules should be refined and improved, so they are less ambiguous and open to interpretation, and to ensure greater consistency in the enforcement of the rules.

3. A review panel will be established, which will assess all potential whip offences and apply sanctions or remedial actions where appropriate. The panel will deal with referrals from the Stewards, as well as having the power to initiate its own review.

CHANGES TO ENFORCEMENT

1. The threshold for the application of some whip penalties will be lowered, to increase the deterrent effect and ensure earlier intervention.

2. Penalties will be increased for some specific offences where the current penalty is considered inadequate.

3. Financial penalties applied to amateur riders for whip offences will be increased.

4. The penalty structure for use of the whip above the permitted level, which are the most frequently committed offences, will be revised to increase the deterrent effect.

5. Penalty structure for use of the whip above the permitted level in major races to be revised as a doubling of the suspensions for the same offence in standard races.

6. Repeat whip offences should be addressed at an earlier stage, and the penalties for repeat offences increased to deter further repetition.

7. Disqualification of the horse will be introduced into the penalty framework for particularly serious use of the whip above the permitted level, where there has been a clear and flagrant disregard for the rules.

OTHER RECOMMENDATIONS

1. The BHA, on behalf of the racing industry, should commission and support further objective research into the effects of the whip, using any relevant scientific advances to inform policy.

2. The BHA should regularly consider the design and specifications of the approved whip, with a view to incorporating any technological innovations or advances that could further improve equine welfare and safety.

3. Reasonable efforts should be made by British racing to explain the design, use and regulation of the whip to key audiences.

4. While changing the name of the whip is not a direct, formal proposal, racing participants and media should be encouraged and supported to speak about the whip using appropriate and responsible language.

5. The BHA and racecourses should agree a standard rider contract for charity and legends races, to ensure riders in such races are clear on their obligations in relation to use of the whip.

Scandanavian Horse Racing Breaks New Ground with Common Rules Book

By Dr. Paull Khan

A refrain that can be heard with relentless regularity across the racing world is the call for common rules of racing. I know of no one who does not hold to the view that it would indeed be a great improvement if—like golf, tennis or any number of other sports—racing had a harmonised global rules book. However, with one or two notable recent exceptions, advances towards this prize have been depressingly absent. Racing Authorities are, after all, sovereign in such affairs and, frequently, the attitude that ultimately prevails is “we are absolutely in favour of harmonisation—as long as we don’t have to change our rules.” 

It is, then, all the more heartening to be able to report on an initiative which has overcome such national pride and prejudice and successfully claimed this elusive prize. Since 1 June, the racing industries of Sweden, Norway and Denmark have been governed by a common set of rules encompassing registration and licencing, anti-doping, infection control, raceday equipment and guidelines for sanctions.  

Not that it has been a quick or easy fix. Discussions have been held since before the turn of the century on dovetailing such aspects of racing administration of the three countries. Five years ago, EMHF’s Honorary Life President Bjorn Eklund carried out an exercise to map the differences between the three rules books.

Then, in November 2020, the Swedish Horseracing Authority’s administrative manager, Helena Gartner, was asked to lead a push finally to get the concept over the line. Two representatives were nominated from each of the three countries, with Gartner as project manager. Weekly meetings were held throughout the first half of 2021, paving the way for the June launch.

In part, the recent acceleration of progress can be attributed to COVID as one of the pandemic’s few benefits. Nicolas Cordrey, Danish Jockey Club representative on the group, explains: “There is no doubt that COVID, and the need to use video conferencing on a daily basis, helped in getting the three countries together. It made the process much easier and quicker. We were also lucky to have Helena as project manager, who was always one step ahead.

“Although we are operating in a relatively small market,” explains Gartner, “there is a high degree of international traffic. In 2020, for example, a quarter of the horses that raced in Sweden were trained outside the country—the great majority of them from Denmark and Norway. The same jockeys are riding across Scandinavia. So it is important to have the same procedures and penalties.” 

Exact equivalence of all the Rules has not yet been achieved. Some remain distinct, most obviously Norway’s famous banning of the whip. Gartner again: “I have a list of rules which still differ. While Denmark and Norway use stalls tests; Sweden has qualifier races, for example. Norway has equipment that Sweden and Denmark would not allow: flexible blinkers and ear plugs that can be removed during the race (as are often used in trotting in Scandinavia). I would say that we either succeeded to harmonise quickly or we had to put it on the list, which we have to work with in the future. For Sweden and Denmark there will be more restrictive rules for the use of whip in 2022, which we are discussing at the moment. How close we get to the Norwegian rules is still to be decided.”

These loose ends aside, the experience has been undeniably positive. “Enhanced cooperation between the countries has benefited us all. We share experiences more frequently now and learn from each other. I hope that decisions made by the Stewards will become more and more homogeneous. Now we share members of Appeal Bodies among our countries. We also had a common education for Stewards led by (the British Horseracing Authority’s) Brant Dunshea and Cathy O´Meara in October, which was a big success. I also would like to add that all countries have agreed to let the Swedish Trotting Disciplinary committee decide about violations against the antidoping rules for horses.”

The secret to success down this pioneering route would appear to be compromise and pragmatism as well as acceptance that this is an iterative process, where the countries move closer towards full harmony over time. 

Have the changes been generally accepted by the stakeholders? “Yes, I would absolutely say so,” answers Gartner.

There is a bigger strategic prize that has been an impetus for the project. Establishing a joint Rules Book has been identified as a necessary precursor to technological convergence, with all the synergistic benefits this promises. Gartner again: “Common rules is the first step on our way towards a common Scandinavian database and IT system, and that work has also started!”

The Norwegian Jockey Club’s Liv Kristiansen, also an EMHF Executive Council member, has represented Norway on the project. She elaborates on its perceived advantages:

“As it works now, the three organisations do the same job three times, whether that be registering horses and their breeding, registering owners, licencing or recording race results.”

Cordrey concurs: “One common database, instead of three, will save a lot of administrative time between the three countries and will be much better for our owners, trainers and gamblers. Looking for information and statistics in one place and entering and declaring in one system will make life much easier for a lot of people living in or off racing.”

Kristiansen adds that the system will also address a long-standing inequity. Today, as generally around the world, if a rider incurs a penalty in one country and a second in another country, the first will not be taken into account in any ‘totting-up’ calculations. Top riders can, therefore, move from one jurisdiction to another, free from such concerns. “With our common rules, if a jockey gets fined or suspended for an offence in Norway one day, and then does the same in Sweden the following day, this would be considered a repeat offence.”

Such international cooperation makes sense on so many levels. Common rules are, in and of themselves, to the benefit of all participants and fans. In addition to which, looking beyond one’s own country to outsource certain administrative functions not only increases the talent pool, but also reduces the risks of conflicts of interest. And finally, merging IT systems reduces duplication of work and creates ongoing cost savings. 

Maybe this Scandinavian experiment will act as a beacon for other Racing Authorities to follow suit. 

Photo: Caption: Outgoing IFHA Chair Louis Romanet with EMHF Secretary-General Paull Khan.

BIG CHANGES ON THE WORLD STAGE

4 October 2021 marked the end of a remarkable era in global racing administration. Louis Romanet retired after 27 years as the first and only chair of our global body, the International Federation of Horseracing Authorities, thus ending a period of over a century during which the Romanet dynasty has been central to the sport’s development. It was Louis’ grandfather, René, who, as secretary-general of the Societe d’Encouragement (the then French racing authority), chose the name the Prix de l’Arc de Triomphe for a new prestige race, which made its debut in 1920 shortly after the conclusion of the First World War. Both Louis and his father, Jean, headed the Societe d’Encouragement, and it was Jean’s international outlook and vision that led to the creation of the IFHA. Brian Kavanagh, EMHF chair, has gone as far to say, “Without the Romanet family’s influence in racing, I don’t think racing would be the global sport that it is today.” 

Louis has been a towering figure in world racing for so long, and it was both a relief and a pleasure that we were able to wish him a bonne retraite in person.

Chairmanship of the IFHA passes to Asia, and to Winfried Engelbrecht-Bresges, who has been CEO of the Hong Kong Jockey Club for the past 15 years. (We in Europe, though, can of course claim Engelbrecht-Bresges as one of our own—having run Germany’s Direktorium for six years in the 1990s). There will be no loss of continuity or experience, however, since he steps up to the top post having been, for several years, one of the IFHA’s three vice-chairs.

This was but one of many changes at the IFHA, which followed both a strategic and a governance review. Perhaps the most far-reaching of these is the decision that the federation’s executives will run affairs from their respective bases around the world, in Lexington, Paris and Hong Kong. Just as COVID provided impetus to the Scandinavian rules project, so it seems to have contributed to the acceptance that organisations no longer need to have a single physical headquarters.

Paris will retain a special place within the workings of the IFHA. The 55-year tradition of holding the annual conference there, following the ‘Arc’, will continue. And European interests will continue to be well represented on the IFHA Executive Council, commanding four of the 11 votes. EMHF Chair Brian Kavanagh remains a vice-chair and is joined on the ‘ExCo’ by France Galop’s Olivier Delloye and new recruits Julie Harrington (CEO of the British Horseracing Authority) and Paull Khan, (EMHF secretary-general, representing the region’s ‘developing’ racing nations). Harrington will chair the Governance Committee, and Delloye the new Commercial and Marketing Committee. In addition, EMHF Executive Council member Henri Pouret will become a director of the new global Executive Office.

In terms of focus areas, it is noteworthy how issues of sustainability and climate change have moved centre stage. At this year’s IFHA Annual Conference, alongside the familiar themes of technological advances and horse welfare was a powerful piece from the Chair of Sport and Sustainability International on the challenges faced by racing and breeding in achieving net zero emission. This came hard on the heels of a talk at this year’s Horseracing Industry Conference in Britain whose strapline was 'Future-Proofing the Racing Industry: Protecting People and the Planet’ and featured an address by the CEO of the British Association for Sustainable Sport. 

In his address to the virtual IFHA Conference, Engelbrecht-Bresges stated, “The time has now come for racing to fully commit to addressing the challenge of climate change” and announced the creation of a new IFHA Committee on sustainability, bolstered by external experts. He expressed confidence that racing could play a leading role among sports on this issue, just as it has in the areas of commercial development and integrity. It seems clear that, from now on and increasingly, the agendas of racing’s leaders will be tinged green.

On the EMHF front, 2020 was, sadly, another year without an in-person meeting. We fervently hope we will be able to meet up for next year’s General Assembly in Warsaw in May 2022. 

This year we welcomed our first two associate members: Romania and Lebanon. The Romanian Jockey Club has hopes of restoring racing in Romania to its former glories. Lebanon no longer stages thoroughbred racing but is hopeful that this can be resurrected in future. Lebanon has moved from a full member to an associate member. Regrettably, we have seen the demise of racing in Lithuania, which is no longer an EMHF member.

On our EMHF Executive Council, Will Lambe has left the BHA and replaced as the vice-chair representing non EU European countries by Julie Harrington. Spain’s Paulino Ojanguren Saez was also elected to the ‘ExCo’ in a four-way contest for the space created by the retirement of Turkey’s Behcet Homurlu.