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.