Why HISA matters - A farrier's perspective

Article by Mark Hickcox CF

I wrote the following article titled “Why HISA Matters” for the February/March 2023 issue of No Foot, No Horse, the American Farrier’s Association newsletter magazine. This is one farrier’s perspective of HISA shoeing regulations written to other farriers. The majority of AFA members do not plate racehorses exclusively, but might hear about HISA horseshoe regulations and have questions regarding the effect on the farrier industry. The raceplater farriers are well aware of the effects and confusion surrounding HISA shoeing regulations and are doing their best to stay up to date with the track-specific rules and enforcement that are vastly differing from state to state. Track stewards and paddock blacksmiths have been given no HISA-specific measurement training, updated enforcement guidelines, or detailed specifications other than the non-enforcement on dirt announcement on July 29, 2022. 

Farrier industry or racetrack jargon regarding traction devices and shoe modifications can be confusing and subjective even among a group of farriers. Here’s the scenario: HISA and a group of horsemen are making a decision on a toe grab length that may vary less than the thickness of a dime, based on studies that have never been conducted because the shoe to test this toe grab hasn’t been manufactured, nor can they recognize a front shoe from a hind shoe, this does not set them up for success. The farrier industry is willing to be the experts in the room for such an occasion but weren’t invited for a collective comment until the regulations were well over 6 months old.

In 2023, it seems that HISA has bigger fish to fry, and legal rulings will take precedence over a horseshoe regulation specifications guide or clarification of the process of enforcement, in general. So, when will we see the non-enforcement announcement rescinded? We don’t know. Will the farrier industry be consulted in advance of the next decision to make sure that the shoes being specified will exist this time? We don’t know. Who, what, when, where, and how will enforcement happen at each racetrack and training facility? We don’t know. Are the rumors of new types of injuries due to a lack of traction? We don’t know. 

I have to believe that HISA administration will decide that they should speak with and listen to the Farrier Industry Association; the members include: the farriers, the companies that make the horseshoes, and the supply houses that stock and sell them to the farriers. After all, the title of the AFA magazine should remind them that it’s No Foot, No Horse.

WHY HISA MATTERS

You may have heard from a raceplater friend or seen a post somewhere about new shoeing regulations for Thoroughbred horse racing in the U.S. Most farriers would say it doesn’t affect them because they don’t work on race horses. True, the new law won’t change how most farriers shoe horses today. The new law may have a far greater reach however, by introducing government regulations to farriers and the farrier industry.

United States farriers are a pretty self-regulating bunch of individuals historically. Our education, certification, and proficiency under the horse are not something that is mandated to be a farrier. Whether it’s your full-time career or a skill that you possess to make some extra money, your business is your business. Other countries have laws that govern farriery, and you cannot apply a device to a horse’s hoof without attaining qualified farrier credentials. These regulations are always created for protecting horse welfare and come with a price for someone seeking qualified farrier status. This article is not meant to argue the merits of qualification, certification, education, continuing education, etc. Opinions vary, and agreement is not necessary in regards to HISA, but HISA is a law that does reach into the farrier industry nonetheless.

HISA is the acronym for the Horseracing Integrity and Safety Authority, and it was created when the Horseracing Integrity and Safety Act was signed into law in 2020.

“HISA is responsible for drafting and enforcing uniform safety and integrity rules in thoroughbred racing in the U.S. Overseen by the Federal Trade Commission (FTC), HISA was created to implement, for the first time, a national, uniform set of rules applicable to every thoroughbred racing participant and racetrack facility. HISA is comprised of two programs: the Racetrack Safety Program, which goes into effect July 1, 2022, and the Anti-Doping and Medication Control (ADMC) Program, which will go into effect in January 2023.” 

“The Racetrack Safety Program includes operational safety rules and national racetrack accreditation standards that seek to enhance equine welfare and minimize equine and jockey injury. The Program will expand veterinary oversight, impose surface maintenance and testing requirements, enhance jockey safety, regulate riding crop use, and implement voided claim rules, among other important measures.”

Most often, horseshoers are the first to notice an issue with a horse’s health that may need veterinary intervention. We are horse men and women that care about an animal’s well-being when they are in our care. We can be held liable for issues related to our services and can keep horse owners up to date with best practices regarding the care of their horse. The service that farriers provide can be life changing, with regard to soundness, and life-saving, with regard to lameness, in many instances. This role is sometimes overlooked by the outside world because we “just shoe horses.” Our products and services can be lumped into a commodity purchase of goods and a service.

Unfortunately for HISA, implementation of the new shoeing regulation has demonstrated that the farrier industry (as a whole) is large, diverse, and multi-faceted just like other industries in our country. We have farriers as the end-user of products purchased from suppliers that are manufactured around the world by many companies that specialize in highly engineered pieces of steel and aluminum. Manufacturing processes require months of planning for raw materials, energy, transportation, labor, packaging, and distribution before a product gets on a supplier’s shelf—in all sizes and shapes necessary. This meant that a shoeing regulation approved by the Federal Trade Commission on March 4, 2022, that affects all racing or training Thoroughbred race horses in the U.S. on July 1, 2022, was idealistic at best. I’m sure that when it was published in the Federal Register on January 5, 2022, it seemed pretty simple.

2276. Horseshoes

(a) Except for full rims 2 millimeters or less from the ground surface of the Horseshoe, traction devices are prohibited on forelimb and hindlimb Horseshoes during racing and training on dirt or synthetic racing tracks.

(b) Traction devices are prohibited on forelimb and hindlimb Horseshoes

(c) Traction devices include but are not limited to rims, toe grabs, bends, jar calks and stickers.

Again, I know that a lot of farriers don’t shoe racehorses. This law will not affect how you shoe horses today, but then I read the following in this magazine:

“Purportedly, bar shoes, pads, glue on shoes, quarter crack patches may only be applied by a covered veterinarian. Those official regulations, however, will come in another phase of the bill.”

This is why we should all care. If the government can pass and implement a law that defines what we can nail on a horse’s hoof in any discipline of equine competition, then it can do it in all of them. This isn’t alarmist rhetoric to start fights or anarchy; it is information to attempt to protect our whole industry: manufacturers, suppliers and farriers. HISA still has legal challenges to clear, enforcement issues to fix, and a newly formed horsemen’s advisory council to blend into the decision-making process. Farriers and other farrier industry professionals should be consulted moving forward because our connection to elite equine athletes is often understated but cannot be ignored. Remember, a lot of folks think that it’s “just shoeing horses.” 

How do I stay informed/get involved?

• Keep advocating for our industry as a small business owner in your community: Chamber of Commerce member, high school trade fair booth, 4-H or pony club demonstration, equine emergency services volunteer, ag community organizations, etc. Remember, your business is your business!

• Stay involved in farrier industry organizations: clinics, contests, certifications, trade shows, supplier’s open house, hammer-ins, virtual education opportunities

• Be aware of industry changes/regulations: multi-discipline knowledge, state laws, federal laws, litigation affecting our industry, new products/technology

• Grass roots activism: Write an email or a letter to political leaders, start a  hoofcare education group for horse owners, improve farrier/vet relations in your coverage area, write an article, publish a yearly farrier newsletter for your clients. 

• Ride-along days: “The hardest door to open is the passenger side of someone else’s farrier truck.”

• Spend one day at a farrier school: Explaining how you do something is a great way to re-evaluate your own work process.

Did you know?

1. The American Farrier’s Association is a member of the American Horse Council. AHC is the only organization that represents the entire horse industry in Washington, DC.

2. The American Veterinary Medical Association spent over $860,000 per year since 2017 as their total lobbying expenditure and had 15 paid lobbyists in 2022.

3. Only 5% of U.S. veterinarians practice on large animals.

4. In 1978, Ada Gates became the first female farrier to become licensed to shoe Thoroughbred racehorses in the U.S. and Canada.

5. The International Union of Journeyman Horseshoers (IUJH) was established in the U.S. in 1874 (also known as the Heavy Horse Union).

6. If you Google “horseshoe regulations,” all results on the first page are about the game.

How HISA has affected the marketing and selling of equine supplements - What trainers need to know

Article by Ken Snyder

In 1834, Thomas Day of Day & Sons in the UK. introduced Day’s Black Drink, an elixir for horses to relieve colic, chills, “low condition” and something called “gripes.” There is no record of the ingredients, and that is probably something best left unknown.

Black Drink was the first known supplement, or product made from natural, not synthetic, substances, as this was the early 19th century. So, too, is heroin derived from a natural substance—poppies. (Created from morphine in 1874, its use on the racetrack was prevalent enough in the early 20th century to help fix races that “horse” became slang for the narcotic in recent history.)

Supplements today range from useless and quackery to many that are considered effective in horse health care by many trainers on the racetrack. In fact, the majority of  Thoroughbred trainers utilize supplements with feed.

Like therapeutic medications and illegal substances, dietary supplements are under the purview of the Horse Integrity and Safety Authority (HISA). Like their drug counterparts, HISA is instituting uniform regulations for supplements in all 50 states. The task falls specifically to the organization’s Horse Integrity and Welfare Unit (HIWU).

Good, bad, or indifferent, the intent of this organization, inarguably, is noble: to make racing safer and healthier for the horses. 

Supplements, however, are seemingly lost in the fog in the scrutiny and attention paid to perhaps the biggest problem in horse racing: medications.

There are potential hazards with supplements, however, and uniform rules across all U.S. racing jurisdictions are in place just as with medications. The key regulation that is now applicable in every HISA jurisdiction specifies that “orally administered vitamins“ and “unsupplemented isotonic electrolyte solutions by oral or intravenous administration” may be administered up to 24 hours prior to post time. This may differ from prior state regulations.

Alexa Ravit, director of communications and outreach for HIWU, outlined the objectives of this regulation and all HISA “regs” in response to an email:

“HISA’s supplements-related regulations (and in particular addressing ‘drug claims’) are intended to protect horsemen from 1) fraudulent or unproven claims of effect; 2) the unknown safety risk to horses in administering these products; and 3) products where the risk of contaminants or unknown components is high due to lack of independent quality controls.”

The task of monitoring and regulating dietary supplements is not nearly as challenging as that for medications, but it is no slam-dunk either. Also, while medications and new withdrawal times for permitted drugs might be a trainer’s focus, trainers should know that, while supplements by and large are safe, there are things to watch for with their use. 

In simplest terms, managing supplements for trainers under HISA/HIWU is following three steps: (1) reading labels (more on this below); (2) being careful in using dietary supplements in combination with approved medications; and (3) not accepting free supplements without understanding what’s on the label.

Mislabeled supplements, according to Rivet, are the major thing that can get a trainer and owner in trouble. She wrote, “If…the product’s labeling…includes a health or structure/function claim, the product is a drug, not a dietary supplement.” Also, drugs are FDA-approved and will carry that information on the label. Supplements won’t. 

In short, trainers need to look first to make sure the supplement does not say “FDA approved.” Supplement labels also should not make “structure/function” claims. HIWU lists these examples:

− Decreases or prevents exercised-induced pulmonary hemorrhaging (EIPH)

− Prevents or treats gastric ulcers
− Manages pain caused by osteoarthritis
− Controls inflammatory airway disease 

− Increases cardiac output
− Increases red blood cell production

The claims are definite, positive and apparently proven by results, warranting approval by the FDA.

Contrast these claims against what will be found for dietary supplements: 

− Sustains lung health
− Maintains gastrointestinal health
− Supports heart health
− Supports bone strength
− Promotes healthy metabolism
− Replenishes electrolytes lost through exercise and sweating

Labels on dietary supplements sound good but stop short of making a promise and, in a couple of instances, are vague at best. “Sustains lung health” and “maintains gastrointestinal health” are things you would want a horse to have after lung or gut issues are solved, and maybe skate closest to a claim like a drug. What supports heart and bone health and strength, respectively, is anybody’s guess. The same goes for promotes healthy metabolism. (Maybe the label will tell one how.) Replenishes electrolytes is a straight-up promise that evidently is achieved with dietary supplements and not drugs. (Gatorade for humans comes to mind.) 

To make another simple distinction, drugs are available only through a prescription from a veterinarian. If a trainer is getting them through another source, there’s potential trouble; but that’s for another story. Supplements are available in tack shops and/or online and do not require a veterinary prescription. 

Ravit, in response to how common it is to see supplements making drug claims contrary to regulations, only said, “It cannot be quantified.” That’s “Governmentese” for “It’s anybody’s guess.”

HISA/HIWU’s own definition of a drug, by the way, is this:

“Under the Federal Food, Drug, and Cosmetic Act, the term “drug” means a product intended for use in the diagnosis, cure, mitigation, treatment, or prevention of disease, and articles other than food intended to affect the structure or any function of the body.” That’s a mouthful to say it ought to work.; you should get results.

In case you’re wondering why supplements are not regulated by the FDA, the category name “dietary supplements” gives you the answer. The FDA defines them as a “dietary ingredient intended to supplement the diet.” Dietary supplements are not regulated for humans either.

Are they safe? You would think, given the absence of regulation, the answer would be an automatic “yes.” The FDA, however, can take action to remove supplements from the market if they are adulterated (unsafe) or misbranded (misleading). Let the buyer beware.

What a trainer can control are things to avoid, such as mixing supplements with drugs, administering too many supplements, or substituting supplements for drugs altogether. 

HIWU’s language on dietary supplements is actually a bit scary:   

“It is…the responsibility of the manufacturer to ensure the product’s safety and to market the supplement in accordance with applicable law.“

The second part of the statement should give one pause. Yes, the manufacturer is responsible for the product’s safety, but it’s the trainer or trainer’s barn help that is the last person in the literal food chain for the horse. Once a supplement is in a trainer’s hands, he or she is on their own. The safe bet is a veterinarian’s assessment of any risks and/or benefits. 

HIWU addresses this in their literature: “Supplements can interact with some medication with adverse health conditions” advising trainers to “be vigilant and discuss administration [of a supplement] with your veterinarian.”

Ravit also responded with “no comment“ to whether there have already been instances of a supplement producing a positive test for an illegal or controlled substance.

Practicing veterinarians like Dr. Rick Fischer, who has been on the racetrack for 53 years, is, as one would expect, well-versed in the difference between a drug and a supplement. He presents another issue that threatens the health and safety of horses. He and other vets are not always gatekeepers with supplements for trainers. Laymen or salesmen will approach trainers directly promoting supplements. “Worse than that, they’ll give them away: ‘Here are two gallons of this. Use it and see if you like it.’ You really don’t know what the hell you’re getting,” said Fischer.

There are other words on supplements to be mindful of. HIWU’s website warns that “’natural’ does not mean safe, nor does it mean that a product is free of Prohibited Substances.  Neither do “seals of quality assurance” that guarantee a supplement is safe and effective. In short, even practicing veterinarians recommending supplements cannot guarantee safety or effectiveness.

Fischer said there have been instances where a supplement and an approved medication have produced positive tests for banned substances. 

 HIWU’s website advises, “It is crucial to have specialized knowledge from a chemical engineer or pharmacist in order to comprehend and forecast the resulting molecules, due to the intricate interplay between the chemicals involved.” 

 Fischer expounds on the “intricate interplay” thusly: “There’s been positive tests on things that I’ve never even heard of. It’s not something that anybody in their right mind would give a horse. But the chemical breakdown when they’re in combination…who knows? 

“They’ll give you a list of all the different ingredients. Most of it is Greek to these guys and some of it is Greek to me, and I’ve been practicing for more than 50 years.”

Fischer actually parroted HIWU language in saying it would take a chemical engineer or pharmacist to be able to tell “if this molecule matches up with this molecule and what it’s going to come out as.“

Good luck to any trainer looking for a chemical engineer or pharmacist on the backside. 

Dr. Day’s Black Drink, by the way, would not pass muster as a supplement as it claimed to treat colic. As for “gripes,” there is no supplement or drug for that. 

Opinion: Earle Mack - No More Dirt

Earle Mack

In the wake of the tragic deaths of 12 horses at Churchill Downs, the Horseracing Integrity and Safety Authority (HISA) has called for an emergency summit. This presents both a moment of leadership for HISA and an important test for the independent directors of the Churchill Downs Corporation to protect shareholder interests and ensure the survival of the entire horse racing industry. They must step up and meet the moment or step down. This can be achieved by ending dirt racing in America and transitioning to synthetic surfaces.

These heartbreaking events in recent weeks have forced the horse racing industry to confront a harsh reality. On average, two Thoroughbred horses lose their lives every day on U.S. tracks. If we fail to take decisive action, the Triple Crown and horse racing itself may soon be mourned as relics of the past.  Animal rights groups, emboldened by each equine death, are gaining traction in their campaign against horse racing. The calls to ban or severely restrict the sport grow louder with each life lost. We cannot afford to lose this race for the soul and survival of our sport.

Tradition holds great power in our sport, with our most prestigious races historically being run on dirt tracks. However, the stark and troubling statistics demand a shift in thinking. We must abandon old norms and embrace new practices that prioritize the safety and welfare of our noble equine athletes.  The benefits of synthetic tracks are not mere conjecture; they are a proven truth. Their superior safety record and fewer injuries make their adoption not just an option but an ethical imperative.

Skeptics may argue that altering the character of the Triple Crown races would alienate fans. However, declining attendance at Thoroughbred races tells a different story. Fans are turning their backs on a sport they once adored, disheartened by the undeniable fact that their entertainment comes at a deadly price. When other sports have bravely evolved to improve safety and gameplay, we must question why horse racing clings to traditions that increasingly prove deadly.

Certainly, progress has been made. Since 2009, fatal injuries during races have declined by 37.5%. But when we consider that synthetic tracks have been proven to be three times safer than dirt tracks, it becomes glaringly apparent that we have only scratched the surface of what we must achieve. We have solid evidence, compelling data, and a clear path forward. It is time we summon the courage and resolve to embark on this path. Ironically, despite their proven safety record, synthetic tracks are in decline. This is primarily because our marquee Triple Crown events remain steadfastly tied to dirt. The stubborn adherence to tradition in our industry's pinnacle races is a disparity we can no longer afford. Shifting the surface of the Triple Crown to synthetic would be a revolutionary step, igniting an industry-wide transformation and ensuring a safer, fairer field for our equine athletes.

This is where the independent directors of the Churchill Downs Corporation can make a historic difference. Independent directors have played a crucial role in preserving shareholder value and rebuilding consumer trust for some of the world's largest companies.

In 2015, Volkswagen faced a scandal involving emissions test cheating, leading to the resignation of the company's CEO and the appointment of a new board of directors, the majority of whom were independent. The new board took swift action to address the scandal, and Volkswagen is now working to rebuild its reputation.

In 2017, companies such as Uber and The Weinstein Company appointed independent directors to address workplace harassment following a series of scandals in that regard.

In 2018, companies like Equifax and Marriott appointed independent directors to improve their cybersecurity measures after experiencing a series of data breaches.

Today, the challenges facing both the Churchill Downs Corporation and our industry provide an opportunity for its independent directors to lead by proactively and boldly addressing the crisis of equine safety instead of reacting to a growing regulatory and societal movement to ban the sport.

That is why I am calling on the independent directors of the Churchill Downs Corporation, Daniel P. Harrington, MBA, CPA, Ulysses Lee Bridgeman Jr., and Robert L. Fealy, CPA, to get on board today and publicly support this change.

The responsibility lies with horse racing's governing bodies, influential race track directors, and all key stakeholders to rally behind a transition to synthetic tracks. Their public endorsement and commitment to safer racing conditions would signal the beginning of the transformative change our industry desperately needs. But Churchill Downs Corporation must lead the way.

Fortunately, we are not without hope. NYRA's Belmont Track, a vital component of the Triple Crown, is already leading by example, planning to install a synthetic track for its 2024 spring meet. This serves as the spark we need to ignite a safety revolution.

Next year marks the historic 150th anniversary of the Kentucky Derby. This milestone should be more than a nostalgic reflection on the past; it should be a fervent pledge for a safer future. A future where our sport remains a thrilling spectacle but also evolves into a beacon of safety, integrity, and respect for our equine athletes.

The prestigious Triple Crown races–the Kentucky Derby, the Preakness S., and the Belmont S.–now stand on the edge of a daunting, dark abyss. Each life lost serves as a deafening alarm, signaling that change is urgently needed and indeed horse racing as a whole hangs in the balance. We owe it to our equine athletes, our loyal fans, and future generations to ensure that our sport does not crumble into a mournful memory of bygone times.

We stand at the threshold of a monumental shift. Our response to this crisis must be immediate, bold, and unwavering. The clarion call for a race towards a safer future is sounding. Switching surfaces will mean fewer breakdowns and fewer drugs in the sports. Let us answer this call with the courage and determination our horses display every time they take to the track.

This is our defining moment. Let us ensure that the Triple Crown not only continues to sparkle with excitement and glory, but also radiates a renewed commitment to the safety and well-being of our equine companions. The reins of the future of horse racing are in our hands. We must grasp them firmly and steer our sport towards a safer, more responsible era. The heart of horse racing beats in the chest of every horse that runs for us; let us honor them by championing a sport that safeguards their lives.

What We Need to Know from HISA

Keeping up with the legal evolution of HISA is like playing monopoly onboard a ship in pitching seas—the players, tokens and money are strewn all over the deck.

Article by Annie Lambert

When the Horseracing Integrity and Safety Act (HISA) went into effect on July 1, 2022, few people involved with the Authority or stakeholders operating under the new rules could have predicted the political path the statute would trudge down.

Specifically, HISA’s Anti-Doping and Medication Control (ADMC) rules, which were to go into effect January 1, 2023, were put on hold. If/when enacted, the Horseracing Integrity & Welfare Unit (HIWU) will handle daily operations and administration of the ADMC. Drug Free Sport International will conduct the drug testing.

Multiple legal challenges from multiple entities in multiple jurisdictions snarled any further implementation of HISA. There were cheers from those opposing the new rules and jeers from those looking forward to implementing national uniform safety rules and anti-doping and medication control rules for Thoroughbred racing in the United States.

Race trackers took issue with the fact that they had little to no input in the rules and implementation of HISA. The Authority responded by creating the Horsemen’s Advisory Group (HAG). The group is composed of 19 owners, trainers and veterinarians along with representatives of racing offices, backside employees, farriers and aftercare enterprises. They began meeting monthly last November and will serve one- to two-year terms.

While the HAG may have settled some issues for horsemen, the legal suits continue. HISA appears confident that their legislation—which was written by legal experts specifically adept in constitutional law—will remain intact. 

The Politics

Dating back to early 2021, the lawsuits against HISA have been detailed ad nauseam. While the courts have knocked down some suits, a few remain standing at this time. All challenges include some variations of the constitutionality of the legislation regarding specific regulations, with others challenging the assessment formula, definitions, search and seizure regulations and/or FTC enforcement and other specifics. 

In mid-November, just six weeks prior to implementation of the ADMC, the United States Court of Appeals for the Fifth Circuit ruled HISA to be unconstitutional. The court felt that the legislation delegated unsupervised government power to a private entity. HISA rules are authorized by the Federal Trade Commission (FTC), which the court felt should provide closer supervision and have more input into the legislation.

Judge Joseph Hood, of the Sixth District Court, sided with the federal government on December 7 2022, suggesting the legislation established clear boundaries on HISA’s power, including a requirement that all rules be approved by the FTC. There is no timetable set for the court’s final decision.

On December 12, the FTC disapproved of proposed ADMC rules as submitted. The designated, independent enforcement agency of the ADMC program (HIWU) was prepared to enforce anti-doping and medication rules on January 1, 2023, if approved by the FTC. 

The FTC denied approval of the program rules “without prejudice” due to pending legal uncertainties. HISA will be resubmitting the ADMC rules. During the interim, state law will govern medication issues. The suspension of the ADMC also puts a hold on assessments that would be used to fund the program.

Kentucky Senator Mitch McConnell wrote a quick, short-worded clarification of HISA that was submitted with the recent Omnibus bill and passed the Senate on December 19 2022. The fix gives the FTC the power to “abrogate, add to, and modify the rules” of HISA as they see fit. The Omnibus bill passed the House of Representatives the following day, and President Biden signed it into law on December 29.

Legal wranglers for HISA have since asked a federal appeals court to set aside its ruling that declared the Authority unconstitutional in light of the legislation’s rewrite by Senator McConnell.

The Assessments

Much of life seems to come down to money; it may not be the root of all evil, but it does guide a lot of policy.

When the FTC did not accept HISA’s proposed ADMC in mid-December, state-owed payments due to fund the Authority were put on hold. Roughly $58.1 million in payments for 2023 are currently pending legal outcomes. The majority of those assessments pertain to the launch of the anti-doping program that has also been put into a holding pattern. Assessments already incurred for 2022 are required to be paid by the state commissions and the racetracks.

HISA’s total budget for the current year (2023) is slightly north of $72.5 million. That number includes nearly $37.4 million for operating the HIWU and drug testing work to be done by Drug Free Sport International.

A staff of 35 full-time employees will be in place by the end of this year, charged with implementing sound collection protocols and working to maintain continuity with existing collectors. They will also work on testing operations, compliance, quality assurance, education and industry outreach, good relations with state racing commissions and collaboration with laboratories, investigations and technology. 

The budget for 2023 provides $18.7 million for lab and research expenses toward implementing the ADMC program. 

State racing commissions received their assessed HISA operational expenses last October. Using a methodology set by HISA and approved by the FTC, the formula is calculated from total starts and the percentage of purses paid of total United States purses, other than the Breeders’ Cup World Championship races. 

States given the top assessments by HISA are New York ($8,660,471), Kentucky ($7,445,145), California ($7,344,139), Pennsylvania ($6,611,479) and Florida ($6,445,226). Payments are due in monthly payments; and if state commissions do not pay their assessments, their expense is passed to the racetracks. In states with multiple tracks, each track will be charged with a portion of the obligation based on a proportionate share of starts.

State racing commissions are able to reduce their assessments if they negotiate with HISA and HIWU and choose to provide sample collection personnel and investigative services in compliance with new ADMC program rules. HISA has provided $23 million to fund these racetrack contributions.

The Strikes

The HISA crop, or whip, regulations have created some turmoil. The consequences for overuse during a race can be stringent. 

Crop regulations (which also apply to exercise riders during morning workouts) have been in effect since July 1 2022 as part of the Integrity and Safety Authority. The main source of contention regarding the rules is striking a horse during a race more than six times. 

For seven to nine strikes during a race, jockeys face a one-day suspension plus a fine of either $250 or 10 percent of their share of the purse, whichever is greater. But strikes exceeding nine are punishable by more severe consequences. Those infractions do not alter the pari-mutuel payouts but can lead to a horse losing its total share of the purse money distributed to the owner, jockey and trainer. 

Ten to 13 strikes results in a $500 fine to the rider or his share of the purse, whichever is greater, plus a three-day suspension. At 10 or more strikes, the horse is also disqualified.

Graded stakes, including Breeders’ Cup races, are no exception. A recent Breeders’ Cup jockey struck his mount seven times – just one strike over – and received a one-day suspension and was assessed three points on his license as an additional penalty.

HISA rules created a point system for multiple violations by repeat offenders that will eventually have penalties compounded. Riders with 11 to 15 points on their license would receive an additional seven days of suspension in addition to the newest penalty. Riders with 16 to 20 points receive an additional 15-day suspension. With 21 or more points, a jockey could get a full 30-day “vacation.”

Points expire over six to 12 months post-violation; expirations are decided on a sliding scale based on the violation class assigned to those infractions.

Riders have acknowledged that keeping an accurate count of their hits can be difficult. And there are situations when use of a crop might keep a horse from causing a dangerous situation, e.g., drifting in or out. Several top jockeys have also noted that the extreme penalties give them cause to be more cautious of the regulations.

One jockey, who was listed in the standings where he was riding, was given a 30-day suspension when stewards said he showed a lack of effort, a “lackluster” finish, not consistent with his usual riding style. It sounded like a cloaked suggestion that he had pulled his mount. The rider, who did not appeal, reported that he thought he had reached his six-strike limit.

The National Jockeys’ Guild filed litigation against HISA, which they have recently dropped. There are purportedly ongoing negotiations with concern on rules, which HISA seems willing to negotiate to some degree. 

Whip violations are handed out after the race card is over. The stewards review race video prior to issuing the rulings. Both jockey and owner will have an opportunity to appeal.

The Contraband

There are two basic lists of drugs within the ADMC rules: “banned substances” and “controlled medications.” The FTC, of course, has not approved this portion of HISA, and there are only guesses as to when it will be put to use. 

During the interim, state regulators will continue to be responsible for medication rules, drug testing and enforcement.

In the past, trainers and veterinarians have relied on suggested withdrawal times to decide how far ahead of a race to give a particular drug. The new rules do not rely on withdrawal times. Federal laws, as written, require the Authority and HIWU to base medication rules on international standards for racehorses.

Foreign countries base their medication rules on the International Federation of Horseracing Authority guidelines, which do not provide withdrawal times. Instead, they provide “detection times.”

Detection times are based on peer-reviewed studies of a drug. In the study, a sample of horses are all given a drug and tested at periods of time afterwards. The detection time is the first time point at which all the horses in the study were negative for the drug given.

Due to variations in how drugs are metabolized in individuals, the detection times are a starting point for vets and trainers to decide when to withdraw a drug. Based on the individual horse, dosage and how it was administered the connections to the horse must be aware the outcome may change due to the variables.

If the lines between legal dosages and overages are so fine, it could lead one to assume racing officials would prefer horsemen not use the drug at all.

One trainer was suspended for seven calendar days, fined $3,000 and assessed two points on the Association of Racing Commissioners International scale for multiple medication violations for a lidocaine positive. Testing showed the horse had tested above the allowed amount of a “permissible medication.”

The involved horse was disqualified from the Maiden Special Weight race win and the purse redistributed. 

Shoeing regulations have been a big issue with trainers and farriers from the get-go. The initially approved shoe dimensions were not manufactured, and those dimensions eventually changed several times. It left horsemen confused.

The federal regulation that prevents the use of toe grabs on front shoes became an issue again when connections of a second-placed horse in a Gr. 2 stake questioned if the winner had front grabs. It was determined the winner was shod legally. The finish stood.

Horses are commonly trained in different shoes than those they run in. Blacksmiths and examining veterinarians who see horses with prohibited shoes in the morning are said to be making trainers aware there would most likely be a problem if the horse were to race as shod. 

The voided claim is another regulated area that was foreign to some racing jurisdictions, while a state like California has been practicing for some time. 

HISA policy requires claims be voided if a horse is unsound in the test barn, experiences bleeding or has a post-race medication violation. These rules are in addition to policies many tracks had in place to void claims, such as a horse dying on track or having to be vanned off. To date, most voided claims were a result of post-race unsoundness or horses that bled.

In spite of legal frustrations and rules that horsemen feel are too restrictive and not beneficial to the Thoroughbred racing industry, HISA marches on. More horsemen being involved should help, but the learning curve seems too long for everyone in racing.

Prohibited Substances Overview

• Banned substances prohibited at all times, such as anabolic agents and diuretics or masking agents

• Banned methods prohibited at all times, such as chemical castration or immunocastration

• Controlled medication substances prohibited during the race period, such as analgesics and nonsteroidal anti-inflammatory drugs (NSAIDs)

• Controlled medication methods prohibited during the race period, such as the use or administration of an alkalinizing agent

• Prohibited substances and methods may be included in the prohibited list by general category or with specific reference to a particular substance or method. 

The prohibited list will be updated yearly.

Lazarus’ Lessons Learned

Lisa Lazarus, the chief executive officer for the Horseracing Integrity and Safety Authority (HISA), pointed to the importance of sport-wide unity within the United States racing industry. Lazarus spoke during the Global Symposium on Racing held in early December at the University of Arizona in Tucson.

A year after taking her position with HISA, Lazarus pointed to 10 lessons she has learned:

1. Racing’s strength is the diversity of viewpoints, which creates a lot of debate among industry leaders.

2. Participants in the industry have a role in making HISA better, even those groups that have been critical of the Authority. That was her reason for adding the Horsemen’s Advisory Group to include all viewpoints in the rulemaking process.

3. Criticism is expected and welcomed from the people who make a living at the track with skin in the game. 

4. Stakeholder’s engagement, even criticism, is welcomed and will help make HISA and the industry better. 

5. The vulnerability of jockeys, who must trust that the system has reduced the risk of injury to horses and riders, will be able to depend on jockey health initiatives via the racetrack safety program.

6. Despite robust debate regarding the Authority, the racing industry has wanted uniform medication regulation for years. Racing participants who compete fairly deserve to know their competition is also competing fairly.

7. The sport of racing has tried independent regulation because a voluntary system has not worked.

8. Uniform rules must be accompanied by uniform implementation to work successfully.

9. The Authority’s regulators should not be the focal point for the sport. They should be operating in the background to root out those with bad intentions, leaving the industry a focus on integrity.

10. The Authority has incredible people who are committed to doing what is best for the industry. The intent is not to complicate people’s lives, but to help grow the industry through uniformity.

HISA: Devilish details defined

Words - Annie Lambert

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 fluctuated and will probably continue to shift past their application.

Not everyone hates the idea, however. The intent was to make United States Thoroughbred racing safe, fair and ethical for everyone involved through national uniform standards. The legislation, H.R. 1754 passed in 2020 as part of a COVID-19 relief bill. Once signed by President Donald J. Trump, HISA officially became law.

(An introductory overview of HISA can be found in Issue 62/Breeders’ Cup 2021 of Trainer magazine on page 26.)

The legislation includes racetrack safety program protocols that began July 1, as well as anti-doping and medication control regulations, under the direction of Drug Free Sports International, to be finalized by January 1, 2023. The governing body of HISA, referred to as the “Authority” in the legislation, 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 before being asked/required to become obligated by registering themselves and their horses. The Authority refers to those within their jurisdiction as “covered,” such as covered horses and covered persons. 

According to the Authority, as of June 29th, 20,537 people and 23,070 horses were registered. In addition, 20 of 24 states under HISA Authority were in agreement or expected to comply.

Not signing up means a person or horse may not participate in 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.

To date, stakeholders who feel the regulations are overly invasive and confusing appear to outnumber those who believe HISA is necessary to save the horseracing industry.

Digesting the Law

Signing your name to a contract that is technically not complete and subject to changes that may influence your livelihood understandably terrifies any human nature. The extensive rules, regulations, protocols and punishments for non-compliance seem daunting.

An undertone from the backsides of many racetracks suggests that horsemen would feel more comfortable if they had additional time to digest the legislation prior to registering. Instead of the July 1, 2022 deadline, how about pushing the implementation to 2023?

HISA’s CEO, Lisa Lazarus, implied publicly the law was the law, in spite of aggressive timelines; the Authority has been responding to some of the many questions posed by the public. They will continue to educate racing industry participants. 

According to HISA’s Liz Beadle, they are unsure what to expect when it comes to the number of probable stakeholder registrations. 

“We aren’t going to venture a guess,” Beadle offered via an email. “Since such a registration process has never existed at the national level before, it’s unclear how many people and horses are or will be participating in racing. It should be noted that the universe of people expected to register is limited to the 24 states conducting covered horse races under HISA’s authority.”

Basically, everyone now licensed by any state racing commission must be registered by HISA to continue to work and/or run horses or work with horses (such as vendors) within restricted areas of the tracks. Any horse in training or racing at an approved racing facility must also be registered. There are no fees required to register, and you need only register one time. Those registered may unregister at any time.

People responsible for registering horses, usually the trainer, are required to keep daily records for each animal. Records required include any administered medications, therapeutic procedures, treatments and surgical procedures. Those records must be given to regulatory veterinarians, stewards and HISA when requested, making it important that they be updated daily.

Owners and jockeys must also register for HISA “to participate in Thoroughbred racing.” If an owner’s horse is not in the care of a trainer, it is the owner’s responsibility to register his horse. 

Trainers are required to complete continuing education classes for licensing, in addition to registering all horses in their care. As noted previously, they must agree to keep health, vaccination, training and daily treatment records for each horse in their care. Fortunately there is Equine MediRecord, a relatively new enterprise, specializing in securing those daily records. (See Sidebar #1)

Trainers entering a horse into a claiming race have given their consent to transfer that horse’s veterinary and treatment records from the prior 60 days to the new owner, should it be claimed. Claims will be voided if the horse dies or is euthanized on the track, has a positive test, bleeds or is unsound within one hour post-race. 

Claimed horses are required to go to the test barn. Whether those horses will be tested is unclear. If tested, who will pay for that protocol? The claimed horse will be immediately transferred to new connections, but what happens if a test comes back positive weeks later? A voided claim could end up in more litigation.

Covered riders—jockeys and exercise riders—are required to participate in continuing education, to take a physical exam and complete a baseline concussion protocol test. They will be required to use HISA-approved safety vests and helmets. A medical history card is to be carried inside the vest when on a horse. Riders are also obliged to study and follow new riding crop rules.

Only approved riding crops will be allowed under HISA rules and may be inspected by the safety officer, stewards and the clerk of the scales. The specifications include being a maximum weight of eight ounces, no more than 30 inches in length with a set amount of shock-absorbing material.

Enforcement of the crop specifications may be postponed to August 1, 2022, due to a shortage of manufacturing resources.

Use of the riding crop, for jockey or exercise rider, is only to maintain the horse’s attention for safety and encouragement. A rider may only use the crop on the hindquarters a maximum of six times during a race. The crop is only to be used two or fewer times before allowing at least two strides for the horse to respond before using the crop again.

A rider may tap the horse on the shoulder with the crop when both hands are on the reins and touching the neck. It is legal to show/wave at the horse with the crop without physical contact. It is not legal to raise the crop with the rider’s wrist above the helmet.

New horseshoe regulations will not be enforced until August 1, 2022, to ensure adequate inventory of HISA compliant shoes.

Basically, on both fore and hind feet, toe grabs, bends, jar calks, stickers and traction nails will be prohibited on all dirt, synthetic and turf surfaces during training and racing. The only exception is for full rim that is two millimeters or less in height from ground surface of the shoe and that extends the entire circumference of the shoe, used only on dirt and synthetic surfaces.

Purportedly, bar shoes, pads, glue on shoes, quarter crack patches may only be applied by a covered veterinarian. Those official regulations, however, will come in another phase of the bill.

Edicts & Concerns

An open letter was sent to Lazarus on behalf of the Thoroughbred Horsemen’s Associations, Inc, Kentucky Thoroughbred Association, Thoroughbred Owners of California and Thoroughbred Owners and Breeders. The communication pointed to several areas of concern for stakeholders within the legislation. 

Many horsemen outside the organizations cited by this letter have similar concerns and more. Here are a few:

HISA has been vague in defining some of the rules and protocols. For example, there is not clear guidance as to what is permitted at training facilities and out of competition horses (layups) as compared to racetracks. Perhaps a list of approved training facilities and farms, including which HISA rules will be enforced at these facilities.

Medication lists, classification types and protocols seem to be lacking clarification. To date there is no list of controlled medications with guidance for legal usage. Most medication violations stem from controlled therapeutic medications used to enhance equine quality of life. A therapeutic use exemption could be useful.

There should be a distinction between prohibited medication and controlled medication violations. As now written in HISA, every violation of every type requires unnecessary and costly legal defense costs. Prohibited substances that show up during testing due to accidental contamination causes reputational harm to stakeholders when officials overreact and go public before investigating thoroughly. 

There should be distinct definitions between punishments prescribed to prohibited substances, specified substances and controlled medications. After all, very few positive tests can be attributed to actual doping incidents each year.

The confusion and conflicts created by the aggressive enactment of the HISA legislation causes concern that egregious problems could arise when the Anti-Doping and Medication Control Program (ADMC) is executed January 1, 2023.

So many factors within HISA deserved more oversight by horsemen before being written into the law. Little things like allowing suspended horses to train while not able to race. Allowing ownership groups to decide which principle should be the managing partner. Collecting a post-race urine sample at the horse’s stall (with regulatory oversight) when he cannot relax and provide urine at the test barn. 

Better definitions for “race day” and “official timed works.” The overreach of the HISA Authority having a say in when a horse should be retired is wrong in any horseman’s realm. Owners, not a non-horseman entity, should make the decision of retirement.

Litigation & Money Woes 

Multiple lawsuits have been filed on behalf of state racing commissions and other racing entities. The courts have overruled most suits, while others are pending appeal. The Texas Racing Commission (TRC) has declined to abide by HISA’s federally mandated program.

Texas law cites that only the TRC can make rules and regulations for Texas racing. HISA demands that state racing commissions enforce the rules and regulations per HISA. 

Amy Cook, executive director of the TRC, has announced that Texas will allow wagering on out-of-state racing signals at simulcast locations in the state. The TRC will not, however, allow pari-mutuel wagering at a Texas meet that is HISA-compliant or the export of simulcast signals to other states.

According to Cook, all pending requests for approval of the import and export of pari-mutuel simulcast signals will be considered and approved on a case-by-case basis. Texas horse racing will therefore be confined to Texas. It has been predicted that the state will take a financial hit from the decision; it remains to be seen if the ominous financial predictions come to fruition.

Litigation was recently filed on behalf of Louisiana and West Virginia, their respective state racing commissions, the Louisiana Horsemen’s Benevolent and Protective Association, Louisiana Thoroughbred Breeders Association, the Jockeys’ Guild and several Louisiana individuals considered “covered persons” under the Authority.

The complaint basically cited that HISA was unconstitutional by overstepping state racing commissions, has multiple violations of the Administrative Procedure Act and violated the Fourth and Seventh Amendments of the U.S. Constitution, which guarantee a right to a jury trial and protection against unreasonable search and seizures.

A federal judge in Louisiana denied the litigants’ request but gave the defendants in the suit—HISA, its CEO Lisa Lazarus and the Authority’s board members, the FTC and individuals associated with the FTC—until July 14 to respond to the motion.

One of the great unknowns regarding HISA has always been, “Who pays what and how?” That question has only been partially and vaguely answered. Racetrack operators, industry stakeholders and the betting public obviously have monetary concerns. HISA’s first year operating budget is roughly $14.3 million.

Fees are calculated whereby those states or tracks with the highest handle, purses and number of starts will pay the largest assessments. Each state racing commission decides whether to opt in or out of collecting and remitting fees for the program. If a commission opts out, the responsibility falls to the tracks and horsemen.

Five states have chosen to fund their portion of HISA: California, Colorado, Kentucky, Minnesota and Virginia. Each state has a little different formula for collecting their fees.

For example, California will owe $1.4 million to the Authority for 2022. The state purportedly will split the payment between Thoroughbred horsemen, through purse revenues, and Thoroughbred racetracks, via commissions, from their share of Advance Deposit Wagering (ADW). The California Horse Racing Board has stated this will not affect bettors.

The other states are funding their HISA invoice in a variety of ways, and some have yet to make a decision. 

Out in the Cold

A Facebook page titled Horsemen Arguing HISA has arguably exposed sincere concern and even fear from stakeholders who are looking at their livelihoods vanishing directly in front of them. 

Their main concerns circle around fairness to backstretch workers, the fact that not enough input in the HISA legislation came from horsemen and that the true welfare of the horses has been overlooked in some areas. Were stakeholders left out in the cold as rules and regulations were written?

With no or little input from horsemen, those industry workers have suspicions that animal activists like People for the Ethical Treatment of Animals (PETA) and the Humane Society of the United States (HSUS) may have influencers among those within HISA. Many questions and concerns submitted to the HISA website and at various meetings across the country went unanswered.

Prohibited protocols and penalties are also worries for the horsemen. Why is it taboo to ice a horse pre-race? Human athletes use ice in competition regularly. How can it be prohibited to fire shins on horses (beginning with the 2022 foal crop), but legal to fire splints and curbs?

Investigative powers seem over-the-top to many on the backside. The Authority would have access to all properties and places of business with the right of seizure for covered persons in question?

The concerns go on and on, as does a growing distrust. Covered persons have had trouble being heard by those in charge of HISA—a lack of communication and transparency. Those under the HISA legislation would like to see it simplified using a more common sense approach.

On the Record

Equine MediRecord principles worked this year’s Preakness, including (l to r) Finlay Dargan, COO, Maryland Governor Larry Hogan, Pierce Dargan, CEO, and his fiancé, Alexandra May.

Most horsemen have a vivid aversion to bookkeeping. Understandably so… They’d much rather concentrate on training horses and keeping owners happy and informed.

The new Horseracing Integrity & Safety Act (HISA) requires trainers and veterinarians to maintain detailed, daily health and treatment records for equines in their care. Those records must be made available to regulatory veterinarians, stewards and HISA upon request. The record keeping also applies to layups that are being given rest time at off-track facilities.

Imagine the daily hours to keep up with a barn full of trainees. There is a solution—a software program—to ease the struggle.

Equine MediRecord became operational in 2018, 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 sign up with Dargan’s company platform, which allows them to keep the precise and 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. “This has meant that top trainers such as Todd Pletcher, Chad Brown, Steve Asmussen and many others had to use the system to keep records for those races.”

“Seeing as [HISA] is the first time in the U.S. that trainers will be having to keep these records nationwide, we are now in discussions with multiple trainers to keep the system outside of these large racing events,” he added.

Sorting Through HISA 

The Horseracing Integrity and Safety Act of 2020 (HISA) contains many, many of pages of government speak. It can be confusing and difficult to discover the answers you are seeking. Perhaps knowing how the general categories are listed may help. HISA will hopefully include a search engine in the future.

Additional Perspectives on the Horseracing and integrity Act

Words - Peter J. Sacopulos

As the effective date of July 1, 2022, approached, the issues and inquiries regarding the  Horseracing Integrity and Safety Act (HISA) became immediate. These questions include inquiries from racetrack veterinarians as to their obligations for registering and reporting medication and treatment of Thoroughbred horses and from jockeys seeking guidance on whether the new rule regulating the use of the crop is effective between HISA’s start date of July 1, 2022, and the delayed enforcement of the use of the new crop on August 1, 2022. So too have been questions regarding the pending constitutional challenges and legal efforts to enjoin HISA. These issues have received significant attention by way of journal articles, HISA-sponsored “Town Hall Meetings” and national seminars. Conversely, HISA’s impact on those in the Thoroughbred industry outside of the United States have received limited analysis and discussion. 

As a practitioner representing licensees before regulators, I have received multiple inquiries from trainers outside the United States as to their obligations and their owners’ obligations relative to HISA. Additionally, I have received questions as to what, if any, impact HISA has regarding simulcast signals from tracks outside of the United States such as Woodbine in Canada. 

To comply with HISA, the foreign national trainer must register as a covered person. In fact, compliance with regard to registration and licensing is a three-step process for the foreign national Thoroughbred trainer. First, to comply with HISA, the international trainer is required to register as a covered person pursuant to 15 U.S.C.S. §3054(d). Second, he or she is required to apply for and secure a Thoroughbred trainer’s license from the jurisdiction (state) in which they will enter and race. For example, if the foreign national trainer has a Thoroughbred that will compete in this year’s Breeders’ Cup event, then he or she must have a current valid Thoroughbred trainer’s license issued by the State of Kentucky for the 2022 season. Third, the foreign national trainer must properly register the Thoroughbred horse(s) that he or she will enter and start with both the state and the HISA Authority. 

The rules requiring HISA registration are codified at 15 U.S.C.S. §3054(d). Online registration is available at https://www.hisaus.org/registration. Additionally, only days before the effective date, the Authority issued the “HISA Trainer Handbook,” which can be found at https://www.hisaus.org/home#resources. 

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. 

The issue of HISA and control of a track’s signal is one that has received discussion and attention. In fact, one racing jurisdiction, the State of Texas, has refused to honor HISA. In response, the HISA Authority is prohibiting Texas tracks from exporting their simulcast signal across state lines. What is clear and defined relative to the HISA Authority’s right to control a simulcast signal is that a state that refuses to recognize and comply with HISA may be placed in a position of having its tracks prohibited from exporting the simulcast signal. Conversely, what has received little or no discussion, is how, if at all, HISA’s rule regarding simulcast signals will affect Canadian or European simulcasting. 

For example, it seems clear that HISA has no control or jurisdiction over Woodbine’s simulcast signal since it is outside the jurisdiction of the Authority and the FTC as it is located in Toronto, Ontario, Canada. Less clear, is what, if any, control HISA/the Authority has or may have over Sam Houston Race Park and Lone Star Park (Texas tracks) exporting its signal to Woodlawn. Should the Texas track(s) do so, it could be argued that the signal is being transmitted across state lines and, therefore, subject to HISA regulation. Conversely, it may also be argued that the signal is not “crossing state lines” but rather being transmitted to a foreign jurisdiction and not subject to HISA control or restrictions. The answer is unclear. Equally unclear is whether additional states will adopt the “Texas position” on HISA when HISA announces the “rest of the story”—that being each jurisdiction’s proportional share of the costs for the Anti-Doping and Controlled Medication part of the program. This expense is expected to be a multiple, perhaps many multiples, of each state’s assessed cost for implementing the Racetrack Safety Program.

The passing of the effective date of HISA and the ongoing and repeated modifications and changes, has resulted in additional questions. For example, the new crop rule, covered under Rule 2280 of the Racetrack Safety Program rules, became effective July 1, 2022. However, the riding crop specification rule will not be enforced until August 1, 2022. And, there is ongoing concern including the mandated registration for participation despite the anti-doping and medication rules not being submitted for public comment and approval by the FTC.

Also, there are and continue to be multiple challenges to the legality of HISA. The HBPA, together with twelve (12) of its affiliates, have a pending appeal before the United States Court of Appeals for the Fifth Circuit in New Orleans, Louisiana. That lawsuit challenges the constitutionality of HISA on the basis that Article I, Section I of the United States Constitution, prohibits delegation of legislative authority to a private entity as well as for the reason that HISA violates the Due Process Clause of the United States Constitution. The State of Oklahoma, the Oklahoma Racing Commission, Tulsa County Public Facilities, Global Gaming RP, LLC d/b/a Remington Park, the State of Louisiana, the State of West Virginia, the West Virginia Racing Commission, the Oklahoma Quarter Horse Racing Association, Hanover Shoe Farms and the United States Trotting Association also have an appeal pending before the United States Court of Appeals for the Sixth Circuit in Cincinnati, Ohio. In July, the State of Louisiana, the Louisiana State Racing Commission, the Louisiana HBPA, the Louisiana Thoroughbred Breeders Association, the Jockey’s Guild, Inc., the State of West Virginia, the West Virginia Racing Commission, and several individuals filed an additional (third) challenge to HISA that is pending before the United States District Court. That action seeks not only to find HISA unconstitutional but also seeks injunctive relief in the form of a temporary restraining order. That matter is set for hearing later in the month of July. 

The Horseracing Integrity and Safety Act is national federal legislation governing Thoroughbred racing in the United States. The authority and jurisdiction of HISA and its governing agency, the United States Federal Trade Commission, is limited to racetrack safety issues (presently) and anti-doping and medication issues next year in the U.S. However, the effects of HISA will be felt by those in Canada, Europe, and elsewhere outside the U.S. as the 2022 season continues and into the future. 

Understanding the Horseracing Integrity & Safety Act

THE DEVIL WILL BE IN THE DETAILS

By Annie Lambert

Legislation written by the United States Congress is often—if not always— a compilation of gobbledygook legal verbiage, which is barely intelligible even to the composers. The 25 pages of H.R.1754, the Horseracing Integrity and Safety Act of 2020 (HISA), is no exception.

HISA was passed through the U.S. House of Representatives by a unanimous voice vote on September 29, 2020. The legislation was a long time coming. Predecessors of HR 1754 were proposed in various forms since 2011. Most revisions were developed similar to the Interstate Horseracing Improvement Act of 1978, which was never passed by Congress.

The final HISA legislation passed the Senate December 22, 2020 and was signed into law by President Donald Trump a few days later on December 27. HISA will concentrate on ensuring the integrity of Thoroughbred horse racing and the overall safety of racehorses and jockeys through national, uniform standards that will include anti-doping and medication control, along with racetrack safety programs. 

Barry Irwin, founder and chief executive officer of Team Valor International, has been at the forefront of rooting for more integrity in the racing industry for two decades or longer. As a turf writer, breeder, owner and bloodstock agent for over a half-century, Irwin looks forward to seeing the industry’s reputation improved.

“THE WHOLE POINT OF THE (LEGISLATION) IS THAT WE WANTED

AN INDEPENDENT ORGANIZATION TO BE IN CHARGE”. Barry Irwin

In an October 2004 Blood-Horse Op-Ed, Irwin wrote: “The single greatest problem facing the game—how to restore integrity to the race itself—is not receiving the attention it so desperately requires.”

For more than two decades, international owner-breeder Barry Irwin has been at the forefront of rooting for more integrity in the racing industry

As an avid track and field fan, Irwin drew a parallel to cheaters in those sports to cheaters in racing. He became and remains involved with the Water, Hay, Oats Alliance (WHOA) to stop the use of drugs in racehorses. 

“Right now I hardly race our horses in America; all my horses are in Europe,” he pointed out. “I just can’t stand running against these guys that cheat. It’s not like I’m not doing well—I’m having a hell of a year. I’m in it for the fun and the sport and to prove something. I’m not in it to win at all costs.”

Owner and breeder Jeff Bloom, proprietor of Bloom Racing Stable, has worn many hats in the racing industry for 37 years: jockey, racing manager, bloodstock agent and broadcaster. Bloom agrees that racing needs to transition to a new standard of operation.

“As an industry, I think it is imperative that we come to an agreement that there needs to be a uniform and centralized governance, making decisions as it relates to medication and safety issues across the various racing jurisdictions,” Bloom opined from his base in Arlington, Texas. “It is going to take some work to transition over to the new way of doing things, but in the end, the industry as a whole is going to be substantially better for it.”

Not every entity in racing is willing to accept HISA regulations without a fight. Under the leadership of its president, Doug Daniels, DVM, the National Horsemen’s Benevolent & Protective Association (NHBPA) has already filed a federal lawsuit challenging the constitutionality of HISA. Last March, the suit was filed on behalf of the NHBPA and 12 state HBPA chapters. Named as defendants in the suit were 11 individuals based on their official capacities as related to the FTC and HISA’s Authority.

In a statement, Dr. Daniels and the NHBPA Board of Directors made their position clear: “The National HBPA’s focus has always been, and remains, the health and safety of the horse, the safety of the jockey and the safety of all individuals coming into contact with the horse, including grooms, hotwalkers, trainers and veterinarians. With that, the affiliates of the National HBPA remain strongly committed to the welfare of our human and equine athletes and will remain persistent in its efforts through the National HBPA to achieve national uniformity based on published, scientifically determined regulatory thresholds, with published, scientifically determined withdrawal time guidelines, all based on and supported by data published in the scientific literature.”

There are other HISA skeptics in a variety of positions within the industry, but most prefer to hold their opinions until the details—now being written into the act—are completed. It is anticipated those details may be made public by the end of 2021.

It is hoped the new protocols will increase racetrack revenues by boosting the public’s confidence in wagering and ensure public confidence of safety within the sport

HISA Particulars

HISA creates the “Authority,” which is an independent, nonprofit corporation, created and authorized by Congress to establish and enforce medication, anti-doping and racetrack safety rules and programs for the United States Thoroughbred racing industry. In other words, HISA has been lawfully entrusted to take on its rulemaking and enforcement activities.

Members of the Authority’s board and both the Anti-Doping & Medication Control and the Racetrack Safety standing committees are robustly putting their knowledge and expertise to pen the rules, regulations and protocols that will complete the details needed to enforce the act.

The Authority is tasked with implementing and enforcing a horse racing anti-doping and medication control program as well as a racetrack safety program for Thoroughbred racing. Even though the Federal Trade Commission (FTC) will have oversight over the Authority, the Authority will exercise absolute and independent national command over anti-doping and medication control and racetrack safety matters for all Thoroughbred racing and training in the United States. 

HISA will be guided by a board of directors consisting of nine members, five of which are from outside the Thoroughbred racing industry and four from within the industry. Boththe Anti-Doping and Medication Control Standing Committee and the Racetrack Safety Standing Committee consist of four independent members and three industry members.

“They picked a lot of people [for the board] that have a great record, and their hearts are in the right place,” Irwin said. “At this point, we just have to trust these people to do the right thing. The whole point of the [legislation] is that we wanted an independent organization to be in charge.” 

(See sidebars for selected members.)

The Authority is structured to ensure that individuals outside the Thoroughbred industry are in the majority when considering key issues. However, it does survey significant industry input from the industry directors as well as members on advisory committees. There are also supermajority requirements for any material changes to the Authority’s rules as well as the oversight by the FTC.

The FTC will oversee the Authority in approving its rules and handling appeals in violation matters.

Medication minutiae

Medication baseline rules are established in the legislation, and the Authority is able to establish other rules, if approved by the FTC. To modify medication rules in a manner that would make them less stringent, HISA requires them to be approved by both the board and the United States Anti-Doping Agency (USADA). The USADA is described by HISA as the Authority’s medication control enforcement agency.

Per HISA, anti-doping and medication control program operations will be managed by USADA. They will conduct and oversee anti-doping and medication control testing and results management, independent investigations, charging and adjudication of potential violations and enforcement of civil sanctions for those violations.

Dr. Jeff Blea is the equine medical director (EMD) at the University of California, Davis, School of Veterinary Medicine. As EMD, he is the liaison between the university and the California Horse Racing Board (CHRB). 

“A lot of what I do is CHRB related,” Blea explained, “...handling complaints, overseeing investigators, making recommendations to the stewards, etc.” “Technically it is an advisory role, not the heavy hand that people think it is.

Blea is also on the HISA Anti-Doping and Medication Control Standing Committee.

“A lot of horsemen have hoped for a long time for uniformity and structure to provide a level playing field,” he said. “What’s interesting is that, in California, I think we are the strictest across the country. I think we are far above as far as welfare and safety. We are hoping that what we’ve gone through and the changes we’ve made will be similar to what we will see under HISA.”

“A lot of work is currently being done by the committees,” Blea added. “It is a work in progress and not ready for primetime yet.”

The racetrack safety standing committee will develop proposed safety expectations. They are to take into consideration existing safety standards, including those of the National Thoroughbred Racing Association Safety and Integrity Alliance Code of Standards, 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.

Proposed safety standards will be presented to the Authority’s board to review and approve. If accepted, the final stamp of approval will come from the FTC.

Anti-bleeding medications such as Lasix will be banned in all two-year-old races and in stakes events until newer rules are implemented

The rules will be implemented in each state and at each track. The HISA legislation defines “covered persons” as owners, trainers, veterinarians and racetracks for horses that run in races with interstate wagering. All racing states—currently 38 in the U.S.—will automatically be subject to the rules and regulations of HISA. The Authority and the USADA will have the right to enforce their compliance.

Once HISA becomes operative on July 1, 2022, states will lose the power to regulate or enforce their own rules. They will no longer have the ability to opt out of the Authority’s anti-doping and safety programs. Any covered persons or states that do not comply with the Authority’s standards, may face orders of compliance from federal courts.

The Authority and USADA will be able to enter into agreements with state racing commissions for the purpose of enforcement of racetrack safety programs, services consistent with the enforcement of the anti-doping and medication control program and to monitor and enforce racetrack compliance with the Authority standards. The Authority, USADA and the states, via collaboration, may choose to work together on how racing medication and safety regulation and enforcement will be handled in the state, but all cases remain subject to the final rules of the Authority. 

Safety specifics

HISA requires the Authority to develop training and racing safety standards, while taking into account differences between racing facilities. Some variation in standards will be allowed in different regions so long as they do not increase risks for horses and riders. The Authority hopes these differences will enhance the integrity and safety of Thoroughbred racing and increase racetrack revenues by increasing the public’s confidence in wagering and ensure public confidence of safety within the sport.

The legislation only preempts existing state laws and regulations relating to drugs administered to horses participating in races subject to interstate wagering and racetrack safety measures. Most rules and regulations within the authority of state racing commissions will not be affected. The unaffected rules include those related to wagering, licensing of racing participants, breed enhancement programs, sales of breeding and racing stock, types of races allowed, claiming of horses, taxation of racing and similar.

The Authority and state racing commissions may enter into agreements with the states to provide services agreeable with the enforcement of track safety programs as well as the anti-doping and medication control programs.

Duncan Taylor, president of Taylor Made Farm in Nicholasville, Kentucky, is looking forward to seeing the coming details after reading the HISA legislation. 

“I think [HISA] is very well put together and thought out,” said Taylor. “I think it is the greatest thing I’ve seen in our business; we need consistency in how we rule our sport.”

“Now what we have to do is quantify what actually happens when we put these rules in place,” Taylor continued. “We quantify what was good, what wasn’t good, then we tweak it and have a methodology of making a decision to go forward and make it better. Now we have a structure, and I think that is going to be very helpful to the sport.”