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[Senate Report 113-254]
[From the U.S. Government Publishing Office]

113th Congress  }                                            {   REPORT
  2d Session    }             SENATE                         {  113-254
_______________________________________________________________________

                                                       Calendar No. 562
 
                 PREVENT ALL SORING TACTICS ACT OF 2013

                               __________

                              R E P O R T

                                 of the

           COMMITTEE ON COMMERCE, SCIENCE, AND TRANSPORTATION

                                   on

                                S. 1406

                  [GRAPHIC(S) NOT AVAILABLE IN TIFF FORMAT]

               September 15, 2014.--Ordered to be printed

                               ----------

                         U.S. GOVERNMENT PRINTING OFFICE 

39-010 PDF                       WASHINGTON : 

       SENATE COMMITTEE ON COMMERCE, SCIENCE, AND TRANSPORTATION
                    one hundred thirteenth congress
                             second session

             JOHN D. ROCKEFELLER IV, West Virginia, Chairman
 BARBARA BOXER, California            JOHN THUNE, South Dakota
 BILL NELSON, Florida                 ROGER F. WICKER, Mississippi
 MARIA CANTWELL, Washington           ROY BLUNT, Missouri
 MARK PRYOR, Arkansas                 MARCO RUBIO, Florida
 CLAIRE McCASKILL, Missouri           KELLY AYOTTE, New Hampshire
 AMY KLOBUCHAR, Minnesota             DEAN HELLER, Nevada
 MARK BEGICH, Alaska                  DANIEL COATS, Indiana
 RICHARD BLUMENTHAL, Connecticut      TIM SCOTT, South Carolina
 BRIAN SCHATZ, Hawaii                 TED CRUZ, Texas
 ED MARKEY, Massachusetts             DEB FISCHER, Nebraska
 CORY BOOKER, New Jersey              RON JOHNSON, Wisconsin
 JOHN WALSH, Montana

                     Ellen Doneski, Staff Director
                     John Williams, General Counsel
              David Schwietert, Republican Staff Director
              Nick Rossi, Republican Deputy Staff Director
               Rebecca Seidel, Republican General Counsel

                                                       Calendar No. 562

113th Congress  }                                            {   Report
  2d Session    }          SENATE                            {  113-254

=======================================================================

                 PREVENT ALL SORING TACTICS ACT OF 2013

                                _______
                                

               September 15, 2014.--Ordered to be printed

                                _______
                                

     Mr. Rockefeller, from the Committee on Commerce, Science, and 
                Transportation, submitted the following

                              R E P O R T

                         [To accompany S. 1406]

    The Committee on Commerce, Science, and Transportation, to 
which was referred the bill (S. 1406) to amend the Horse 
Protection Act to designate additional unlawful acts under the 
Act, strengthen penalties for violations of the Act, improve 
Department of Agriculture enforcement of the Act, and for other 
purposes, having considered the same, reports favorably thereon 
with an amendment (in the nature of a substitute) and 
recommends that the bill (as amended) do pass.

                          Purpose of the Bill

    The purpose of S. 1406, the Prevent All Soring Tactics Act 
of 2013, is to amend the Horse Protection Act (HPA) to protect 
Tennessee Walking Horses and other gaited horses from a 
practice known as ``soring.'' Soring is a process whereby 
blistering agents, burns, lacerations, sharp objects, or other 
substances and devices are applied to a horse's legs or hooves 
to intentionally make each step painful, thus forcing the horse 
to perform an exaggerated high-stepped gait that is valued in 
show rings. The HPA prohibits horses that have been subjected 
to soring from participating in shows, sales, exhibitions, or 
auctions.

                          Background and Needs

    In 1970, Congress passed the HPA (15 U.S.C. 1821 et seq.) 
to protect Tennessee Walking Horses and other gaited show horse 
breeds from the act of soring. As originally enacted, it was to 
be enforced by the Animal and Plant Health Inspection Service 
(APHIS), a branch of the U.S. Department of Agriculture (USDA). 
However, a lack of staff and funding resulted in little 
enforcement, which led to a 1976 amendment to the HPA that 
established a means for the industry to self-police. The 
amendment created the Designated Qualified Person (DQP) 
program, which allowed non-USDA employees from within the 
equine community to engage in training and certification 
programs run by Horse Industry Organizations (HIOs) and 
supervised by the USDA. HIOs are required to hire enough DQPs 
to examine every horse shown for signs of soring and to issue 
violations to exhibitors. The USDA spot checks the work of DQP 
participants by making random inspections at a small number of 
shows.\1\
---------------------------------------------------------------------------
    \1\In 2007, USDA inspectors were able to attend approximately 30 of 
the 463 sanctioned shows, or 6 percent. See U.S. Department of 
Agriculture, Office of Inspector General, Animal and Plant Health 
Inspection Service, Administration of the Horse Protection Program and 
the Slaughter Horse Transport Program, Audit Report 33601-2-KC, 
September 2010, at http://www.usda.gov/oig/webdocs/33601-02-KC.pdf.
---------------------------------------------------------------------------
    This current horse inspection regime under the HPA is 
inadequate because it creates a conflict of interest when 
inspections should properly be conducted with arms-length 
impartiality. HIOs, as well as many of the DQPs, are industry 
participants with a conflict of interest that could impede 
robust enforcement. HIOs, which sponsor and sanction shows, 
sales, and other events, are responsible for hiring, training, 
and licensing DQPs who are responsible for enforcing the HPA by 
inspecting horses.
    In 2008-2009, the USDA's Office of the Inspector General 
(OIG) conducted an audit of the HPA program and issued a report 
of its findings.\2\ According to the report, violations of the 
HPA are rampant. Exhibitors (the owners and trainers) of gaited 
show horses often go to great lengths to evade detection rather 
than comply with Federal law and train horses using humane 
methods. The report's findings include:
---------------------------------------------------------------------------
    \2\Ibid.
---------------------------------------------------------------------------
           DQPs are often likely to be show exhibitors 
        themselves and, thus, have clear conflicts of interest. 
        If they were to inspect other exhibitors' horses 
        rigorously, they might find their own horses subject to 
        much more stringent inspections at other shows.
           Some DQPs regularly give exhibitors warnings 
        instead of issuing tickets for violations, as is 
        required by law. In the limited instances when the DQPs 
        do issue tickets, the tickets are issued not to the 
        exhibitor but to more junior employees, such as stable 
        hands who work for the exhibitor.
           When USDA inspectors are present at horse 
        shows, the number of citations for violations increases 
        significantly.\3\
---------------------------------------------------------------------------
    \3\From 2005-2008, USDA inspectors were present at only 6 percent 
of all shows, yet DQPs issued 49 percent of all violations at these 
shows.
---------------------------------------------------------------------------
    S. 1406 would amend the HPA to eliminate the practice of 
industry self-policing, prohibit the use of devices implicated 
in soring, and provide for greater penalties for violations of 
the HPA.

                         Summary of Provisions

    S. 1406 would amend the HPA to protect Tennessee Walking 
Horses and other gaited horses from a practice known as 
``soring.'' Soring is a process whereby blistering agents, 
burns, lacerations, sharp objects, or other substances and 
devices are inflicted upon a horse's legs or hooves to 
intentionally make each step painful, thus forcing the horse to 
perform an exaggerated high-stepped gait that is valued in show 
rings. The HPA already prohibits horses that have been 
subjected to soring from participating in shows, sales, 
exhibitions, or auctions, S. 1406 would prohibit the act of 
soring itself.
    S. 1406 would abolish the current DQP system and instead 
require the USDA to license, train, and oversee the persons who 
are hired to detect and diagnose sored horses at horse shows, 
exhibitions, sales, and auctions. These USDA-licensed 
inspectors at horse shows, exhibitions, sales, and auctions 
would be paid by event organizers. And their hiring would be 
voluntary, but it would protect management from liability if 
soring were found at their shows. The bill would prohibit the 
use of ``action devices'' including chains that rub up and down 
an already sored leg to intensify the horse's pain when it 
moves. S. 1406 would ensure that this prohibition does not 
apply to protective devices. Finally, the bill would increase 
the civil and criminal penalties for soring and would allow 
permanent disqualification from participation in horse shows, 
exhibitions, sales, or auctions for repeat offenders.

                          Legislative History

    Senators Ayotte and Warner introduced S. 1406 on July 31, 
2013. It is cosponsored by Senators Thune, Begich, Blumenthal, 
Booker, Boxer, Cantwell, Klobuchar, Markey, Rubio, Schatz, and 
Walsh of the Committee, as well as 58 other Senators. The House 
companion to this bill, H.R. 1518, was introduced by 
Representative Whitfield; it has 304 cosponsors.
    The bill has the support of the American Association of 
Equine Practitioners, the American Horse Council, the 
Equestrian Federation, the American Quarter Horse Association, 
the National Sheriffs' Association, the American Veterinary 
Medical Association, the Humane Society of the United States, 
veterinary medical associations for every State, most major 
breed associations, many Walking Horse groups, and the American 
Society for the Prevention of Cruelty to Animals.
    On April 9, 2014, in an open Executive Session, the 
Committee considered the bill and reported S. 1406, as amended, 
favorably by voice vote. The Committee adopted a substitute 
amendment from Senator Ayotte that made a change to the bill to 
make it mirror its companion bill in the House, H.R. 1518. The 
amendment capitalizes the word ``Racking'' in the term 
``Racking Horse'' to denote a particular breed of horse.

                            Estimated Costs

    In accordance with paragraph 11(a) of rule XXVI of the 
Standing Rules of the Senate and section 403 of the 
Congressional Budget Act of 1974, the Committee provides the 
following cost estimate, prepared by the Congressional Budget 
Office:

S. 1406--Prevent All Soring Tactics Act of 2014

    S. 1406 would amend the Horse Protection Act of 1970 (HPA) 
to strengthen and expand enforcement of current prohibitions on 
soring horses. Soring refers to the practice of applying a 
substance or device to a horse's limb to cause the horse pain 
when moving. Although prohibited, the practice helps to achieve 
the high stepping gait desired for Tennessee Walking Horses and 
other similar breeds. Under current law, inspectors from the 
U.S. Department of Agriculture (USDA) are sent to some large 
horse shows, but the private managers of each event where such 
horses compete usually hire their own inspectors to detect 
soring and other violations of the HPA.
    S. 1406 would require USDA to license, train, assign, and 
oversee private inspectors qualified to independently detect 
and diagnose a horse that has been subjected to soring and to 
inspect horses at horse shows, exhibitions, sales, or auctions, 
for purposes of enforcing HPA regulations. Those independent 
inspectors would not be USDA employees and would continue to be 
paid by the private managers of each event. The bill also would 
prohibit the use of any device placed on a horse's limb to 
artificially alter its gait (known as an action device). In 
addition, S. 1406 would increase maximum fines and prison terms 
for each violation of HPA. Upon any third or subsequent 
violation, the Secretary of Agriculture could permanently 
disqualify a person from having any part in future horse shows, 
exhibitions, sales, or auctions. Finally, the bill would impose 
a fine on event managers who refuse to pay the USDA licensed 
horse inspectors.
    Based on information from the Animal and Plant Health 
Inspection Service (APHIS), CBO estimates that implementing S. 
1406 would cost about $1 million per year over the 2015-2019 
period, assuming appropriation of the necessary amounts, for 
licensing, training, assigning, and monitoring independent 
inspectors. In 2014, APHIS spent about $700,000 for HPA 
enforcement.
    Enacting S. 1406 would not affect direct spending. The bill 
could increase revenues from penalties; therefore, pay-as-you-
go procedures apply. However, CBO estimates that any additional 
revenues from those penalties would probably be negligible.
    S. 1406 contains no intergovernmental mandates as defined 
in the Unfunded Mandates Reform Act (UMRA).
    The bill would impose a private-sector mandate, as defined 
in UMRA, on some owners of horses by expanding the prohibition 
on soring horses. The cost of the mandate would be the net 
income forgone because of that expansion. Based on information 
from USDA reports and industry sources, CBO estimates that the 
cost of the mandate would fall below the annual threshold 
established in UMRA ($152 million in 2014, adjusted annually 
for inflation).

                           Regulatory Impact

    In accordance with paragraph 11(b) of rule XXVI of the 
Standing Rules of the Senate, the Committee provides the 
following evaluation of the regulatory impact of the 
legislation, as reported:

                       number of persons covered

    The legislation would change the inspection and oversight 
regime for shows, sales, exhibitions, and auctions that involve 
Tennessee Walking Horses and other gaited horses.

                            economic impact

    This legislation is not expected to have an adverse 
economic impact on the Nation. The bill would direct the 
Secretary of Agriculture (Secretary) to promulgate regulations 
to license, train, assign, and oversee persons qualified to 
inspect horses for soring and to assign such persons if the 
show's management indicated their intent to hire inspectors. It 
would increase penalties for soring and prohibit the use of 
certain practices and devices on the horse breeds that have 
been subject to soring.

                                privacy

    S. 1406 would not have a negative impact on the personal 
privacy of individuals.

                               paperwork

    The legislation would not increase paperwork requirements 
for private individuals or businesses. The bill would require 
the USDA to issue implementing regulations, including rules 
under which the USDA licenses, trains, assigns, and oversees 
HPA inspectors.

                   Congressionally Directed Spending

    In compliance with paragraph 4(b) of rule XLIV of the 
Standing Rules of the Senate, the Committee provides that no 
provisions contained in the bill, as reported, meet the 
definition of congressionally directed spending items under the 
rule.

                      Section-by-Section Analysis

Section 1. Short title.

    Section 1 would establish the title of the bill as the 
``Prevent All Soring Tactics Act of 2014.''

Section 2. Increased enforcement under Horse Protection Act.

    Section 2(a) of the bill would amend section 2 of the HPA 
(15 U.S.C. 1821) to add a definition of ``action device'' as 
any boot, collar, chain, roller, or other device that encircles 
or is placed upon a horse's lower leg in a way that rotates 
around or slides up and down to cause friction or strikes the 
horse's hoof, coronet band, fetlock joint, or pastern, but not 
including soft rubber or soft leather bell boots or quarter 
boots used as protective devices. This section would also add a 
definition of what it means to ``participate'' in horse shows, 
exhibitions, sales, or auctions, as that term is used in 
section 6 of the HPA (15 U.S.C. 1825), as amended, regarding 
penalties and disqualification of offenders.
    Section 2(b) of the bill would amend section 3 of the HPA 
(15 U.S.C. 1822) to include ways that the practice of soring 
adversely affects and burdens interstate and foreign commerce, 
including by creating unfair competition, deceiving the 
spectating public and horse buyers, and negatively impacting 
horse sales. It also references the USDA OIG's determination 
that the existing program for inspecting horses is inadequate 
to prevent soring. It identifies the three breeds that have 
historically been subjected to soring--Tennessee Walking 
Horses, Racking Horses, and Spotted Saddle Horses--and finds 
that, despite existing regulations, violations of the HPA 
continue to be prevalent in those three breeds.
    Section 2(c) of the bill would amend section 4 of the HPA 
(15 U.S.C. 1823) by directing the Secretary to prescribe 
regulations to license, train, assign, and oversee persons 
qualified to inspect horses for soring. It would grant the 
Secretary authority to revoke an inspector's license if the 
inspector's performance is found to be unsatisfactory, 
following notice and an opportunity for a hearing. This section 
would also establish that the management of a horse show, 
exhibition, sale, or auction may opt to have voluntary 
inspection by one or more inspectors licensed and assigned by 
the Secretary. It would mandate that the Secretary publish and 
update on the APHIS website information on violations of the 
HPA so that management can determine if an individual is in 
violation. This section also would require disqualifying a 
horse from competition for a minimum of 180 days for a first 
determination of soring, a minimum of one year for a second 
determination, and a minimum of three years for a third 
determination.
    Section 2(d) of the bill would amend section 5 of the HPA 
(15 U.S.C. 1824), which describes unlawful acts, to add a 
prohibition against soring a horse or directing another person 
to sore a horse for the purpose of showing, exhibiting, 
selling, auctioning, or offering for sale the horse. It would 
also prohibit the use of an action device on any limb of a 
Tennessee Walking Horse, Racking Horse, or Spotted Saddle 
Horse, and it would prohibit the use of a weighted shoe, pad, 
wedge, hoof band, or other device or material at a horse show, 
exhibition, sale, or auction placed on, inserted in, or 
attached to any limb of any such horse, unless the device is 
strictly protective or therapeutic.
    Section 2(e) of the bill would amend section 6 of the HPA 
(15 U.S.C. 1825) to increase the criminal penalty for unlawful 
acts from a misdemeanor to a felony on the first offense, and 
it would increase the maximum fine from $3,000 to $5,000 for 
each violation. It also would create a felony penalty and 
maximum $5,000 fine for violators who disobey orders of 
disqualification, and it would increase the civil penalty for 
each violation from $3,000 to $5,000. It would expand the range 
of activities from which an offender can be disqualified, and 
it would allow for the permanent disqualification of offenders 
on a third or subsequent violation.
    Section 2(f) of the bill would direct the Secretary to 
issue implementing regulations within 180 days of the bill's 
enactment, including rules under which the USDA would license, 
train, assign, and oversee HPA inspectors.

                        Changes in Existing Law

    In compliance with paragraph 12 of rule XXVI of the 
Standing Rules of the Senate, changes in existing law made by 
the bill, as reported, are shown as follows (existing law 
proposed to be omitted is enclosed in black brackets, new 
material is printed in italic, existing law in which no change 
is proposed is shown in roman):

                          HORSE PROTECTION ACT

SEC. 2. DEFINITIONS.

                            [15 U.S.C. 1821]

  As used in this Act unless the context otherwise requires:
          (1)(A) The term ``action device'' means any boot, 
        collar, chain, roller, or other device that encircles 
        or is placed upon the lower extremity of the leg of a 
        horse in such a manner that it can--
                  (i) rotate around the leg or slide up and 
                down the leg, so as to cause friction; or
                  (ii) strike the hoof, coronet band, fetlock 
                joint, or pastern of the horse.
          (B) Such term does not include soft rubber or soft 
        leather bell boots or quarter boots that are used as 
        protective devices.
          [(1)] (2) The term ``management'' means any person 
        who organizes, exercises control over, or administers 
        or who is responsible for organizing, directing, or 
        administering.
          [(2)] (3) The term ``Secretary'' means the Secretary 
        of Agriculture.
          [(3)] (4) The term ``sore'' when used to describe a 
        horse means that--
                  (A) an irritating or blistering agent has 
                been applied, internally or externally, by a 
                person to any limb of a horse,
                  (B) any burn, cut, or laceration has been 
                inflicted by a person on any limb of a horse,
                  (C) any tack, nail, screw, or chemical agent 
                has been injected by a person into or used by a 
                person on any limb of a horse, or
                  (D) any other substance or device has been 
                used by a person on any limb of a horse or a 
                person has engaged in a practice involving a 
                horse,
        and, as a result of such application, infliction, 
        injection, use, or practice, such horse suffers, or can 
        reasonably be expected to suffer, physical pain or 
        distress, inflammation, or lameness when walking, 
        trotting, or otherwise moving, except that such term 
        does not include such an application, infliction, 
        injection, use, or practice in connection with the 
        therapeutic treatment of a horse by or under the 
        supervision of a person licensed to practice veterinary 
        medicine in the State in which such treatment was 
        given.
          [(4)] (5) The term ``State'' means any of the several 
        States, the District of Columbia, the Commonwealth of 
        Puerto Rico, the Virgin Islands, Guam, American Samoa, 
        and the Trust Territory of the Pacific Islands.
          (6)(A) The term ``participate'' means engaging in any 
        activity with respect to a horse show, horse 
        exhibition, or horse sale or auction, including--
                  (i) transporting or arranging for the 
                transportation of a horse to or from a horse 
                show, horse exhibition, or horse sale or 
                auction;
                  (ii) personally giving instructions to an 
                exhibitor; or
                  (iii) being knowingly present in a warm-up 
                area, inspection area, or other area at a horse 
                show, horse exhibition, or horse sale or 
                auction that spectators are not permitted to 
                enter.
          (B) Such term does not include spectating.

SEC. 3. CONGRESSIONAL STATEMENT OF FINDINGS.

                            [15 U.S.C. 1822]

  The Congress finds and declares that--
          (1) the soring of horses is cruel and inhumane;
          (2) horses shown or exhibited which are sore, where 
        such soreness improves the performance of such horse, 
        compete unfairly with horses which are not sore;
          (3) the movement, showing, exhibition, or sale of 
        sore horses in intrastate commerce and soring horses 
        for such purposes adversely affects and burdens 
        interstate and foreign commerce in many ways, including 
        by creating unfair competition, by deceiving the 
        spectating public and horse buyers, and by negatively 
        impacting horse sales;
          (4) all horses which are subject to regulation under 
        this Act are either in interstate or foreign commerce 
        or substantially affect such commerce; [and]
          (5) regulation under this Act by the Secretary is 
        appropriate to prevent and eliminate burdens upon 
        commerce and to effectively regulate commerce[.];
          (6) the Inspector General of the Department of 
        Agriculture has determined that the program through 
        which the Secretary inspects horses is inadequate for 
        preventing soring;
          (7) historically, Tennessee Walking Horses, Racking 
        Horses, and Spotted Saddle Horses have been subjected 
        to soring; and
          (8) despite regulations in effect related to 
        inspection for purposes of ensuring that horses are not 
        sore, violations of this Act continue to be prevalent 
        in the Tennessee Walking Horse, Racking Horse, and 
        Spotted Saddle Horse breeds.

SEC. 4. HORSE SHOWS AND EXHIBITIONS.

                            [15 U.S.C. 1823]

  (a) Disqualification of Horses.--The management of any horse 
show or horse exhibition shall disqualify any horse from being 
shown or exhibited (1) which is sore or (2) if the management 
has been notified by a person [appointed] licensed in 
accordance with regulations under subsection (c) or by the 
Secretary that the horse is sore. In the first instance in 
which the Secretary determines that a horse is sore, the 
Secretary shall disqualify the horse from being shown or 
exhibited for a period of not less than 180 days. In the second 
instance in which the Secretary determines that such horse is 
sore, the Secretary shall disqualify the horse for a period of 
not less than one year. In the third instance in which the 
Secretary determines that such horse is sore, the Secretary 
shall disqualify the horse for a period of not less than three 
years.
  (b) Prohibited Activities.--The management of any horse sale 
or auction shall prohibit the sale or auction or exhibition for 
the purpose of sale of any horse (1) which is sore or (2) if 
the management has been notified by a person [appointed] 
licensed in accordance with regulations under subsection (c) or 
by the Secretary that the horse is sore.
  [(c) Appointment of Inspectors; Manner of Inspections.--The 
Secretary shall prescribe by regulation requirements for the 
appointment by the management of any horse show, horse 
exhibition, or horse sale or auction of persons qualified to 
detect and diagnose a horse which is sore or to otherwise 
inspect horses for the purposes of enforcing this Act. Such 
requirements shall prohibit the appointment of persons who, 
after notice and opportunity for a hearing, have been 
disqualified by the Secretary to make such detection, 
diagnosis, or inspection. Appointment of a person in accordance 
with the requirements prescribed under this subsection shall 
not be construed as authorizing such person to conduct 
inspections in a manner other than that prescribed for 
inspections by the Secretary (or the Secretary's 
representative) under subsection (e).]
  (c)(1)(A) The Secretary shall prescribe by regulation 
requirements for the Department of Agriculture to license, 
train, assign, and oversee persons qualified to detect and 
diagnose a horse which is sore or to otherwise inspect horses 
at horse shows, horse exhibitions, or horse sales or auctions, 
for hire by the management of such events, for the purposes of 
enforcing this Act.
  (B) No person shall be issued a license under this subsection 
unless such person is free from conflicts of interest, as 
defined by the Secretary in the regulations issued under 
subparagraph (A).
  (C) If the Secretary determines that the performance of a 
person licensed in accordance with subparagraph (A) is 
unsatisfactory, the Secretary may, after notice and an 
opportunity for a hearing, revoke the license issued to such 
person.
  (D) In issuing licenses under this subsection, the Secretary 
shall give a preference to persons who are licensed or 
accredited veterinarians.
  (E) Licensure of a person in accordance with the requirements 
prescribed under this subsection shall not be construed as 
authorizing such person to conduct inspections in a manner 
other than that prescribed for inspections by the Secretary (or 
the Secretary's representative) under subsection (e).
  (2)(A) Not later than 30 days before the date on which a 
horse show, horse exhibition, or horse sale or auction begins, 
the management of such show, exhibition, or sale or auction may 
notify the Secretary of the intent of the management to hire a 
person or persons licensed under this subsection and assigned 
by the Secretary to conduct inspections at such show, 
exhibition, or sale or auction.
  (B) After such notification, the Secretary shall assign a 
person or persons licensed under this subsection to conduct 
inspections at the horse show, horse exhibition, or horse sale 
or auction.
  (3) A person licensed by the Secretary to conduct inspections 
under this subsection shall issue a citation with respect to 
any violation of this Act recorded during an inspection and 
notify the Secretary of each such violation not later than five 
days after the date on which a citation was issued with respect 
to such violation.
  (d) Recordkeeping and Reporting Requirements; Availability of 
Records.--The management of a horse show, horse exhibition, or 
horse sale or auction shall establish and maintain such 
records, make such reports, and provide such information as the 
Secretary may by regulation reasonably require for the purposes 
of implementing this Act or to determine compliance with this 
Act. Upon request of an officer or employee duly designated by 
the Secretary, such management shall permit entry at all 
reasonable times for the inspection and copying (on or off the 
premises) of records required to be maintained under this 
subsection.
  (e) Inspection by Secretary or Duly Appointed 
Representative.--For purposes of enforcement of this Act 
(including any regulation promulgated under this Act) the 
Secretary, or any representative of the Secretary duly 
designated by the Secretary, may inspect any horse show, horse 
exhibition, or horse sale or auction or any horse at any such 
show, exhibition, sale, or auction. Such an inspection may only 
be made upon presenting appropriate credentials. Each such 
inspection shall be commenced and completed with reasonable 
promptness and shall be conducted within reasonable limits and 
in a reasonable manner. An inspection under this subsection 
shall extend to all things (including records) bearing on 
whether the requirements of this Act have been complied with.
  (f) The Secretary shall publish on the public website of the 
Animal and Plant Health Inspection Service of the Department of 
Agriculture, and update as frequently as the Secretary 
determines is necessary, information on violations of this Act 
for the purposes of allowing the management of a horse show, 
horse exhibition, or horse sale or auction to determine if an 
individual is in violation of this Act.

SEC. 5. UNLAWFUL ACTS.

                            [15 U.S.C. 1824]

  The following conduct is prohibited:
          (1) The shipping, transporting, moving, delivering, 
        or receiving of any horse which is sore with reason to 
        believe that such horse while it is sore may be shown, 
        exhibited, entered for the purpose of being shown or 
        exhibited, sold, auctioned, or offered for sale, in any 
        horse show, horse exhibition, or horse sale or auction; 
        except that this paragraph does not apply to the 
        shipping, transporting, moving, delivering, or 
        receiving of any horse by a common or contract carrier 
        or an employee thereof in the usual course of the 
        carrier's business or employee's employment unless the 
        carrier or employee has reason to believe that such 
        horse is sore.
          (2) The (A) showing or exhibiting, in any horse show 
        or horse exhibition, of any horse which is sore, (B) 
        entering for the purpose of showing or exhibiting in 
        any horse show or horse exhibition, any horse which is 
        sore, (C) selling, auctioning, or offering for sale, in 
        any horse sale or auction, any horse which is sore, 
        [and (D)] (D) causing a horse to become sore or 
        directing another person to cause a horse to become 
        sore for the purpose of showing, exhibiting, selling, 
        auctioning, or offering for sale the horse in any horse 
        show, horse exhibition, or horse sale or auction, and 
        (E) allowing any activity described in clause (A), (B), 
        [or (C) respecting] (C), or (D) respecting a horse 
        which is sore by the owner of such horse.
          (3) The failure by the management of any horse show 
        or horse exhibition, which does not [appoint] hire and 
        retain a person in accordance with section 4(c) of this 
        Act, to disqualify from being shown or exhibited any 
        horse which is sore.
          (4) The failure by the management of any horse sale 
        or auction, which does not [appoint] hire and retain a 
        [qualified] person in accordance with section 4(c) of 
        this Act, to prohibit the sale, offering for sale, or 
        auction of any horse which is sore.
          (5) The failure by the management of any horse show 
        or horse exhibition, which has [appointed] hired and 
        retained a person in accordance with section 4(c) of 
        this Act, to disqualify from being shown or exhibited 
        any horse (A) which is sore, and (B) after having been 
        notified by such person or the Secretary that the horse 
        is sore or after otherwise having knowledge that the 
        horse is sore.
          (6) The failure by the management of any horse sale 
        or auction which has [appointed] hired and retained a 
        person in accordance with section 4(c) of this Act, to 
        prohibit the sale, offering for sale, or auction of any 
        horse (A) which is sore, and (B) after having been 
        notified by such person or the Secretary that the horse 
        is sore or after otherwise having knowledge that the 
        horse is sore.
          (7) The showing or exhibiting at a horse show or 
        horse exhibition; the selling or auctioning at a horse 
        sale or auction; the allowing to be shown, exhibited, 
        or sold at a horse show, horse exhibition, or horse 
        sale or auction; the entering for the purpose of 
        showing or exhibiting in any horse show or horse 
        exhibition; or offering for sale at a horse sale or 
        auction, any horse which is wearing or bearing any 
        equipment, device, paraphernalia, or substance which 
        the Secretary by regulation under section 9 prohibits 
        to prevent the soring of horses.
          (8) The failing to establish, maintain, or submit 
        records, notices, reports, or other information 
        required under section 4.
          (9) The failure or refusal to permit access to or 
        copying of records, or the failure or refusal to permit 
        entry or inspection, as required by section 4.
          (10) The removal of any marking required by the 
        Secretary to identify a horse as being detained.
          (11) The failure or refusal to provide the Secretary 
        with adequate space or facilities, as the Secretary may 
        by regulation under section 9 prescribe, in which to 
        conduct inspections or any other activity authorized to 
        be performed by the Secretary under this Act.
          (12) The use of an action device on any limb of a 
        Tennessee Walking Horse, a Racking Horse, or a Spotted 
        Saddle Horse at a horse show, horse exhibition, or 
        horse sale or auction.
          (13) The use of a weighted shoe, pad, wedge, hoof 
        band, or other device or material at a horse show, 
        horse exhibition, or horse sale or auction that--
                  (A) is placed on, inserted in, or attached to 
                any limb of a Tennessee Walking Horse, a 
                Racking Horse, or a Spotted Saddle Horse;
                  (B) is constructed to artificially alter the 
                gait of such a horse; and
                  (C) is not strictly protective or therapeutic 
                in nature.

SEC. 6. VIOLATIONS AND PENALTIES.

                            [15 U.S.C. 1825]

  (a) Criminal Acts and Penalties.--
          (1) [Except as provided in paragraph (2) of this 
        subsection, any person who knowingly violates section 
        5] Any person who knowingly violates section 5 or the 
        regulations issued under such section, including any 
        violation recorded during an inspection conducted in 
        accordance with section 4(c) or 4(e) shall, upon 
        conviction thereof, be fined not [more than $3,000, or 
        imprisoned for not more than one year, or both.] more 
        than $5,000, or imprisoned for not more than three 
        years, or both, for each such violation.
          [(2)(A) If any person knowingly violates section 5, 
        after one or more prior convictions of such person for 
        such a violation have become final, such person shall, 
        upon conviction thereof, be fined not more than $5,000, 
        or imprisoned for not more than two years, or both.]
          [(B)] (2) Any person who knowingly makes, or causes 
        to be made, a false entry or statement in any report 
        required under this Act; who knowingly makes, or causes 
        to be made, any false entry in any account, record, or 
        memorandum required to be established and maintained by 
        any person or in any notification or other information 
        required to be submitted to the Secretary under section 
        4 of this Act; who knowingly neglects or fails to make 
        or cause to be made, full, true, and correct entries in 
        such accounts, records, memoranda, notification, or 
        other materials; who knowingly removes any such 
        documentary evidence out of the jurisdiction of the 
        United States; who knowingly mutilates, alters, or by 
        any other means falsifies any such documentary 
        evidence; or who knowingly refuses to submit any such 
        documentary evidence to the Secretary for inspection 
        and copying shall be guilty of an offense against the 
        United States, and upon conviction thereof shall be 
        fined not more than $5,000, or imprisoned for not more 
        than three years, or both.
          [(C)] (3) Any person who forcibly assaults, resists, 
        opposes, impedes, intimidates, or interferes with any 
        person while engaged in or on account of the 
        performance of his official duties under this Act shall 
        be fined not more than $5,000, or imprisoned not more 
        than three years, or both. Whoever, in the commission 
        of such acts, uses a deadly or dangerous weapon shall 
        be fined not more than $10,000, or imprisoned not more 
        than ten years, or both. Whoever kills any person while 
        engaged in or on account of the performance of his 
        official duties under this Act shall be punishable as 
        provided under sections 1111 and 1112 of title 18, 
        United States Code.
          (4) Any person who knowingly fails to obey an order 
        of disqualification shall, upon conviction thereof, be 
        fined not more than $5,000 for each failure to obey 
        such an order, imprisoned for not more than three 
        years, or both.
  (b) Civil Penalties; Review and Enforcement.--
          (1) Any person who violates [section 5 of this Act] 
        section 5 or the regulations issued under such section 
        shall be liable to the United States for a civil 
        penalty of not more than [$2,000] $4,000 for each 
        violation. No penalty shall be assessed unless such 
        person is given notice and opportunity for a hearing 
        before the Secretary with respect to such violation. 
        The amount of such civil penalty shall be assessed by 
        the Secretary by written order. In determining the 
        amount of such penalty, the Secretary shall take into 
        account all factors relevant to such determination, 
        including the nature, circumstances, extent, and 
        gravity of the prohibited conduct and, with respect to 
        the person found to have engaged in such conduct, the 
        degree of culpability, any history of prior offenses, 
        ability to pay, effect on ability to continue to do 
        business, and such other matters as justice may 
        require.
          (2) Any person against whom a violation is found and 
        a civil penalty assessed under paragraph (1) of this 
        subsection may obtain review in the court of appeals of 
        the United States for the circuit in which such person 
        resides or has his place of business or in the United 
        States Court of Appeals for the District of Columbia 
        Circuit by filing a notice of appeal in such court 
        within 30 days from the date of such order and by 
        simultaneously sending a copy of such notice by 
        certified mail to the Secretary. The Secretary shall 
        promptly file in such court a certified copy of the 
        record upon which such violation was found and such 
        penalty assessed, as provided in section 2112 of title 
        28, United States Code. The findings of the Secretary 
        shall be set aside if found to be unsupported by 
        substantial evidence.
          (3) If any person fails to pay an assessment of a 
        civil penalty after it has become a final and 
        unappealable order, or after the appropriate court of 
        appeals has entered final judgment in favor of the 
        Secretary, the Secretary shall refer the matter to the 
        Attorney General, who shall recover the amount assessed 
        in any appropriate district court of the United States. 
        In such action, the validity and appropriateness of the 
        final order imposing the civil penalty shall not be 
        subject to review.
          (4) The Secretary may, in his discretion, compromise, 
        modify, or remit, with or without conditions, any civil 
        penalty assessed under this subsection.
          (5) Any person who fails to pay a licensed inspector 
        hired under section 4(c) shall, upon conviction 
        thereof, be fined not more than $4,000 for each such 
        violation.
  (c) Disqualification of Offenders; Orders; Civil Penalties 
Applicable; Enforcement Procedures.--In addition to any fine, 
imprisonment, or civil penalty authorized under this section, 
any person who was convicted under subsection (a) or who paid a 
civil penalty assessed under subsection (b) or is subject to a 
final order under such subsection assessing a civil penalty for 
any violation of any provision of this Act or any regulation 
issued under this Act may be disqualified by order of the 
Secretary, after notice and an opportunity for a hearing before 
the Secretary, from showing or exhibiting any horse, judging or 
managing any horse show, horse exhibition, or horse sale or 
auction, or otherwise participating in any horse show, horse 
exhibition, or horse sale or auction for a period of not less 
than one year for the first violation and not less than five 
years for [any subsequent] the second violation. For the third 
or any subsequent violation, a person may be permanently 
disqualified by order of the Secretary, after notice and an 
opportunity for a hearing before the Secretary, from showing or 
exhibiting any horse, judging or managing any horse show, horse 
exhibition, or horse sale or auction, or otherwise 
participating in, including financing the participation of 
other individuals in, any horse show, horse exhibition, or 
horse sale or auction (regardless of whether walking horses are 
shown, exhibited, sold, auctioned, or offered for sale at the 
horse show, horse exhibition, or horse sale or auction). Any 
person who knowingly fails to obey an order of disqualification 
shall be subject to a civil penalty of not more than [$3,000] 
$5,000 for each violation. Any horse show, horse exhibition, or 
horse sale or auction, or the management thereof, collectively 
and severally, which knowingly allows any person who is under 
an order of disqualification to show or exhibit any horse, to 
enter for the purpose of showing or exhibiting any horse, to 
take part in managing or judging, or otherwise to participate 
in any horse show, horse exhibition, or horse sale or auction 
in violation of an order shall be subject to a civil penalty of 
not more than [$3,000] $5,000 for each violation. The 
provisions of subsection (b) respecting the assessment, review, 
collection, and compromise, modification, and remission of a 
civil penalty apply with respect to civil penalties under this 
subsection.
  (d) Production of Witnesses and Books, Papers, and Documents; 
Depositions; Fees; Presumptions; Jurisdiction.--
          (1) The Secretary may require by subpena the 
        attendance and testimony of witnesses and the 
        production of books, papers, and documents relating to 
        any matter under investigation or the subject of a 
        proceeding. Witnesses summoned before the Secretary 
        shall be paid the same fees and mileage that are paid 
        witnesses in the courts of the United States.
          (2) The attendance of witnesses, and the production 
        of books, papers, and documents, may be required at any 
        designated place from any place in the United States. 
        In case of disobedience to a subpena the Secretary, or 
        any party to a proceeding before the Secretary, may 
        invoke the aid of any appropriate district court of the 
        United States in requiring attendance and testimony of 
        witnesses and the production of such books, papers, and 
        documents under the provisions of this Act.
          (3) The Secretary may order testimony to be taken by 
        deposition under oath in any proceeding or 
        investigation pending before him, at any stage of the 
        proceeding or investigation. Depositions may be taken 
        before any person designated by the Secretary who has 
        power to administer oaths. The Secretary may also 
        require the production of books, papers, and documents 
        at the taking of depositions.
          (4) Witnesses whose depositions are taken and the 
        persons taking them shall be entitled to the same fees 
        as paid for like services in the courts of the United 
        States or in other jurisdictions in which they may 
        appear.
          (5) In any civil or criminal action to enforce this 
        Act or any regulation under this Act a horse shall be 
        presumed to be a horse which is sore if it manifests 
        abnormal sensitivity or inflammation in both of its 
        forelimbs or both of its hindlimbs.
          (6) The United States district courts, the District 
        Court of Guam, the District Court of the Virgin 
        Islands, the highest court of American Samoa, and the 
        United States courts of the other territories, are 
        vested with jurisdiction specifically to enforce, and 
        to prevent and restrain violations of this Act, and 
        shall have jurisdiction in all other kinds of cases 
        arising under this Act, except as provided in 
        subsection (b) of this section.
  (e) Detention of Horses; Seizure and Condemnation of 
Equipment.--
          (1) The Secretary may detain (for a period not to 
        exceed twenty-four hours) for examination, testing, or 
        the taking of evidence, any horse at any horse show, 
        horse exhibition, or horse sale or auction which is 
        sore or which the Secretary has probable cause to 
        believe is sore. The Secretary may require the 
        temporary marking of any horse during the period of its 
        detention for the purpose of identifying the horse as 
        detained. A horse which is detained subject to this 
        paragraph shall not be moved by any person from the 
        place it is so detained except as authorized by the 
        Secretary or until the expiration of the detention 
        period applicable to the horse.
          (2) Any equipment, device, paraphernalia, or 
        substance which was used in violation of any provision 
        of this Act or any regulation issued under this Act or 
        which contributed to the soring of any horse at or 
        prior to any horse show, horse exhibition, or horse 
        sale or auction, shall be liable to be proceeded 
        against, by process of libel for the seizure and 
        condemnation of such equipment, device, paraphernalia, 
        or substance, in any United States district court 
        within the jurisdiction of which such equipment, 
        device, paraphernalia, or substance is found. Such 
        proceedings shall conform as nearly as possible to 
        proceedings in rem in admiralty.

                                  
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