U.S. GOVERNMENT PRINTING OFFICE

WASHINGTON : 

1 

39–010 

" ! SENATE 113TH CONGRESS

2d Session 

REPORT 

2014

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 

SEPTEMBER 15, 2014.—Ordered to be printed 


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(II) 

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 


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Calendar No. 562 

113TH CONGRESS REPORT " ! SENATE 2d Session 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). 


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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. 2 Ibid. 

3From 2005-2008, USDA inspectors were present at only 6 percent of all shows, yet DQPs 

issued 49 percent of all violations at these shows. 

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 nonUSDA 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

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: • 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

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 


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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. 


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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. 


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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 


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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): 


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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. 

ø(1)¿ (2) The term ‘‘management’’ means any person who organizes, exercises control over, or administers or who is responsible for organizing, directing, or administering. 

ø(2)¿ (3) The term ‘‘Secretary’’ means the Secretary of Agriculture. 

ø(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. 

ø(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. 


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(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; øand¿ 

(5) regulation under this Act by the Secretary is appropriate 

to prevent and eliminate burdens upon commerce and to effectively regulate commerceø.¿; 

(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 øappointed¿ 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 øappointed¿ licensed in accordance with regulations under subsection (c) or by the Secretary that 

the horse is sore. 

ø(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 


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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. 


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(e) INSPECTION BY SECRETARY OR DULY APPOINTED REPRESENTA- TIVE.—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, øand (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), øor (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 øappoint¿ 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 øappoint¿ hire and retain a øqualified¿ 

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 øappointed¿ hired and retained a 


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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 øappointed¿ 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) øExcept 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 ømore than $3,000, or imprisoned for not more than one year, or both.¿ more than 


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12 

$5,000, or imprisoned for not more than three years, or both, for 

each such violation. 

ø(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.¿ 

ø(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. 

ø(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 øsection 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 ø$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 


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13 

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 øany 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 ø$3,000¿ $5,000 


emcdonald on DSK67QTVN1PROD with HEARING
14 

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 ø$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 


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15 

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. 

Æ 


emcdonald on DSK67QTVN1PROD with HEARING