[Federal Register Volume 87, Number 3 (Wednesday, January 5, 2022)]
[Notices]
[Pages 435-459]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-28513]


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FEDERAL TRADE COMMISSION

[File No. P222100]


HISA Racetrack Safety

AGENCY: Federal Trade Commission.

ACTION: Notice of Horseracing Integrity and Safety Authority (HISA) 
proposed rule; request for public comment.

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SUMMARY: The Horseracing Integrity and Safety Act of 2020 recognizes a 
self-regulatory nonprofit organization, the Horseracing Integrity and 
Safety Authority, which is charged with developing proposed rules on a 
variety of subjects. Those proposed rules and later proposed rule 
modifications take effect only if approved by the Federal Trade 
Commission. The proposed rules and rule modifications must be published 
in the Federal Register for public comment. Thereafter, the Commission 
has 60 days from the date of publication to approve or disapprove the 
proposed rule or rule modification. The Authority submitted to the 
Commission a proposed rule on Racetrack Safety on December 6, 2021. The 
Office of the Secretary of the Commission determined that the proposal 
complied with the Commission's rule governing such submissions. This 
document publicizes the Authority's proposed rule text and explanation, 
and it seeks public comment on whether the Commission should approve or 
disapprove the proposed rule.

DATES: If approved, the HISA proposed rule would have an effective date 
of July 1, 2022. Comments must be received on or before January 19, 
2022.

ADDRESSES: Interested parties may file a comment online or on paper by 
following the instructions in the Comment Submissions part of the 
SUPPLEMENTARY INFORMATION section below. Write ``HISA Racetrack 
Safety'' on your comment and file your comment online at https://www.regulations.gov under docket number FTC-2021-0076. If you prefer to 
file your comment on paper, mail your comment to the following address: 
Federal Trade Commission, Office of the Secretary, 600 Pennsylvania 
Avenue NW, Suite CC-5610 (Annex B), Washington, DC 20580, or deliver 
your comment to the following address: Federal Trade Commission, Office 
of the Secretary, Constitution Center, 400 7th Street SW, 5th Floor, 
Suite 5610 (Annex B), Washington, DC 20024.

FOR FURTHER INFORMATION CONTACT: Austin King (202-326-3166), Associate 
General Counsel for Rulemaking, Office of the General Counsel, Federal 
Trade Commission, 600 Pennsylvania Avenue NW, Washington, DC 20580.

SUPPLEMENTARY INFORMATION:

Table of Contents

I. Self-Regulatory Organization's Statement of the Background, 
Purpose of, and Statutory Basis for, the Proposed Rule
    a. Background and Purpose
    b. Statutory Basis
II. Self-Regulatory Organization's Statement of the Terms of 
Substance of the Proposed Rule Establishing a Racetrack Safety 
Program
    a. Rule Series 2100--Racetrack Safety Accreditation Program
    1. Rule 2110 et seq.--Accreditation Process
    2. Rule 2120 et seq.--Accreditation Requirements
    i. Rule 2121--Racetrack Safety and Welfare Committee
    ii. Rule 2130 et seq.--Required Safety Personnel: Safety 
Director
    iii. Rule 2140 et seq.--Racehorse Inspections and Monitoring
    iv. Rule 2150 et seq.--Racetrack and Racing Surface Monitoring 
and Maintenance
    v. Rule 2160 et seq.--Emergency Preparedness
    vi. Rule 2170--Necropsies
    vii. Rule 2180 et seq.--Safety Training and Continuing Education
    viii. Rule 2190 et seq.--Jockey Health
    b. Rule Series 2200--Specific Rules and Requirements
    1. Rules 2220-2230--Attending Veterinarian and Treatment 
Restrictions
    2. Rule 2240 et seq.--Veterinarians' List
    3. Rule 2250 et seq.--Racehorse Treatment History and Records
    4. Rule 2260 et seq.--Claiming Races
    5. Rule 2270 et seq.--Prohibited and Restricted Practices
    i. Rule 2271--Prohibited Practices
    ii. Rule 2272--Shock Wave Therapy
    iii. Rules 2273-2275--Devices
    iv. Rule 2276--Horseshoes
    6. Rule 2280 et seq.--Use of Riding Crop
    7. Rule 2290 et seq.--Safety and Health of Jockeys
III. Self-Regulatory Organization's Summary of Comments
IV. Self-Regulatory Organization's Response to Comments and 
Discussion of Alternatives
V. Legal Authority
VI. Effective Date
VII. Request for Comments
VIII. Comment and Submissions
IX. Communications by Outside Parities to the Commissioners or Their 
Advisors
X. Self-Regulatory Organization's Proposed Rule Language

[[Page 436]]

Background

    The Horseracing Integrity and Safety Act of 2020 \1\ recognizes a 
self-regulatory nonprofit organization, the Horseracing Integrity and 
Safety Authority, which is charged with developing proposed rules on a 
variety of subjects. Those proposed rules and later proposed rule 
modifications take effect only if approved by the Federal Trade 
Commission.\2\ The proposed rules and rule modifications must be 
published in the Federal Register for public comment.\3\ Thereafter, 
the Commission has 60 days from the date of publication to approve or 
disapprove the proposed rule or rule modification.\4\
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    \1\ 15 U.S.C. 3051 through 3060.
    \2\ 15 U.S.C. 3053(b)(2).
    \3\ 15 U.S.C. 3053(b)(1).
    \4\ 15 U.S.C. 3053(c)(1).
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    The Authority submitted to the Commission a proposed rule on 
Racetrack Safety on December 6, 2021. The Office of the Secretary of 
the Commission determined that the proposal complied with the 
Commission's rule governing such submissions.\5\
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    \5\ 16 CFR 1.140-1.144; see also Fed. Trade Comm'n, Procedures 
for Submission of Rules Under the Horseracing Integrity and Safety 
Act, 86 FR 54819 (Oct. 5, 2021).
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    Pursuant to Section 3053(a) of the Horseracing Integrity and Safety 
Act of 2020 (the ``Act'') and Federal Trade Commission Rule 1.142, 
notice is hereby given that, on December 6, 2021, the Horseracing 
Integrity and Safety Authority (``HISA'' or the ``Authority'') filed 
with the Federal Trade Commission (the ``Commission'') the proposed 
Racetrack Safety rule and supporting documentation as described in 
Items I, II, III, IV, and X below, which Items have been prepared by 
HISA, as well as the Appendix. The Commission is publishing this notice 
to solicit comments on the proposed rule from interested persons.

I. Self-Regulatory Organization's Statement of the Background, Purpose 
of, and Statutory Basis for, the Proposed Rule

a. Background and Purpose

    The Horseracing Integrity and Safety Act of 2020 (``Act'') 
recognizes that a national uniform set of standards for racetrack 
safety will apply to a broad range of racetracks with widely varying 
environments in terms of economic structure, race dates, physical 
attributes, prevailing weather conditions, and other factors. As such, 
the Act directs the Horseracing Integrity and Safety Authority 
(``HISA'' or the ``Authority'') to develop and implement ``training and 
racing safety standards and protocols taking into account regional 
differences and the character of differing racing facilities.'' The 
proposed Racetrack Safety rule utilizes a practical approach to this 
implementation, recognizing that some practices are already in place or 
can be put in place immediately, while others will require adequate 
time and resources to implement.
    As directed in Section 3052(c)(2) of the Act, the Authority's 
Racetrack Safety Standing Committee (the ``Committee'') was constituted 
and undertook developing a comprehensive proposed rule setting forth a 
uniform set of training and racing safety standards and protocols. The 
Committee spent hundreds of hours in reviewing and analyzing existing 
standards and research, meeting and discussing key human and horse 
safety and welfare issues. The Racetrack Safety Standing Committee 
comprises four independent members and three industry members:
    Susan Stover from California is an industry director on the HISA 
Board of Directors and chairs the Racetrack Safety Standing Committee 
of the Authority. Dr. Stover is a professor of surgical and 
radiological science at the University of California, Davis and an 
expert in clinical equine surgery and lameness. Her research 
investigates the prevalence, distribution and morphology of equine 
stress fractures, risk factors and injury prevention, as well as the 
impact of equine injuries on human welfare.
    Lisa Fortier is an independent member from New York. Fortier is the 
James Law Professor of Surgery, Equine Park Faculty Director and 
associate chair for Graduate Education and Research at the Cornell 
University College of Veterinary Medicine. Her primary clinical and 
translational research interests are in equine orthopedic surgery, 
tendonitis, arthritis and regenerative medicine.
    Peter Hester is an independent member from Kentucky. Hester is an 
orthopedic surgeon specializing in sports medicine and previously 
worked for equine veterinary surgeon William Reed at Belmont Park.
    Paul Lunn is an independent member from North Carolina. Lunn is 
dean of the College of Veterinary Medicine at North Carolina State 
University. Previously, he was a professor and administrator at 
Colorado State University and the University of Wisconsin. Lunn's 
scholarly interests are in equine immunology and infectious disease.
    Carl Mattacola is an independent member from North Carolina. 
Mattacola is dean of the University of North Carolina, Greensboro 
School of Health and Human Sciences. Prior to this, he was associate 
dean of academic and faculty affairs for the College of Health Sciences 
at the University of Kentucky. Mattacola's research has focused on 
neuromuscular, postural and functional considerations in the treatment 
and rehabilitation of lower extremity injury.
    Glen Kozak is an industry member from New York. Kozak is senior 
vice president of operations and capital projects for the New York 
Racing Association's (NYRA) facility and track operations, which 
include Belmont Park, Saratoga Race Course, Aqueduct Racetrack and 
others. Prior to joining NYRA, Kozak worked for the Maryland Jockey 
Club as vice president of facilities and racing surfaces.
    John Velazquez is an industry member from New York. Velazquez is 
one of the most accomplished and respected jockeys in the history of 
horse racing, having won almost 6,250 races. He is North America's all-
time leading money-earning jockey and holds the record for most graded 
stakes wins. He is a board member of the Permanently Disabled Jockeys' 
Fund and co-chairman of the Jockeys' Guild. He was inducted into the 
National Museum of Racing and Hall of Fame in 2012.
    Beginning in September 2021, HISA representatives shared various 
working drafts with several interested stakeholders for input as the 
rule proposals were being developed. Those interested stakeholders 
included: Racing Officials Accreditation Program; Racing Medication and 
Testing Consortium (Scientific Advisory Committee); Water Hay Oats 
Alliance; National Thoroughbred Racing Association; The Jockey Club; 
The Jockeys' Guild; Thoroughbred Racing Association; Arapahoe Park; 
Grants Pass Downs; Arizona Downs; Colonial Downs; Association of Racing 
Commissioners International (Model Rules Committee); California Horse 
Racing Board; Kentucky Racing Commission; Delaware Racing Commission; 
Maryland Racing Commission; National Horsemen's Benevolent and 
Protective Association; Thoroughbred Horsemen's Association Mid-
Atlantic Safety Coalition; Thoroughbred Owner's and Breeders 
Association; Kentucky Thoroughbred Association; American Association of 
Equine Practitioners; American Veterinary Medical Association; North 
American Association of Racetrack Veterinarians; Thoroughbred Safety 
Coalition; New York Racing Association, Stronach Racing Group (5 
Thoroughbred racetracks); Churchill Downs (6 Thoroughbred racetracks); 
Breeders' Cup; Keeneland; and Del Mar.

[[Page 437]]

Additionally, videoconferences were conducted with all state racing 
commissions (except Arkansas), and a number of industry organizations.
    Likewise, prior to finalization of the submissions by HISA to the 
Commission, working drafts of proposed regulations were made available 
to the public for review and comment on the HISA website at https://www.hisausregs.org/. The website received 1,864 unique visitors, 3,097 
total visits, 162 registered users, 137 regulation downloads, and 360 
comments. All submitted comments were catalogued by HISA.
    With the review, input, and ultimate approval of the Authority's 
Board of Directors, the proposed Racetrack Safety rule would: (1) Put 
in place a mandatory national accreditation program for racetracks that 
utilizes the best practices developed to date for the safety and 
welfare of racehorses and human participants in horse racing and 
training; (2) set forth comprehensive record retention and data 
collection programs to aid HISA in further analysis, research and 
education on racetrack safety issues for purposes of continuous 
improvement based on the best empirical evidence available; and (3) 
establish specific restrictions, requirements and prohibited practices 
to address key health and safety issues in a uniform manner that can be 
implemented and enforced immediately in all racing jurisdictions and 
venues.

b. Statutory Basis

    The Horseracing Integrity and Safety Act of 2020, 15 U.S.C. 3051 
through 3060.

II. Self-Regulatory Organization's Statement of the Terms of Substance 
of the Proposed Rule

a. Rule Series 2100--Racetrack Safety Accreditation Program

    The proposed rule submitted by the Authority would establish a 
mandatory national accreditation program for all U.S. racetracks that 
conduct Covered Horseraces (as defined in the Act).
Existing Standards
    In developing the mandatory national accreditation program, HISA 
considered and relied heavily on the substantive provisions of the 
National Thoroughbred Racing Association Safety and Integrity Alliance 
Code of Standards (``NTRA Code of Standards''), as directed by the Act. 
The NTRA Safety and Integrity Alliance (``Alliance''), comprising the 
largest tracks and horsemen's groups in the U.S. and Canada, was 
developed to function as a certification/accreditation body for the 
purpose of recognizing and incentivizing compliance by all 
stakeholders. Since its inception, the Alliance has helped spearhead 
reforms in the areas of improved medication and testing policies, 
guidelines for injury reporting and prevention, safety research, 
providing a safer racing environment, and post-racing care for retired 
racehorses. The Alliance reports that through its initiatives there has 
been a 29.5% drop in the rate across all surfaces since 2009. The NTRA 
Code of Standards has been maintained and updated based on in-the-field 
findings, consultation with regulators and industry participants, and 
collaboration with other industry organizations focused on safety and 
integrity. A broad[hyphen]based Alliance Advisory Board as well as the 
NTRA Board of Directors approve updates to the Code of Standards. 
Twenty U.S. racetracks have been granted full Safety and Integrity 
accreditation under the NTRA program.
    In developing the national accreditation program set forth in the 
proposed rule, HISA relied, in part, on the 2021 NTRA Code of Standards 
(Exhibit 1). The NTRA Code of Standards incorporates many of the 
specific standards and protocols set forth in the Association of Racing 
Commissioners International's Model Rules of Racing (``ARCI Rules'') 
(Exhibit 2). The ARCI ``Model Rules'' of racing and wagering are 
recognized worldwide as a standard for the independent and impartial 
regulation of horse racing as well as the conduct of pari-mutuel 
wagering. Relying on the collective expertise of regulatory personnel 
in member jurisdictions in consultation with regulated entities, 
industry stakeholders, fans and individuals, ARCI committees consider 
ways to improve and enhance the regulation of racing. In some racing 
jurisdictions, the Model Rules have the force of law as they have been 
adopted by reference statutorily or through a regulatory rule making. 
In others they form the basis on which rules are written ensuring 
substantial uniformity in the regulation of the sport. HISA prepared a 
comparison of the substantive terms of the proposed rule with various 
safety standards and provisions of the NTRA Code of Standards and the 
specific ARCI Rules (Exhibit 3). In addition to these existing 
standards, HISA also considered and relied on the International 
Federation of Horseracing Authority's International Agreement on 
Breeding, Racing, and Wagering (Exhibit 4) and the British Horseracing 
Authority's Equine Health and Welfare Program (Exhibits 5-7).
1. Rule 2110 et seq.--Accreditation Process
    The Accreditation process allows the Authority to take into account 
the regional differences and the character of differing racetracks by 
providing various levels of accreditation and by allowing racetracks 
adequate time to comply with the accreditation requirements. At its 
core, the accreditation process creates a collaborative approach 
between the Authority and the Racetracks that recognizes all the 
requirements of accreditation cannot be fully implemented as of the 
Program Effective Date. A Racetrack that has already been accredited by 
the National Thoroughbred Racing Association is granted interim 
Racetrack Safety Accreditation. All other Racetracks are granted 
provisional Racetrack Safety Accreditation. The initial designations of 
interim and provisional Racetrack Safety Accreditation last at least 
until the Committee completes an accreditation assessment under the 
regulations. The accreditation assessment will evaluate whether a 
subject racetrack is in compliance with the accreditation requirements 
in the Rule 2100 Series. If the accreditation assessment concludes that 
the applicable Racetrack has not reached full compliance with the 
accreditation regulations, the Committee may grant provisional 
accreditation for one year and may extend such provisional 
accreditation if the subject racetrack is undertaking good faith 
efforts to comply with the accreditation requirements and achieve 
Accreditation.
2. Rule 2120 et seq.--Accreditation Requirements
i. Rule 2121--Racetrack Safety and Welfare Committee
    Accreditation requires injury assessment and risk management 
protocols be in place to investigate equine and human injuries, to 
identify contributing factors, to educate participants, and to identify 
risk prevention and risk management measures to reduce the incidence/
prevalence of injuries. These requirements are designed to enhance a 
culture of safety at the racetrack and thus improve safety for covered 
persons and covered horses. Injury incidence/prevalence will be reduced 
for the racetrack and racing commission. Racehorse attrition due to 
injury will be

[[Page 438]]

reduced, maintaining racehorse inventory.\6\
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    \6\ See also Exhibit 8; Exhibit 9 (pages 6-9); Exhibit 10.
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ii. Rule 2130 et seq.--Required Safety Personnel: Safety Director
    The proposed rule designates an individual that is responsible for 
overseeing risk assessment, risk management, and interacting with the 
Authority for Racetrack Safety Accreditation compliance. The proposed 
rule creates a position that establishes a reporting structure between 
the Authority and the State Racing Commissions who have entered into 
agreements with the Authority. This structure also enables coordination 
of risk assessment and risk management between the State Racing 
Commissions and the Authority, and thus standardizes risk assessment 
and risk management among the State Racing Commissions. Covered persons 
and covered horses will benefit from risk assessment, risk management, 
and development and implementation of strategies to mitigate future 
risk, thus creating a safer training and racing environment. Racetracks 
and racing commissions will benefit from fewer injuries, lower 
racehorse attrition, and enhanced social license to operate. The 
position of Safety Director is patterned after existing positions of 
``Equine Medical Director'' in several racing jurisdictions including 
California, Kentucky, Maryland, New York, Virginia, and West Virginia. 
The position has expanded oversight (in addition to equine safety) of 
racetrack safety and safety of personnel working with horses.
    Likewise, the proposed rule: (1) Designates that current stewards 
in jurisdictions having an agreement with the Authority will also 
enforce the Authority Regulations; (2) describes the duties and 
responsibilities of a Safety Officer who will oversee safety of the 
barn area, oversee safety protocols, and participate in the Safety and 
Welfare Committee; and (3) describes the duties and responsibilities of 
the Regulatory Veterinarian. The proposed rule is intended to ensure 
that specific individuals have designated responsibilities for creating 
a culture of safety by overseeing safety in the barn area, contributing 
to risk assessment and risk management, enforcing Authority 
regulations, and overseeing racehorse safety.\7\
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    \7\ See also Exhibit 9 (pages 2-3); Exhibit 2 (ARCI-006-015 
Stewards); Exhibit 8; Exhibit 2 (ARCI-006-070 Official 
Veterinarian); Exhibit 11.
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iii. Rule 2140 et seq.--Racehorse Inspections and Monitoring
Rules 2141-2142--Racehorse Veterinary Inspections and Assessments
    The rule requires that racehorses are screened and inspected by 
regulatory veterinarians at several times (opportunities) to detect 
horses that are unsound, injured or medically compromised. The purposes 
are to identify at-risk horses and prevent exacerbation of the 
condition by preventing racing while the horse is compromised, alert 
the trainer so an affected horse can be appropriately treated and 
rehabilitated, and detect abuse (e.g., injuries from improper crop 
use). The rule promotes regulatory veterinarian collaboration with 
trainers in the appropriate management of racehorses. The proposed rule 
deters abusive practices such as excessive use of the crop on the 
racehorse. The rule enhances racehorse welfare by preventing career-
ending and catastrophic injuries. The rule enhances jockey welfare 
because many jockey injuries are the result of racehorse falls from a 
catastrophic injury during a race. The rule enhances racetrack welfare 
by reducing racehorse attrition due to career-ending or catastrophic 
injuries. The rule enhances social perception of racing by preventing 
catastrophic injuries during racing.\8\
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    \8\ See also Exhibit 1; Exhibit 2.
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Rule 2143--Racehorse Monitoring
    The rule requires that racehorses entering a racetrack be inspected 
by a veterinarian and determined to be in good health and to have been 
vaccinated for transmissible and life-threatening diseases. The purpose 
is to ensure racehorses entering the racetrack are in good health and 
to prevent transmission of disease by unhealthy racehorses to other 
racehorses in the racetrack environment. Further, the rule requires 
that for racehorses leaving the racetrack, information about their 
intended destination and transporter are provided so that in the case 
of a disease outbreak contact tracing can occur for disease 
investigation and containment. The stated ``purpose'' for exiting a 
racetrack is required for knowledge useful for investigation of 
medication and training-related factors for racehorse injury and 
attrition. The rule prevents disease entry and transmission to a dense 
population of racehorses in racetrack environments and allows for 
disease investigation and containment in the event of a disease 
outbreak. The rule also enhances investigations into causes of 
racehorse injury and attrition by collection of data useful for 
epidemiological studies. Racehorses travel among racetracks due to the 
scheduling of race meets at different racetracks throughout a calendar 
year. Disease prevention and containment are critical to maintaining a 
healthy racehorse population. The rule optimizes racehorse welfare and 
prevents closure of racing and racetracks due to a disease outbreak in 
the racehorse population.\9\
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    \9\ See also Exhibit 12; Exhibit 13; Exhibit 14; Exhibit 17.
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iv. Rule 2150 et seq.--Racetrack and Racing Surface Monitoring and 
Maintenance
    The rule requires that racetracks are designed, configured, tested, 
maintained, and monitored to optimize the racing surface for safety of 
the racehorse and jockey. Racetracks must be constructed with 
components that optimize safety of racehorses and human participants. 
The rule stipulates design criteria for safest known products that are 
intended to prevent racehorse and jockey injury during training and 
racing events. The race surface and race surface material are known to 
influence risk for racehorse injury, and management of the race surface 
material is known to influence race surface properties. Because the 
safest design criteria for race surface materials and the effect of 
management procedures on surface material properties are largely 
unknown, there is a requirement for data collection to enable studies 
for association with racehorse injuries. The rule is intended to 
enhance racehorse welfare by preventing career-ending and catastrophic 
injuries due to poor race surfaces and preventing accidents due to poor 
racetrack design and racetrack component design (e.g., starting gate 
padding). The rule similarly enhances jockey welfare because many 
jockey injuries are the result of racehorse falls from a catastrophic 
injury during a race and reducing the severity of jockey accidents by 
safer racetrack construction (e.g., safety rails). The rule enhances 
racetrack welfare by reducing racehorse attrition due to career-ending 
or catastrophic injuries. The rule enhances the social perception of 
racing by the public by preventing catastrophic injuries during 
racing.\10\
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    \10\ See also Exhibit 1; Exhibit 2 (ARCI-007-020, Facilities and 
Equipment); Exhibit 18 (Surfaces); Exhibit 19 (Racing Surfaces 
Testing Laboratory website); Exhibit 15.

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v. Rule 2160 et seq.--Emergency Preparedness
    The rule includes accreditation requirements that racetracks 
adequately undertake various emergency preparedness steps with respect 
to catastrophic injuries, fire safety, hazardous weather, infectious 
disease outbreaks and emergency drills. These provisions require 
racetracks to train emergency response personnel in the types of 
injuries and situations specific to racetracks. These requirements are 
intended to ensure racetracks and Covered Persons are adequately 
prepared to address emergencies in an effective manner if and when they 
arise. In particular, the rule also specifically provides for a 
dedicated ambulance to respond to human injuries that occur in the 
course of training and racing.\11\
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    \11\ See also Exhibit 2 (ARCI-007-020, Facilities and 
Equipment); Exhibit 1 (pages 13-17, referring to ARCI standards 
above); Exhibit 16; Exhibit 15; Exhibit 17.
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vi. Rule 2170--Necropsies
    The rule requires that a necropsy (autopsy) be performed on all 
horses that die or are euthanized at covered racetracks and training 
centers. The rule also outlines the types of necropsies acceptable to 
the Authority and unifies necropsy examination protocols and reporting 
of resultant examinations. Necropsies identify factors that caused or 
contributed to the horse's death and provide an opportunity to survey 
racehorses for other injuries. The resulting information will be used 
to identify abnormalities and implement protective measures to mitigate 
future injuries. The collected data will be used for research, to make 
improvements where needed and reduce equine injuries. This information 
is critical for making associations of causation between racetrack 
conditions, race and training data and injury. Some racing commissions 
do not require necropsies or limit them to certain circumstances. Thus, 
factors that cause racehorses' deaths are not always documented. The 
regulatory veterinarian will have the responsibilities of establishing 
the SOP and uploading the resultant necropsy data into the Equine 
Injury Database.\12\
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    \12\ See also Exhibit 10 (Veterinary Practices 1846.5, 
Postmortem Examination. (a)-(h)); Exhibit 1 (ARCI Model Rules ARCI-
011-030 Physical Inspection of Horses, Assessment of Racing 
Condition, C. Postmortem Examinations(1)-(6)); Exhibit 20; Exhibit 
8; Exhibit 9; Exhibit 21.
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vii. Rule 2180 et seq.--Safety Training and Continuing Education
    The first part of the rule requires that participating State Racing 
Commissions use a uniform national trainer's test as part of the 
requirements for an individual to be a trainer. The purpose is to have 
a standardized test among all jurisdictions. The second part of the 
rule states that persons responsible for racehorse or racecourse 
management are required to have continuing education for the purpose of 
enhancing knowledge and conveying new knowledge to industry 
participants. Implementation of safety and welfare measures relies on 
the transfer of information known and generated through research to the 
industry participants that can implement change. Current continuing 
education opportunities are scarce, variable in quality, non-uniformly 
applied among jurisdictions, and address only some industry 
participants. The rule institutes uniform hourly requirements for 
existing offerings for a greater number of industry participants. 
Increasing the level of education of industry participants will help 
ensure that covered persons are familiar with best practices and 
regulatory requirements governing safety and integrity, promote a 
culture of safety at the racetrack, enhance safety and welfare of 
covered horses and covered persons, and increase welfare of the 
racehorse industry.\13\
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    \13\ See also Exhibit 1 (referencing ARCI Model Rules ARCI 008-
020(A)(4); ARCI 006-015(A), ARCI 006-015(A)); Exhibit 22.
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viii. Rule 2190 et seq.--Jockey Health
    The rule will require State Racing Commissions or Racetracks to 
conduct drug and alcohol testing for jockeys. The rule is intended to 
help ensure that jockeys are not impaired when riding in a race. Horse 
racing can be a dangerous sport and it is imperative that jockeys be 
mentally and physically fit while performing their duties. A jockey 
that is impaired is a danger to themselves, other jockeys, licensees, 
and horses.
    The rule also requires Racing Commissions or Racetracks to develop 
protocols for concussion management. A concussion is a type of 
traumatic brain injury that interferes with normal function of the 
brain. Continuing to ride is dangerous for the jockey and may cause 
additional damage/injury. In addition, the impairment creates a 
dangerous situation for other jockeys and horses.
    The rule provides an opportunity to assess a jockey for a possible 
concussion injury and if detected, reduce the chance of elevating the 
injury. It also protects other jockeys and horses that may be 
negatively affected by the injured jockey's impairment. Concussion 
assessment and requiring clearance for return to the sport from a 
medical provider are standard practices in most sports prone to 
concussion injuries. The rule will require that a jockey to be examined 
and ``cleared'' to return to ride by a qualified medical provider.\14\
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    \14\ See also Exhibit 23; Exhibit 24; Exhibit 25; Exhibit 26.
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b. Rule Series 2200--Specific Rules and Requirements

1. Rules 2220-2230--Attending Veterinarian and Treatment Restrictions
    These rules require that only veterinarians licensed by the State 
Racing Commission can examine, diagnose, and treat racehorses and that 
the veterinarian is working with the trainer (agent of owner) to 
appropriately examine, diagnose abnormalities and treat racehorses. The 
rules are intended to ensure medications and treatments administered to 
racehorses are given by only veterinarians that have the specific 
knowledge and expertise to make diagnoses and treat racehorses. 
Further, the rules require that there is a valid veterinarian-owner/
trainer relationship for treatment of racehorses. The rules optimize 
racehorse care by ensuring that racehorses are appropriately examined 
by veterinarians specifically knowledgeable about racehorse medicine 
and surgery, and racing regulations; and that veterinarians and 
trainers are working collaboratively for optimizing racehorse 
health.\15\
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    \15\ See also Exhibit 1 (pages 42-43, referencing ARCI-011-10); 
Exhibit 2 (ARCI Model Rules of Racing--ARCI-011-010 Veterinary 
Practices).
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2. Rule 2240 et seq.--Veterinarians' List
    The rule establishes a list of horses that have compromised health 
or unsoundness and prohibits these horses from racing. Further, the 
rule outlines the process by which the horses are determined to have 
recovered from their illness or unsoundness and may return to racing. 
Horses that participate in a race while medically or physically 
compromised are at risk for exacerbating the illness or physical 
injury, and in some cases having a career-ending or catastrophic 
injury, also risking severe injury to the jockey. The rule prevents 
affected horses from racing until the horses have recovered from their 
illness or injury. The rule is designed to protect horses from 
worsening an existing condition, and allow for recovery, 
rehabilitation, and return to racing in a healthy state. The rule is 
intended to protect jockeys from injuries associated with falls from 
horses due to the horse incurring a severe injury during a race and 
falling at high speed. Racetracks

[[Page 440]]

will benefit from the prevention of horse fatalities during races. 
Racetracks and Racing Commissions will benefit because the 
Veterinarians' List will be shared among all Racing Jurisdictions so 
that horses put on the list at one jurisdiction will be identifiable 
when the horse moves to another jurisdiction.\16\
---------------------------------------------------------------------------

    \16\ See also Exhibit 2 (ARCI-011-030 Physical Inspection of 
Horses, B. Veterinarians' List; Exhibit 9 (pages 20-21); Exhibit 1 
(Section E).
---------------------------------------------------------------------------

3. Rule 2250 et seq.--Racehorse Treatment History and Records
    The rule requires attending veterinarians and trainers to report 
all medications, treatments, surgical procedures, and off-racetrack 
exercise history for all covered horses to the Authority's database. 
The purpose is to discover high risk practices so that injuries and 
illnesses can be prevented in the future. Knowledge of medication, 
treatments, surgical procedures, and off-track exercise history data is 
necessary to correlate medication, treatments, surgical procedures, and 
off-track exercise history with risk for injury and illness, so that 
high risk practices can be discovered, and injuries and illnesses can 
be prevented in the future. Collection and correlation of the 
information with data on injuries and illnesses will enhance equine 
welfare by allowing the development of strategies for injury and 
illness prevention. Jockey welfare and safety will be enhanced by a 
decrease in the incidence of horse falls due to injury and associated 
jockey injuries. Industry welfare will be enhanced by lower racehorse 
attrition. The Authority will develop technology (e.g., tablet apps) to 
minimize the burden on covered persons.\17\
---------------------------------------------------------------------------

    \17\ See also Exhibit 1 (NTRA Safety & Integrity Alliance--Code 
of Standards 2021, Trainer Records and Reporting, page 21); Exhibit 
2 (ARCI-008-020 Trainers); Exhibit 9 (``Layoff Report''); Exhibit 10 
(Rule Nos. 1842, 1842.1, 1842.5).
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4. Rule 2260 et seq.--Claiming Races
    Claiming races are races in which horses entered in the race may be 
purchased for the claiming price by a new trainer/owner. The horse 
becomes the property of the new trainer/owner as soon as the horse 
leaves the starting gate in the race. The rule provides the exceptions 
that, if the horse dies, is euthanized, is vanned off (due to the 
inability of the horse to exit the racecourse), becomes unsound or 
medically compromised, bleeds from the nostrils (and presumably the 
lungs) after the race, or has a positive drug test, transfer of the 
horse does not occur. The rule protects the purchaser of the horse from 
acquiring an injured, compromised, or dead horse. The rule provides 
disincentives to a trainer/owner to enter a horse compromised from 
latent injury or ailment in a race with the intent for another trainer/
owner to take responsibility by claiming the horse in the race. The 
option for the claim not to be voided by the potential new trainer/
owner is useful in circumstances in which a compromised horse may be 
rehabilitated after the race, or where the new trainer/owner desires to 
acquire a horse for breeding purposes as opposed to continuing to train 
and race. The Waiver Claim Option also allows a horse trainer/owner 
that rehabilitated a horse and wishes to start the horse in a race to 
start the horse in a claiming race without the possibility of the horse 
being claimed by another trainer/owner. This allows a horse trainer/
owner to take time to rehabilitate a horse and allow them to then start 
the horse in a race without the possibility of losing the horse to 
another trainer/owner. The rule incentivizes trainers/owners to 
rehabilitate horses for long term health and an extended racing career.
    In the case of a successful claim (horse purchase) the rule effects 
transfer of medical records to the new trainer/owner. Knowledge of 
medical history provides information to the new trainer/owner so the 
horse may be managed appropriately, given its history, and obtain the 
best training and medical care for the horse's optimal health.
    The rule protects covered horses from being raced when they are not 
physically or medically fit to do so. The rule protects covered persons 
from purchasing a compromised horse. Racetracks, racing commissions, 
and the racing industry benefit because compromised horses in races are 
more likely to suffer a catastrophic injury; thus, some catastrophic or 
career-ending injuries are prevented.\18\
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    \18\ See also Exhibit 27; Exhibit 9 (pages 16-18).
---------------------------------------------------------------------------

5. Rule 2270 et seq.--Prohibited and Restricted Practices
i. Rule 2271--Prohibited Practices
    The rule regulates the use of practices that either: (1) Mask pain 
to allow horses to train and race with injuries or joint disease (e.g., 
neurectomy, shock wave therapy, electrical medical devices); (2) induce 
inflammation and pain with the intent to speed healing of injured 
structures (e.g., thermocautery); or (3) cause pain to stimulate a 
horse to run faster (e.g., electrical shock). Certain specific 
practices (such as shock wave therapy) are also addressed in specific 
rules in this section. The rule is intended to prevent abuse of 
racehorses by preventing the masking of pain that allows horses to 
train and race while injured, and by preventing the stimulation of pain 
to coerce racehorses to perform beyond their athletic potential. 
Inhumane and dangerous practices on racehorses will be prevented.\19\
---------------------------------------------------------------------------

    \19\ See also Exhibit 1 (Shock Wave Therapy, page 20); Exhibit 2 
(ARCI Model Rules of Racing ARCI-011-015(4) (shock wave therapy), 
ARCI-006-020, ARCI-010-030, ARCI-024-025 (heel nerving), ARCI-011-
015 (prohibited practices)).
---------------------------------------------------------------------------

ii. Rule 2272--Shock Wave Therapy
    The rule regulates the use and monitoring of a treatment (shock 
wave therapy) used on bone, tendon, and ligament injuries. Shock wave 
therapy can also provide pain relief that allows affected horses to 
continue to train and race on a mild injury. Continued training and 
racing on a mild injury could precipitate a career-ending or 
catastrophic injury. The rule addresses the problem by closely 
monitoring treatments and requiring treated horses to refrain from 
training at high speed or racing until an appropriate time for 
rehabilitation of the injury that was treated. The rule enhances safety 
of covered horses by reducing the incidence of career-ending and 
catastrophic injuries. Because jockey injuries are associated with 
horse falls due to catastrophic injuries during high-speed training and 
racing, the rule also enhances jockey safety and welfare.\20\
---------------------------------------------------------------------------

    \20\ See also Exhibit 1 (page 20); Exhibit 2 (ARCI-011-015 
Prohibited Practices).
---------------------------------------------------------------------------

iii. Rules 2273-2275--Devices
    The rules prohibit the use of any device meant to alter the speed 
or performance of a horse. The rules are in place in all U.S. racing 
jurisdictions. The penalty for noncompliance is not standard across 
jurisdictions and varies from a 10-year loss of racing license to 
suspensions and fines. The rules are intended to standardize the 
language nationally and standardize sanctions. Stewards will have 
national standardized language and sanctions when adjudicating cases 
and issuing sanctions. Covered Persons will know the industry considers 
use of performance-affecting devices a serious issue.\21\
---------------------------------------------------------------------------

    \21\ See also Exhibit 2 (ARCI-010-035 Running of the Race 
E(7)(c)--Use of Riding Crop); Exhibit 4.
---------------------------------------------------------------------------

iv. Rule 2276--Horseshoes
    The rule limits the height of rims used as traction devices on 
forelimb and hindlimb horseshoes. The rule prohibits use of any other 
traction devices. Traction devices have been thought to

[[Page 441]]

increase a horse's ability to ``dig in'' to the track surface and 
prevent slipping. Traction devices reduce the horse's ability to plant 
its hoof properly and move correctly through the surface. That 
reduction of movement contributes to catastrophic breakdowns and 
skeletal and muscle-related injuries. The rule follows the scientific 
evidence that shows that traction devices increase equine injuries. The 
rule is intended to increase the safety of covered riders and covered 
horses by reducing the number of accidents resulting from injuries 
associated with the use of traction devices. Lower racehorse attrition 
will enhance racetrack welfare by having greater racehorse inventory to 
fill races, larger race fields, and consequently greater parimutuel 
betting. The rule will standardize traction device use nationwide.\22\
---------------------------------------------------------------------------

    \22\ See also Exhibit 28 (In a study of 201 Thoroughbred 
racehorses that died during racing or training at California 
racetracks, toe grabs were identified as possible risk factors for 
fatal musculoskeletal injury, fetlock suspensory apparatus failure, 
and fetlock condylar fracture. The odds of fatal musculoskeletal 
injury, fetlock suspensory apparatus failure, and fetlock condylar 
fracture were 1.8, 6.5, and 7.0, respectively, times greater for 
horses shod with low toe grabs than for horses shod without toe 
grabs on front shoes. Horses shod with regular toe grabs on front 
shoes had odds 3.5, 15.6, and 17.1 times greater (P <0.05) for fatal 
musculoskeletal injury, fetlock suspensory apparatus failure, and 
fetlock condylar fracture, respectively, compared with horses shod 
without toe grabs. The odds of horses shod with rim shoes were a 
third (P <0.05) of those shod without rim shoes for either fatal 
musculoskeletal injury or fetlock suspensory apparatus failure.); 
Exhibit 29; Exhibit 30 (The results supported the hypothesis that 
using studs will decrease foot slip distance in horses cantering on 
a grass surface.); Exhibit 31 (A marginal association (p=0.08) was 
detected between moderate ligamentous suspensory apparatus injury 
and height of toe grab. Toe grab height may remain a risk factor for 
suspensory apparatus failure and condylar fracture because moderate 
ligamentous suspensory apparatus injury is a risk factor for 
suspensory apparatus failure and condylar fracture.); Exhibit 32 
(Horses that wore low, regular, or Quarter Horse height toe grabs 
the week of injury had higher odds of having a mild suspensory 
apparatus injury, compared with horses that did not wear toe grabs 
that week (p=0.16).); Exhibit 33 (Odds of injury in racehorses with 
toe grabs on front shoes were 1.5 times the odds of injury in horses 
without toe grabs, but this association was not statistically 
significant (95% confidence interval, 0.5-4.1).); Exhibit 34 
(Although toe grab height was not a significant risk factor in the 
multivariable or univariable models in the present study, a prior 
related study, and a Florida study, found the direction of the 
relationship between toe grab height and injury in both studies was 
consistent with higher risk with higher toe grabs. Furthermore, toe 
grab height is associated with the development of mild suspensory 
apparatus injury, which is a risk factor for suspensory apparatus 
failure. The use of high toe grabs has decreased in recent years, 
and variability in toe grab height is associated with 10% to 16% of 
the variability in exercise variables, perhaps making it more 
difficult to detect a significant toe grab effect in univariable and 
multivariable analyses, respectively. It is possible that a toe grab 
effect is also confounded by other factors; but, in the absence of 
other known relationships, avoidance of use of high (>=4 mm) toe 
grabs is still recommended for injury prevention.); Exhibit 35; 
Exhibit 4 (Article 7, Racing (Shoeing of Racehorses)); Exhibit 2 
(ARCI-010-030 (30)); Exhibit 10 (California Rule 1690.1).
---------------------------------------------------------------------------

6. Rule 2280 et seq.--Use of Riding Crop
    Allowing use of the crop is critical for the safety of horses and 
riders. The rule limits the number of times the crop can be used for 
encouragement. The rule unifies crop design and use of the crop across 
all jurisdictions. The rule unifies penalties for crop abuse or use of 
prohibited devices across jurisdictions. There has been heated debate 
about use of the riding crop, especially for encouragement. Some 
believe the new crops do not hurt the horse at all, while others remain 
concerned about the public perception of using a crop for 
encouragement. The rule allows riding crop use for safety of the horse 
and jockey. It also limits the number of times the crop can be used for 
encouragement during a race. This compromise of use of the crop for 
safety, and limited use for encouragement that will be unified across 
racing jurisdictions, is in the best interest of the horses, horsemen, 
the owners, the jockeys, the betting public, racing commissions, and 
the general public. The rule is intended to protect horses from 
excessive use of the crop. Jockeys will have a clear understanding of 
crop use rules and will be able to adapt their usage due to uniformity 
of the rules.\23\
---------------------------------------------------------------------------

    \23\ See also Exhibit 10 (Crop Rule); Exhibit 36; Exhibit 37; 
Exhibit 38; Exhibit 39; Exhibit 40; Exhibit 41; Exhibit 42; Exhibit 
43; Exhibit 44; Exhibit 45; Exhibit 46; Exhibit 47; Exhibit 48; 
Exhibit 49; Exhibit 50; Exhibit 51; Exhibit 52; Exhibit 53; Exhibit 
54; Exhibit 10; Exhibit 55; Exhibit 56; Exhibit 35; Exhibit 57; 
Exhibit 58.
---------------------------------------------------------------------------

7. Rule 2290 et seq.--Safety and Health of Jockeys
    The rule requires that a jockey have a physical examination 
including baseline concussion testing in order to be eligible to ride 
in races. Further, the rule states that starting gate personnel and any 
person mounted on a horse must wear a protective helmet and vest. When 
mounted on a horse, jockeys must have medical information pertinent to 
emergency care on their vest. The rule ensures that jockeys are 
physically fit and capable of riding without endangering other 
participants during a race. The rule ensures that jockeys and starting 
gate personnel wear safety vests and helmets to minimize injury in case 
of an accident. In the case of a jockey injury, medical information 
pertinent to emergency care will be readily available to medical 
providers. In the case of a jockey injury, baseline concussion data is 
available for comparison to the injury-related concussion assessment. 
Stewards and the Clerk of Scales are responsible for monitoring and 
reporting non-compliance.\24\
---------------------------------------------------------------------------

    \24\ See also Exhibit 1 (pages 22-24); Exhibit 2 (ARCI-007-020 
Facilities and Equipment); Exhibit 2 (ARCI-008-030 Jockeys).
---------------------------------------------------------------------------

III. Self-Regulatory Organization's Summary of Comments

    As encouraged by the Commission's rule, beginning in September 
2021, HISA representatives shared various working drafts with several 
interested stakeholders for input as the rule proposals were being 
developed. Those interested stakeholders included: Racing Officials 
Accreditation Program (``ROAP''); Racing Medication and Testing 
Consortium (Scientific Advisory Committee) (``RMTC''); Water Hay Oats 
Alliance (``WHOA''); National Thoroughbred Racing Association 
(``NTRA''); The Jockey Club; The Jockeys' Guild; Thoroughbred Racing 
Association (``TRA''); Arapahoe Park; Grants Pass Downs; Arizona Downs; 
Colonial Downs; Association of Racing Commissioners International 
(Model Committee) (``ARCI''); California Horse Racing Board; Kentucky 
Racing Commission; Delaware Racing Commission; Maryland Racing 
Commission; National Horsemen's Benevolent and Protective Association; 
Thoroughbred Horsemen's Association Mid-Atlantic Safety Coalition; 
Thoroughbred Owners and Breeders Association; Kentucky Thoroughbred 
Association; American Association of Equine Practitioners; American 
Veterinary Medical Association; North American Association of Racetrack 
Veterinarians; Thoroughbred Safety Coalition; New York Racing 
Association, Stronach Racing Group (5 Thoroughbred racetracks); 
Churchill Downs (6 Thoroughbred racetracks); Breeders' Cup; Keeneland; 
and Del Mar. Additionally, videoconferences were conducted with all 
State racing commissions (except Arkansas), and a number of industry 
organizations.
    Likewise, prior to finalization of the submissions by HISA to the 
Commission, working drafts of proposed regulations were made available 
to the public for review and comment on the HISA website https://www.hisausregs.org/. The website received 1,864 unique visitors, 3,097 
total visits, 162 registered users, 137 regulation downloads, and 360 
comments. All submitted comments were catalogued by HISA and were 
submitted to the Commission herewith.
    The primary areas of the Racetrack Safety Rule that received 
comments were with regard to Safety and

[[Page 442]]

Continuing Education (2182); Claiming Races (2260-2262); Veterinarians' 
List (2142, 2220-2242); Safety and Welfare Committee and Safety 
Director (2121-2131); Stewards and Safety Officer (2133-2136); 
Racehorse Treatment History (2250-2253); Prohibited Practices (2271); 
Medical Director (2132); Racetrack Surfaces, Monitoring and Maintenance 
(2150-2154); Necropsies (2170); Riding Crops (2280-2281); and Racehorse 
Treatment History and Records (2250-2253).
    The Committee engaged in a continuous review and consideration 
process as comments were submitted, analyzed, and discussed both 
internally and with the various stakeholders. Many of the proposed 
rules received substantial and wide-ranging support, and thus there 
were few comments suggesting changes. In several instances, significant 
changes were made in the ongoing rule development and revision process 
in direct response to comments received. In some instances, the 
Committee considered comments but elected to maintain the original 
proposed provisions based on statutory requirements and limitations 
and/or substantive analysis based on the expertise of the Committee and 
the supporting documentation it reviewed and considered.

IV. Self-Regulatory Organization's Responses to Comments and Discussion 
of Alternatives

    The following is a description of the primary subjects that 
received comments and the manner in which the Authority addressed those 
comments in developing the proposed rule submitted to the Commission, 
as well as the reasonable alternatives the Authority considered 
alongside the option ultimately proposed.

Safety and Continuing Education (Rule 2182)

    Comments were received from RMTC, ROAP, WHOA, NTRA, and TRA among 
other individuals. Comments were highly supportive of requiring 
continuing education, and several comments asked for increased hourly 
requirements (e.g., Assistant Trainers should have the same 
requirements as Trainers: 4 hours). Hourly requirements were increased, 
more categories of covered persons were added to the list of 
individuals required to have annual continuing education. Requirements 
were modified to facilitate compliance for existing resources (e.g., 
Racing Officials have an 8-hour requirements every 2 years instead of 
annual requirements of 4 hours because the 8-hour requirements are 
achievable using the ROAP meeting as a resource). Other comments 
expressed the need to have a centralized resource with quality-
controlled content. The Racing Safety Committee concurs, and after the 
initial Racing Safety rule rollout, plans to engage in development and 
implementation of a strategic plan that incorporates a centralized 
resource, funding and development of education resources, and 
compliance monitoring after the initial Racing Safety rule rollout. The 
plan will likely build on the ad hoc evolving HorsemenU industry 
website. Concerns were also raised about funding, which will also be 
considered next.

Claiming Races (Rule 2260)

    The Transfer of Claimed Horse Records had support from several 
individual regulatory veterinarians whose perspective was to optimize 
the welfare of horse by providing historical treatments to the new 
owner of the horse. The Void Claim rule had few comments (and thus wide 
acceptance). This rule is generally perceived to incentivize trainers 
to rehabilitate poorly performing horses instead of racing those horses 
which are at high risk for catastrophic injury. The rule is thought to 
contribute to the dramatic drop of catastrophic injuries in those 
racing jurisdictions that implemented a similar rule. Specific comments 
were related to including a positive medication violation as an 
additional reason for voiding the claim. The positive medication 
violation was added to the items that would void a claim. The Waiver 
Claiming Option, drawn from the void claim rule in existing 
jurisdictions, is generally accepted and had few comments. This option 
allows an individual to retain a claimed horse that otherwise meets 
some of the requirements for a voided claim. The rule allows an 
individual to retain the horse, usually for non-racing (breeding) 
purposes. The RMTC, TRA, and individuals collectively commented and 
provided evidence that the purse to claim price ratio was unrealistic 
in consideration of the current structuring of purse monies for 
claiming races. The rule would penalize trainers/owners by dramatically 
lowering return for racing. The purse to claim price ratio text was 
removed from the regulations.

Assessment of Racing Condition and Veterinarians' List (Rules 2142, 
2220-2242)

    Assessment of Racing Condition by veterinary inspections/
observations and placement of horses deemed ineligible to race due to 
unsoundness or medical conditions on the Veterinarians' List are common 
practices in many jurisdictions and had generally positive support. The 
numerous comments ranging from individuals to RMTC, CDI, WHOA, KHRC, 
NYRA, TRA, Mid-Atlantic Group, Oklahoma, and CNL related to specific 
items in the rules. In general, the first version of the rule was 
deemed too lax, and the second version of the rule was deemed too 
specific and not feasible for breeds other than Thoroughbreds (should 
the other breeds opt to participate under HISA). Further, there is 
general concern that there are not enough equine regulatory 
veterinarians for employment to support the rule. The submitted rule 
contained increased rigor by increasing the times of inspection by a 
veterinarian, with lesser regulation of the requirements for each 
inspection. The Authority intends to augment the requirements by 
distributing a ``Best Practices'' guidance document. Different 
jurisdictions had different standdown times for reasons to be put on 
the veterinarians' list--and commented accordingly. The rule, however, 
standardized standdown times and the requirements for removal from the 
veterinarians' list and incorporated a mandatory inspection of the 
horses by the attending veterinarian and trainer to ensure that a 
veterinarian attested to soundness and good health while facilitating 
consult and education of the trainer.

Safety Director and Safety and Welfare Committee (Rules 2121-2131)

    The Safety Director and Safety and Welfare Committee are a new 
position and new structure for most racing jurisdictions. Some racing 
jurisdictions (e.g., California, Mid-Atlantic Group, New York) have an 
Equine Medical Director which has similar responsibilities as, but 
fewer than, the Safety Director. The Safety Director and Safety and 
Welfare Committee are established specifically for Risk Assessment and 
Risk Management. Comments were received from broad constituencies 
including the Minnesota Racing Commission, RMTC, Maryland, WHOA, and 
Colonial Downs. Comments to the first version of the draft rules were 
largely related to the perception that jurisdictions would be required 
to hire additional individuals to fill these roles. Later versions of 
the rules clarified that existing individuals (e.g., Equine Medical 
Director) could fill these roles and perform the responsibilities. 
Further, later revisions clarified that jurisdictions could share 
individuals to fill the roles and responsibilities. Comments also 
pointed out that some stakeholders did not have representation on the 
Safety and

[[Page 443]]

Welfare Committee. Additional committee members were included on the 
Safety and Welfare Committee (e.g., track superintendent) to include 
broad representation of all stakeholders.

Stewards and Safety Officer (Rules 2133, 2136)

    The Stewards and Safety Officer sections went through considerable 
revisions in response to comments from ROAP, TRA, KHRC, Maryland, RMTC, 
CNL, NTRA, and CDI. The Racing Safety Committee recognized that the 
Stewards are largely employed by the racetracks and eliminated 
regulatory oversight except to only ensure that the Stewards were also 
responsible for enforcing the Racing Safety regulations (subject to the 
applicable State Racing Commission electing to enter into an agreement 
with the Authority). Similarly, the Stewards' List section was deleted 
largely due to comments from the RMTC, ROAP, and TRA. The Safety 
Officer, generally a steward, is currently a position at only some 
racetracks, but is deemed an important position by the Racing Safety 
Committee; with oversight of general safety procedures including in the 
barn stable area. The requirement for a Safety Officer was left in the 
regulations. There was profound disagreement that a Safety Officer only 
be required at racetracks that held Graded Stakes races. The intent of 
the Racing Safety Committee was to reduce the burden of having an 
additional individual on smaller racetracks, but the perception was 
that only expensive horses mattered. Therefore, the requirement for a 
Safety Officer was made standard for all racetracks.

Racehorse Treatment History (Rules 2250-2253)

    Racehorse treatment history obtained from attending veterinarians 
and trainers (Responsible Persons) is deemed important by the Racing 
Safety Committee because of the scientific reports that indicate that 
intra-articular corticosteroids,\25\ non-steroidal anti-inflammatory 
drugs,\26\ exercise history,\27\ and return from lay-up (i.e., rest 
from racing and training) \28\ increase the risk for career-ending or 
catastrophic musculoskeletal injury. This information will be stored in 
the Authority's database and used for research into associations with 
lay-up, and career-ending and catastrophic injuries. The Oklahoma Horse 
Racing Commission has numerous questions regarding the process and 
outcomes without suggestions. Comments from the Minnesota Racing 
Commission and ARCI indicated support for the centralization of data, 
suggested more rigorous reporting requirements (to those in the initial 
draft regulations), and the usefulness of the data for identifying 
horses needing additional scrutiny because of possible increased risk 
for injury. However, there was concern for the cumbersome process and 
burden on persons required to submit data. The Racing Safety Committee 
intends to work with the Authority's Technology section to facilitate 
ease of reporting and provide information back to data providers that 
will help them locally and incentivize data reporting.
---------------------------------------------------------------------------

    \25\ Whitton, et al. Musculoskeletal injury rates in 
Thoroughbred racehorses following local corticosteroid injection The 
Vet J 2014;200:71-76.
    \26\ Dirikolu, et al. Nonsteroidal anti-inflammatory agents and 
musculoskeletal injuries in Thoroughbred racehorses in Kentucky. J 
Vet Pharmacol. Therap. 2008;32:271-279.
    \27\ Anthenill, et al. Risk factors for proximal sesamoid bone 
fractures associated with exercise history and horseshoe 
characteristics in Thoroughbred racehorses. Am J Vet Res 
2007;68:760-771.
    \28\ Carrier, et al. Association between long periods without 
high-speed workouts and risk of complete humeral or pelvic fracture 
in Thoroughbred racehorses: 54 cases (1991-1994). J Am Vet Med Assoc 
1998;212:1582-1587.
---------------------------------------------------------------------------

Prohibited Practices (Rule 2271)

    Several practices are prohibited because they may alleviate pain, 
mask signs of injury, or cause inflammation. These practices include 
shockwave therapy, neurectomy, thermocautery, and electrical medical 
therapeutic devices. RMTC, Minnesota Racing Commission, Maryland, KHRC, 
and Oklahoma Horse Racing Commission commented on the rule. Comments 
were largely related to two items: (1) Differences in regulating use of 
shockwave machines and stand down times for shockwave and (2) palmar 
digital neurectomy. The regulation of use of shockwave machines and 
stand down times were standardized in the rules. At least several 
racing jurisdictions currently (and historically) allow palmar digital 
neurectomy as permissible, stating that horses with palmar digital 
neurectomy can race safely without increased risk for injury. The 
Racing Safety Committee decided to disallow all neurectomies (including 
palmar digital neurectomy) on the principle that a procedure that 
alleviates pain without resolution of the underlying cause should not 
be permissible.

Medical Director (Rule 2132)

    The Medical Director is included in the regulations to oversee the 
care and organization of medical needs for jockeys. The position was in 
the first draft of the regulations, removed because the Racing Safety 
Committee felt it needed more work, and then after further 
consideration and work, re-inserted the position of Medical Director to 
the last draft of the regulations. Consequently, while there are few 
written comments, the Racing Safety Committee has received verbal 
comments from stakeholders at the Global Symposium of Racing at the 
University of Arizona, conducted on December 6 and 7, 2020. Racing 
jurisdictions perceived that they would be required to hire a full-time 
physician, which is not the intent of the rule. Further, some racing 
jurisdictions thought they had adequate procedures in place and that 
the rule was not necessary. The Racing Safety Committee (with 3 members 
(athletic trainer, jockey, and physician) of a 7-member committee 
nominated by a separate Nominating Committee) thought it is important 
to ensure there is a standard minimum of care for jockey and exercise 
rider health and safety, and that national coordination of efforts 
would benefit the industry. Further, the Racing Safety Committee 
requires all racetracks to implement a concussion baseline assessment 
and evaluation protocol for determining fitness to ride, particularly 
after a fall or injury. A compromised jockey risks danger to not only 
him/herself but to other riders and horses in races.

Racetrack Surfaces (Rules 2150-2154)

    The original draft of the Safety Regulations required that 
racetracks engaged in racetrack renovation consider the installation of 
a synthetic racing surface on the track. This requirement was based on 
data indicating that catastrophic injury rates for horses are reduced 
on synthetic surfaces. Several racetracks registered concerns about 
this provision, citing the cost of installing and maintaining synthetic 
surfaces, the training required for racetrack personnel in maintaining 
the surfaces, and the need for consideration of local climate 
conditions and product availability. The committee concluded that the 
proper course is to conduct further research and data on racetrack 
surfaces to guide the development of future regulations. Therefore, the 
rule as previously developed was removed from the final draft.

Necropsies (Rule 2170)

    Necropsy is a critical tool in determining the cause of equine 
fatalities. The necropsy provisions in the rules are modeled on AAEP

[[Page 444]]

guidelines, comments received that highlighted the practical issues 
faced by racing commissions and racetracks located in areas of the 
country that do not have laboratory facilities close by, or that are 
not open seven days per week. In the final draft, the regulations were 
revised to permit field necropsies when suitable facilities and 
resources are not available.

Racing Surface Monitoring and Maintenance (Rule 2154)

    Racetrack surface monitoring via data collection is critical in 
identifying factors that contribute to equine injuries. The regulations 
regarding racetrack surface monitoring and maintenance were 
significantly influenced by constituent input. Regional differences, 
number of race days and available staffing differ greatly between 
racetracks. The Committee considered the input and fine-tuned the 
requirements to allow for those differences. Comments from racetracks 
indicated that the collection of data may be burdensome. The Committee 
therefore reduced the data collection requirements. For example, the 
original draft required collection of moisture content and cushion 
depth at four locations at every \1/8\ pole; the revision reduced data 
collection to two locations at every \1/4\ pole. This section of the 
rules was also reworked to reduce the specific information to those 
items most impactful and common to racetracks. The Committee also plans 
to develop electronic applications that will speed and facilitate the 
process for the racetracks taking the measurements and increased the 
number of formats acceptable for submission of the required 
information. The Committee will produce ``Standard Protocol'' documents 
to provide guidance for complying with the rule.

Riding Crops (Rules 2280-2281)

    The comments received concerning use of riding crops were numerous 
and ranged from urging that the use of crops be prohibited altogether 
except for safety and accident avoidance to urging full discretionary 
use of the crop by the jockey. Numerous regulations of differing 
character are presently in effect among racing jurisdictions across the 
country. After much consideration, the Committee settled on a rule that 
represents a reasonable accommodation of the various comments and 
concerns expressed. The rule allows unlimited use of the crop for 
safety of the jockeys and horses in the race, but limited use for 
encouragement to 6 uses of the crop on the horse. In addition, there 
were multiple concerns that the penalties for violation of the crop 
rule were not severe enough to deter violations. Further, comments were 
received urging the Committee to also incorporate owner and trainer 
accountability to relieve the jockey from pressure to make excessive 
use of the crop during a race. Therefore, loss of purse was 
incorporated in severe violations. Other comments referred to 
communication with the public when a jockey will ride without a crop in 
a race. The Committee adopted the recommendation that in addition to 
announcement at race time that the public would be notified further in 
advance by posting the information in the official racing program.

Hazardous Weather (Rule 2164)

    The initial drafts contained very detailed requirements and 
protocols concerning fire safety, hazardous weather, and related 
provisions. Comments from the racetracks indicated many of these areas 
are already regulated in detail under local and state law. In response, 
the Committee removed some requirements in favor of requiring 
racetracks to document and report compliance with the applicable state 
and local requirements.

Horseshoes (Rule 2276)

    Initial draft allowed some usage of toe grabs but, based on 
significant industry input and considered research and available 
industry information, ultimately concluded it was prudent and 
appropriate to totally preclude toe grabs on forelimbs and hind limbs.

Comments That Were Inapplicable

    There were some comments that fell outside the jurisdiction of 
HISA, such as the following, so were not addressed in the proposed 
regulations. For example, one comment asked about the status of 
regulating two-year-old breeze up sales. The Act gives HISA authority 
over Covered Horses. Horses do not become Covered Horses until they 
have completed their first official work as defined by the Act, thus 
two-year-old horses offered in sales do not fall under the jurisdiction 
of HISA.

V. Legal Authority

    This rule is proposed by the Authority for approval or disapproval 
by the Commission under 15 U.S.C. 3053(c)(1).

VI. Effective Date

    If approved by the Commission, this proposed rule will take effect 
July 1, 2022.

VII. Request for Comments

    Members of the public are invited to comment on the Authority's 
proposed rule. The Commission requests that factual data on which the 
comments are based be submitted with the comments. The exhibits 
referred to in the Authority's filing, as well as the written comments 
it received before submitting the proposed rule to the Commission, are 
available for public inspection at www.regulations.gov under docket 
number FTC-2021-0076.
    The Commission seeks comments that address the decisional criteria 
provided by the Act. The Act gives the Commission two criteria against 
which to measure proposed rules and rule modifications: ``The 
Commission shall approve a proposed rule or modification if the 
Commission finds that the proposed rule or modification is consistent 
with--(A) this chapter; and (B) applicable rules approved by the 
Commission.'' \29\ In other words, the Commission will evaluate the 
proposed racetrack safety rule for its consistency with the specific 
requirements, factors, standards, or considerations in the text of the 
Act as well as the Commission's procedural rule.
---------------------------------------------------------------------------

    \29\ 15 U.S.C. 3053(c)(2).
---------------------------------------------------------------------------

    Although the Commission must approve the proposed rule if the 
Commission finds that the proposed rule is consistent with the Act and 
the Commission's procedural rule, the Commission may consider broader 
questions about the health and safety of horses or the integrity of 
horseraces and wagering on horseraces in another context: ``The 
Commission may adopt an interim final rule, to take effect immediately, 
. . . if the Commission finds that such a rule is necessary to 
protect--(1) the health and safety of covered horses; or (2) the 
integrity of covered horseraces and wagering on those horseraces.'' 
\30\ The Commission may exercise its power to issue an interim final 
rule on its own initiative or in response to a petition from a member 
from the public. If members of the public wish to provide comments to 
the Commission that bear on protecting the health and safety of horses 
or the integrity of horseraces and wagering on horseraces but do not 
discuss whether HISA's proposed rule on racetrack safety is consistent 
with the Act or the applicable rules, they should not submit a comment 
here. Instead, they are encouraged to submit a petition requesting that 
the Commission issue an interim final rule addressing the subject of 
interest. The petition must meet all the criteria established in the 
Rules of

[[Page 445]]

Practice (Part 1, Subpart D) \31\; if it does, the petition will be 
published in the Federal Register for public comment. In particular, 
the petition for an interim final rule must ``identify the problem the 
requested action is intended to address and explain why the requested 
action is necessary to address the problem.'' \32\ As relevant here, 
the petition should provide sufficient information for the public to 
comment on, and for the Commission to find, that the requested interim 
final rule is ``necessary to protect--(1) the health and safety of 
covered horses; or (2) the integrity of covered horseraces and wagering 
on those horseraces.'' \33\
---------------------------------------------------------------------------

    \30\ 15 U.S.C. 3053(e).
    \31\ 16 CFR 1.31; see Fed. Trade Comm'n, Procedures for 
Responding to Petitions for Rulemaking, 86 FR 59851 (Oct. 29, 2021).
    \32\ 16 CFR 1.31(b)(3).
    \33\ 15 U.S.C. 3053(e).
---------------------------------------------------------------------------

VIII. Comment Submissions

    You can file a comment online or on paper. For the Commission to 
consider your comment, we must receive it on or before January 19, 
2022. Write ``HISA Racetrack Safety'' on your comment. Your comment--
including your name and your State--will be placed on the public record 
of this proceeding, including, to the extent practicable, on the 
website https://www.regulations.gov.
    Because of the public health emergency in response to the COVID-19 
outbreak and the Commission's heightened security screening, postal 
mail addressed to the Commission will be subject to delay. We strongly 
encourage you to submit your comments online through the https://www.regulations.gov website. To ensure that the Commission considers 
your online comment, please follow the instructions on the web-based 
form.
    If you file your comment on paper, write ``HISA Racetrack Safety'' 
on your comment and on the envelope, and mail your comment to the 
following address: Federal Trade Commission, Office of the Secretary, 
600 Pennsylvania Avenue NW, Suite CC-5610 (Annex B), Washington, DC 
20580, or deliver your comment to the following address: Federal Trade 
Commission, Office of the Secretary, Constitution Center, 400 7th 
Street SW, 5th Floor, Suite 5610 (Annex B), Washington, DC 20024. If 
possible, please submit your paper comment to the Commission by courier 
or overnight service.
    Because your comment will be placed on the public record, you are 
solely responsible for making sure that your comment does not include 
any sensitive or confidential information. In particular, your comment 
should not contain sensitive personal information, such as your or 
anyone else's Social Security number; date of birth; driver's license 
number or other State identification number or foreign country 
equivalent; passport number; financial account number; or credit or 
debit card number. You are also solely responsible for making sure your 
comment does not include any sensitive health information, such as 
medical records or other individually identifiable health information. 
In addition, your comment should not include any ``[t]rade secret or 
any commercial or financial information which . . . is privileged or 
confidential''--as provided in Section 6(f) of the FTC Act, 15 U.S.C. 
46(f), and FTC Rule 4.10(a)(2), 16 CFR 4.10(a)(2)--including in 
particular competitively sensitive information such as costs, sales 
statistics, inventories, formulas, patterns, devices, manufacturing 
processes, or customer names.
    Comments containing material for which confidential treatment is 
requested must be filed in paper form, must be clearly labeled 
``Confidential,'' and must comply with FTC Rule 4.9(c), 16 CFR 4.9(c). 
In particular, the written request for confidential treatment that 
accompanies the comment must include the factual and legal basis for 
the request and must identify the specific portions of the comment to 
be withheld from the public record. See FTC Rule 4.9(c). Your comment 
will be kept confidential only if the General Counsel grants your 
request in accordance with the law and the public interest. Once your 
comment has been posted publicly at www.regulations.gov--as legally 
required by FTC Rule 4.9(b), 16 CFR 4.9(b)--we cannot redact or remove 
your comment, unless you submit a confidentiality request that meets 
the requirements for such treatment under FTC Rule 4.9(c), and the 
General Counsel grants that request.
    Visit the FTC website to read this document and the news release 
describing it. The FTC Act and other laws that the Commission 
administers permit the collection of public comments to consider and 
use in this proceeding as appropriate. The Commission will consider all 
timely and responsive public comments it receives on or before January 
19, 2022. For information on the Commission's privacy policy, including 
routine uses permitted by the Privacy Act, see https://www.ftc.gov/siteinformation/privacypolicy.

IX. Communications by Outside Parties to the Commissioners or Their 
Advisors

    Written communications and summaries or transcripts of oral 
communications respecting the merits of this proceeding, from any 
outside party to any Commissioner or Commissioner's advisor, will be 
placed on the public record. See 16 CFR 1.26(b)(5).

X. Self-Regulatory Organization's Proposed Rule Language

Rule 2000 Series--Racetrack Safety Program

2010 Definitions
2100 Racetrack Accreditation
2110 Accreditation Process
2120 Accreditation Requirements
2130 Required Safety
2140 Racehorse Inspections and Monitoring
2150 Racetrack and Racing Surface Monitoring and Maintenance
2160 Emergency Preparedness
2170 Necropsies
2180 Safety Training and Continuing Education
2190 Jockey Health
2200 Specific Rules and Requirements of Racetrack Safety Program
2210 Purpose and Scope
2220 Attending Veterinarian
2230 Treatment Restrictions
2240 Veterinarians' List
2250 Racehorse Treatment History and Records
2260 Claiming Races
2270 Prohibited Practices and Requirements for Safety and Health of 
Horses
2280 Use of Riding Crop
2290 Requirements for Safety and Health of Jockeys

2010. Definitions

    When used in the Rule 2000 Series:
    Act means the Horseracing Integrity and Safety Act of 2020.
    Association Veterinarian means a Veterinarian employed by a 
Racetrack.
    Attending Veterinarian means a Veterinarian hired by the Trainer or 
Owner.
    Authority means the Horseracing Integrity and Safety Authority.
    Bled means that blood from one or both nostrils of a Horse has been 
observed after exercise.
    Claim means, in the context of a Claiming Race, the purchase of a 
Covered Horse for a designated amount.
    Claiming Race means a Race in which a Horse after leaving the 
starting gate may be claimed in accordance with the rules and 
regulations of the applicable State Racing Commission.
    Concussion means an injury to the brain that results in temporary 
loss of normal brain function.

[[Page 446]]

    Covered Horse means any Thoroughbred horse, or any other horse made 
subject to the Act by election of the applicable State Racing 
Commission or the breed governing organization for such horse, 
beginning on the earlier of:
    (1) The date of the Horse's first timed and reported workout at a 
Racetrack;
    (2) the date of the Horse's first timed and reported workout at a 
Training Facility;
    (3) the date of the Horse's entry in a Covered Horserace; or
    (4) the date of the Horse's nomination for a Covered Horserace, and 
ending on the date on which the Authority receives written notice that 
the Horse has been retired in accordance with the Protocol.
    Unless the context otherwise requires, Horse and Covered Horse 
shall have correlative meanings for purposes of this Rule 2000 Series.
    Covered Horserace or Race means any horserace involving Covered 
Horses that has a substantial relation to interstate commerce, 
including any Thoroughbred horserace that is the subject of interstate 
off-track or advance deposit wagers.
    Covered Persons means all Trainers, Owners, breeders, Jockeys, 
Racetracks, Veterinarians, and Persons licensed by a State Racing 
Commission, and the agents, assigns, and employees of such persons and 
other Horse support personnel who are engaged in the care, training, or 
racing of Covered Horses.
    Groom means a Covered Person who is not an Owner, Veterinarian, 
Trainer, or assistant Trainer but is involved in the care of a Covered 
Horse.
    Jockey means a rider of a Covered Horse in a Covered Horserace.
    Lead Veterinarian means any Veterinarian appointed pursuant to Rule 
2134(b).
    Medical Director means an individual designated as Medical Director 
in accordance with the provisions of Rule 2132.
    Out-of-Competition means any period which is not during race day.
    Owner means a Person or entity who holds an ownership or property 
interest in one or more Covered Horses.
    Person means a natural person or an organization or other entity.
    Program Effective Date means July 1, 2022.
    Prohibited List means the Equine Prohibited List identifying the 
Prohibited Substances and
    Prohibited Methods means those prohibited methods set forth in the 
Rule 4000 Series.
    Prohibited Substance means any substance, or class of substances, 
so described on the Prohibited List.
    Protocol means the Equine Anti-Doping and Medication Control 
Protocol set forth in the Rule 3000 Series.\34\
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    \34\ The Commission notes that the 3000 Series and 4000 Series 
rules have not yet been proposed by the Authority. This and other 
cross-references to forthcoming rule proposals will be effective if 
such rules are proposed by the Authority and approved by the 
Commission under the same process as this proposed rule.
---------------------------------------------------------------------------

    Race Meet means the entire period granted by the State Racing 
Commission to a Racetrack for the conduct of Covered Horseraces on the 
Racetrack's premises.
    Racetrack means an organization licensed by a State Racing 
Commission to conduct Covered Horseraces.
    Racetrack Safety Accreditation or Accreditation means the process 
for achieving, and the issuance of, safety Accreditation to a Racetrack 
in accordance with the Rules 2100 through 2193.
    Racetrack Safety Committee means the committee established pursuant 
to 15 U.S.C. 3052(c)(2).
    Racetrack Safety and Welfare Committee means the committee 
established pursuant to Rule 2121.
    Regulatory Veterinarian means a Veterinarian employed, contracted, 
or appointed by a State Racing Commission, Racetrack, or the Authority, 
who, in addition to other duties, is responsible for monitoring the 
health and welfare of Covered Horses during Covered Horseraces.
    Responsible Person means the individual designated in the 
registration with the Authority as the Responsible Person in accordance 
with the following:
    (1) For a Covered Horse that has not yet performed its first 
Workout (or competed in a Race, whichever is earlier), the Responsible 
Person shall be the Owner of the Covered Horse unless the Horse is in 
training in another country.
    (2) Once in training, the Responsible Person shall be the licensed 
Trainer for the Covered Horse. The licensed Trainer's designation as 
the Responsible Person shall be filed with the Authority. The Trainer 
designation must be kept current with the Authority. Designation 
transfers must be in writing and on record with the Authority prior to 
the effective date of the transfer, except for claiming Races in which 
transfers must be recorded the same day.
    (3) If a Covered Horse ceases training for a period of time, the 
designation may be transferred to the Owner prior to the effective 
date.
    (4) If the Owner is an entity, the managing Owner shall be named.
    ROAP means the Racing Officials Accreditation Program.
    Safety Director means an individual designated as, and having the 
responsibilities of, a Safety Director as set forth in Rule 2131.
    Safety Officer means an individual designated as, and having the 
responsibilities of, a Safety Officer as set forth in Rule 2136.
    Shock Wave Therapy means extracorporeal shock wave therapy or 
radial pulse wave therapy.
    Starting Gate Person means any individual licensed as an assistant 
starter or any individual who handles Horses in the starting gate.
    State Racing Commission means the regulatory body established or 
recognized by a State or the Federal government with authority to 
regulate, approve, or license Covered Persons and Covered Horses.
    Trainer means a Person engaged in the training of Covered Horses.
    Training Facility means a location that is not a Racetrack that 
operates primarily to house Covered Horses and conduct Workouts.
    Veterinarian means a licensed veterinarian who provides 
veterinarian services to Covered Horses and who, as a prerequisite to 
providing veterinarian services to Covered Horses, has registered with 
the Authority.
    Workout means an official timed running of a Covered Horse over a 
predetermined distance not associated with a Race.

2100. Racetrack Accreditation

2101. General

    (a) The Racetrack Safety Committee and the Authority shall oversee 
Racetrack Safety Accreditation in accordance with the provisions of 
Rules 2100 through 2193. The Racetrack Safety Committee may also adopt 
best practices and guidance in accordance with the Act and the rules 
and regulations promulgated thereunder to provide further guidance to 
the Racetracks in the Accreditation Process.
    (b) All Racetracks are required to seek and meet the requirements 
of Racetrack Safety Accreditation with the Racetrack Safety Committee 
in accordance with the provisions of Rules 2100 through 2193.

2110. Accreditation Process

2111. Interim and Provisional Accreditation

    (a) Interim Accreditation.
    (1) A Racetrack that is accredited by the National Thoroughbred 
Racing Association as of the Program Effective Date shall be granted 
interim Racetrack Safety Accreditation, which shall be effective until 
the later of:

[[Page 447]]

    (i) Such time as the Racetrack Safety Committee completes an 
Accreditation assessment under Rule 2112 with respect to such 
Racetrack; or
    (ii) the time period established by the Authority under Rule 
2114(a).
    (b) Provisional Accreditation.
    (1) A Racetrack that is not accredited by the National Thoroughbred 
Racing Association as of the Program Effective Date shall be granted 
provisional Racetrack Safety Accreditation, which shall be effective 
until the later of:
    (i) Such time as the Racetrack Safety Committee completes an 
Accreditation assessment under Rule 2112 with respect to such 
Racetrack; or
    (ii) the time period established by the Authority under Rule 
2114(b).
    (2) The Authority may at any time upon reasonable notice require a 
Racetrack with provisional Racetrack Safety Accreditation to report on 
its progress in achieving Accreditation. The Authority may request any 
additional information from the Racetrack necessary to make its 
determination and may conduct unannounced on-site inspections at any 
time.

2112. Accreditation Assessment

    (a) Upon the initiation of an Accreditation assessment by the 
Racetrack Safety Committee, the subject Racetrack shall submit or 
provide access to any relevant information and documentation requested 
by the Racetrack Safety Committee. The Racetrack Safety Committee may 
request any additional information and documentation required for the 
assessment and may propound additional written questions or inquiries 
to the Racetrack. The Racetrack shall respond in writing to all 
additional questions and inquiries within 60 days of receipt of any 
additional questions and inquires.
    (b) After review of all information submitted by the Racetrack 
under of Rule 2112(a), the Racetrack Safety Committee shall conduct an 
on-site inspection of the Racetrack. The Racetrack Safety Committee 
shall then prepare a post-inspection report identifying any aspects of 
the Racetrack's operations that are not in compliance with the 
requirements of Rules 2100 through 2193.
    (c) Within 60 days of the Racetrack's receipt of the post-
inspection report under Rule 2112(b), the Racetrack shall respond in 
writing to the Racetrack Safety Committee setting forth all actions to 
be taken by the Racetrack to remedy the areas of non-compliance 
identified in the post-inspection report, and the timeframes necessary 
for implementation of such remedial actions.
    (d) The Racetrack Safety Committee shall assess the Racetrack's 
response and make a written recommendation to the Authority whether to 
issue or deny Accreditation or provisional Accreditation of the 
Racetrack.

2113. Issuance of Accreditation

    (a) The Authority shall determine whether a Racetrack is entitled 
to Accreditation by evaluating compliance with the requirements set 
forth in Rules 2100 through 2193.
    (b) In determining whether to grant, renew, or deny Accreditation 
to a Racetrack, the Authority shall review all information submitted by 
the Racetrack and the Racing Safety Committee's recommendation.

2114. Effective Periods of Accreditation

    (a) Accreditation.
    (1) Accreditation shall be effective for a period of 3 years.
    (2) The Authority may modify the Accreditation period to a period 
of 1 to 7 years if the Authority determines that such modified period 
will be consistent with the requirements of Accreditation outlined in 
Rules 2100 through 2193.
    (b) Provisional Accreditation.
    (1) Provisional Accreditation shall be effective for an initial 
period of 1 year.
    (2) Upon the expiration of the initial 1 year period referenced in 
paragraph (1) above, provisional Accreditation may be extended for 
additional 1 year periods if the Authority determines that the subject 
Racetrack is continuing to undertake good faith efforts to comply with 
the requirements of Rules 2100 through 2193 and achieve Accreditation.

2115. Annual Reporting

    All Racetracks granted Accreditation under these Rules shall 
participate in ongoing reporting and review to the Racetrack Safety 
Committee. All accredited Racetracks shall, by December 31 of each 
calendar year, submit annual reports to the Racetrack Safety Committee 
demonstrating compliance with all Accreditation requirements.

2116. Suspension and Revocation of Accreditation

    (a) An accredited Racetrack that is in material noncompliance with 
the Accreditation requirements, after having received notice of the 
noncompliance and been given a reasonable opportunity to remedy the 
noncompliance, may have its Accreditation suspended by the Authority.
    (b) A provisionally accredited Racetrack that is in material 
noncompliance with the provisional Accreditation requirements, after 
having received notice of the noncompliance and been given a reasonable 
opportunity to remedy the noncompliance, may have its provisional 
Accreditation suspended by the Authority.
    (c) A Racetrack under suspension shall not conduct any Covered 
Horserace.
    (d) A suspended Racetrack that fails to remedy the noncompliance in 
a reasonable time may have its Accreditation or provisional 
Accreditation revoked by the Authority.

2120. Accreditation Requirements

2121. Racetrack Safety and Welfare Committee

    (a) General. The Racetracks in each State shall form a Racetrack 
Safety and Welfare Committee to review the circumstances around 
fatalities, injuries, and racetrack safety issues with the goal of 
identifying possible contributing risk factors that can be mitigated. 
The Regulatory Veterinarian shall chair the Racetrack Safety and 
Welfare Committee.
    (b) Composition. The composition of the Racetrack Safety and 
Welfare Committee may vary among jurisdictions, provided that each 
Racetrack Safety and Welfare Committee shall include, at a minimum, the 
following:
    (1) Regulatory Veterinarian;
    (2) Association Veterinarian;
    (3) Medical Director;
    (4) Safety Officer or steward, subject to the applicable State 
Racing Commission electing to enter into an agreement with the 
Authority if such individual is employed by the State Racing 
Commission;
    (5) Horsemen's representative;
    (6) Jockey;
    (7) Trainer;
    (8) racing secretary, and
    (9) racetrack superintendent.
    (i) The Regulatory Veterinarian shall chair the Racetrack Safety 
and Welfare Committee.
    (ii) If the Safety Director is not a committee member, the Safety 
Director shall be an ex officio member of the Racetrack Safety and 
Welfare Committee.
    (c) Responsibilities. The Racetrack Safety and Welfare Committee 
shall be responsible for:
    (1) Review of all equine catastrophic injuries and the 
circumstances surrounding those injuries, including, at a minimum:
    (i) Interviews with Trainers, Jockeys, exercise riders, and 
Attending Veterinarians, and when appropriate, a qualified human health 
provider;

[[Page 448]]

    (ii) examination of past performances, Workouts, pre-race 
inspection findings, necropsy examination findings, and Trainer and 
Veterinary treatment records;
    (iii) review of Race or training video footage, if applicable;
    (iv) review of racetrack surface conditions and weather 
information;
    (v) convening a meeting with connections of the Covered Horse and 
other interested Persons, including, at a minimum, the Regulatory 
Veterinarian, Trainer, and Attending Veterinarian, and if applicable, 
the Jockey, exercise rider, and racetrack superintendent to:
    (A) Convey the findings of the review;
    (B) acquire additional information useful for developing strategies 
for injury prevention; and
    (C) provide continuing education or continuing education 
recommendations related to cause of equine injury, if available, to 
persons related to the applicable Covered Horse;
    (vi) evaluation of factors that may have contributed to injuries;
    (vii) evaluation of the effectiveness of protocols and procedures 
for managing the equine injury scenario; and
    (viii) developing strategies to mitigate identified factors that 
may have contributed to the injury.
    (2) Review of all environmental factors related to racing and 
training that may have contributed to human injury occurrences 
including:
    (i) Evaluation of external factors that may have contributed to 
injuries;
    (ii) development of strategies to mitigate identified factors that 
may have contributed to the injury; and
    (iii) evaluation of the effectiveness of protocols and procedures 
for managing human injury occurrences;
    (3) Consideration of Racetrack safety issues brought to the 
Racetrack Safety and Welfare Committee's attention;
    (4) Summary review of all injuries and considerations to review 
existing practices;
    (5) Development of strategies to reduce or mitigate injury 
occurrences;
    (6) Enhancement of the identification of Horses or conditions for 
which intervention is warranted;
    (7) Enhancement of racetrack safety for equine and human 
participants; and
    (8) Preparation and submission of a report that summarizes the 
findings of the Racetrack Safety and Welfare Committee under this 
paragraph (c) to the Authority within 60 days of the end of the 
applicable Race Meet, unless the Racetrack Safety Committee requires 
earlier submission.

2130. Required Safety Personnel

2131. Safety Director

    (a) The Safety Director shall oversee equine safety, racetrack 
safety, and risk management and injury prevention at each Racetrack in 
accordance with the provisions of these rules. The Safety Director may 
at the same time serve in the applicable jurisdiction as a Regulatory 
Veterinarian or Safety Officer. Subject to the approval of the 
Racetrack Safety Committee, the Safety Director may be shared within 
and among jurisdictions.
    (b) If the applicable State Racing Commission does not enter into 
an agreement with the Authority, then the Racetracks in such 
jurisdiction shall implement the requirements set forth in this Rule, 
subject to the Racetrack Safety Committee's approval of the individual 
named as Safety Director.
    (c) The Safety Director shall be responsible for:
    (1) Creating a culture of safety for Horses, riders, and Racetrack 
personnel;
    (2) Overseeing all aspects of equine safety, racetrack safety, and 
safety of personnel working with Horses by ensuring that all activities 
and practices involving the training and racing of Horses at the track 
meet required safety standards;
    (3) Implementing a risk management and injury prevention program 
under the oversight of the Racetrack Safety Committee;
    (4) Providing guidance to Attending Veterinarians on safety issues;
    (5) Maintaining and annually reviewing standard operating 
procedures and protocols;
    (6) Coordinating and overseeing emergency drills that include 
equine injury and starting gate malfunction;
    (7) Reporting all equine injuries and fatalities to the Authority 
within 72 hours of injury; and
    (8) Interacting with the Authority concerning Racetrack Safety 
Accreditation compliance.

2132. Medical Director

    (a) The Medical Director shall oversee the care and organization of 
the medical needs of Jockeys. The Medical Director shall be either a 
licensed physician or a board-certified athletic trainer. Subject to 
the approval of the Racetrack Safety Committee, the Medical Director 
may be shared within and among jurisdictions.
    (b) In any jurisdiction where the applicable State Racing 
Commission does not elect to enter into an agreement with the Authority 
to establish a Medical Director consistent with this Rule, the 
Authority shall appoint and employ a Medical Director to serve as 
Medical Director in that jurisdiction. The Racetracks in the applicable 
jurisdiction shall reimburse the Authority for all costs associated 
with the employment of the Medical Director. Such reimbursement shall 
be shared by the Racetracks in such jurisdiction proportionally by 
total handle wagered in the applicable State in the prior calendar 
year.
    (c) The Medical Director shall:
    (1) Identify professional medical providers and referral networks 
that are licensed and certified to oversee racetrack emergency 
services, which may include, hospital affiliations, nursing staff, EMT 
service and paramedics, internists, surgeons, family practitioners, 
dentists, athletic trainers, or psychiatrists;
    (2) Make medical provider contact information readily available for 
ease of communication and immediate coordination of care for any 
medical event;
    (3) Report all human injuries to the Authority within 72 hours of 
injury;
    (4) Coordinate and oversee a plan for on-site medical care, 
including provisions for emergency medical facilities and staffing;
    (5) Implement an emergency drill for a rider injury;
    (6) Coordinate and oversee a comprehensive plan for transportation 
of an injured rider to the nearest Trauma Level One or Two facility;
    (7) Coordinate and oversee a plan for transportation of an injured 
rider to the Racetrack's first aid facility;
    (8) Ensure compliance with mandatory annual rider physical 
examination requirements to indicate readiness to ride for Jockeys, and 
document compliance to the Authority;
    (9) Exercise oversight of medical standards, including the minimum 
criteria for riding fitness;
    (10) Certify a rider's fitness to resume riding after any on-track 
incident that may impair the rider's reflexes, decision-making or 
ability to maintain control of his or her Horse in a race;
    (11) Implement the program for Concussion evaluation, rider 
exclusion and clearance, and return to ride protocol;
    (12) Develop in writing, subject to annual review and revision as 
necessary, the Racetrack's Emergency Action Plan, which shall include 
readiness for medical needs of racing participants, workers, and 
spectators; and
    (13) Work with local, State, and Federal regulators to standardize 
the approach and response to pandemic-related issues among riders, 
workers, and spectators.

[[Page 449]]

2133. Stewards

    (a) In States where the applicable State Racing Commission elects 
to enter into an agreement with the Authority, the stewards, in 
addition to their duties under State law, shall enforce the safety 
regulations set forth in Rules 2200 through 2293.
    (b) To qualify for appointment as a steward, the appointee shall 
meet the experience, education, and examination requirements necessary 
to be accredited by the ROAP and be in good standing with all racing 
jurisdictions.
    (c) The requirements of Rule 2133 for any steward employed by a 
State Racing Commission are subject to the applicable State Racing 
Commission electing to enter into an agreement with the Authority. If 
the applicable State Racing Commission does not enter into such an 
agreement, the Racetracks in the jurisdiction shall implement the 
requirements set forth in Rule 2133, subject to the Racetrack Safety 
Committee's approval of the individuals named as stewards by the 
Racetracks. The stewards named by the Racetracks shall enforce only the 
safety regulations set forth in Rules 2200 through 2293.

2134. Regulatory Veterinarian

    (a) The Regulatory Veterinarian shall:
    (1) Subject to the provisions of Rule 2134(b), be employed by the 
State Racing Commission or similar agency having jurisdictional 
authority;
    (2) be licensed to practice in the applicable jurisdiction;
    (3) refuse employment or payment, directly or indirectly, from any 
Owner or Trainer of a Horse racing or intending to race in the 
jurisdiction while employed as a Regulatory Veterinarian;
    (4) refrain from directly treating or prescribing for any Horse 
within the applicable jurisdiction except in cases of emergency, 
accident, or injury; and
    (5) be trained, and their proficiency verified, in identifying and 
stabilizing common musculoskeletal injuries.
    (b) In any jurisdiction where the applicable State Racing 
Commission does not elect to enter into an agreement with the Authority 
to establish a Regulatory Veterinarian consistent with Rule 2134, the 
Authority shall employ a Veterinarian to serve as the Lead Veterinarian 
in such jurisdiction. The Lead Veterinarian shall perform all the 
duties, obligations, and responsibilities of the Regulatory 
Veterinarian in these regulations. The Racetracks in the applicable 
jurisdiction shall reimburse the Authority for all costs associated 
with the employment of the Lead Veterinarian. The reimbursement shall 
be shared by the Racetracks in the jurisdiction proportionally by total 
handle wagered in the applicable State in the prior calendar year.

2135. Responsibilities and Duties of Regulatory Veterinarian

    (a) The Regulatory Veterinarian shall have the following 
responsibilities and duties:
    (1) Notify the stewards of any Horse deemed unsafe to be raced, or 
a Horse that it would be inhumane to allow to race;
    (2) conduct pre-race inspections on all potential starters on race 
day;
    (3) inspect any Horse when there is a question as to the physical 
condition of such Horse independent of the Horse's entry status;
    (4) be present in the paddock during saddling, on the racetrack 
during the post parade, and present at the starting gate until the 
Horses are dispatched from the starting gate for the Race;
    (5) scratch any Horse that is, in the opinion of the Regulatory 
Veterinarian, injured, ill, or otherwise unable to compete due to a 
medical or health-related condition;
    (6) inspect any Horse which appears to be in physical distress 
during the Race or at the finish of the Race;
    (7) provide emergency medical care to Horses injured while racing 
and effect case transfer to the Attending Veterinarian;
    (8) be authorized to euthanize, consistent with the current version 
of the AVMA Guidelines for the Euthanasia of Animals, any Horse deemed 
to be so seriously injured that it is in the best interests of the 
Horse to so act;
    (9) report to the Safety Director the names of all Horses 
euthanized or which otherwise die at the meeting and the reasons 
therefor;
    (10) maintain the Veterinarians' List of Horses ineligible to race 
and notify the stewards of the identities of all Horses placed on the 
Veterinarians' List; and
    (11) collaborate with the Safety Director, Chief Veterinarian of 
the State Department of Agriculture, and other regulatory agencies to 
take measures to control communicable or reportable equine diseases.
    (b) If the Regulatory Veterinarian and his or her staff are unable 
to fulfill any of the duties described in Rule 2135(a), such duties 
may, at the request of the Regulatory Veterinarian, be performed by an 
Association Veterinarian. In such case, the Association Veterinarian 
shall be responsible for adhering to and upholding the rules and 
regulations of the Authority and the State Racing Commission.
    (c) The Regulatory Veterinarian, and any Association Veterinarian 
exercising duties of the Regulatory Veterinarian as provided in 
paragraph (b) above, are authorized to:
    (1) Access any and all Horses housed on Racetrack grounds 
regardless of entry status;
    (2) perform inspections of any Horse at any time;
    (3) observe Horses during training activities and Workouts;
    (4) perform pre-Race veterinary inspections and post-Race 
observations; and
    (5) Place a Horse on the Veterinarians' List.
    (d) The Regulatory Veterinarian shall have jurisdiction over the 
Attending Veterinarians within the grounds of the Racetrack and shall 
review and consult with the stewards, and State Racing Commission 
regarding the State Racing Commission license applications of Attending 
Veterinarians, veterinary technicians or assistants, vendors of medical 
supplies and equipment, and non-Veterinarian health care providers. The 
authority and responsibilities of the Regulatory Veterinarian under 
this paragraph (d) shall not be performed by an Association 
Veterinarian pursuant to Rule 2135(b).

2136. Racetrack Safety Officer

    (a) Each Racetrack shall have a Safety Officer to ensure that all 
activities and practices involving the training and racing of Horses at 
the Racetrack meet required safety standards and regulatory guidelines. 
The Safety Officer may also be a steward.
    (b) The Safety Officer shall:
    (1) Monitor daily stable area activities and practices in the barn 
area and on the racetrack for compliance with the applicable State 
Racing Commission safety regulations and the Rules of the Authority;
    (2) Conduct pre-Race Meet racetrack safety inspections;
    (3) Monitor outrider compliance with Racetrack rules during morning 
workouts;
    (4) Monitor starting gate procedures;
    (5) Monitor ambulance and medical personnel protocols for Horses 
and riders;
    (6) Assist Regulatory Veterinarians with follow-up on Horses barred 
from training or vanned off during training and racing;
    (7) Review ship-in and ship-out lists and undertake appropriate 
investigations;
    (8) Conduct random license checks in the stable area;
    (9) Conduct random barn inspections to monitor safety and 
regulatory

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compliance, including fire safety regulations;
    (10) Conduct random inspections to verify acceptable management, 
equine husbandry, and veterinary practices;
    (11) Advise stewards of all planned and random inspections;
    (12) Enforce fire safety rules in the stable area;
    (13) Serve as a member or ad hoc member of the Racetrack Safety and 
Welfare Committee; and
    (14) Make recommendations to Racetrack management and racing 
officials to ensure the welfare of Horses and riders, the integrity of 
racing, and compliance with applicable horse racing laws and 
regulations.

2140. Racehorse Inspections and Monitoring

2141. Veterinary Inspections

    (a) Veterinary inspections shall be performed by the Regulatory 
Veterinarians on all Horses entered in a Race. Such inspections shall 
include the items listed in Rule 2142.
    (b) If, prior to starting a Race, a Horse is determined to be unfit 
for competition, or if the Regulatory Veterinarian is unable to make a 
determination of racing soundness, the Regulatory Veterinarian shall 
notify the stewards that the Horse is scratched. Regulatory 
Veterinarians shall have the unconditional authority to scratch a 
Covered Horse from a Race.

2142. Assessment of Racing Soundness

    (a) Post-entry screening. The Regulatory Veterinarian shall perform 
post-entry screenings of previous pre-Race inspection findings of 
entered Horses to identify Horses that may be at increased risk for 
injury. The Regulatory Veterinarian shall review past performances, 
lay-ups (more than 60 days without a timed Workout or Race), last 30 
days medical history, previous injury and lameness diagnostics, intra-
articular corticosteroid injections, previous surgery, and individual 
Horse risk factors.
    (b) Pre-race veterinary inspection. Every Horse entered to 
participate in a Covered Horserace shall be subjected to inspection by 
a Regulatory Veterinarian prior to starting in the Race for which it is 
entered on race day not later than 1 hour prior to scratch time for the 
Race in which the Horse is to compete.
    (1) The Trainer of each Horse or a representative of the Trainer 
who is knowledgeable about the Horse and able to communicate with the 
Regulatory Veterinarian must present the Horse for inspection. Horses 
presented for inspection must have bandages removed, and the legs must 
be clean and dry. Prior to inspection, Horses may not be placed in ice 
and no device or substance shall be applied to the Horse that impedes 
veterinary clinical assessment.
    (2) The Regulatory Veterinarian's inspection of each Horse prior to 
participating in a Race shall include, at a minimum, the following:
    (i) Identification of the Horse;
    (ii) Ascertainment of the sex of the Horse;
    (iii) Performance of an overall inspection of the entire Horse, 
assessing general appearance, behavior, disposition, posture, and body 
condition;
    (iv) Observation of the Horse jogging in hand, moving toward and 
away from the Veterinarian so that both hind-end and front-end motion 
can be evaluated;
    (v) Performance of a digital palpation on both distal forelimbs;
    (vi) Placement of the Horse on the Veterinarians' List if the Horse 
does not jog sound or warm up to the Regulatory Veterinarian's 
satisfaction;
    (vii) Visual observation in the paddock and saddling area, during 
the parade to post, and at the starting gate; and
    (viii) Any other inspection deemed necessary by the Regulatory 
Veterinarian, including Jockey consultation for the Jockey's mount.
    (3) A report summarizing the results of a pre-Race inspection under 
paragraph (a) shall be submitted to the Authority on the day of the 
inspection.
    (c) Post-race assessment. Post-Race visual observations shall be 
performed by a Regulatory Veterinarian on all Horses leaving the 
racetrack at the conclusion of every Race.
    (1) If a Horse is determined to have Bled or to be physically 
distressed, medically compromised, injured, or unsound at any time 
before exiting the racetrack or leaving the test barn, the Horse shall 
be placed on the Veterinarians' List and the Regulatory Veterinarian 
shall document post-race inspection findings to the Authority.
    (2) If a Horse is determined to have skin lacerations, swellings, 
or welts that resulted from crop use, the stewards and Attending 
Veterinarian shall be notified, and the information documented to the 
Authority.
    (d) Training. Regulatory Veterinarians may observe Horses during 
training activities. Horses deemed physically distressed, medically 
compromised, injured, or unsound may be placed on the Veterinarians' 
List and reported to the Authority.

2143. Racehorse Monitoring

    (a) All Horses, including stable ponies, entering the Racetrack 
grounds must have proof of health certificate and required 
vaccinations, which shall include:
    (1) Certificate of veterinary inspection within the prior 5 days or 
fewer days if high risk situations dictate;
    (2) Verification of EEE/WEE/WNV (encephalitides), rabies, and 
tetanus vaccinations within the prior 12 months;
    (3) Verification of Influenza and Rhinopneumonitis vaccinations 
within the prior 180 days or fewer days if high risk situations 
dictate; and
    (4) Verification of Negative Equine Infectious Anemia (Coggins) 
Test within the calendar year or in a shorter period of time if high 
risk situations dictate.
    (b) Each Racetrack shall submit the following information to the 
Authority with respect to each Horse on its grounds:
    (1) Horse identification;
    (2) Origin of Horse;
    (3) Date of entry;
    (4) Verification of certificate of veterinary inspection; and
    (5) Verification of vaccinations.
    (c) Each Racetrack shall submit the following information to the 
Authority with respect to each Horse leaving its grounds:
    (1) Horse identification;
    (2) Intended destination;
    (3) Reason for departure;
    (4) Date of exit;
    (5) Vehicle license plate; and
    (6) Transporter.
    (d) Horses moving interstate must meet the entry requirements of 
the destination State, the State Racing Commission in the destination 
State, and the individual Racetracks or Training Facilities to which 
the horse is being shipped in the destination State.

2150. Racetrack and Racing Surface Monitoring and Maintenance

2151. Data Collection, Recordkeeping and Submission

    (a) Racetracks shall have data collection protocols in place to 
assist in the proper and consistent maintenance of all racing and 
training surfaces. Racing and training surface testing and maintenance 
should be performed based on the Racetrack's written standard operating 
procedures which are reviewed annually and updated as needed. The 
Racetrack Safety Committee, or its designees, shall develop and 
annually update a Racetrack Surface Standard Practices Document.
    (b) All Racetrack design records, racing and training surface 
maintenance

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records, surface material tests, and daily tests data shall be recorded 
in a format acceptable to the Authority and shall be submitted to the 
Authority. Any test results shall be submitted to the Authority within 
1 week of the test results.

2152. Testing Methods

    Surface test methods and surface material test methods must be 
documented and consistent with testing standards from internationally 
recognized standards organizations including ASTM International, 
American Society of Agricultural and Biological Engineers, or other 
relevant international standards, and when possible for unpublished 
standards, methods consistent with those documented by the Racing 
Surfaces Testing Laboratory.

2153. Racetrack Facilities

    The Racetrack facilities must be designed, constructed, and 
maintained as provided in Rule 2153 to provide for the safety of 
Covered Persons and Covered Horses.
    (a) Rails.
    (1) Racetracks shall have inside, outside, and gap rails designed, 
constructed, and maintained to provide for the safety of Jockeys and 
Horses.
    (2) Objects within 10 feet of the inside rail shall be flexible 
enough to collapse upon impact of a Horse or rider, or sufficiently 
padded as to prevent injury.
    (3) Rails shall be inspected prior to each Race Meet and daily 
during training and racing events.
    (b) Gaps.
    (1) All gaps must be clearly marked, must have protective padding 
covering any sharp edges or unique angles, and have proper mechanisms 
to allow for secure closure when needed.
    (2) Main gaps and on-gaps should include signage with safety rules, 
Racetrack hours, and other applicable rules.
    (3) For Races breaking from a chute there should be sufficient 
temporary rail extension to prevent Horses from ducking in or out.
    (c) Starting gate.
    (1) All gates, and the vehicle that moves the gates, must be 
inspected pre-Race Meet and documented to be in proper working 
condition.
    (2) All gates must have protective padding to ensure the safety of 
the Horse, Jockey, and gate personnel. Protective padding shall protect 
the riders and gate personnel from contact with sharp edges and help to 
distribute impact loads. All padding shall be designed to ensure 
durability for outdoor use and shall be capable of maintaining safety 
and physical integrity during all weather conditions.
    (3) Gates and the vehicle that moves the gates shall be inspected 
and tested each race day before the Races and each morning before 
schooling to ensure proper functioning.
    (4) No personnel, other than those required for steering the gate, 
shall ride on the gate while the gate is in motion or being 
transported.
    (5) Racetracks shall have in place annually reviewed and documented 
standard operating procedures for the removal of the starting gate 
after the start of each Race as needed in a safe and timely manner. 
This plan shall also include procedures for gate removal if the primary 
removal mechanism fails.
    (6) Every Starting Gate Person shall wear protective gear when 
working on or around the starting gate, including approved helmets and 
safety vests.
    (7) If the starting gate becomes inoperable during racing hours, 
racing may not continue until the starting gate is brought back to safe 
operating standards or the inoperable gate is replaced with a properly 
functioning alternate gate.
    (8) During racing hours, a Racetrack should ensure that sufficient 
assistant starters are available to safely handle each Horse entered in 
a Race.
    (9) A Racetrack shall make at least one starting gate and one 
Starting Gate Person available for racehorse schooling during 
designated gate training hours.
    (d) Emergency warning system.
    (1) Each Racetrack shall have an operational emergency warning 
system on all racing and training tracks. The emergency warning system 
shall be approved by the State Racing Commission, subject to the 
applicable State Racing Commission electing to enter into an agreement 
with the Authority. If such agreement does not exist, the emergency 
warning system shall be approved by the Authority.
    (2) The emergency warning system shall be tested bi-weekly before 
training or racing.
    (3) During training, when the emergency warning system is 
activated, all persons on horseback shall slow to a walk and no one on 
horseback shall enter the racetrack.
    (4) The Racetrack announcer shall be trained to utilize the public 
address system to:
    (i) Warn riders of potentially dangerous situations and provide 
direction; and
    (ii) Warn patrons of potentially dangerous situations and provide 
direction.

2154. Racetrack Surface Monitoring

    (a) Racetracks shall provide equipment and personnel necessary to 
maintain the racetrack surface in a safe and consistent condition.
    (b) Pre-meet inspection shall be performed on all surfaces prior to 
the start of each Race Meet with sufficient time allotted to facilitate 
corrections of any issues prior to racing. For Race Meets spanning 
periods with significant weather variation, inspections shall be 
performed seasonally prior to anticipated weather changes.
    (1) Inspections for dirt and synthetic surfaces shall include the 
following elements:
    (i) Determine and document race and training track configurations 
and geometries, including:
    (A) Geometry and slopes of straights and turns and slopes at each 
distance marker pole;
    (B) The accuracy of distances from the finish line to the marker 
poles; and
    (C) Cushion and base geometries;
    (ii) Base inspection, including windrowing and base survey, surface 
survey, ground penetrating radar, or other method;
    (iii) Mechanical properties of racing and training tracks using a 
biomechanical surface tester shall be determined and documented;
    (iv) Surface material samples of racing and training tracks shall 
be analyzed for material composition pursuant to the Racetrack Surface 
Standard Practices Document; and
    (v) Corrective measures to address issues under paragraphs (i) 
through (iv) above.
    (2) Inspections for turf surfaces shall include the following 
elements:
    (i) Determine and document racetrack configuration and geometry, 
including:
    (A) Geometry and slopes of straights and turns and slopes at each 
distance marker pole;
    (B) irrigation systems;
    (C) turf profile; and
    (D) ensure distances from the finish line to the marker poles are 
correct;
    (ii) Document turf species;
    (iii) Mechanical properties of racing and training tracks using a 
surface tester should be determined and documented;
    (iv) Surface material samples of racing and training tracks shall 
be analyzed for material composition pursuant to the Racetrack Surface 
Standard Practices Document;
    (v) The irrigation system must be tested to evaluate function of 
all components and water coverage including gaps and overlap; and
    (vi) Corrective measures to address issues under paragraphs (i) 
through (v) above.

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    (c) Daily measurements shall be taken at the beginning of all daily 
training and racing sessions for racing and training tracks, and taken 
at each \1/4\ mile marker pole at locations 5 and 15 feet outside the 
inside rail.
    (1) For dirt and synthetic surfaces, such daily measurements shall 
include:
    (i) Moisture content;
    (ii) Cushion depth; and
    (iii) Weather conditions and precipitation at 15-minute intervals 
from a national or local weather service.
    (2) For turf surfaces, such daily measurements shall include:
    (i) Moisture content; and
    (ii) Penetration and shear properties.
    (d) Surface equipment inventory, surface maintenance logs, and 
surface material addition or renovation logs shall be maintained and 
submitted to the Authority.
    (1) Daily surface maintenance logs should include equipment used, 
direction of travel, and water administration.
    (2) Documentation of the source, timing, quantity, and method of 
all additions to the surfaces shall be submitted to the Authority.

2160. Emergency Preparedness

2161. Emergency Drills

    Emergency protocols shall be reviewed, and drills shall be 
conducted, prior to the beginning of each Race Meet for purposes of 
demonstrating the Racetrack's proficiency in managing the following 
emergencies:
    (a) Starting gate malfunction;
    (b) Paddock emergencies;
    (c) Equine injury;
    (d) Jockey injury;
    (e) Loose Horse;
    (f) Fire;
    (g) Hazardous weather condition; and
    (h) Multiple injury scenarios for both Horses and Jockeys.

2162. Catastrophic Injury

    Racetracks and Training Facilities under the jurisdiction of a 
State Racing Commission shall have protocols in place for instances of 
catastrophic injury to Horses during racing and training. Protocols 
should include, but not be limited to, requiring collection of 
biological samples in sufficient volume, to permit comprehensive drug 
testing. Planning shall include appropriate means of communication to 
the public.

2163. Fire Safety

    Racetracks and Training Facilities under the jurisdiction of a 
State Racing Commission shall plan for and have protocols in place for 
instances of fire within their enclosures. Fire and life safety 
inspections shall be performed in accordance with the local authority 
and appropriate National Fire Protection Association standards and 
shall be conducted at the required frequency. Racetracks shall document 
adherence to the applicable local fire protection authority.

2164. Hazardous Weather

    Each Racetrack shall develop, implement, and annually review a 
hazardous weather protocol which shall include:
    (a) Designation of the personnel responsible for monitoring weather 
conditions, immediately investigating any known impending threat of 
dangerous weather conditions and determining if conditions exist which 
warrant delay or cancellation of training or racing and the 
notification to the public of such dangerous weather conditions;
    (b) Use of a designated weather watcher and a reliable source for 
monitoring the weather, including lightning strike distance/radius 
notifications;
    (c) Implementation of a dangerous weather protocol, which includes 
for extreme heat and chill factors and air quality;
    (d) Designation by the Racetrack of an official responsible for 
monitoring weather conditions during training and racing hours;
    (e) Consideration by the Racetrack of lightning safety guidelines 
such as the National Athletic Trainers' Association Position Statement, 
or more recent evidence-based recommendations;
    (f) Requirements that the stewards shall contact Racetrack 
management when weather conditions may become hazardous, and that the 
stewards shall commence a racing and training delay when weather 
conditions pose risks to human and equine welfare; and
    (g) Designation by the Racetrack of an official responsible for 
enforcing any weather associated training delay.

2165. Infectious Disease Management

    (a) Plans and protocols shall be put in place by each Racetrack to 
manage an infectious disease outbreak. Such protocols shall be based on 
guidelines recommended by the AAEP General Biosecurity Guidelines and 
AAEP Healthy Horse Protocols: Biosecurity Guidelines for Racetrack 
Entry and Stabling or more recent versions or developed in consultation 
with the appropriate State agency or official.
    (b) The Regulatory Veterinarian shall maintain written biosecurity 
guidelines and standard operating procedures and train Racetrack safety 
personnel in basic biosecurity protocols. All Covered Persons must 
report any symptoms that may be attributed to an infectious disease to 
the Regulatory Veterinarian and Safety Director.
    (c) During an infectious disease outbreak, the above requirements 
may be revised as dictated by the circumstances, and all Covered 
Persons shall adhere to disease control measures implemented by State 
Racing Commissions or applicable State veterinary authorities.
    (d) The Safety Director, or Regulatory Veterinarian if the Safety 
Director is not a licensed veterinarian, must notify the Chief 
Veterinarian of the relevant State Department of Agriculture (or 
comparable State government official) to enable timely and accurate 
reporting of disease outbreaks at the racetrack to the Equine Disease 
Communication Center.

2166. Human Ambulance Support

    (a) A Racetrack shall provide a properly staffed and equipped 
Advanced Life Support ambulance during training and racing hours. If 
the ambulance is being used to transport an individual, the Racetrack 
may not conduct a race, or allow Horses with riders on the racetrack, 
until the ambulance is replaced or available for service.
    (b) Racetracks shall ensure the Advanced Life Support ambulance 
staff has been trained in Concussion management. Any Jockey who falls 
or is thrown from a Horse during a race must be examined by the 
Advanced Life Support staff. Advanced Life Support staff shall report 
their findings to the stewards who will determine if the Jockey may 
continue riding.
    (c) Unless otherwise approved by the State Racing Commission or the 
stewards, an ambulance shall follow the field at a safe distance during 
the running of races.
    (d) The ambulance must be parked at an entrance to the racing strip 
except when the ambulance is being used to transport an individual or 
when it is following the field during the running of a race.

2167. Accident Reporting System

    (a) Racetracks shall develop standard operating procedures for the 
collection of data associated with all incidents resulting in Jockey or 
exercise rider injuries sustained at the racetrack and submit such 
information to the Authority within 10 days of the injury occurrence. 
Covered Persons involved in, or witnesses to, the circumstances 
surrounding the injury shall make themselves available to and cooperate 
with those individuals collecting data for the database.

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    (b) Data collected shall include:
    (1) Name of person injured;
    (2) nature of the injury;
    (3) date and time of day of injury;
    (4) occupation of person;
    (5) cause of the incident;
    (6) weather;
    (7) location of the incident; and
    (8) witness statements.

2168. Equine Ambulance

    A dedicated Horse ambulance with personnel trained to operate the 
ambulance shall at all times be available for rapid deployment during 
racing and training periods. It is recommended that a second ambulance 
be available in the case of multiple equine injuries or failure of the 
primary Horse ambulance.

2169. Paddock Safety

    Racetracks shall have protocols in place to manage the safety of 
their saddling paddocks and walking rings. Such protocols should 
include crowd management policies as well as emergency response 
procedures for human and equine injuries. An emergency medical 
technician or paramedic shall be present during saddling.

2170. Necropsies

    (a) All Horses that die or are euthanized on Racetrack grounds 
shall have an autopsy (necropsy) examination performed.
    (b) Necropsies should be performed at facilities and by personnel 
with capabilities and expertise to perform necropsy examination of 
racehorses. Relationships and contact information shall be included in 
the necropsy standard operating procedure. The Veterinarian performing 
the necropsy shall not be an Attending Veterinarian of the affected 
Horse.
    (c) Field necropsy is strongly discouraged. When a field necropsy 
is the only practical option available, necropsy examinations shall be 
performed under direct or indirect supervision of a board-certified 
pathologist including phone call guidance or video conferencing. 
Necropsies shall be performed in a secure area on all Horses that die 
or are euthanized on Racetrack premises, isolated from the general 
public. Whenever possible, the Veterinarian performing the necropsy 
shall not be an Attending Veterinarian of the affected Horse.
    (d) Transportation options for necropsy cases and invoicing for the 
transportation and necropsy shall be identified prior to need and 
included in a standard operating procedure. Secure storage, pending 
transport, and transportation of the body should be managed in such a 
way that tissue degradation and the development of post-mortem 
artifacts are minimized. Care shall also be taken to implement sound 
infection control practices with respect to equine infectious or 
zoonotic disease.
    (e) Gross necropsy examination findings must be submitted by the 
Regulatory Veterinarian to the Authority within 72 hours of receiving 
the necropsy report, and updates submitted to the Authority within 72 
hours as the results of ancillary tests and the final report are 
received. This workflow shall be included in the necropsy standard 
operating procedures.

2180. Safety Training and Continuing Education

2181. Uniform National Trainers Test

    Subject to the applicable State Racing Commission electing to enter 
into an agreement with the Authority, the State Racing Commission shall 
require the use of a uniform National Trainers Test in addition to any 
State licensing requirements. This test shall have a written component 
and include practical interviews that demonstrate knowledge and 
proficiency in basic horsemanship skills, knowledge of racing office 
protocols, State specific information, and basic equine health care.

2182. Continuing Education

    (a) Subject to the applicable State Racing Commission electing to 
enter into an agreement with the Authority, the State Racing Commission 
shall identify existing, or provide locally, training opportunities for 
all Racetrack employees having roles in Racetrack safety or direct 
contact with Covered Horses.
    (b) Required annual continuing education shall include:
    (1) Regulatory Veterinarians must complete, on an annual basis, at 
least 8 hours continuing education specific to racetrack regulatory 
medicine;
    (2) Attending Veterinarians must complete, on an annual basis, at 
least 8 hours continuing education specifically applicable to racetrack 
practice;
    (3) Medical Directors must complete, on an annual basis, at least 8 
hours continuing education;
    (4) stewards shall be either accredited or actively participating 
in gaining accreditation through the ROAP and Certification Programs 
(maintenance of the ROAP Accreditation requires at least 16 hours of 
continuing education every 2 calendar years);
    (5) Trainers must complete, on an annual basis, at least 4 hours 
annual continuing education;
    (6) assistant trainers must complete, on an annual basis, at least 
4 hours annual continuing education;
    (7) Owners must complete, on an annual basis, at least 2 hours 
annually;
    (8) Racetrack surface managers must complete at least 8 hours of 
continuing education every 2 years;
    (9) Grooms must complete, on an annual basis, at least 2 hours 
annual continuing education offered in English and Spanish;
    (10) outriders must complete, on an annual basis, at least 2 hours 
safety and outrider protocol training delivered locally prior to the 
beginning of a Race Meet;
    (11) Jockeys and exercise riders must complete at least 2 hours 
safety and rider protocols delivered locally in English and Spanish 
prior to the beginning of a Race Meet;
    (12) starters and assistant starters must complete, on an annual 
basis, at least 2 hours safety training either delivered locally prior 
to the beginning of a Race Meet or through the ROAP certification; and
    (13) Equipment operators must complete, on an annual basis, at 
least 2 hours safety training either delivered locally prior to the 
beginning of a Race Meet or through a continuing education program.

2190. Jockey Health

2191. Jockey Drug and Alcohol Testing

    Subject to the applicable State Racing Commission electing to enter 
into an agreement with the Authority, the State Racing Commission shall 
develop and implement a testing program for drugs and alcohol for 
Jockeys. The program shall include provisions for medications 
prescribed by licensed medical doctors that do not affect mental and 
physical abilities. If a State Racing Commission does not elect to 
enter into an agreement with the Authority, the Racetracks in such 
States shall develop and implement a testing program for drugs and 
alcohol for Jockeys, subject to the approval of the Authority.

2192. Concussion Management

    State Racing Commissions, or Racetracks if the applicable State 
Racing Commission does not enter into an agreement with the Authority, 
shall implement a Concussion management program for Jockeys containing 
the following elements:
    (a) Each Jockey shall acknowledge in writing that they have been 
made aware of the Concussion protocols in place for the facility at 
which they are riding;

[[Page 454]]

    (b) A minimum assessment shall include a current Concussion 
assessment tool examination;
    (c) A return-to-ride guideline shall be established in order to 
clear a Jockey who has been concussed, or is believed to have been 
concussed, once the Jockey is declared fit-to-ride; and
    (d) The stewards shall be notified when a Jockey is not permitted 
to ride and when the Jockey has been authorized to return to riding.

2193. Insurance

    In States where workers compensation benefits are not afforded to 
Jockeys by State statute or regulation, Racetracks shall maintain a 
minimum standard of One Million Dollars ($1,000,000) per incident worth 
of accident medical expense coverage for all Jockeys.

2200. Specific Rules and Requirements of Racetrack Safety Program

2210. Purpose and Scope

    (a) The purpose of Rules 2200 through 2293 is to establish specific 
safety rules and requirements designed to enhance equine and Jockey 
safety in Horse racing.
    (b) Violation of, or failure to comply with, the requirements of 
Rules 2200 through 2293 shall result in disciplinary action by racing 
officials and the Authority.
    (c) Safety rules arising under State laws or regulations not 
preempted by 15 U.S.C. 3054(b) shall be governed by applicable State 
laws and regulations.

2220. Attending Veterinarian

    (a) Only Veterinarians licensed by the State Racing Commission may 
attend to Covered Horses at any location under the jurisdiction of a 
State Racing Commission.
    (b) Veterinarians attending at any location under the jurisdiction 
of a State Racing Commission are under the authority of the Regulatory 
Veterinarian and the stewards.

2221. Treatments by Attending Veterinarian

    The following limitations apply to drug treatments by Attending 
Veterinarians of Covered Horses that are engaged in activities related 
to racing, including training:
    (a) No drug shall be prescribed, dispensed, or administered except 
in the context of a valid Veterinarian-client patient relationship 
between a Veterinarian, the Owner (who may be represented by the 
Trainer) and the Covered Horse. The Owner is not required to follow the 
Veterinarian's instructions, but no drug may be administered without a 
Veterinarian having examined the Horse and provided the treatment 
recommendation. Such relationship requires the following:
    (1) The Veterinarian, with the consent of the Trainer (on behalf of 
the Owner), has accepted responsibility for making medical judgments 
about the health of the Horse;
    (2) the Veterinarian has sufficient knowledge of the Horse to make 
a preliminary diagnosis of its medical condition;
    (3) the Veterinarian has performed an examination of the Horse and 
is acquainted with the keeping and care of the Horse;
    (4) the Veterinarian is available to evaluate and oversee treatment 
outcomes, or has made appropriate arrangements for continuing care and 
treatment;
    (5) the relationship is maintained by veterinary visits as needed; 
and
    (6) the medical judgments of the Veterinarian are independent and 
are not dictated by the Trainer or Owner of the Horse.
    (b) The Trainer and Veterinarian are both responsible for ensuring 
compliance with this Rule, except that the medical judgment to 
recommend a drug treatment or to prescribe a drug is the responsibility 
of the Veterinarian, and the decision to proceed with a drug treatment 
that has been so recommended is the responsibility of the Owner (who 
may be represented by the Trainer or other agent).

2230. Treatment Restrictions

    (a) Only Trainers or their designees shall be permitted to 
authorize veterinary medical treatment of Covered Horses under their 
care, custody, and control at locations under the jurisdiction of the 
State Racing Commission.
    (b) No person other than a Veterinarian licensed to practice 
veterinary medicine in the State and licensed by the State Racing 
Commission may prescribe medication with instructions for 
administration by a Responsible Person for a Covered Horse.
    (c) Attending Veterinarians shall not have contact with an entered 
Horse within 24 hours before the scheduled post time of the race in 
which the Horse is scheduled to compete unless approved by the 
Regulatory Veterinarian, or in an emergency. Any unauthorized contact 
may result in the Horse being scratched from the race in which it was 
scheduled to compete and may result in further disciplinary action by 
the stewards.
    (d) The Regulatory Veterinarian may administer emergency treatment 
to Horses on Racetrack grounds when the Attending Veterinarian is not 
present.
    (e) Except as set forth in paragraph (f) below, no person shall 
possess a hypodermic needle, syringe capable of accepting a needle or 
injectable of any kind on racetrack grounds or any facility under the 
jurisdiction of the Regulatory Authority, unless otherwise approved in 
writing by the State Racing Commission.
    (f) At any location under the jurisdiction of the State Racing 
Commission, Veterinarians may use only one-time disposable syringes, 
needles, or IV infusion sets; and shall dispose of items in a manner 
approved by the State Racing Commission and applicable State and 
governmental regulations.
    (g) If a person has a medical condition which makes it necessary to 
have a syringe at any location under the jurisdiction of the State 
Racing Commission, that person may request permission of the stewards 
or the State Racing Commissioning in writing, shall furnish a letter 
from a licensed physician explaining why it is necessary for the person 
to possess a syringe, and shall comply with any conditions and 
restrictions set by the stewards and the State Racing Commission.

2240. Veterinarians' List

    (a) A Veterinarians' List shall be maintained by the Authority of 
all Horses that are determined to be ineligible to compete in a Covered 
Horserace in any jurisdiction until released by a Regulatory 
Veterinarian.
    (b) The following Horses shall be placed on the Veterinarians' List 
until removed in accordance with Rules 2241 and 2242:
    (1) Horses affected by illness, physical distress, medical 
compromise, unsoundness, injury, infirmity, heat exhaustion, positive 
test or overage, administration of a medication invoking a mandatory 
stand down time, administration of Shock Wave Therapy, positive Out-of-
Competition test or any other assessment or determination by Regulatory 
Veterinarians that such Horse is unfit to race;
    (2) Horses which have not started in more than 365 days; and
    (3) Horses which have not made a start prior to January 1 of their 
4-year-old year.
    (c) Trainers and Owners shall be notified in writing within 24 
hours that their Horse has been placed on the Veterinarians' List.
    (d) Diagnostic testing may be required for any Horse placed on the 
Veterinarians' List, at the discretion of

[[Page 455]]

the Safety Director, Regulatory Veterinarian, or Association 
Veterinarian.

2241. Duration of Stay on the Veterinarians' List

    Horses placed on the Veterinarians' List in accordance with Rule 
2240 shall remain on the Veterinarians' List as follows:
    (a) Horses placed on the Veterinarians' List for unsoundness or 
Epistaxis shall remain on the list for 14 days;
    (b) Horses placed on the Veterinarians' List multiple times for 
unsoundness within the previous 365 days shall remain on the 
Veterinarians' List for 45 days for the second time, 75 days for the 
third time, and shall be barred from further racing after the fourth 
time;
    (c) Horses placed on the Veterinarians' List multiple times for 
Epistaxis within the previous 365 days shall remain on the 
Veterinarians' List for 30 days for the second time, 180 days for the 
third time, and shall be barred from further racing after the fourth 
time;
    (d) Horses placed on the Veterinarians' List for illness shall 
remain on the list for 7 days;
    (e) Horses treated with Shock Wave Therapy shall be placed on the 
Veterinarians' List for 30 days; and
    (f) If before, during, or after the workout for removal from the 
Veterinarians' List, the Horse is deemed to be unsound or to have Bled, 
the stay on the Veterinarians' List shall be extended an additional 14 
days, and further diagnostic testing may be required as determined by 
the Regulatory Veterinarian.

2242. Removal of Horses From the Veterinarians' List

    Regulatory Veterinarians may remove Horses from the Veterinarians' 
List in accordance with Rule 2242 and shall document such removal to 
the Authority.
    (a) A Horse placed on the Veterinarians' List as unsound or 
suffering from Epistaxis may be removed from the Veterinarians' List 
upon satisfaction of paragraphs (1) through (3) below.
    (1) A trainer must apply to the Regulatory Veterinarian for 
permission to work the Horse for removal from Veterinarians' List. Upon 
receiving such approval, the Trainer and Attending Veterinarian must 
observe the Horse jog and submit to the Regulatory Veterinarian a co-
signed statement that the Horse is fit to perform a Workout.
    (2) The Horse must perform a Workout under the supervision of the 
Regulatory Veterinarian and demonstrate to the satisfaction of the 
Regulatory Veterinarian that the Horse is sound to race.
    (3) The Regulatory Veterinarian determines there is no evidence or 
signs of Epistaxis, physical distress, medical compromise, unsoundness, 
or lameness within1 hour after the Workout conducted pursuant to 
paragraph (a)(2) above.
    (b) A Horse placed on the Veterinarians' List as physically 
distressed or medically compromised may be removed from the 
Veterinarians' List provided sound health has been declared by the 
Attending Veterinarian or demonstrated to the Regulatory Veterinarian 
and documented to the Authority.
    (c) In addition to the requirements set forth herein and any 
requirements of the Protocol, if a Horse is placed on the 
Veterinarians' List for a positive test or overage of a primary 
substance invoking a mandatory stand down time, a positive Out-of-
Competition test, or any other veterinary administrative withdrawal, 
the Horse shall be prohibited from entering a Race and may be released 
from the Veterinarians' List only after also undergoing a post-Workout 
inspection by the Regulatory Veterinarian.

2250. Racehorse Treatment History and Records

2251. Veterinary Reports

    (a) All Veterinarians shall provide treatment records pursuant to 
Rule Series 3000. In addition to the uses set forth therein, these 
records may be used by Regulatory Veterinarians in the performance of 
their duties at the racetrack, for transfer of 60 day medical records 
to the new trainer of a claimed Horse, and for purposes of research to 
enhance the safety and welfare of racehorses.
    (b) In addition to the information required to be submitted by 
Veterinarians pursuant to Rule Series 3000, every Veterinarian who 
examines or treats a Covered Horse shall, within 24 hours of such 
examination or treatment, submit the following information in an 
electronic format designated by the Authority:
    (1) The identity of the Horse treated;
    (2) the name of the Trainer of the Horse;
    (3) the name of the Veterinarian;
    (4) contact information for the Veterinarian (phone, email 
address);
    (5) any information concerning the presence of unsoundness and 
responses to diagnostic tests;
    (6) diagnosis;
    (7) condition treated;
    (8) any medication, drug, substance, or procedure administered or 
prescribed, including date and time of administration, dose, route of 
administration (including structure treated if local administration), 
frequency, and duration (where applicable) of treatment;
    (9) any non-surgical procedure performed (including but not limited 
to diagnostic tests, imaging, and shockwave treatment) including the 
structures examined/treated and the date and time of the procedure;
    (10) any surgical procedure performed including the date and time 
of the procedure; and
    (11) any other information necessary to maintain and improve the 
health and welfare of the Horse.

2252. Responsible Persons' Records

    (a) In addition to the information required to be submitted by 
Responsible Persons under Rule Series 3000, a Responsible Person is 
responsible for maintaining a record of medical, therapeutic, and 
surgical treatments and procedures for every Covered Horse in his or 
her control.
    (b) For purposes of this Rule, the term treatment:
    (1) Means the administration of any medication or substance 
containing a medication to a Horse by a Responsible Person or his or 
her designee;
    (2) includes the administration of medications that are prescribed 
by a Veterinarian but administered by the Responsible Person or his or 
her designee, or medications prescribed or administered by a 
Veterinarian not licensed by the State Racing Commission; and
    (3) specifically excludes medications or procedures directly 
administered by a Veterinarian licensed by the State Racing Commission 
or that Veterinarian's employees.
    (c) Records must include the information outlined in paragraphs (1) 
and (2) below.
    (1) For medical treatments:
    (i) Name of the Horse (or, if unnamed, the registered name of the 
dam and year of foaling);
    (ii) name of Trainer;
    (iii) generic name of the drug, or brand name if a non-generic drug 
is used;
    (iv) name of the prescribing Veterinarian;
    (v) date of the treatment;
    (vi) route of administration;
    (vii) dosage administered;
    (viii) approximate time (to the nearest hour) of each treatment; 
and

[[Page 456]]

    (ix) full name and contact information of the individual who 
administered the treatment.
    (2) For medical procedures, including, but not limited to, 
physiotherapy, acupuncture, chiropractic, and surgeries:
    (i) Name of the Horse, or, if unnamed, the registered name of the 
dam and year of foaling;
    (ii) name of Trainer;
    (iii) diagnosis and condition being treated;
    (iv) name of procedure or surgery;
    (v) date of the procedure;
    (vi) first and last name of the individual who administered or 
performed the procedure; and
    (vii) any other information necessary to maintain and improve the 
health and welfare of the Horse.
    (d) In addition to the uses of records set forth in the Rules 
Series 3000, records may be used by Regulatory Veterinarians in the 
performance of their duties at the Racetrack, for transfer of 60 day 
medical records to the new Owner of a claimed Horse, and for purposes 
of research to enhance the safety and welfare of racehorses. Records 
may also be accessed by the State Racing Commission or the stewards.

2253. Records for Horses Shipping to the Racetrack

    (a) If a Horse is not stabled at a facility under the Authority's 
jurisdiction for the full 30 days prior to a Race or Workout for 
purposes of removal from the Veterinarians' List, the Responsible 
Person shall obtain and maintain the following information for the 
previous 30 days:
    (1) Name of the Horse or, if unnamed, the registered name of the 
dam and year of foaling;
    (2) generic name of the drug, or brand name of the drug if a non-
generic drug is used;
    (3) date and duration of the treatment;
    (4) route of administration;
    (5) dosage administered;
    (6) surgical procedures;
    (7) non-surgical therapies and procedures; and
    (8) any other information necessary to maintain and improve the 
health and welfare of the Horse.
    (b) If a Horse is not stabled at a facility under the Authority's 
jurisdiction for 60 days prior to a Race or Workout for purposes of 
removal from the Veterinarians' List, the Responsible Person shall 
obtain and maintain the following information:
    (1) The last 30 days of exercise activity at the facility;
    (2) the last 30 days of treatments and procedures at the facility; 
and
    (3) any other information necessary to maintain and improve the 
health and welfare of the Horse.

2260. Claiming Races

2261. Transfer of Claimed Horse Records

    (a) Entry of Horses subject to being claimed in a Claiming Race 
implies Owner (Trainer as the agent of the Owner) consent for transfer 
of all Trainer and veterinary examination and treatment records for the 
last 60 days to the new Trainer of the claimed Horse.
    (b) If a Horse is successfully claimed by a new Trainer, the 
previous Trainer must transfer Trainer records and authorize transfer 
of veterinary records to the new Trainer within 3 days of transfer of 
the Horse to the new Trainer.

2262. Void Claim

    (a) Title to a Horse which is claimed shall be vested in the 
successful claimant from the time the field has been dispatched from 
the starting gate and the Horse becomes a starter.
    (b) All claimed Horses shall go to the test barn for observation by 
the Regulatory Veterinarian.
    (c) The claim shall be voided, and ownership of the Horse retained 
by the original Owner if:
    (1) The Horse dies on the racing track;
    (2) the Horse is euthanized before leaving the racing track;
    (3) the Horse is vanned off of the racing track by discretion of 
the Regulatory Veterinarian;
    (4) the Regulatory Veterinarian determines within 1 hour of the 
race that the Horse will be placed on the Veterinarians' List as Bled, 
physically distressed, medically compromised, unsound, or lame before 
the Horse is released to the successful claimant; or
    (5) the Horse has a positive test for a Prohibited Substance.
    (d) The claim shall not be voided if, prior to the Race in which 
the Horse is claimed, the claimant elects to claim the Horse regardless 
of whether the Regulatory Veterinarian determines the Horse will be 
placed on the Veterinarians' List as Bled or unsound or the Horse tests 
positive for a Prohibited Substance.

2262. Waiver Claiming Option

    At time of entry into a Claiming Race an Owner or Trainer may opt 
to declare a Horse ineligible to be claimed provided:
    (a) The Horse has not started in 120 days;
    (b) the Horse's last start must have been for a claiming price; and
    (c) the Horse is entered for a claiming price equal or greater than 
the price it last started for.

2270. Prohibited Practices and Requirements for Safety and Health of 
Horses

2271. Prohibited Practices

    The following are prohibited practices:
    (a) Use of physical or veterinary procedures to mask the effects or 
signs of injury so as to allow training or racing to the detriment of 
the Horse's health and welfare.
    (b) Use of extracorporeal shock wave therapy in a manner that may 
desensitize any limb structures during racing or training.
    (c) Surgical or chemical neurectomy to cause desensitization of 
musculoskeletal structures associated with the limbs.
    (d) Thermocautery including but not limited to pin firing and 
freeze firing, or application of any substance to cause vesiculation or 
blistering of the skin, or a counter-irritant effect.
    (e) Use of a device to deliver an electrical shock to the Horse 
including but not limited to cattle prods and batteries.
    (f) Use of electrical medical therapeutic devices including 
magnetic wave therapy, laser, electro-magnetic blankets, boots, 
electro-shock, or any other electrical devices that may produce an 
analgesic effect within 48 hours of a training activity or of the start 
of the published post time for which a Horse is scheduled to race.

2272. Shock Wave Therapy

    (a) The use of Shock Wave Therapy shall be disclosed to the 
Regulatory Veterinarian no less than 48 hours prior to use and shall 
not be permitted unless the following conditions are met:
    (1) Any Shock Wave Therapy may only be performed with machines that 
are:
    (i) Registered and approved for use by the State Racing Commission; 
and
    (ii) used at a previously disclosed location that is approved by 
the State Racing Commission.
    (2) The use of Shock Wave Therapy shall be limited to licensed 
Veterinarians and must be reported to the Regulatory Veterinarian 
within 48 hours of treatment to the Authority.
    (3) Any treated Horse shall be placed on the Veterinarians' List 
and shall not be permitted to Race or breeze for 30 days following 
treatment.
    (b) The Veterinarian and Trainer shall be suspended from the 
Racetrack for a period of 5 days if Shock Wave Therapy

[[Page 457]]

has not been reported within 48 hours of any treatment or procedure 
administered to a Covered Horse. For each subsequent omission of 
reporting, an additional 5 days suspension shall be added. If there are 
3 violations in a calendar year, the Veterinarian and Trainer shall be 
suspended for 6 months in the subsequent calendar year.

2273. Other Devices

    No electrical or mechanical device or other expedient designed to 
increase or retard the speed of Covered Horse, other than the riding 
crop permitted under these regulations, shall be possessed by anyone, 
or applied by anyone, to a Covered Horse at any time on Racetrack 
grounds or during a Workout.

2274. Other Device Penalties

    Penalties for violations of Rule 2273 shall be as follows:
    (a) The penalty for a first offense shall be loss of eligibility to 
obtain a racing license in all racing jurisdictions for 10 years.
    (b) For any subsequent violation, the penalty shall be loss of 
eligibility to obtain a racing license in all racing jurisdictions for 
the life of the Covered Person.

2275. Communication Devices

    The use of a hand-held communication device by a rider is 
prohibited while the rider is on the racing track.

2276. Horseshoes

    (a) Except for full rims 2 millimeters or less from the ground 
surface of the Horseshoe, traction devices are prohibited on forelimb 
and hindlimb Horseshoes during racing and training on dirt or synthetic 
racing tracks.
    (b) Traction devices are prohibited on forelimb and hindlimb 
Horseshoes during training and racing on the turf.
    (c) Traction devices include but are not limited to rims, toe 
grabs, bends, jar calks and stickers.

2280. Use of Riding Crop

    (a) A Jockey or exercise rider who uses a crop during a Race or 
Workout shall do so only in a professional manner consistent with 
maintaining focus and concentration of the Horse for safety of Horses 
and riders, or for encouragement to achieve optimal performance.
    (b) A rider may:
    (1) Use the crop on the hindquarters to activate and focus the 
Horse a maximum of 6 times during a race. The 6 permitted uses shall be 
in increments of 2 or fewer strikes. The rider must allow at least 2 
strides for the Horse to respond before using the crop again.
    (2) Tap the Horse on the shoulder with the crop while both hands 
are holding on to the reins and both hands are touching the neck of the 
Horse.
    (3) Show or wave the crop to the Horse without physically 
contacting the Horse.
    (4) Use the crop to preserve the safety of Horses and riders.
    (c) A rider may not:
    (1) Raise the crop with the rider's wrist above the rider's helmet 
when using the crop;
    (2) Injure the Horse with the crop or leave any physical marks, 
such as welts, bruises, or lacerations;
    (3) Use the crop on any part of the Horse's body other than the 
shoulders or hindquarters;
    (4) Use the crop during the post parade or after the finish of the 
race other than to avoid a dangerous situation or preserve the safety 
of Horses and riders;
    (5) Use the crop if the Horse has obtained its maximum placing;
    (6) Use the crop persistently even though the Horse is showing no 
response;
    (7) Use a crop on a 2-year-old Horse in races before April 1 of 
each year other than to avoid a dangerous situation or preserve the 
safety of Horses and riders; or
    (8) Strike another Horse or person with the crop.
    (d) In any Race in which a Jockey will ride without a crop, that 
fact shall be declared at entry, included in the official program, and 
an announcement of that fact shall be made over the public address 
system.

2281. Riding Crop Specifications

    (a) Riding crops are subject to inspection by the Safety Officer, 
stewards, and the clerk of the scales.
    (b) All riding crops must be soft-padded.
    (c) Riding crops shall have a shaft and a smooth foam cylinder and 
must conform to the following dimensions and construction:
    (1) The maximum allowable weight shall be 8 ounces;
    (2) The maximum allowable length, including the smooth foam 
cylinder attachment, shall be 30 inches;
    (3) The minimum diameter of the shaft shall be three-eighths of one 
inch; and
    (4) The shaft, beyond the grip, must be smooth, with no protrusions 
or raised surface, and covered by shock absorbing material that gives a 
compression factor of at least one millimeter throughout its 
circumference.
    (5) There shall be no binding within 7 inches of the end of the 
shaft.
    (6) The smooth foam cylinder is the only allowable attachment to 
the shaft and must meet the following specifications:
    (i) Shall have no reinforcements;
    (ii) Shall have a maximum length beyond the shaft of one inch;
    (iii) Shall have a minimum diameter of 0.8 inches and a maximum 
width of 1.6 inches;
    (iv) There shall be no other reinforcements or additions beyond the 
end of the shaft;
    (v) Shall be made of shock absorbing material with a compression 
factor of at least 5 millimeters throughout its circumference;
    (vi) Shall be made of a waterproof, ultraviolet, and chemical 
resistant foam material that is durable and preserves its shock 
absorption in use under all conditions; and
    (vii) Shall be replaced after reasonable wear and tear is visibly 
evident.
    (7) Riding crops shall not be altered and shall have an appropriate 
label or marking designating that the riding crop meets the required 
standards as established by the Authority.

2282. Riding Crop Violations and Penalties

    (a) Violations of Rule 2280 shall be categorized as follows, with 
the exception that use of the crop for the safety of Horse and rider 
shall not count toward the total crop uses:
    (1) Class 3 Violation--1 to 3 strikes over the limit.
    (2) Class 2 Violation--4 to 9 strikes over the limit.
    (3) Class 1 Violation--10 or more strikes over the limit.
    (b) Unless the stewards determine the merits of an individual case 
warrant consideration of an aggravating or mitigating factor, the 
penalties for violations are as follows:
    (1) Class 3 Violation--
    (i) $250 or 10% of Jockey's portion of the purse, whichever is 
greater;
    (ii) Minimum 1-day suspension for the Jockey; and
    (iii) 3 points;
    (2) Class 2 Violation--
    (i) $500 or 20% of Jockey's portion of the purse, whichever is 
greater;
    (ii) Horse disqualified from purse earnings,
    (iii) Minimum 3-day suspension for the Jockey; and
    (iv) 5 points;
    (3) Class 1 Violation--
    (i) $750 fine or 30% of Jockey's portion of the purse, whichever is 
greater,
    (ii) Horse disqualified from purse earnings,
    (iii) Minimum 5-day suspension for the Jockey;

[[Page 458]]

    (iv) 10 points.

2283. Multiple Violations

    (a) Stewards shall submit violations of Rule 2282 to the Authority 
to identify when multiple violations warrant additional suspensions 
consistent with the following schedule:
    (1) 11-15 points: 7 days.
    (2) 16-20 points: 15 days.
    (3) 21 or more points: 30 days.
    (b) Points assigned under Rule 2282 shall expire according to the 
following schedule:
    (1) Class 3 Violation: 6 months.
    (2) Class 2 Violation: 9 months.
    (3) Class 1 Violation: 1 year.
    (c) For purposes of paragraph (b), points are expunged from the 
date of final adjudication of the violation and not from the date of 
the violation. Mandatory suspensions are based on points accumulated 
for multiple violations and do not apply to single violations.

2290. Requirements for Safety and Health of Jockeys

2291. Jockey Eligibility

    (a) A Jockey shall pass a physical examination given within the 
previous 12 months by a licensed physician affirming the Jockey's 
fitness to participate as a Jockey, as well as a baseline Concussion 
test using a current Concussion testing protocol. The results of the 
physical examination and the baseline Concussion test shall be 
submitted to the State Racing Commission and the Authority.
    (b) The stewards may require that any Jockey be reexamined and may 
refuse to allow any Jockey to ride in a race or Workout pending 
completion of such examination.

2292. Jockey and Exercise Rider Medical History Information

    (a) At all times while mounted on a Horse at a Racetrack, a Jockey 
or exercise rider shall securely attach to his or her safety vest one 
or more medical information cards describing his or her medical history 
and any conditions pertinent to emergent care, including a listing of 
any previous injuries, drug allergies and current medications.
    (b) The stewards shall confirm compliance during their safety vest 
inspections at the beginning of the season and with random inspections 
throughout the Race Meet.
    (c) The stewards may, in their discretion, take disciplinary action 
against, suspend, make ineligible to race, or fine any Jockey or 
exercise rider found in violation of Rule 2292.

2293. Equipment

    (a) Helmets.
    (1) Any person mounted on a Horse or stable pony anywhere on 
racetrack grounds shall always wear a properly secured safety helmet.
    (2) All starting gate personnel shall always wear a properly 
secured safety helmet while performing their duties or handling a 
Horse.
    (3) The safety helmet may not be altered in any manner and the 
product marking shall not be removed or defaced.
    (4) The stewards, or their designees, shall inspect safety helmets 
at the beginning of a Race Meet and randomly throughout the Race Meet.
    (5) The Clerk of Scales shall report to the stewards any variances 
of safety helmets seen during the course of their work.
    (6) The helmet must comply with one of the following minimum safety 
standards or later revisions:
    (i) American Society for Testing and Materials (ASTM 1163);
    (ii) European Standards (EN-1384 or PAS-015 or VG1);
    (iii) Australian/New Zealand Standards (AS/NZ 3838 or ARB HS 2012); 
or
    (iv) Snell Equestrian Standard 2001.
    (b) Vests.
    (1) Any person mounted on a Horse or stable pony on the racetrack 
grounds must wear a properly secured safety vest at all times.
    (2) All starting gate personnel must wear a properly secured safety 
vest at all times while performing their duties or handling a Horse.
    (3) The safety vest may not be altered in any manner and the 
product marking shall not be removed or defaced.
    (4) The stewards shall inspect safety vests at the beginning of a 
Race Meet and randomly throughout the Race Meet.
    (5) The clerk of scales shall report to the stewards any variances 
of safety vests seen during their course of work.
    (6) The safety vest must comply with one of the following minimum 
standards, as the same may be from time to time amended or revised:
    (i) British Equestrian Trade Association (BETA):2000 Level 1;
    (ii) iEuro Norm (EN) 13158:2000 Level 1;
    (iii) American Society for Testing and Materials (ASTM) F1781-08 or 
F1937;
    (iv) Shoe and Allied Trade Research Association (SATRA) Jockey Vest 
Document M6-3; or
    (v) Australian Racing Board (ARB) Standard 1.1998.

Appendix--Supporting Documentation Submitted by HISA

    The Authority submitted a variety of materials to reflect 
existing standards, scientific data, studies, and analysis utilized 
in the development of the proposed rules, which are available for 
public inspection at https://www.regulations.gov under docket number 
FTC-2021-0076. These materials are referred to in the Authority's 
filing as exhibits, a complete list of which appears below:
    Exhibit 1--National Thoroughbred Racing Association Safety & 
Integrity Alliance Code of Standards (2021).
    Exhibit 2--Association of Racing Commissioners International, 
Model Rules of Racing, Version 10.1 (2021), https://www.arci.com/wp-content/uploads/2021/12/MODELRULESMASTERVERSION10. 11129.pdf.
    Exhibit 3--A comparison of the substantive terms of the proposed 
rule with safety standards and provisions of the NTRA Code of 
Standards and the specific ARCI Rules.
    Exhibit 4--International Federation of Horseracing Authority, 
International Agreement on Breeding, Racing and Wagering.
    Exhibit 8--Mid-Atlantic Strategic Plan to Reduce Equine 
Fatalities Goal l: Develop regional safety best practices.
    Exhibit 9--Mid-Atlantic Strategic Plan to Reduce Equine 
Fatalities--Best Practices Mortality Review Board.
    Exhibit 10--California Code of Regulations Article 15; 
Veterinary Practices 1846.5; Postmortem Examination (a)-(h).
    Exhibit 11--Jockeys' Guild, Inc. and the NTRA Safety & Integrity 
Alliance Medical Director Committee, Medical Care Recommendations.
    Exhibit 12--AAEP Healthy Horse Protocol: Biosecurity Guidelines 
for Racetrack Entry and Stabling (2020).
    Exhibit 13--AAEP General Biosecurity Guidelines.
    Exhibit 14--AAEP Clinical Guidelines for Veterinarians 
Practicing in a Pari-Mutuel Environment--Infectious Disease Control.
    Exhibit 15--Walsh KM, Cooper MA, Holle R, Rakov VA, Roeder WP, 
Ryan M. ``Lightning Safety for Athletics and Recreation.'' Journal 
of Athletic Training (2013): 258-70.
    Exhibit 16--American Association of Equine Practitioners, 
Thoroughbred Race Day Injury Management Guidelines.
    Exhibit 17--Equine Disease Communication Center website.
    Exhibit 18--National Thoroughbred Racing Association Safety & 
Integrity Alliance Code of Standards: Surfaces 2020.
    Exhibit 19--Racing Surfaces Testing Laboratory website.
    Exhibit 20--AAEP Guidelines, Necropsies of Racehorses, General 
Guidelines, Revised by AAEP Racing Committee 2020.
    Exhibit 21--NYCRR Title 9, Executive Subtitle T New York State 
Gaming Commission Chapter 1 Division of Horse Racing and Pari-mutuel 
Wagering, Subchapter A Thoroughbred Racing, Article 1 Rules of 
Racing, Part 4007 Horses.

[[Page 459]]

    Exhibit 22--Thoroughbred Horseman's Association, Continuing 
Education for Trainers and Assistant Trainers.
    Exhibit 23--Centers for Disease Control, Heads Up--Brain Injury 
Basics--Returning to Sports and Activities.
    Exhibit 24--National Athletic Trainers' Association Position 
Statement: Management of Sports Concussion.
    Exhibit 25--MedStar Sports Medicine Concussion Protocol for 
Jockeys and Horsemen.
    Exhibit 26--MedStar Sports Medicine--Concussion Protocol video.
    Exhibit 27--The Jockey Club Thoroughbred Safety Committee 
Recommendation, August 12, 2012 (revised August 5, 2021).
    Exhibit 28--Kane AJ, Stover SM, Gardner IA, et al. Horseshoe 
characteristics as possible risk factor for fatal musculoskeletal 
injury of Thoroughbred racehorses. American Journal of Veterinary 
Research, 1996, Vol. 57, No. 8, Pages 1147-52.
    Exhibit 29--Casner B. 2010 Jockey Club Welfare & Safety 
Committee Presentation--Welfare and Safety of the Racehorse Summit.
    Exhibit 30--Harvey AM, Williams SB, Singer ER. The effect of 
lateral heel studs on the kinematics of the equine digit while 
cantering on grass. Veterinary Journal 2012 May;192(2):217-21. doi: 
10.1016/j.tvjl.2011.06.003. Epub 2011 Jul 12. PMID: 21752677.
    Exhibit 31--Hill AE, Gardner IA, Carpenter TE, Stover SM. 
Effects of injury to the suspensory apparatus, exercise, and 
horseshoe characteristics on the risk of lateral condylar fracture 
and suspensory apparatus failure in forelimbs of Thoroughbred 
racehorses. American Journal Veterinary Research, 2004, 65 (11), 
1508-17.
    Exhibit 32--Hill AE, Stover SM, Gardner IA, et al. Risk factors 
for and outcomes of noncatastrophic suspensory injury in 
Thoroughbred racehorses. Journal American Veterinary Medical 
Association. 2001, Vol. 218, 1136-44.
    Exhibit 33--Hernandez JA, Scollay MC, Hawkins DL, et al. 
Evaluation of horseshoe characteristics and high-speed exercise 
history as possible risk factors for catastrophic musculoskeletal 
injury in Thoroughbred racehorses. American Journal Veterinary 
Research 2005; 66:1314-1320.
    Exhibit 34--Anthenill LA, Stover SM, Garner IA, Hill AE. Risk 
Factors for proximal sesamoid bone fractures associated with 
exercise history and horseshoe characteristics in Thoroughbred 
racehorses. American Journal Veterinary Research, 2007, 68 (7), 760-
71.
    Exhibit 35--Kentucky Horse Racing Commission Administrative 
Regulations--810 KAR 4:010. Horses--Section 11 Equipment.
    Exhibit 36--IFHA Use of the Whip, ``IFHA Principles of Good 
Practice for the use of the Whip in Horseracing.''
    Exhibit 37--Schambourg nociceptive thresholds in endurance 
horses, Vet Rec 2019.
    Exhibit 38--The Use of Whips in Thoroughbred Racing in 
Australia, RSPCA Information Paper--November 2020.
    Exhibit 39--Thompson--Is Whip Use Important to Thoroughbred 
Racing Integrity? What Stewards' Reports Reveal about Fairness to 
Punters, Jockeys and Horses--Animals, 1985.
    Exhibit 40--Toma--Assessing Forces Exerted on Horses Using 
Varying Riding Crop--Journal of Equine Veterinary Science, 2021.
    Exhibit 41--Tong--A Comparative Neuro-Histological Assessment of 
Gluteal Skin.
    Exhibit 42--Ueda Y, Yoshia K, Oikawa M. Analysis of race 
accident conditions through use of patrol video. J Equine Vet Sci 
1993;13:707-710.
    Exhibit 43--Deuel--Effects of Urging by the Rider on Gallop 
Stride Characteristics of Quarter Horses--Equine Nutrition and 
Physiology Society--1988 Issue.
    Exhibit 44--McGreevy--Whip Use by Jockeys in a Sample of 
Australian Thoroughbred Races--An Observational Study--PLOS ONE 
2012.
    Exhibit 45--Pinchbeck--Whip use and race progress are associated 
with horse falls in hurdle and steeplechase racing in the UK--Equine 
Veterinary Journal, 2004.
    Exhibit 46--Mills and Higgins--Investigation of the Potential of 
Whips to Injure Horses--1996.
    Exhibit 47--Jones--A Critical Analysis of the British 
Horseracing Authority's Review of the Use of the Whip in 
Horseracing--Animals 2015.
    Exhibit 48--Luna--Validation of mechanical, electrical and 
thermal nociceptive stimulation methods in horses--Equine Veterinary 
Journal 2015.
    Exhibit 49--McGreevy--A note on the force of whip impacts 
delivered by jockeys using forehand and backhand strikes--Journal of 
Veterinary Behavior 2013.
    Exhibit 50--Evans--An Investigation of Racing Performance and 
Whip Use by Jockeys in Thoroughbred Races--PLOS ONE 2011.
    Exhibit 51--Graham--Changing Human-Animal Relationships in 
Sport: An Analysis of the UK and Australian Horse Racing Whips 
Debates, Animals, 2016.
    Exhibit 52--Haussler--Mechanical nociceptive thresholds in the 
axial skeleton of horses, Equine Veterinary Journal, 2006.
    Exhibit 53--ARCI Crop Rule Penalties--ARCI-010-035 Running of 
the Race--(Proposed Rule Text).
    Exhibit 54--The Jockey Club Thoroughbred Safety Committee 
Recommendation, August 14, 2016 (modified 8/11/19).
    Exhibit 55--California Proposed Crop Equipment Rule--1685. 
Equipment Requirement.
    Exhibit 56--New Jersey Rule 13:70-11.12.
    Exhibit 57--Gulfstream Park Crop Rule.
    Exhibit 58--British Horseracing Authority Rules of Racing 1 
October 2021 Version 2021.4.1, 4-Whip Rule (F)45.

    By direction of the Commission.
April J. Tabor,
Secretary.
[FR Doc. 2021-28513 Filed 1-4-22; 8:45 am]
BILLING CODE 6750-01-P