Federal Register / Vol. 87, No. 3 / Wednesday, January 5, 2022 / Notices 435 

Colorado, individually and as trustee of 

all of the trusts listed; the Bergmann 

2011 Irrevocable Trust Under 

Agreement, Alma F. Bergmann, trustee, 

both of Bow Mar, Colorado; the 

Community Property Trusts under the 

Michael Dean Bergmann and Alma F. 

Bergmann Declaration of Trust, Alma F. 

Bergmann and Michael D. Bergmann, as 

co-trustees, all of Bow Mar, Colorado; 

Earl L. Wright, Castle Pines, Colorado; 

Nathan Bergmann and Kelley 

Bergmann, both of Denver, Colorado; to 

form the Wright/Bergmann group, a 

group acting in concert, to retain voting 

shares of AMG National Corp., 

Greenwood Village, Colorado, and 

thereby indirectly retain voting shares of 

AMG National Trust Bank, Boulder, 

Colorado. 

B. Federal Reserve Bank of 

Minneapolis (Chris P. Wangen, 

Assistant Vice President) 90 Hennepin 

Avenue, Minneapolis, Minnesota 

55480–0291: 

1. Scott A. Erickson and Matthew P. 

Bock, both of Sioux Falls, South Dakota: 

To retain voting shares of Leackco Bank 

Holding Company, Inc., Huron, South 

Dakota, and thereby indirectly retain 

voting shares of American Bank & Trust, 

Wessington Springs, South Dakota. 

Additionally, the 2021 Jeffory A. 

Erickson Irrevocable Trust No. 5 

(Erickson Trust 5), the 2021 Jeffory A. 

Erickson Irrevocable Trust No. 6 

(Erickson Trust 6), the 2021 Jeffory A. 

Erickson Irrevocable Trust No. 7 

(Erickson Trust 7), and the 2021 Jeffory 

A. Erickson Irrevocable Trust No. 8 

(Erickson Trust 8), and collectively, the 

‘‘New Erickson Trusts’’, Matthew P. 

Bock, as trust protector of the New 

Erickson Trusts, Scott A. Erickson as 

investment trust advisor of the New 

Erickson Trusts and trustee of Erickson 

Trust 5, 6 and 8, and Jamie L. Brown as 

trustee of Erickson Trust 7, all of Sioux 

Falls, South Dakota; to join the Erickson 

family shareholder group, a group acting 

in concert, by retaining voting shares of 

Leackco Bank Holding Company, Inc., 

and thereby indirectly retaining voting 

shares of American Bank & Trust. 

Finally, the 2021 Preston B. Steele 

Irrevocable Trust No. 1, the 2021 

Preston B. Steele Irrevocable Trust No. 

2, and the 2021 Preston B. Steele 

Irrevocable Trust No. 3, collectively, 

‘‘the New Steele Trusts’’, Matthew P. 

Bock, as investment trust advisor and 

trustee of the New Steele Trusts, and 

Scott A. Erickson, as trust protector of 

the New Steele Trusts, all of Sioux Falls, 

South Dakota; to join the Steele family 

shareholder group, a group acting in 

concert, by retaining voting shares of 

Leackco Bank Holding Company, Inc., 

and thereby indirectly retaining voting 

shares of American Bank & Trust. 

Board of Governors of the Federal Reserve 

System, December 30, 2021. 

Michele Taylor Fennell, 

Deputy Associate Secretary of the Board. 

[FR Doc. 2021–28573 Filed 1–4–22; 8:45 am] 

BILLING CODE P 

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. 

SUMMARY: The Horseracing Integrity and 

Safety Act of 2020 recognizes a selfregulatory 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 


TKELLEY on DSK125TN23PROD with NOTICE 
436 Federal Register / Vol. 87, No. 3 / Wednesday, January 5, 2022 / Notices 

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). 

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). 

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

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

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 cochairman 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. 


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Federal Register / Vol. 87, No. 3 / Wednesday, January 5, 2022 / Notices 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-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 


TKELLEY on DSK125TN23PROD with NOTICE 
438 Federal Register / Vol. 87, No. 3 / Wednesday, January 5, 2022 / Notices 

6See also Exhibit 8; Exhibit 9 (pages 6–9); Exhibit 

10. 

7See also Exhibit 9 (pages 2–3); Exhibit 2 (ARCI– 

006–015 Stewards); Exhibit 8; Exhibit 2 (ARCI–006– 

070 Official Veterinarian); Exhibit 11. 8See also Exhibit 1; Exhibit 2. 

9See also Exhibit 12; Exhibit 13; Exhibit 14; 

Exhibit 17. 

10See also Exhibit 1; Exhibit 2 (ARCI–007–020, 

Facilities and Equipment); Exhibit 18 (Surfaces); 

Exhibit 19 (Racing Surfaces Testing Laboratory 

website); Exhibit 15. 

reduced, maintaining racehorse 

inventory.6

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

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

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

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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11See 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. 

12See 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. 

13See also Exhibit 1 (referencing ARCI Model 

Rules ARCI 008–020(A)(4); ARCI 006–015(A), ARCI 

006–015(A)); Exhibit 22. 

14See also Exhibit 23; Exhibit 24; Exhibit 25; 

Exhibit 26. 

15See also Exhibit 1 (pages 42–43, referencing 

ARCI–011–10); Exhibit 2 (ARCI Model Rules of 

Racing—ARCI–011–010 Veterinary Practices). 

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

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

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

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

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

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 


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16See also Exhibit 2 (ARCI–011–030 Physical 

Inspection of Horses, B. Veterinarians’ List; Exhibit 

9 (pages 20–21); Exhibit 1 (Section E). 

17See 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). 18See also Exhibit 27; Exhibit 9 (pages 16–18). 

19See 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)). 

20See also Exhibit 1 (page 20); Exhibit 2 (ARCI– 

011–015 Prohibited Practices). 

21See also Exhibit 2 (ARCI–010–035 Running of 

the Race E(7)(c)—Use of Riding Crop); Exhibit 4. 

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

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 offtrack 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

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

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

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 highspeed training and racing, the rule also 

enhances jockey safety and welfare.20

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

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 


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22See 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). 23See 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. 

24See also Exhibit 1 (pages 22–24); Exhibit 2 

(ARCI–007–020 Facilities and Equipment); Exhibit 

2 (ARCI–008–030 Jockeys). 

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

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

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 injuryrelated concussion assessment. 

Stewards and the Clerk of Scales are 

responsible for monitoring and 

reporting non-compliance.24

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 


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442 Federal Register / Vol. 87, No. 3 / Wednesday, January 5, 2022 / Notices 

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 


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25Whitton, 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. 

27Anthenill, 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. 

28Carrier, 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. 

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 antiinflammatory 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. 

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, reinserted 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 


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

30 15 U.S.C. 3053(e). 

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. 

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 


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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). 

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

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. 


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34The 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. 

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 AntiDoping and Medication Control Protocol 

set forth in the Rule 3000 Series.34

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: 


TKELLEY on DSK125TN23PROD with NOTICE 
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(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; 


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(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 pandemicrelated issues among riders, workers, 

and spectators. 


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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 healthrelated 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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450 Federal Register / Vol. 87, No. 3 / Wednesday, January 5, 2022 / Notices 

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 preRace 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, intraarticular 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 preRace 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; 


TKELLEY on DSK125TN23PROD with NOTICE 
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(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-yearold 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 


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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 postWorkout 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 


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(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 


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Federal Register / Vol. 87, No. 3 / Wednesday, January 5, 2022 / Notices 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 softpadded. 

(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; 


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458 Federal Register / Vol. 87, No. 3 / Wednesday, January 5, 2022 / Notices 

(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. 


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Federal Register / Vol. 87, No. 3 / Wednesday, January 5, 2022 / Notices 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 NeuroHistological 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 HumanAnimal 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 

DEPARTMENT OF HEALTH AND 

HUMAN SERVICES 

Centers for Disease Control and 

Prevention 

Notice of Closed Meeting 

Pursuant to section 10(d) of the 

Federal Advisory Committee Act, as 

amended, notice is hereby given of the 

following meeting. 

The meeting will be closed to the 

public in accordance with the 

provisions set forth in sections 

552b(c)(4) and 552b(c)(6), Title 5 U.S.C., 

as amended, and the Determination of 

the Director, Strategic Business 

Initiatives Unit, Office of the Chief 

Operating Officer, CDC, pursuant to 

Public Law 92–463. The grant 

applications and the discussions could 

disclose confidential trade secrets or 

commercial property such as patentable 

material, and personal information 

concerning individuals associated with 

the grant applications, the disclosure of 

which would constitute a clearly 

unwarranted invasion of personal 

privacy. 

Name of Committee: Disease, Disability, 

and Injury Prevention and Control Special 

Emphasis Panel (SEP)—PAR 18–812, NIOSH 

Member Conflict Review. 

Date: February 23, 2022. 

Time: 1:00 p.m.–4:00 p.m., EST. 

Place: Teleconference. 

Agenda: To review and evaluate grant 

applications. 

For Further Information Contact: Michael 

Goldcamp, Ph.D., Scientific Review Officer, 

Office of Extramural Programs, National 

Institute for Occupational Safety and Health, 

CDC, 1095 Willowdale Road, Morgantown, 

West Virginia 26506, Telephone: (304) 285– 

5951, Email: MGoldcamp@cdc.gov. 

The Director, Strategic Business 

Initiatives Unit, Office of the Chief 

Operating Officer, Centers for Disease 

Control and Prevention, has been 

delegated the authority to sign Federal 

Register notices pertaining to 

announcements of meetings and other 

committee management activities, for 

both the Centers for Disease Control and 

Prevention and the Agency for Toxic 

Substances and Disease Registry. 

Kalwant Smagh, 

Director, Strategic Business Initiatives Unit, 

Office of the Chief Operating Officer, Centers 

for Disease Control and Prevention. 

[FR Doc. 2021–28521 Filed 1–4–22; 8:45 am] 

BILLING CODE P 


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