Takeaways From Tucson: HISA Talk Dominates Global Symposium On Racing

With the Horseracing Integrity and Safety Authority (HISA) beginning to roll out proposed regulations to the Federal Trade Commission in advance of its scheduled start-up July 1, 2022, the agency created through federal legislation to regulate anti-doping and safety policies for Thoroughbred racing dominated discussions on the opening day of the 47th annual Global Symposium on Racing at Loews Ventana Canyon in Tucson, Ariz., on Tuesday. The Symposium is conducted by the University of Arizona's Race Track Industry Program under the leadership of its new chair, Robert Hartman, a graduate of the program and a former racing industry executive.

Here are some takeaways from the day's presentations and discussions, which included four segments focused on HISA, a keynote address from new National Thoroughbred Racing Associations president and CEO Tom Rooney, and a high-powered panel featuring the top executives of four major racetrack organizations: 1/ST Racing (The Stronach Group), Del Mar, Keeneland and the New York Racing Association.

HISA Drug Testing Will Be Phased In

Charles Scheeler, the chairman of HISA, outlined the progress the organization has made during a very compressed timeline from passage of the legislation in December 2020 until its mandated launch July 1. A board of directors and chairman was named in May 2021, interim staff including a CEO was hired in July, when meetings and collaboration with the presumed enforcement arm, the U.S. Anti-Doping Agency (USADA), began. In September, stakeholder talks started, along with meetings with current state regulators. HISA presented its draft of proposed safety regulations to the FTC on the eve of the Symposium. It requested and received a waiver from the FTC to delay submission of proposed anti-doping and medication policies for at least 10 days (until Dec. 16). Draft anti-doping/medication regulations shared with industry organizations were met with considerable feedback. The FTC will conduct public register review in January and February and the rules must be approved by March 1 – four months in advance of HISA's launch.

Scheeler said the final regulations approved “will not be perfect” or “written in stone.”

When HISA does begin operations on July 1, it will only conduct out-of-competition testing, leaving post-race testing and adjudication of any violations from those tests in the hands of the state racing commissions for the rest of the year. Scheeler said HISA would take over post-race testing on Jan. 1, 2023. HISA would adjudicate any violations detected from out-of-competition tests.

Scheeler said HISA also hopes to work with racing commissions when it begins post-race testing to use existing personnel for race-day blood and urine collections, adding that if something isn't broken HISA is not interested in fixing it.

Technology And Big Data Will Be Critical

Scheeler and Dr. Susan Stover, a HISA board member and chair of the Racetrack Safety Committee, spoke about the importance of technology and data to HISA's success. The “transformational database” referred to by Scheeler would include information on both covered persons and covered horses and provide trainers and owners an interface to report whenever a horse's location changes, an important component for out-of-competition testing.

Stover, whose breakthrough research at the University of California-Davis has led to greater understanding of injury prevention, said the opportunity to collect comprehensive data is extremely important for racing to reduce the rate of fatal or serious injuries and for the sport to maintain what she called its Social License to Operate (SLO) with the public.

Stover pointed out that the United States has in recent years reduced its rate of fatal injuries per thousand starts by 40% but still has a rate higher than in the United Kingdom, Australia/New Zealand and Hong Kong. “We have work to do,” she said.

Dr. Sue Stover (right) and Ann McGovern

Fatalities aren't the only concern to Stover, who said 3% of horses at the tracks are taken out of training each month, an attrition rate she estimated costs nearly $82 million to horse owners every month.

Some form of pre-existing condition was detected in almost 90% of fatally injured horses she has examined over the years, Stover said. Factors that led to increased risk included corticosteroid injections, recent lameness and abnormalities in pre-race exams. Stover said data collected on training intensity (speed works at longer distances) may help HISA develop best training practices, especially for horses coming off layoffs.

Racetrack accreditations by HISA will be phased in, with tracks currently accredited by the NTRA getting an interim three-year accreditation with HISA, provided they make good faith efforts in certain areas and adhere to data reporting requirements.

Ann McGovern, a racetrack safety committee member, said in response to a question from the audience that tracks that fail to be accredited will lose their ability to conduct interstate wagering.

HISA/USADA Price Tag Remains a Mystery

Scheeler said HISA was not yet in position to submit a budget for HISA operations, in part because it does not have a contract with USADA. Costs, he said, would also depend in part on how things are worked out with state racing commissions. “It will cost money,” Scheeler said, “but this is an investment.” He compared the industry's failure to advance safety and anti-doping programs to bridges and roads crumbling because of the lack of infrastructure investment. Some of that investment will be in what Scheeler described as a “powerful and rigorous investigation program” similar to the 5Stones Investigations unit hired by The Jockey Club that investigated many of the trainers, veterinarians and drug suppliers who were indicted on federal charges in March 2020.

In a separate panel, Ed Martin, president of the Association of Racing Commissioners International, said language in the bill that created HISA was flawed because it does not require state racing commissioners to help with funding. “They made a mistake with this bill,” said Martin. “They allowed the states to walk away.” Martin suggested that state budget directors will withdraw funding for horse racing regulations and drug testing once they find out they aren't required to help fund HISA.

Therapeutic Medication List Still Being Developed

A group that included Adolpho Birch, HISA board member and chair of the Anti-Doping and Medication Control Committee, reviewed how medication violations will be adjudicated, separating primary (most serious) and secondary (therapeutic) drug positives.

Jeff Cook, general counsel for USADA, said a goal will be to adjudicate cases more quickly: four weeks when doping violations for secondary medications are challenged and eight weeks for primary drugs. A national stewards panel will adjudicate the secondary cases with an arbitrator used for the more serious violations. Cases can also be appealed to an FTC administrative law judge.

Two notable changes from the current process are that split samples would not go to a lab of the trainer's choosing and public disclosure of complaints may come as soon as the trainer is notified.

Birch, general counsel for the Tennessee Titans, served previously as the NFL's top anti-doping officials and helped draft the league's drug policies. Birch said the NFL was struggling with controlling the widespread use of performance-enhancing drugs, with some players dying from drugs and others feeling the need to cheat to compete. “If we didn't change,” he said, “the sport was going to suffer irreparably.”

Dr. Tessa Muir, USADA's director of equine science, said the HISA Anti-Doping and Medication Control Committee is still in the process of drafting a therapeutic medication list and screening limits for those drugs.

Mr. Rooney Goes Back To Washington

In his keynote address – his first as NTRA president and CEO – former Florida Congressman Tom Rooney said his mission will be to represent the horse industry in Washington, D.C., where he served five terms in the House of Representatives, from 2009-'19.

Rooney succeeds Alex Waldrop, who served as NTRA chief executive for 15 years. Waldrop was honored on Tuesday by the Race Track Industry Program with the Clay Puett Award for outstanding contributions to the industry.

From a family that owns the NFL's Pittsburgh Steelers and has been involved in Thoroughbred, Standardbred and Greyhound racing, Rooney brings a solid resume to the position. As a former member of Congress, he understands how important it is to have an industry representative in the nation's capital.

That's never more important than today, he said, referencing high profile events like the sudden death of Medina Spirit, the first-place finisher in the Kentucky Derby, and the fact that “our opponents have not gone away and they never, ever will go away.”

Incoming NTRA president and CEO Tom Rooney

Rooney's family owns the Palm Beach Kennel Club in Florida, where Greyhound racing was recently eliminated in a state-wide vote.

Rooney said he will work to support a smooth transition to HISA, help racing benefit from sports betting and maintain favorable tax benefits for horse owners.

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Symposium: HISA Panels Light on Specifics

Over the course of three panel sessions Tuesday during the latest Race Track Industry Symposium (RTIP) at Tucson, Arizona, more flesh was publicly added to the bones of the Horseracing Integrity and Safety Act (HISA).

Nevertheless, overall specifics were pretty light on the ground–frustratingly so, for many–with an overarching message that the various medication and safety programs are very much a work in progress.

Looming over proceedings was yesterday's news that Kentucky Derby winner, Medina Spirit (Protonico), suffered an apparent sudden cardiac death after a scheduled workout at Santa Anita.

Indeed, Charles Scheeler, chairman of the Horseracing Integrity and Safety Authority–the broad non-profit umbrella established by HISA and commonly referred to as just the “Authority”–kicked the presentations off by warning that the sport is viewed by many to be in an “existential crisis.”

Highlighting how the U.S. has the worst catastrophic musculoskeletal injury rate among five major global racing jurisdictions–comprising the UK, Hong Kong, Australia/New Zealand and Canada–Scheeler called this a key metric for HISA.

“We have to understand that we've deferred maintenance here,” Scheeler said, of the industry's broad approach to equine health and safety.
Arguably the most salient tidbit Scheeler shared–at least in regards to a practical implementation of HISA—was that individual states will continue to conduct race-day testing and sample collection, if indeed HISA goes into effect on July 1 next year. Initially, the United States Anti-Doping and Agency (USADA) will manage the out-of-competition testing program, according to Scheeler.

However, when the 2023 season rolls around, USADA will then assume responsibility for both race-day testing and the out-of-competition testing program.

Scheeler explained that this staggered implementation allows for a number of key adjustments (which were laid out in a subsequent press release and posted again here):

  • A less disruptive transition to race-day testing from the middle of the racing season to the beginning of a new season
  • State Racing Commissions to synchronize budget cycles more easily
  • Laboratories more time to adapt to new standard
  • Greater opportunities for additional education on the new procedures and protocols for covered persons
  • More thorough testing and implementation of needed new technology solutions

And who adjudicates any medication violations during this time? Because of staggered implementation, individual states will continue to adjudicate the post-race samples they're charged with collecting, Scheeler explained.

If USADA encounters a violation of the out-of-competition testing program, “they will prosecute that according to the rules they have promulgated,” Scheeler said.

Scheeler also used his presentation to emphasize some of HISA's main selling points, such as a centralized database which identifies trends to reduce fatalities and catch cheats, as well as a “powerful, rigorous investigations program.”

And what about cost? Here, Scheeler didn't have an answer, explaining that the Authority was still working on that, though emphasizing an oft-repeated expectation that HISA will eventually produce economies of scale.

HISA Anti-Doping and Medication Control Committee

While this constituted the third HISA-related panel of the morning, it had arguably the most practical relevance for the industry, comprising, as it did, information on the everyday drug-testing and enforcement program proposed under HISA.

The panel was led by Jim Gates, director of the Anti-Doping and Medication Control standing committee. Adolpho Birch, committee chair, Scott Stanley, another committee member, along with USADA's Tessa Muir and Jeff Cook, all joined via Zoom.

The bulk of the first half of the presentation constituted a rundown of information that has been made public for a while, including the proposed results management process and an overview of the possible sanctions. Arguably the most salient information came via the public question period, towards the end, even though much sought after specifics were generally left dangling.

Under the new rules, a positive finding might not necessarily be publicly disclosed after the relevant parties have been notified, but when the violation has been confirmed via a B sample analysis. The panelists explained that the trainer and/or the agency have the discretion to disclose the finding before confirmation B sample analysis–especially in circumstances like an upcoming big race–but that the idea is to protect undue reputational damage.

Another key new ingredient to the way medication violations will be handled is the possibility of a sanction for a horse who tests positive–a seismic shift away from the current system.

Under the proposed guidelines, a horse will be automatically disqualified in the event of a race-day violation. But a horse also faces the possibility of a maximum 14-month sanction, depending on the substance and what is described as the “method.”

When asked about the philosophy behind these kinds of sanctions, Gates explained that “in most cases, when a horse is suspended, it is to give time for any medication to clear their system so that they would not have a competitive advantage going forward.”

It should also be noted that a horse can also face a sanction in the event of whereabouts violation. This is the intended system that horses can be tested anywhere and at any time with no advance notice from the moment they fall under the purview of the program until the moment they are permanently retired from racing.

A horse falls under HISA's auspices at one of four moments: the date of their first timed and reported workout at a track, the date of their first timed and reported workout at a training facility, the date of their first race entry, or the date of their first nomination to a race.

Under the new rules, a whereabouts violation could lead to a 12-month sanction for the respective horse. Just don't expect to see this whereabouts program go into effect immediately, with USADA warning that the practical working logistics need to be hashed out and phased in.

Another key bone of contention among industry stakeholders has been the lack, thus far, of a publicly available therapeutic substance list–in other words, those medications that would largely fall under the “secondary substances” umbrella.

Muir explained that the list is still being worked out. She added, however, that it will use a hybrid model of thresholds and screening limits. Read here for a more detailed explainer of what that difference means. Screening limits, Muir said, will be especially applicable for those substances commonly found in a horse's environment, and therefore a genuine threat of inadvertent contamination.

The panelists also explained that the committee was using as a key reference point the International Federation of Horseracing Authorities' (IFHA) thresholds for therapeutic substances. The IFHA's screening limits for urine can be found here. For blood, it's here.

In other talking points, the panelists explained the reasons behind deviating from the current multiple medication penalty system towards a much more punitive one. The change “allows for more stringent sanctions for those who commit more egregious violations or more frequent violations,” said Cook.

Cook also explained that the new system provides “more discretion to provide proportional sanctions based on the degree of fault of those involved.” Fines are permitted, for example, but not specified because “we want the fine to be meaningful to deter behavior,” Cook explained.

The panelists confirmed that veterinarians could face charges for certain offenses, though failed to provide any specifics.

Similarly, when asked exactly how the National Stewards Panel would work, the panel explained the goal was to employ the most qualified individual available but added scant other details.

Interestingly, when it comes to the education component, the panel explained that the general plan was to have an easy-to-use education module in English and Spanish to be taken by every “covered person.” But once again, it's unclear when that would be implemented and what the education module would specifically entail.

The draft Anti-Doping and Medication Control rules are expected to be submitted to the Federal Trade Commission (FTC) later this month.

HISA Racetrack Safety Committee

The second HISA-related presentation was a Q&A between Sue Stover, chair of the Racetrack Safety standing committee and the one who took the hot seat, with Ann McGovern, the committee's director, asking the questions.

This was a statistics-heavy presentation, with Stover broadly connecting the dots between plans under HISA to start collecting relevant data in a uniform manner and what is already known about the underlying factors predisposing racehorses to catastrophic injuries.

From the industry's standpoint, arguably the most immediately pertinent information concerned racetrack accreditation standards under HISA. According to the panel, current National Thoroughbred Racing Association (NTRA) accredited tracks will receive interim HISA accreditation that will last for three years, provided they comply with program requirements. Other non-NTRA accredited tracks will receive provisional accreditation lasting for one year.

The panelists provided a slide of some of the key ingredients of the accreditation program. The list included:

  • Expanded veterinary oversight
  • Void claim rule
  • Transfer of claimed horses' medical records
  • Surface maintenance and measurement standards
  • Enhanced reporting standards
  • Data reporting: medications, treatments, injuries and fatalities,
  • Jockey concussions and medical care reporting

The panelists warned, however, that accreditation isn't automatic nor assured for any length of time once given.

According to McGovern, “there are processes out there to help the smaller racetracks to get accredited and to learn what to do to meet the standards that are outlined.”

Stover warned, however, that “if a track were to lose accreditation, they will lose the ability to conduct interstate wagering.”
Earlier in the panel presentation, Stover–a long-time UC Davis professor–guided the audience through her research into some of the main factors underlying catastrophic breakdowns in racehorses, such as:

  • The mechanical loading and cyclical wear and tear on the fetlock joint
  • The relative safety of different surfaces
  • A horse's regulatory and medication history
  • The significance of under-conditioning and over training

Stover then explained how a key component of HISA's data collection program would be focused on these factors, at the heart of which is this statistic: That 85% of catastrophic injuries in racehorses are associated with pre-existing conditions.

Stover also explained that horses returning from a layoff are at greater risk of injury, and that, under HISA, they would be looking for information that explains what constitutes a good or bad lay-up program.

As such, “We are also asking trainers when they do send a horse for a lay-up period that they submit the training and medical records of the horse for that lay-up time,” explained McGovern.

A member of the audience asked the panel if, ultimately, this kind of data collection would lead to a scenario whereby a trainer, attending veterinarian and owner would have minimal say in a horse's training and racing program.

“That is not the intent,” McGovern replied. “The intent is to give the trainers and the vet the information so they can make the decisions on how they train the horse and how they race their horse.”

The Racetrack Safety proposed rules have already been submitted to the FTC for review, though the public will have the opportunity to tweak the document further during the mandatory public comment period.

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HISA to Take Over OOC Testing in July 2022, Race-Day Testing Start of 2023

The Horseracing Integrity and Safety Authority (HISA) announced the proposed implementation date of the Anti-Doping and Medication Control (ADMC) program Tuesday, saying out-of-competition testing would be administered, under HISA's jurisdiction, beginning with the program's effective date in July 2022. Race-day testing would remain under the jurisdiction of state regulators until the beginning of 2023 at which point this would transition to HISA's jurisdiction.

The proposed structure was announced by HISA Board Chair Charles Scheeler at the Global Symposium on Racing, hosted by the University of Arizona. Scheeler addressed the industry event along with Adolpho Birch, Chair of the Anti-Doping and Medication Control standing committee, and Susan Stover, Chair of the Racetrack Safety standing committee. The event marked the first time HISA officials addressed public audiences on the proposed rules and progress to date.

HISA and USADA developed the Anti-Doping and Medication Control approach in response to extensive feedback from regulators and other industry stakeholders. Specifically, HISA says, the phased approach would allow:

• A less disruptive transition to race-day testing from the middle of the racing season to the beginning of a new season
• State Racing Commissions to synchronize budget cycles more easily
• Laboratories more time to adapt to new standards
• Greater opportunities for additional education on the new procedures and protocols for covered persons
• More thorough testing and implementation of needed new technology solutions

“We have heard consistent feedback from stakeholders across the industry about the need for a phased implementation timeline for the Anti-Doping and Medication Control program. We agree with the feedback and believe the proposed phased approach will create a more efficient and effective program,” said HISA Board Chair Charles Scheeler. “The timeline will give all parties involved an opportunity to adapt to the new rules and will ultimately lead to greater confidence in the system, all while still ensuring continuity in the testing of equine athletes.”

As announced Monday, the Racetrack Safety proposed rules have been submitted to the FTC for review, public comment and approval with an effective date of July 1, 2022. Draft Anti-Doping and Medication Control rules will be submitted later in December, before the new year.

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HISA Sends Draft Of Racetrack Safety Regulations To Federal Trade Commission

The Horseracing Integrity and Safety Authority (the Authority) on Monday formally submitted draft Racetrack Safety regulations to the Federal Trade Commission (FTC) for review, public comment and final approval with an effective date of July 1, 2022.

The draft rules reflect significant work by the Authority's Racetrack Safety Committee and input from a broad range of regulators, experts, other industry stakeholders, and the general public. The rules will establish a national, uniform program including pre-race veterinary inspections, voided claim rules, racetrack surface maintenance, and the gathering of medications, treatment, and injury data.

In addition, the Authority notified the FTC of the Authority's intent to file final draft rules for the Anti-Doping and Medication Control (ADMC) program later in December, prior to the new year. To date, the United States Anti-Doping Agency (USADA) has led the process of authoring draft rules for the program in coordination with the Authority's ADMC Committee, led by Adolpho Birch. As explained in the formal waiver request, the Authority and USADA are continuing to finalize the terms of the agreement under which USADA will operate as the independent enforcement agency for the new rules. The organizations will also continue to evolve and refine the draft ADMC rules to take into account industry and public feedback.

“We are pleased to have submitted the draft Racetrack Safety rules which will make the sport safer for both equine and human athletes and thank the Authority's Racetrack Safety Committee for their hard work,” said Charles Scheeler, chairman of the Authority's Board of Directors. “In addition, we are deeply grateful for the diligence, expertise and leadership of USADA and the ADMC Committee in developing comprehensive draft ADMC rules in a remarkably short period of time. We are also grateful for the feedback we received from all segments of the racing community regarding these draft rules. We look forward to continuing our partnership as we finalize and operationalize new, nationwide regulations to ensure the integrity and safety of the sport.”

Please visit hisaus.org and follow the Authority on Twitter and Facebook to keep up with the latest developments.

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