Weekly Stewards And Commissions Rulings, Oct. 31-Nov. 6

Every week, the TDN publishes a roundup of key official rulings from the primary tracks within the four major racing jurisdictions of California, New York, Florida and Kentucky.

Here's a primer on how each of these jurisdictions adjudicates different offenses, what they make public (or not) and where.

The TDN also posts a roundup of the relevant Horseracing Integrity and Safety Act (HISA) related rulings from the same week. These include decisions from around the country.

NEW HISA/HIWU STEWARDS RULINGS
The following rulings were reported on HISA's “rulings” portal and through the Horseracing Integrity & Welfare Unit's “pending” and “resolved” cases portals.

Resolved ADMC Violations
Date: 10/12/2023
Licensee: Chad Summers, trainer
Penalty: Treated as 1 violation with Rayya Valentine under 9/8/23 HISA Guidance.
Explainer: A possible violation of Rule 3314—Use or Attempted Use of a Controlled Medication Substance or a Controlled Medication Method—on the horse, Thank you Jon. This is also a possible violation of Rule 4222—Intra-Articular Injections Within Seven (7) Days of Timed and Reported Workout.

Date: 10/11/2023
Licensee: Chad Summers, trainer
Penalty: A fine of $3,000; imposition of 3 Penalty Points. Admission.
Explainer: A possible violation of Rule 3314—Use or Attempted Use of a Controlled Medication Substance or a Controlled Medication Method—on the horse, Rayya Valentine. This is also a possible violation of Rule 4222—Intra-Articular Injections Within Seven (7) Days of Timed and Reported Workout.

Date: 09/28/2023
Licensee: Ruben Gomez, trainer
Penalty: 7-day period of Ineligibility, beginning on November 2, 2023; a fine of $1,000; imposition of 2 Penalty Points.Admission.
Explainer: For the presence of Acepromazine—Controlled Medications (Class B)—in a sample taken from Blue Cloud. This is a possible violation of Rule 3312—Presence of Controlled Medication Substance and/or its Metabolites or Markers (Post-Race/Vets' List).

Date: 08/29/2023
Licensee: Kevin Fletcher, trainer
Penalty: 7-day period of Ineligibility, beginning on November 4, 2023; a fine of $1,000; imposition of 2 Penalty Points.Admission.
Explainer: For the presence of Caffeine—Controlled Medications (Class B)—in a sample taken from Ruby Layne. This is a possible violation of Rule 3312—Presence of Controlled Medication Substance and/or its Metabolites or Markers (Post-Race/Vets' List).

Date: 08/28/2023
Licensee: Shane Meyers, trainer
Penalty: None. EAD Notice Withdrawn
Explainer: For the presence of Altrenogest—a banned substance—in a sample taken from Mugsy Malone. This is a possible violation of Rule 3212—Presence of a Banned Substance and/or its Metabolites or Markers.

Date: 08/22/2023
Licensee: Thomas Kagele, trainer
Penalty: Public disclosure.
Explainer: Rule 3510 Disciplinary Proceedings/Refusal or Failure to Cooperate with HISA/HIWU.

Date: 08/11/2023
Licensee: Cathal Lynch, trainer
Penalty: Disqualification of Covered Horse's Race results, including forfeiture of all purses and other compensation, prizes, trophies, points, and rankings and repayment or surrender (as applicable); a fine of $500; imposition of 1.5 Penalty Points. Admission.
Explainer: For the presence of Flunixin—Controlled Medications (Class C)—in a sample taken from Saloon, who finished second at Laurel Park on 8/11/23. This is a possible violation of Rule 3312—Presence of Controlled Medication Substance and/or its Metabolites or Markers (Post-Race/Vets' List).

Date: 07/03/2023
Licensee: William Martin, trainer
Penalty: 30-day period of Ineligibility, beginning on November 7, 2023; Disqualification of Covered Horse's Race results, including forfeiture of all purses and other compensation, prizes, trophies, points, and rankings and repayment or surrender (as applicable); a fine of $2,500; imposition of 3 Penalty Points. Final decision of IAP.
Explainer: For the potential breach of Rule 4221—Alkalinization or Use of an Alkalinizing Agent (TCO2)—on Wild Irish, who won at Presque Isle Downs on 7/3/2023. This is also a possible violation of Rule 3313—Use of a Controlled Method During the Race Period.

Pending ADMC Violations
Date: 10/08/2023
Licensee: Francisco Soria, trainer
Penalty: Pending
Alleged violation: Medication violation
Explainer: For the presence of Dantrolene—Controlled Medications (Class C)—in a sample taken from Profit Hunter. This is a possible violation of Rule 3312—Presence of Controlled Medication Substance and/or its Metabolites or Markers (Post-Race/Vets' List).

Date: 10/07/2023
Licensee: Nancy Summers, trainer
Penalty: Pending
Alleged violation: Medication violation
Explainer: For the presence of Furosemide—Controlled Medications (Class C)—in a sample taken from Sweet Money, who finished second at Albuquerque Downs on 10/7/23. This is a possible violation of Rule 3312—Presence of Controlled Medication Substance and/or its Metabolites or Markers (Post-Race/Vets' List).

Date: 10/06/2023
Licensee: Jeffrey Dale Hudson, trainer
Penalty: Pending
Alleged violation: Medication violation
Explainer: For the presence of Flunixin—Controlled Medications (Class C)—in a sample taken from Yumiko's Candy. This is a possible violation of Rule 3312—Presence of Controlled Medication Substance and/or its Metabolites or Markers (Post-Race/Vets' List).

Date: 10/02/2023
Licensee: Reid France, trainer
Penalty: Pending
Alleged violation: Medication violation
Explainer: For the presence of Phenylbutazone—Controlled Medications (Class C)—in a sample taken from One Little Indian, who finished fourth at Golden Gate Fields on 10/2/23. This is a possible violation of Rule 3312—Presence of Controlled Medication Substance and/or its Metabolites or Markers (Post-Race/Vets' List).

Date: 09/22/2023
Licensee: Tanner Tracy, trainer
Penalty: Pending
Alleged violation: Medication violation
Explainer: For the presence of Cannabidiol—Controlled Medications (Class B)—in a sample taken from Carry On, who finished second at Prairie Meadows on 9/22/23. This is a possible violation of Rule 3312—Presence of Controlled Medication Substance and/or its Metabolites or Markers (Post-Race/Vets' List).

Date: 09/20/2023
Licensee: Adolfo Macias, trainer
Penalty: Provisionally suspended
Alleged violation: Medication violation
Explainer: For the possible possession of Levothyroxine (Thyro-L). This is a possible violation of Rule 3214(a)—Possession of Banned Substances

The following cases have been returned to the “pending violation” list having previously been resolved.
Date: 06/20/2023
Licensee: Joseph Taylor, trainer
Penalty: Provisionally suspended
Alleged Violation: Medication violation
Explainer: For the presence of Methylphenidate and Clenbuterol—both banned substances—in a sample taken from Classy American, who finished second at Parx Racing on 6/20/23. This is a possible violation of Rule 3212—Presence of a Banned Substance and/or its Metabolites or Markers.

Date: 06/18/2023
Licensee: Joseph Taylor, trainer
Penalty: Provisionally suspended
Alleged Violation: Medication violation
Explainer: For the presence of Methylphenidate and Clenbuterol—both banned substances—in a sample taken from Cajun Cousin, who finished second at Parx Racing on 6/18/23. This is a possible violation of Rule 3212—Presence of a Banned Substance and/or its Metabolites or Markers.

Violations of Crop Rule
One important note: HISA's whip use limit is restricted to six strikes during a race.

Delaware Park
Andres Chavez – violation date Nov 1; $250 fine

Horseshoe Indianapolis
Samuel Bermudez – violation date Nov 1; $250 fine, one-day suspension
Rogelio Miranda – violation date Nov 1; $100 fine

Mahoning Valley Race Course
Hector Berrios – violation date Oct 31; $750 fine, $7,800 purse forfeited, ten-day suspension, on appeal and stay denied

Santa Anita
Ryan Moore – violation date Nov 4; $20,800 fine, one-day suspension, on appeal and stay granted
More on the story here.

OTHER KEY RULINGS
Every week, the TDN publishes a roundup of key official rulings from the primary tracks within the four major racing jurisdictions of California, New York, Florida and Kentucky.
California
Track: Santa Anita
Date: 11/05/2023
Licensee: Irad Ortiz, jockey
Penalty: Three-day suspension
Violation: Careless riding
Explainer: Jockey Irad Ortiz, who rode Goodnight Olive in the fifth race at Santa Anita Park on November 4, 2023, is suspended for 3 racing days (November 12, 17 and 18, 2023) for failure to maintain a straight course in the stretch and causing interference; violation of California Horse Racing Board rule #1699 (Riding Rules – careless riding).
More on the story here.

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Ryan Moore, Irad Ortiz, Jr., Penalized For Winning Breeders’ Cup Rides

Two of the planet's top jockeys, Ryan Moore and Irad Ortiz, Jr., were penalized by the Santa Anita Park stewards for riding infractions aboard winning mounts on the Nov. 4 Breeders' Cup program.

Moore was fined $20,800 and suspended one day (Nov. 12) for being one whip strike over the limit of six when guiding 5-2 favorite Auguste Rodin (Ire) (Deep Impact {Jpn}) to victory in the GI Breeders' Cup Turf. Under Horseracing Integrity and Safety Act (HISA) rules, the fine equates to 10% of Moore's personal purse winnings from that stakes.

Cutting the corner for home with a deft rail run after looking hopelessly bottled up at the fence, Moore's winning ride on Auguste Rodin has been widely praised as one of the most brilliantly executed moves on the entirety of Breeders' Cup weekend.

Moore was also assigned three violation points that will be expunged from his record on May 5, 2024, or six months from the date of final HISA adjudication.

Ortiz was suspended three days (Nov. 12, 17, 18) “for failure to maintain a straight course in the stretch and causing interference” aboard 11-10 favorite Goodnight Olive (Ghostzapper), who successfully defended her title by winning the GI Breeders' Cup Filly & Mare Sprint.

There was no stewards' inquiry posted after Goodnight Olive's win. The Equibase chart noted that Goodnight Olive “drifted in, taking the path of Society [Gun Runner] near the three-sixteenths pole” before she “quickly opened clear and held safely.”

It was unclear at deadline for this story if Moore planned an appeal. After his Breeders' Cup engagements, he flew to Australia, where he was booked to ride in the G1 Melbourne Cup Nov. 7.

Moore is currently rated tops in points for the International Federation of Horseracing Authorities' World's Best Jockey rankings.

Ortiz's agent, Steve Rushing, told TDN that Ortiz is still weighing his options regarding an appeal.

“We're not sure yet. We spoke with a lawyer [Sunday]. We're going to make a decision either [later Monday or Tuesday]. It's a possibility, but we haven't decided yet,” Rushing said.

Ortiz, currently North America's leading jockey in both purse winnings and victories for 2023, is in the midst of serving a three-day “careless riding” suspension (Nov. 5, 9, 10) imposed by the Aqueduct Racetrack stewards for an Oct. 22 bumping incident that resulted in a victory for Ortiz's mount.

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Breeders’ Cup Outlines Comprehensive Safety and Integrity Measures in Place for 2023 World Championships

Edited Press Release

The Breeders' Cup World Championships at Santa Anita Park will be conducted according to industry-leading safety and integrity protocols to ensure the wellbeing of all human and equine athletes. As previously announced, Breeders' Cup introduced an enhanced pre-screening protocol in the lead-up to this year's World Championships, upholding its ongoing commitment to putting safety first.

This year also marks the first time the Breeders' Cup World Championships will run under the full jurisdiction of the Horseracing Integrity and Safety Authority (HISA), including the Anti-Doping and Medication Control (ADMC) Program, which took effect in May.

Breeders' Cup runners are subject to strict anti-doping and medication control requirements, including out-of-competition, pre-race, and post-race testing administered by the Horseracing Integrity and Welfare Unit (HIWU). Additional safety and integrity protocols include equine security and surveillance measures, enhanced veterinary exam procedures, injury management protocols and racing surface maintenance and testing in the leadup to the event.

Early Preparations: Out-of-Competition Testing, Veterinary Coordination & Racing Surface Oversight

Beginning in July 2023, a list of potential Breeders' Cup contenders was developed. The list included a combination of graded stakes winners, Challenge Series winners, and other horses on the possible starter list. HIWU then performed out-of-competition (OOC) testing for banned substances on those potential contenders. Blood samples were taken by HIWU-trained collection personnel and sent for testing to HIWU-accredited labs. Breeders' Cup OOC testing administered by HIWU concluded Oct. 30 and resulted in the collection of 226 samples.

The Breeders Cup Veterinary Team also began holding coordination meetings with counterparts from 1/ST Racing, HISA, HIWU and the California Horse Racing Board (CHRB) in July. Through a regular cadence of meetings in the ensuing months, the group outlined veterinary exam schedules, OOC testing, safety and medication regulations, injury management and diagnostic tool implementation.

Dr. Mick Peterson, Program Director of the University of Kentucky Racetrack Safety Program, has worked in collaboration with 1/ST Racing Track Consultant Dennis Moore throughout the year. Both surface experts have also consulted with HISA's new Track Surfaces Advisory Group throughout their evaluation and maintenance operations of the racing surfaces at Santa Anita Park.

Safety & Integrity Protocols: October through World Championships Week

The five-member Breeders' Cup Veterinary Review Team completed its initial phase of enhanced pre-screening protocols on Oct. 23. This included:

  • The assessment of veterinary and treatment records as well as training and racing patterns associated with more than 200 potential contenders;
  • Physical examinations conducted by veterinarians in relevant racing jurisdictions around the world; and
  • The use of advanced diagnostic tools in the event additional scrutiny was required.

Attending veterinarians for all potential Breeders' Cup runners were required to submit 30-day treatment records–a nationwide requirement under HISA that will inform the Breeders' Cup Veterinary Review Team's second review–upon pre-entry. 24-hour surveillance began following the mandatory equine security check-in at 10:00 pm PT on Sunday, Oct. 29 for international runners and 11:00 am PT on Tuesday, Oct. 31 for domestic runners. All horses entered in a Breeders' Cup race underwent an additional round of HIWU-administered pre-race blood testing for banned substances on Tuesday, Oct. 31, with results set to be returned by race day.

Additionally, every Breeders' Cup runner is subject to:

  • Comprehensive onsite veterinary exams, including jog exams and the use of diagnostic technology as needed, beginning Wednesday, Oct. 25;
  • Random physical examination at the determination of the Breeders' Cup Veterinary Team;
  • In-stall and on-track veterinary oversight during training and schooling;
  • Mandatory jog-up veterinary exams before exiting any racing or training surface at Santa Anita Park starting Friday, Oct. 27;
  • Pre-race veterinary examinations in the barn and veterinary monitoring of horses in the paddock and during warm-up on race day;
  • Extensive post-race testing of the first four finishers as well as any runner that does not perform as expected and other runners as designated by the stewards; and
  • Observation of all other finishers cooling out as they exit the racetrack to determine if any need aid.

Throughout the week leading up to the World Championships, Dr. Mick Peterson's team has been conducting various checks to evaluate all track surfaces. Additionally, TurfTrax software has been employed to measure the condition of the turf track. These results are posted daily for horsemen and the media.

Additional resources detailing Breeders' Cup's health and safety protocols for the 2023 World Championships can be found here and downloaded here.

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Given 22-Month Suspension From HIWU, Trainer Poole Calls Process A ‘Joke’

When two members of Gulfstream Park's security team and a veterinarian descended on his barn on the morning of June 2, the 62-year-old trainer Jeff Poole didn't think he had anything to worry about. According to the Jockey Club's Thoroughbred Regulatory Rulings website, Poole, who has been training since 1989, had never had a violation of any kind. And his recent record–he had won 11 races combined since 2021–hardly suggested that he was a trainer who was taking an edge.

Even when investigators found in his office a tube of Thyro-L, which is used with horses for the correction of conditions associated with low-circulating thyroid hormone, Poole wasn't that alarmed. He was given a prescription for the medication in September to use on a horse that was subsequently transferred to another trainer a month later. He says he had not used the drug on any horse since. At the time, it was perfectly legal to use the drug if a prescription had been obtained and in the states Poole raced in, Florida and Ohio, it was not illegal to possess the medication.

Then everything changed on May 22 when the Horseracing Integrity and Welfare Unit (HIWU) took over, handling the drug testing at most U.S. racetracks and levying the penalties for those who were found to have violated HIWU rules. Under the new Anti-Doping and Medication Control (ADMC) rules, the mere possession of Thyro-L was a serious violation as the drug had been designated a banned substance. Suspensions for banned substances carry suspensions of up to two years.

Jeff Poole was in a lot of trouble.

“I was totally unaware I had (Thyro-L),” he said. “I would have thrown it away. I wasn't even using it and they don't accuse me of using it. All they've accused me of is having it. It is not a performance-enhancing drug. This is a joke.”

Poole got the prescription for use on a horse named King Andres on Sept. 27, 2022 while the horse was training at Thistledown. After that race, he was transferred to the barn of trainer Randy Faulkner. The Thyro-L prescription was written by Dr. Scott Shell. In what may be nothing more than a coincidence, Shell was provisionally suspended by HIWU for being in possession of banned substances, none of which were Thyro-L.

From Thistledown, Poole shipped to Tampa Bay Downs and then to Gulfstream. He said that on each occasion his employees packed up everything that wasn't nailed down in his tack room and office, which included the tube of Thyro-L. While it should have been thrown away, it was simply forgotten and thrown in with the rest of Poole's belongings.

One thing Poole cannot do and has not tried to do is claim ignorance. He admits that on March 15, 2023, while at Tampa Bay Downs, he sat in on a presentation from HIWU Chief of Science Dr. Mary Scollay in which Scollay warned trainers that new rules were about to go into effect and that they needed to get rid of medications that were about to fall into the banned substance category. Thyro-L was specifically mentioned.

“I'm hitting myself over the head,” Poole said. “This is so stupid. I could have gotten rid of the stuff. I just didn't think about it. Too much else on my mind.”

Poole decided to fight, which led to having a hearing before an arbitrator that took place on July 26. That gave him plenty of time to think, beginning with why someone would have inspected his barn in the first place.

“They said someone tipped them off that it was in my office,” Poole said. “As far as I'm concerned, they must have sent a stool pigeon into my place. I never would have let anybody in my office who wasn't a friend. And if a friend saw it and knew what was going on, they would have said 'Jeff, get rid of that stuff. You're not allowed to have it anymore.'”

He's also followed other HIWU cases and claims a pattern is emerging whereby it seems that the majority of those who have been suspended are small-time trainers with limited resources. (Ironically, in his ruling, arbitrator Jeffrey Benz referred to Poole as a “high-level trainer of thoroughbred racehorses.”)

“(HISA CEO) Lisa Lazarus talks about how they're not trying to get rid of the little people but it looks to me like that's exactly what they're trying to do,” Poole said. “They gave me 22 months and I never had a bad drug test on a horse ever. They don't care about destroying a man's life when it's totally unnecessary. Horses are my life.”

Lazarus has had to respond to accusations that HISA is targeting small stables many times. When asked to comment on Poole's accusations she said “The ADMC program is completely unbiased” and referred to a letter to the editor she wrote to the TDN that addressed that issue.

During the first weeks of his suspension, Poole did nothing. He remained convinced that his side of the story would hit home with whomever was to decide his fate and that he would be exonerated. He was, of course, wrong.

“I thought this would all be straightened out,” he said. “I never dreamt they'd do this to me. I sat for months with no income. It got to the point where I couldn't keep doing it. I couldn't make a red cent. There was nothing but money going out.”

Once the arbitrator ruled against him, upheld the 22-month suspension plus a $10,000 fine and ordered Poole to pay $8,000 in arbitration costs, he knew he had to do something. While most trainers who have been provisionally suspended by HIWU have sat on the sidelines, Poole moved his stable to Mountaineer Park. HISA does not have jurisdiction over West Virginia racing. The same goes for Louisiana. So Poole is free to race in both states.

“West Virginia is not my home,” he said. “This is not where I want to be. My home is in Tampa, Florida. Every year I look forward to going home. After Mountaineer closes, my only option is to try to get stalls in Louisiana at the Fair Grounds. That's not a place I ever wanted to go to in my life, but it's either that or welcome to Walmart.”

Poole realizes he made mistakes. He was told by Scollay that Thyro-L was going to become a banned substance and that he needed to get rid of it if he had any in his barn. He ignored her warning. He also understands the trainer responsibility rule. No matter what he might think about the rules regarding Thyro-L, he was in possession of a banned substance and under the trainer responsibility rule he had set himself up for a penalty.

But what he can't understand is why he was suspended 22 months and fined $18,000 for what he considers to be a very minor offense.

“I expected to probably be fined for not discarding it,” he said. “But 22 months? If they think that's fair, that's beyond me. Officials, trainers, owners, everybody is telling me how unfair it was what they did to me. But I didn't see it coming. I don't think I deserve anything more than a possible fine.”

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