HISA’S ADMC Program To Take Effect May 22

Following a launch March 27, the Horseracing Integrity & Welfare Unit (HIWU) plans to resume enforcement of the Horseracing Integrity and Safety Authority's (HISA) Anti-Doping and Medication Control (ADMC) Program May 22. The program seeks to implement the following:

Transparency: The ADMC Program requires public disclosure of alleged Anti-Doping Rule Violations once the Covered Person has been notified of the violation and Provisionally Suspended. The alleged violation will be reported by HIWU on its website, and the public information disclosed will include the date of the collection, the name of the Covered Person, the identity of the Covered Horse, the alleged ADMC Program Rule Violation, and the Prohibited Substance or Method detected/involved. Alleged Controlled Medication Rule Violations will be publicly disclosed once the B (“split”) Sample is confirmed by another lab or analysis of the Sample is waived by the Covered Person. In short, it will take weeks, not months, for an alleged violation to come to light.

Efficiency: The ADMC Program articulates specific timelines for the results management and adjudication processes, and parties can request an expedited hearing to resolve the eligibility of a Covered Person or Covered Horse prior to an upcoming race. Hearings of Anti-Doping Rule Violations will be held within 60 days of being requested, absent exceptional circumstances. Controlled Medication Rule Violations will generally be adjudicated in a few months. In summary, cases will not drag on for years.

Consistency and Fairness: In addition to samples being tested to the same levels and standards regardless of which laboratory performs the analysis, all alleged violations will be subject to the same penalties regardless of jurisdiction. Cases will be adjudicated by members of an independent Arbitral Body (Anti-Doping Rule Violations) or the Internal Adjudication Panel (Controlled Medication Rule Violations). For all cases, adjudicators will be selected so as to be free from conflict of interest, thus addressing any integrity concerns in the prosecution of cases.

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Pletcher Meets With Stewards Over Forte Hopeful Medication Violation

The three New York stewards met with Trainer Todd Pletcher and his representation Wednesday “regarding an alleged medication violation of a horse that raced in New York on September 5, 2022,” according to Brad Maione, Director of Communications for the New York State Gaming Commission. Maione was answering an email request from the TDN for information on the meeting.

“In this case, the matter likely would have been adjudicated months ago but for the repeated procedural delays sought by the trainer's counsel,” Maione wrote.

According to a report in Tuesday night's New York Times, the horse in question was Forte (Violence) after his win in the Hopeful S. He would go on to be the two-year-old champion and the Kentucky Derby favorite before being scratched the morning of the race with a bruised hoof.

Questions have been as to why Forte's positive test–both the initial sample and the residual or `B' sample–was not made public sooner.

“Today's meeting (which the Stewards refer to as a “Stewards' Hearing”) was simply an opportunity for the licensee to tell the Stewards the licensee's side of the story–a standard step in an investigative process. The three Stewards will consider the evidence and information involved in the matter, and then the State Steward will determine whether to issue a ruling for a violation. If and when a ruling is issued, it will be published online at https://rulings.gaming.ny.gov/,” he continued.

Maione said that in New York, as in most jurisdictions, the stewards identify horses to have both blood and urine samples drawn. Once samples are taken, they are shipped to the New York Equine Drug Testing & Research Laboratory in Ithaca for analysis, which usually takes approximately three weeks. If the laboratory detects and confirms the presence of a prohibited substance, the laboratory promptly informs the Commission, which promptly informs the State Steward at the racetrack where the horse's sample originated.

That “blind” positive is then matched, and an investigation into the matter is launched. The trainer is then given the option to have the residual sample tested at an approved laboratory at his own expense. If the B sample is also positive, the stewards may assess a fine or other penalty, and the trainer may challenge that penalty at an administrative hearing.

According to a press release from the Horse Racing Integrity & Welfare Unit Tuesday, once the AMDC goes into effect May 22, that is the point at which the information will be made publicly known in the future.

Said Maione, “In this case, two factors impacted the timeline:

1. The trainer exercised the opportunity to have a residual sample tested, which necessitated the trainer locating a separate RMTC-approved laboratory equipped to conduct the requisite test. In this case, several labs were contacted before finding a capable laboratory.

2. After the Commission and trainer received confirmation that the residual sample was also positive, the trainer's counsel has sought repeated postponement of the Stewards' Hearing, which impeded the Stewards from making a determination earlier.”

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HIWU Rules Will Make Positives Known Sooner

Following the reimplementation of the Horseracing Integrity and Safety Authority (HISA)'s Anti-Doping and Medication Control (ADMC) Program on May 22, it is unlikely that the public would not know about a positive test such as the one that Forte (Violence) allegedly had in the GI Hopeful S. for over eight months. That is according to a press release Wednesday outlining the Horseracing Integrity & Welfare Unit's (HIWU) rules concerning the publication of violation information.

In a story published in the New York Times Tuesday night, Joe Drape reported that Forte had tested positive after the Hopeful S., but no information on the positive result nor the medication involved has yet been made public.

After May 22, according to HIWU, that will no longer be the case.

In the case of an overage of a permitted substance, the violation will be published on the HIWU site when the party in question waves their right to a B sample, when a positive B sample is requested by the party in question and returned, or following the admission of a violation, whichever is earliest.

While the details of the Forte Hopeful S. test are not known, the B sample is typically sent for testing when the A sample returns positive, in this case, back in September.

The rule reads that public reporting will occur at the earliest of these situations:

  1. After the imposition of a Provisional Suspension (if applicable).
  2. In cases where there is an Adverse Analytical Finding (“AAF”), i.e., a positive test, after the B sample confirms the AAF or the Covered Person waives the testing of the B sample, assuming no Provisional Suspension has been imposed.
  3. In non-AAF cases, after the service of the Charge Letter, if no Provisional Suspension has been imposed.
  4. Following the admission of a violation by the Covered Person, if the alleged violation has not already been publicly reported pursuant to a., b., or c.

The press release also indicates that the public would be made aware of the substance responsible for the finding.

In the case of all medication violations, the public disclosure will include the following information after the resolution of violations.

  1. The name of the Covered Person who committed the violation(s) and any Covered Horse(s) implicated by the violation;
  2. The rule(s) violated;
  3. The Prohibited Substance(s) or Prohibited Method(s) involved, if any;
  4. The consequences imposed;
  5. Any final decision or a summary thereof; and
  6. Any review rights available in respect of the decision.

HIWU is not required to publicly report a matter if it would risk compromising an ongoing investigation or proceeding.

All information listed above will be posted on HIWU's website and available for viewing at any time.

The complete rules are posted on HIWU's website, here: https://www.hiwu.org/

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In Odd Legal Twist, NHPBA Criticizes Decision To Delay ADMC

Even as the National Horsemen's Benevolent and Protective Association (NHBPA) is trying to halt the Horseracing Integrity and Safety Act (HISA) for good, its attorneys filed a response in federal court Thursday that criticized the Federal Trade Commission (FTC)'s Apr. 27 order that mandated the third delay in nearly a year for the implementation of the Anti-Doping and Medication Control (ADMC) program, this time from May 1 to May 22.

The NHBPA told the court that the FTC's issuance of the order to delay the program without first providing a 30-day public comment period on the date switch goes against the provisions set forth in the Administrative Procedure Act (APA), which governs the process by which federal agencies develop and issue regulations.

The NHBPA also stated that the FTC's decision to delay the ADMC program is “totally inconsistent” with the FTC and HISA Authority's previous arguments that the program needed to be implemented as swiftly and as uniformly as possible.

The NHBPA filing also pointed out that although the FTC cited a desire not to cause “confusion” by implementing the ADMC on May 1, five days before the Triple Crown series starts with the May 6 GI Kentucky Derby, the FTC's decision to go with a May 22 start date instead puts the new effective date right in the midst of that series, after the May 20 GI Preakness S. but before the June 10 GI Belmont S.

“The Horsemen will not challenge the Order as lacking good cause because they believe any delay is good for their members, their horses, and their industry-they are seeking a permanent delay in the rule, after all. But they cannot help but note that for a second time in as many months the FTC and Authority have steamrolled over the fundamental principles of notice-and-comment at the heart of the APA,” stated the NHBPA's filing in United States District Court (Northern District of Texas, Lubbock Division).

“The FTC says its order does not need a period of public comment because it has 'good cause' to issue the rule immediately,” the NHBPA filing stated, quoting portions from the FTC order. “'Good cause' is an 'emergency power,' normally reserved for dire circumstances where life and limb are in danger. The mere existence of a statutory deadline doesn't cut it…. The Authority has represented that immediate implementation of the rule is necessary to preserve life and limb; it is hard now to understand how the FTC can find good cause to delay the rule if that's the legal standard. The policy rationale the Order gives is at best thin gruel.”

The FTC's “notice of delay” filed with the same court, also on Thursday, stated that, “Because the ADMC Rule governs the treatment of horses weeks before a covered race, some affected parties who are treating horses in a manner consistent with state requirements may find it difficult to come into compliance in the five days between the ADMC Rule's scheduled effective date and the Kentucky Derby on May 6. Even in the absence of conflicts between the ADMC Rule and applicable state regulations, implementing new testing requirements just days before the start of the Triple Crown creates an appreciable risk of errors, confusion, and inconsistent treatment of similarly situated horses-harms that could frustrate the purposes of the Act.”

The FTC stated that the HISA statute “authorizes the [FTC] to abrogate, add to, or modify the Authority's rules for specified reasons, including 'to ensure the fair administration of the Authority,' [and that while the] APA typically provides for notice-and-comment rulemaking, [that comment period is] not required with respect to a rulemaking when an 'agency for good cause finds…that notice and public procedure thereon are impracticable, unnecessary, or contrary to the public interest.”

The FTC's filing continued: “Here, the [FTC] finds, for good cause, that notice and comment is impracticable and unnecessary with respect to the final rule. Given the short time remaining before commencement of the Triple Crown races, providing advance notice would delay the effect of the final rule until after the Kentucky Derby, defeating the rule's purpose. Obtaining comments after issuance of the rule is unnecessary because the full effect of the Commission's rule-which merely provides for a brief delay in the effective date of the ADMC Rule-will have occurred prior to the Commission's collection and consideration of any comments.”

The NHBPA countered with this explanation in its filing: “As the FTC has reminded us in the past, “[t]he bedrock principle of the Act is the need for uniformity.' [But now] the rules for the three Triple Crown races will not be uniform, because the Defendants have chosen May 22 rather than June 12 as the start date for the ADMC. As a result, the Kentucky Derby and the Preakness will be governed by state law, while the Belmont will be governed by the ADMC (unless it is enjoined or delayed again)…

“Now the FTC is saying that the Authority is not ready to roll?” the NHBPA filing asked rhetorically. “In Kentucky, home state of the Kentucky Derby, where a voluntary state implementation agreement with the Authority and the state racing commission was signed March 21, 2023? Again, if this were before the Court as an APA challenge, would this fly?

“Again, the Horsemen are not going to file an as-applied APA challenge that the Order is inconsistent with the Act's insistence on uniformity, because they believe the delay is good for the Horsemen and the industry,” the NHBPA filing stated. “But they must point out the absolute lack of respect for the Act and their own professed priority shown by Defendants.”

The ADMC program had originally been expected to go into effect July 1, 2022, according to its enabling law. That start date then got pushed back to Jan. 1, 2023. In mid-December 2002, that date got scrapped when the Federal Trade Commission (FTC) declined to approve the rules that would make the program operational by the start of 2023, citing legal issues.

The HISA Authority then ramped up for an expected Mar. 27 start date after receiving FTC clearance. The ADMC went briefly into effect for four days, but on Mar. 31, the federal judge handling this lawsuit issued a 30-day injunction that suspended the program, pushing the ADMC start date out to May 1.

TDN first reported on Apr. 25 that the ADMC's May 1 start date was in jeopardy after hearing testimony about it during Tuesday's Pennsylvania Horse Racing Commission meeting, when an official with that agency stated he had been contacted by HISA Authority officials on Apr. 21, informing him that the new start date was May 22.

The HISA Authority did not initially respond to an Apr. 25 request for confirmation from TDN on the date switch, but the FTC court filing and a subsequent press release on Thursday verified the change, citing a vote taken by FTC commissioners.

The NHBPA also took umbrage with the way that FTC order came about.

“One scratches one's head how it is that the FTC announced this order to the public [on] Apr. 27, but Authority staff was calling state commissions on Apr. 21 telling them that it was being delayed to May 22,” the NHBPA filing stated. “At best, the FTC gave the Authority a heads-up that it was making this delay decision. Much more likely, this was the Authority's decision all along, and the FTC ratified it because the FTC ratifies everything asked of it by the Authority…”

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