View From the Eighth Pole: A New Sheriff In Town?

The Horseracing Integrity and Safety Authority is moving quickly to meet several deadlines before its federally mandated July 1, 2022, starting date to become the national regulatory agency for anti-doping and medication control for Thoroughbred racing in the United States.

Earlier this week, in consultation with the U.S. Anti-Doping Agency, led by CEO Travis Tygart and Dr. Tessa Muir, USADA's director of equine science, HISA published a draft set of definitions, medication protocols and a list of prohibited medications.

The public has an opportunity to comment and offer feedback on those proposed rules before they go to the Federal Trade Commission next month for a second round of public comment and eventual approval by the FTC.

It's clear, from the proposed rules and comments by Tygart and Muir in a series of media interviews, that racing is in for some significant changes.

Gone will be the good old boy community of racing commissioners with conflicts of interest involving some of the people they are regulating. It is hoped the cavalcade of attorneys appealing fines, suspensions and disqualifications on behalf of trainers will grind to a halt as well, with strict, understandable and loophole-free regulations in place when the transition to the Authority occurs next July.

But first, some caveats.

USADA has yet to sign a contract with the Authority as the enforcement agency for when HISA goes into effect. Tygart and Muir have been instrumental in meeting with HISA committees and staff in developing the rules, and Tygart said USADA is ready to become the enforcement agency IF the final regulations approved by the FTC are “good rules that we can stand by.”

In other words, Tygart is not going to risk USADA's brand or his own good name on a mission if it is hijacked by people who are successful in watering down the rules.

There are also the lawsuits by horsemen's organizations in opposition to the federal legislation that created the Authority. These have yet to be resolved in court. Tygart calls them obstructionists who hope to delay implementation and cause the Authority to burn through limited financial resources.

“We fully anticipate those groups or individuals who have always been opposed to a new uniform policy being in place and independent, robust enforcement of those policies, that they're going to continue to try and obstruct it at every turn,” Tygart said.

If the legal challenges are defeated and USADA becomes the enforcement agency, this will be a different, cleaner game played on a more level field.

For starters, no medications will be permitted by statute for 48 hours prior to race day. A robust out-of-competition testing program will be phased in with “whereabouts” requirements for all horses registered with the Authority. That means if horses are removed from a racetrack stable area, a trainer must notify the Authority where that horse is going so that out of competition testing can be conducted. Violations of the whereabouts rule will be dealt with severely.

So will positive tests for prohibited substances that are now dealt with in many states with a slap on the wrist. For example, primary substances – those that should not be in a horse's system at any time – found in post-race or out-of-competition samples may result in suspensions of up to two years. Included in that group are anabolic steroids, blood-doping agents and clenbuterol.

Non-steroidal anti-inflammatories would fall under secondary substance rules that can be met with a 30-day suspension and fine. However, trainers who pick up four of those violations over a five-year period may be suspended up to two years.

And any positive drug test will result in automatic disqualification of that horse from a race.

“For the integrity of racing from the results standpoint, the disqualification of the horse is automatic,” said Muir. “We would take into consideration any mitigating circumstances, with respect to the fine or suspension.”

The days of Bute overages being looked upon as minor violations akin to a parking ticket will be over. Trainers who have been willing to take an edge or have sloppy medication oversight will need to clean up their acts.

A key element of HISA's anti-doping program will be intelligence and investigations that result in “non-analytical” cases where the evidence is something other than a positive drug test.

“The Navarro indictment showed that they were using things they know or believe not to be detectable by current testing methods,” Tygart said. “So if you say you have to have a positive test to be held accountable, you've just given a license to people to go use things there aren't tests for, because science is limited to a certain extent.”

Tygart and Muir both believe whistleblowers will be an important part of the program and said USADA has been receiving tips on wrongdoing for several years since the agency was first mentioned as part of the federal legislation. The draft regulations include language protecting whistleblowers and charging anyone who intimidates a whistleblower.

“The principle there is it takes a community of people who benefit from having good rules that protect their rights,” Tygart said. “Hopefully they will trust whoever the enforcement agency is. If it's us, we will work hard to gain that trust like we have in our human sports to bring forward information and then act appropriately based on that information.”

Long delays in the resolution of cases is another problem the current system has permitted through appeals to the commission and the civil courts. Under HISA, all “covered persons” (including trainers) will need to register with the Authority and in so doing agree to the rules, including an arbitration process that Tygart said has worked well with human athletes. USADA enforces medication rules for Olympic athletes and UFC fighters, among others.

“There are so many loopholes in how the current system works and (trainers and their attorneys) can win,” Tygart said. “Part of this process is to shut the legal, technical loopholes that people can exploit. My guess is a lot of the defense counsels out there who have made a living out of trying those cases are going to be frustrated because they are not going to win many cases, as they shouldn't. Justice should be served, and we don't look at that as a win or a loss.”

As such, under the proposed rules, if a trainer and USADA do not come to a mutual agreement on a resolution and sanctions for any violations, the case goes to an impartial arbitrator or independent steward panel, to determine an outcome.

“We resolve 95% or more of our cases in the human program (without going to arbitration),” Tygart said. “That's historically true because people know that if you break the rule, we're going to be fair in the ultimate consequence and take into consideration the individual facts to get to a fair outcome. People recognize that if you do something wrong, the best thing that you can do, honestly, is to take responsibility for it and not waste your time or their time to get to the inevitable. … People are willing to forgive and move on. What people don't like is those who make excuses or continue to lie or try to cover up their doping, and I think that principle will play very well here because the rules are not going to allow people to exploit them in the way they are currently being exploited.”

Tygart added, “When you sign up to be a 'covered person,' you agree to the rules of the game. If you don't like the rules, you don't have to play.”

Racing has needed a new sheriff for some time. It may finally have found one.

That's my view from the eighth pole

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HISA Publishes Initial Draft Of Proposed Anti-Doping, Medication Control Rules

The Horseracing Integrity and Safety Authority's (the Authority) Standing Advisory Committees, comprised of experts from inside and outside the thoroughbred racing industry, and the independent U.S. Anti-Doping Agency (USADA), have published initial drafts of proposed rules on hisaus.org for public comment.

As prescribed by the Horseracing Integrity and Safety Act of 2020 (HISA), USADA has led the drafting process for the Anti-Doping and Medication Control Program. Three of the six documents pertaining to the Anti-Doping and Medication Control Program, including the proposed Equine Protocol, Prohibited List and Definitions, have been posted for public comment. The remaining documents, which include Equine Arbitration Procedures, Testing and Investigation Standards, and Standards for Laboratories and Accreditation will be published over the next two weeks.

In addition, and separate from USADA's work, the Racetrack Safety Program, which is made up of expanded veterinary exam protocols, enhanced racing and training requirements, minimum standards for surface maintenance and testing, and uniform reporting requirements has also been posted to the Authority's website for public review.

USADA and the Advisory Committees will review and incorporate relevant public feedback on the recommendations and submit them to the Authority's Board of Directors for approval. Following the Board approval process, the Authority will present its final proposed rules to the Federal Trade Commission (FTC) in early December. This will then initiate a formal notice and comment rule-making process during which stakeholders and the general public may once again weigh in by submitting comments for a 60-day period, after which the FTC will publish final regulations.

“We are honored to be involved at this stage to help draft and ultimately finalize gold-standard rules on anti-doping and medication control for the equine industry,” said USADA CEO Travis T. Tygart. “We are excited with where this process is headed and with proposed rules being published for two additional rounds of public feedback.”

“The rulemaking process is still underway, and we encourage experts, other industry stakeholders, racing fans and the general public to review and comment through our website. Although the final decision on which regulations will be approved and implemented ultimately lies with the FTC, we want to ensure that any interested party has the opportunity to offer their perspective and input,” said Charles Scheeler, Chairman of the Authority's Board of Directors. “While the FTC will authorize the final set of rules for the official launch of the Authority in July 2022, it is the Authority's full intention to continue to work with the industry to evolve and improve the rules beyond that time.”

Please visit hisaus.org to view and weigh in on the proposed regulations and follow the Authority on Twitter and Facebook to keep up with the latest developments.

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Six States, Two Without Racing, Join Fight To Derail HISA

The attorneys general from six new states have sided with existing plaintiffs in Oklahoma, West Virginia and Louisiana by filing a Sept. 21 “friend of the court” brief in one of two currently active federal lawsuits aiming to get the Horseracing Integrity and Safety Act (HISA) voided for alleged constitutional violations before HISA even goes into effect.

Curiously, two of those six states–Alaska and Mississippi–have no current forms of legal pari-mutuel horse racing. The other states expressing support for the alleged unconstitutionality of HISA are Arkansas, Idaho, Nebraska and Ohio.

The Tuesday filing in United States District Court (Eastern Division of Kentucky) refers to HISA as “the Horse Act” and terms the HISA Authority board that will craft Thoroughbred racing's new regulatory framework as “the Private Corporation.” The United States Anti-Doping Agency (USADA), which is slated to control the drug testing aspects of HISA, is labelled in the filing as “the Private Consultant.”

Although the Authority and USADA will both fall under the theoretical auspices of the Federal Trade Commission (FTC), which is a pre-existing federal agency within the executive branch, the brief calls into question how this hierarchy will actually function in practice if HISA goes into effect July 1, 2022, as mandated by the 2020 law that created it.

“Which entity is really calling the shots, the Private Corporation or FTC?” the filing asks rhetorically. “The answer is the Private Corporation.”

The filing continues: “The Horse Act unconstitutionally delegates legislative power. That follows from three insights. First, the Private Corporation is a private entity. Second, the Private Corporation wields governmental power. Third, the Private Corporation wields the power as a principal actor–it does not perform mere ministerial or advisory tasks for the federal government…

“The Horse Act gives the Private Corporation the power to act as the federal government.

The Private Corporation writes the rules governing horseracing, enforces those rules, and issues interpretive guidance at will. While a federal agency will oversee the Private Corporation in some instances, that oversight is more symbolic than substantive…

“Because the Constitution forbids allowing private entities to exercise governmental power, the Horse Act is unconstitutional,” the filing states.

The attorneys general wrote that “the Horse Act creates an imbalance of power, and it gives the lion's share to the Private Corporation. This delegation of power undermines the Constitution.”

The filing also asks the court to “remember the importance of accountability,” stating that “Under the Horse Act, the People have no power to hold the Private Corporation to account.”

The filing continues: “The People have no say, even indirectly, in who runs the Corporation: they cannot elect anyone to the Private Corporation's board of directors, and the People's elected representatives similarly have no authority to confirm, remove, or even manage those who sit on the board…

“It is thus the will of the Private Corporation that binds the People. The Constitution tolerates no such thing,” the filing states.

The six states also write in their brief that HISA would also be operating contrary to binding legal precedent.

“When Congress directs a private entity to assist a federal agency, Congress must make the federal agency the commanding regulator,” the filing states. “Congress failed to do that here… the Private Corporation does not 'function subordinately' to the [FTC]…. The Private Corporation is chief policymaker, and that role far exceeds any ministerial or advisory duties.”

Among the plaintiffs in this lawsuit, which was originally filed Apr. 26, are three Oklahoma tracks–Remington Park, Will Rogers Downs and Fair Meadows.

The defendants are the United States of America, the HISA Authority, and six individuals acting in their official capacities for either HISA or the FTC.

This lawsuit is separate from the similar complaint over constitutional issues initiated by the National Horsemen's Benevolent and Protective Association against FTC members.

Both lawsuits are facing motions to dismiss by the defendants that have yet to be ruled upon by the federal judges in each case.

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TIF Examines Changes Suggested By Horseracing Integrity And Safety Authority

Many across racing might be wondering how American horse racing under the Horseracing Integrity and Safety Authority (HISA) could change.

To date, there are many questions and relatively few answers.

But two recent interviews with Dr. Tessa Muir, director of equine science for the United States Anti-Doping Agency (USADA), offer a glimpse into a possible future for the sport.

The suggestions Muir makes, while understandably qualifying that it is far too early to assess USADA's exact role with HISA given the lack of a contract between the two and no rule base in place just yet, are concurrently exciting and ground-breaking for American racing.

While there is much to be determined, one thing is certain: if Muir's early suggestions are close to the reality of USADA's likely involvement as HISA's enforcement agent, American racing is due for seismic changes, even if those are not fully in place by July 2022 when HISA is due to launch.

The Thoroughbred Daily News published the first piece on Aug. 29. Dan Ross posed several thoughtful questions to Muir about USADA's role, a focus on adopting a transparent approach to testing and results, and how their execution of anti-doping measures in human sports might translate to racing.

“It's probably a little too early to delve into specifics. There are things we've discussed with the Authority. If you take USADA's example of what there is with human sports, you can search any individual athlete by name, and you can see how many times they've been tested within that breakdown.”

“You can also look to other racing jurisdictions where they already publish some of this data, such as in Racing Victoria. After the race day, they publish a report on what horses got tested, pre-race and post-race.”

Using the example of Melbourne Cup Day in 2020, blood was drawn from 38 horses before racing (to be analyzed after the race), urine was drawn from six more and post-race samples from every race winner, along with the second and third finishers in the big race.

As it stands in U.S. racing now, few stakeholders know which horses are tested, with the exception of race winners. A ledger of out-of-competition tests is not available. Muir gives the impression this will change under USADA's role in HISA.

“There's a need for transparency in competition–for race day and in the out-of-competition component. If you look at USADA's history, they've been huge advocates for transparency and for sharing testing data.

“If you look on their website, you can search for an individual athlete and see how many times they've been tested in a year or in a quarter, which I think is a really positive thing.”

“On the equine side, we definitely want to publish testing data. I think there's a balance–you want to publish and be transparent to the point it doesn't compromise the integrity of the independent testing program you've got in place.”

The status quo, however, has been far different.

In a recent court filing (see page 16 of the document), prosecutors from the Southern District of New York argued indicted Standardbred trainer Nick Surick entered horses in races where he believed post-race testing would not be done for substances which he used in his horses.

Natalie Voss from Paulick Report drew attention to transcripts in the recent filing which indicated the indicted trainers may have been tipped-off, regularly, by track security staff of possible searches.

Knowing which horses are tested, when and how often is a crucial step towards improving overall confidence in the sport.

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Three days following the publication of Ross's Q&A with Muir, she outlined more of the possibilities in an interview with Ray Paulick, citing USADA's “whereabouts” program which requires human athletes to report their daily schedule, enabling doping control officers to locate them for out-of-competition testing.

This would revolutionize testing in American racing, and require tremendous administrative attention from trainers and their staffs. Muir's remarks on this topic, to Paulick, are below:

“The intent of the (federal law) is that horses are accessible at any time at any place from the point of their first workout until they retire from racing. In order to conduct that 'no-advance-notice' testing anywhere at any time, you need whereabouts information in order to find the horse.

“That really is a critical underpinning for prevention, deterrence and detection of misuse of substances. Whilst specifics of how that may look are currently not finalized, if you look at any good anti-doping program in the world, whereabouts is a really key component. And that requires locations, not just while horses are in training but when they are in other locations resting or pre-training.”

USADA's “Whereabouts Policy” details the degree of specificity required by human athletes to ensure they can be located for testing.

Athletes must submit accurate contact information, providing a full schedule including “each location where the Athlete will train, work or conduct any other regular activity (e.g. school), as well as the usual timeframes for such regular activities.” In addition, they must identify one hour each day between 5 A.M. and 11 P.M. “during which the Athlete will be available and accessible for Testing at a specific location.”

Complete details of every overnight location must be provided on a quarterly basis, delineated by day. Any amendments to these plans must also be filed. The Whereabouts Policy document notes:

“The athlete must provide sufficient information to enable a doping control officer to find the location, to gain access to the location, and to find the Athlete at the location. For example, declarations such as 'running in Rocky Mountain National Park' are insufficient.”

Failure to comply with USADA's entire “doping control process” for human athletes can lead to suspensions of up to four years “and other consequences.”

In 2013, track and field athlete Trey Downing was suspended for 18 months for failing to provide a sample at a doping control officer's request.

In December 2020, UFC athlete Yair Rodriguez was suspended for six months for violating the UFC's Anti-Doping Policy by accruing three “Whereabouts” failures in each of the first three quarters of 2020. According to the release of the sanction, “Rodriguez was eligible for a reduction in the period of ineligibility because his conduct did not raise suspicion that he was trying to avoid being available for testing.”

Introduction of such a policy across American racing is difficult to comprehend given the status quo and will leave HISA and USADA, not to mention trainers, with a mountain of administrative work to assure compliance over time.

The recently released transcripts of conversations from trainers Jorge Navarro and Jason Servis, as well as veterinarian Kristian Rhein and other indicted individuals highlight the importance of doping control agents having routine access to horses, and this includes knowing where all horses are supposed to be at all times. Navarro and Rhein both pled guilty in August and are due to be sentenced in December.

In one of the wiretapped calls from June 5, 2019, Servis tells Rhein that testers, presumably from the New Jersey Racing Commission, were looking for Sunny Ridge at Monmouth Park on June 3, more than a week after he won the Salvator Mile (G3) there. Servis told Rhein that the horse was not there, but at Belmont. He then wonders incredulously why the testers took a sample from a juvenile that had not run well.

Standardbred trainer Nick Surick hid horses to evade out-of-competition testing, according to a recent filing in the case by prosecutors. Paulick Report posted the full filing and it can be accessed here (Surick evasion details are on page 17 of the document).

Whereabouts policies, and penalties assessed for failures to comply with them, increase the difficulty of evading detection.

A national voice leading a unified effort to educate horsemen on a single set of rules has not been a feature of the American racing landscape.

New rules and new procedures will require outreach the likes of which the American racing industry has not witnessed previously. USADA offers a series of documents which outline the polices and procedures of their anti-doping control programs – some for athletes, coaches, health care professionals – and include details of testing and results management, rights and responsibilities, whereabouts and whistleblower policies, investigations principles and more.

Dr. Muir told Ross “the education component of any anti-doping and medication program is a foundation to the success of the program. There's a variety of ways to actually deliver that information in an effective way. Something we'll be looking to is [to have] a level of education in place ahead of the first of July 2022.”

While acknowledging that nothing has been developed as of yet given the lack of rules, USADA's expertise in communicating policies and procedures is well-established.

Muir acknowledged USADA is cognizant of the need to produce materials in Spanish and that outreach efforts goes well beyond just trainers.

“There are a lot of parties beyond just the trainers and the grooms who touch these horses on a day-to-day basis, and therefore, we want to be in the best position possible to give people the tools to comply with the rules.

When HISA begins to operate, with USADA as its expected enforcement agent, there is no expectation that all of the elements of the programs Muir outlined are fully operational.

“Achieving what she calls a 'gold standard' program will not happen overnight,” wrote Ray Paulick. “Muir puts an 18- to 24-month timeline on that goal.”

Among the education efforts, Muir notes that participation from the industry, including via anonymous tip lines, will be needed to supplement formal efforts to maintain an improved sport. A USADA-administered tip line won't be racing's first – but it will be the first under a new, unified rule set, and one run by an organization with actual, nationwide control.

“The testing investigations comes under the responsibility of the enforcement agency (presumably USADA), but the tip lines and other things must have industry ownership,” Muir said. “When it comes to the responsibility for clean racing and preventing, deterring and detecting people who might be doing the wrong thing, it's the responsibility of the whole industry to call that out and prevent it and to stand up for clean racing.”

Undoubtedly, the question of cost comes into consideration.

A robust approach to anti-doping efforts in American racing will be more expensive under HISA than the present. But Muir told Ross that the current state-by-state approach has made it challenging to understand how much is spent at present on these efforts, making future cost projections all the more difficult.

“I think one of the challenges at the moment is that there's not any one currently accepted understanding of what the total cost and total amount currently being spent is. So, getting a handle on that is quite difficult to know: How is it going to be more expensive, and by how much?

“As the [HISA] chairman [Charles Scheeler] alluded to at the [Jockey Club] Round Table, he said publicly that they anticipate the costs are going to go up, and of course, that's to be expected for an enhanced and more effective program of the scale we're looking at here.

“It's a comparatively small investment–I'm not saying it's necessarily a small amount of money, not to belittle the amount–but a comparatively small investment in protecting the fairness of clean racing for all our horsemen and obviously the health and welfare of the horses and the longevity of the sport in the future.”

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