Collapse to view only § 3052. Recognition of the Horseracing Integrity and Safety Authority

§ 3051. Definitions
In this chapter the following definitions apply:
(1) Authority
(2) Breeder
(3) Commission
(4) Covered horse
The term “covered horse” means any Thoroughbred horse, or any other horse made subject to this chapter by election of the applicable State racing commission or the breed governing organization for such horse under section 3054(k) 1
1 So in original. Probably should be “section 3054(l)”.
of this title, during the period—
(A) beginning on the date of the horse’s first timed and reported workout at a racetrack that participates in covered horseraces or at a training facility; and
(B) ending on the date on which the Authority receives written notice that the horse has been retired.
(5) Covered horserace
(6) Covered persons
(7) Equine constituencies
(8) Equine industry representative
(9) Horseracing anti-doping and medication control program
(10) Immediate family member
(11) Interstate off-track wager
(12) Jockey
(13) Owner
(14) Program effective date
(15) Racetrack
(16) Racetrack safety program
(17) Stakes race
(18) State racing commission
(19) Trainer
(20) Training facility
(21) Veterinarian
(22) Workout
(Pub. L. 116–260, div. FF, title XII, § 1202, Dec. 27, 2020, 134 Stat. 3252.)
§ 3052. Recognition of the Horseracing Integrity and Safety Authority
(a) In general
(b) Board of directors
(1) MembershipThe Authority shall be governed by a board of directors (in this section referred to as the “Board”) comprised of nine members as follows:
(A) Independent members
(B) Industry members
(i) In general
(ii) Representation of equine constituencies
(2) Chair
(3) BylawsThe Board of the Authority shall be governed by bylaws for the operation of the Authority with respect to—
(A) the administrative structure and employees of the Authority;
(B) the establishment of standing committees;
(C) the procedures for filling vacancies on the Board and the standing committees;
(D) term limits for members and termination of membership; and
(E) any other matter the Board considers necessary.
(c) Standing committees
(1) Anti-doping and medication control standing committee
(A) In general
(B) MembershipThe anti-doping and medication control standing committee shall be comprised of seven members as follows:
(i) Independent members
(ii) Industry members
(iii) Qualification
(C) Chair
(2) Racetrack safety standing committee
(A) In general
(B) MembershipThe racetrack safety standing committee shall be comprised of seven members as follows:
(i) Independent members
(ii) Industry members
(C) Chair
(d) Nominating committee
(1) Membership
(A) In general
(B) Initial membership
(C) Vacancies
(2) Chair
(3) Selection of members of the Board and standing committees
(A) Initial members
(B) Subsequent members
(e) Conflicts of interestTo avoid conflicts of interest, the following individuals may not be selected as a member of the Board or as an independent member of a nominating or standing committee under this section:
(1) An individual who has a financial interest in, or provides goods or services to, covered horses.
(2) An official or officer—
(A) of an equine industry representative; or
(B) who serves in a governance or policymaking capacity for an equine industry representative.
(3) An employee of, or an individual who has a business or commercial relationship with, an individual described in paragraph (1) or (2).
(4) An immediate family member of an individual described in paragraph (1) or (2).
(f) Funding
(1) Initial funding
(A) In general
(B) Borrowing
(C) Annual calculation of amounts required
(i) In generalNot later than the date that is 90 days before the program effective date, and not later than November 1 each year thereafter, the Authority shall determine and provide to each State racing commission the estimated amount required from the State—(I) to fund the State’s proportionate share of the horseracing anti-doping and medication control program and the racetrack safety program for the next calendar year; and(II) to liquidate the State’s proportionate share of any loan or funding shortfall in the current calendar year and any previous calendar year.
(ii) Basis of calculationThe amounts calculated under clause (i) shall—(I) be based on—(aa) the annual budget of the Authority for the following calendar year, as approved by the Board; and(bb) the projected amount of covered racing starts for the year in each State; and(II) take into account other sources of Authority revenue.
(iii) Requirements regarding budgets of Authority(I) Initial budget(II) Subsequent budgets
(iv) Rate increases(I) In general(II) Notice and comment
(2) Assessment and collection of fees by States
(A) Notice of election
(B) Requirement to remit fees
(C) Withdrawal of election
(D) Determination of methods
(3) Assessment and collection of fees by the Authority
(A) Calculation
(B) Allocation
(C) Assessment and collection
(i) In general
(ii) Remittance of fees
(D) Limitation
(4) Fees and fines
(5) Rule of constructionNothing in this chapter shall be construed to require—
(A) the appropriation of any amount to the Authority; or
(B) the Federal Government to guarantee the debts of the Authority.
(g) Quorum
(Pub. L. 116–260, div. FF, title XII, § 1203, Dec. 27, 2020, 134 Stat. 3253.)
§ 3053. Federal Trade Commission oversight
(a) In general
The Authority shall submit to the Commission, in accordance with such rules as the Commission may prescribe under section 553 of title 5, any proposed rule, or proposed modification to a rule, of the Authority relating to—
(1) the bylaws of the Authority;
(2) a list of permitted and prohibited medications, substances, and methods, including allowable limits of permitted medications, substances, and methods;
(3) laboratory standards for accreditation and protocols;
(4) standards for racing surface quality maintenance;
(5) racetrack safety standards and protocols;
(6) a program for injury and fatality data analysis;
(7) a program of research and education on safety, performance, and anti-doping and medication control;
(8) a description of safety, performance, and anti-doping and medication control rule violations applicable to covered horses and covered persons;
(9) a schedule of civil sanctions for violations;
(10) a process or procedures for disciplinary hearings; and
(11) a formula or methodology for determining assessments described in section 3052(f) of this title.
(b) Publication and comment
(1) In general
The Commission shall—
(A) publish in the Federal Register each proposed rule or modification submitted under subsection (a); and
(B) provide an opportunity for public comment.
(2) Approval required
(c) Decision on proposed rule or modification to a rule
(1) In general
(2) Conditions
The Commission shall approve a proposed rule or modification if the Commission finds that the proposed rule or modification is consistent with—
(A) this chapter; and
(B) applicable rules approved by the Commission.
(3) Revision of proposed rule or modification
(A) In general
(B) Resubmission
(d) Proposed standards and procedures
(1) In general
(2) Notice and comment
(e) Amendment by Commission of rules of authority
(Pub. L. 116–260, div. FF, title XII, § 1204, Dec. 27, 2020, 134 Stat. 3257; Pub. L. 117–328, div. O, title VII, § 701, Dec. 29, 2022, 136 Stat. 5231.)
§ 3054. Jurisdiction of the Commission and the Horseracing Integrity and Safety Authority
(a) In generalBeginning on the program effective date, the Commission, the Authority, and the anti-doping and medication control enforcement agency, each within the scope of their powers and responsibilities under this chapter, as limited by subsection (j),1
1 So in original. Probably should be “subsection (k)”.
shall—
(1) implement and enforce the horseracing anti-doping and medication control program and the racetrack safety program;
(2) exercise independent and exclusive national authority over—
(A) the safety, welfare, and integrity of covered horses, covered persons, and covered horseraces; and
(B) all horseracing safety, performance, and anti-doping and medication control matters for covered horses, covered persons, and covered horseraces; and
(3) have safety, performance, and anti-doping and medication control authority over covered persons similar to such authority of the State racing commissions before the program effective date.
(b) Preemption
(c) Duties
(1) In generalThe Authority—
(A) shall develop uniform procedures and rules authorizing—
(i) access to offices, racetrack facilities, other places of business, books, records, and personal property of covered persons that are used in the care, treatment, training, and racing of covered horses;
(ii) issuance and enforcement of subpoenas and subpoenas duces tecum; and
(iii) other investigatory powers of the nature and scope exercised by State racing commissions before the program effective date; and
(B) with respect to an unfair or deceptive act or practice described in section 3059 of this title, may recommend that the Commission commence an enforcement action.
(2) Approval of Commission
(d) Registration of covered persons with Authority
(1) In general
(2) Agreement with respect to Authority rules, standards, and procedures
(3) CooperationA covered person registered under this subsection shall, at all times—
(A) cooperate with the Commission, the Authority, the anti-doping and medication control enforcement agency, and any respective designee, during any civil investigation; and
(B) respond truthfully and completely to the best of the knowledge of the covered person if questioned by the Commission, the Authority, the anti-doping and medication control enforcement agency, or any respective designee.
(4) Failure to comply
(e) Enforcement of programs
(1) Anti-doping and medication control enforcement agency
(A) Agreement with USADA
(B) Agreement with other entity
(C) Negotiations
(D) Elements of agreement
(E) Duties and powers of enforcement agencyThe anti-doping and medication control enforcement agency under an agreement under this paragraph shall—
(i) serve as the independent anti-doping and medication control enforcement organization for covered horses, covered persons, and covered horseraces, implementing the anti-doping and medication control program on behalf of the Authority;
(ii) ensure that covered horses and covered persons are deterred from using or administering medications, substances, and methods in violation of the rules established in accordance with this chapter;
(iii) implement anti-doping education, research, testing, compliance and adjudication programs designed to prevent covered persons and covered horses from using or administering medications, substances, and methods in violation of the rules established in accordance with this chapter;
(iv) exercise the powers specified in section 3055(c)(4) of this title in accordance with that section; and
(v) implement and undertake any other responsibilities specified in the agreement.
(F) Term and extension
(i) Term of initial agreement
(ii) ExtensionAt the end of the 5-year period described in clause (i), the Authority may—(I) extend the term of the initial agreement under this paragraph for such additional term as is provided by the rules of the Authority and consistent with this chapter; or(II) enter into an agreement meeting the requirements of this paragraph with an entity described by subparagraph (B) for such term as is provided by such rules and consistent with this chapter.
(2) Agreements for enforcement by State racing commissions
(A) State racing commissions
(i) Racetrack safety program
(ii) Anti-doping and medication control program
(B) Elements of agreements
(3) Enforcement of standards
(f) Procedures with respect to rules of Authority
(1) Anti-doping and medication control
(A) In general
(B) Consultation
(2) Racetrack safety
(g) Issuance of guidance
(1) The Authority may issue guidance that—
(A) sets forth—
(i) an interpretation of an existing rule, standard, or procedure of the Authority; or
(ii) a policy or practice with respect to the administration or enforcement of such an existing rule, standard, or procedure; and
(B) relates solely to—
(i) the administration of the Authority; or
(ii) any other matter, as specified by the Commission, by rule, consistent with the public interest and the purposes of this subsection.
(2) Submittal to Commission
(3) Immediate effect
(h) Subpoena and investigatory authority
(i) Civil penalties
(j) Civil actions
(1) In general
(2) Injunctions and restraining orders
(k) Limitations on authority
(1) Prospective application
(2) Previous matters
(A) In general
(B) State racing commission
(3) Other laws unaffected
(l) Election for other breed coverage under chapter
(1) In general
(2) Election conditional on funding mechanism
(3) Apportionment
(Pub. L. 116–260, div. FF, title XII, § 1205, Dec. 27, 2020, 134 Stat. 3259.)
§ 3055. Horseracing anti-doping and medication control program
(a) Program required
(1) In general
(2) Consideration of other breeds
(b) Considerations in development of programIn developing the horseracing anti-doping and medication control program, the Authority shall take into consideration the following:
(1) Covered horses should compete only when they are free from the influence of medications, other foreign substances, and methods that affect their performance.
(2) Covered horses that are injured or unsound should not train or participate in covered races, and the use of medications, other foreign substances, and treatment methods that mask or deaden pain in order to allow injured or unsound horses to train or race should be prohibited.
(3) Rules, standards, procedures, and protocols regulating medication and treatment methods for covered horses and covered races should be uniform and uniformly administered nationally.
(4) To the extent consistent with this chapter, consideration should be given to international anti-doping and medication control standards of the International Federation of Horseracing Authorities and the Principles of Veterinary Medical Ethics of the American Veterinary Medical Association.
(5) The administration of medications and treatment methods to covered horses should be based upon an examination and diagnosis that identifies an issue requiring treatment for which the medication or method represents an appropriate component of treatment.
(6) The amount of therapeutic medication that a covered horse receives should be the minimum necessary to address the diagnosed health concerns identified during the examination and diagnostic process.
(7) The welfare of covered horses, the integrity of the sport, and the confidence of the betting public require full disclosure to regulatory authorities regarding the administration of medications and treatments to covered horses.
(c) ActivitiesThe following activities shall be carried out under the horseracing anti-doping and medication control program:
(1) Standards for anti-doping and medication controlNot later than 120 days before the program effective date, the Authority shall issue, by rule—
(A) uniform standards for—
(i) the administration of medication to covered horses by covered persons; and
(ii) laboratory testing accreditation and protocols; and
(B) a list of permitted and prohibited medications, substances, and methods, including allowable limits of permitted medications, substances, and methods.
(2) Review process for administration of medication
(3) Agreement requirements
(4) Anti-doping and medication control enforcement agency
(A) Control rules, protocols, etc
(B) Results management
(C) Testing
(D) Testing laboratories
(5) Anti-doping and medication control standing committee
(d) Prohibition
(e) Advisory committee study and report
(1) In general
(2) Report
(3) Modification of prohibition
(A) In general
(B) ConditionIn order for a unanimous vote described in subparagraph (A) to effect a modification of the prohibition in subsection (d), the vote must include unanimous adoption of each of the following findings:
(i) That the modification is warranted.
(ii) That the modification is in the best interests of horse racing.
(iii) That furosemide has no performance enhancing effect on individual horses.
(iv) That public confidence in the integrity and safety of racing would not be adversely affected by the modification.
(f) Exemption
(1) In general
(2) ExceptionsAn exemption under paragraph (1) may not be requested for—
(A) two-year-old covered horses; or
(B) covered horses competing in stakes races.
(3) Contents of request
(4) Grant of exemption
(g) Baseline anti-doping and medication control rules
(1) In generalSubject to paragraph (3), the baseline anti-doping and medication control rules described in paragraph (2) shall—
(A) constitute the initial rules of the horseracing anti-doping and medication control program; and
(B) except as exempted pursuant to subsections (e) and (f), remain in effect at all times after the program effective date.
(2) Baseline anti-doping medication control rules described
(A) In generalThe baseline anti-doping and medication control rules described in this paragraph are the following:
(i) The lists of permitted and prohibited substances (including drugs, medications, and naturally occurring substances and synthetically occurring substances) in effect for the International Federation of Horseracing Authorities, including the International Federation of Horseracing Authorities International Screening Limits for urine, dated May 2019, and the International Federation of Horseracing Authorities International Screening Limits for plasma, dated May 2019.
(ii) The World Anti-Doping Agency International Standard for Laboratories (version 10.0), dated November 12, 2019.
(iii) The Association of Racing Commissioners International out-of-competition testing standards, Model Rules of Racing (version 9.2).
(iv) The Association of Racing Commissioners International penalty and multiple medication violation rules, Model Rules of Racing (version 6.2).
(B) Conflict of rules
(3) Modifications to baseline rules
(A) Development by anti-doping and medication control standing committee
(B) Authority approval
(C) Anti-doping and medication control enforcement agency veto authority
(Pub. L. 116–260, div. FF, title XII, § 1206, Dec. 27, 2020, 134 Stat. 3263.)
§ 3056. Racetrack safety program
(a) Establishment and considerations
(1) In general
(2) Considerations in development of safety program
(b) Elements of horseracing safety programThe horseracing safety program shall include the following:
(1) A set of training and racing safety standards and protocols taking into account regional differences and the character of differing racing facilities.
(2) A uniform set of training and racing safety standards and protocols consistent with the humane treatment of covered horses, which may include lists of permitted and prohibited practices or methods (such as crop use).
(3) A racing surface quality maintenance system that—
(A) takes into account regional differences and the character of differing racing facilities; and
(B) may include requirements for track surface design and consistency and established standard operating procedures related to track surface, monitoring, and maintenance (such as standardized seasonal assessment, daily tracking, and measurement).
(4) A uniform set of track safety standards and protocols, that may include rules governing oversight and movement of covered horses and human and equine injury reporting and prevention.
(5) Programs for injury and fatality data analysis, that may include pre- and post-training and race inspections, use of a veterinarian’s list, and concussion protocols.
(6) The undertaking of investigations at racetrack and non-racetrack facilities related to safety violations.
(7) Procedures for investigating, charging, and adjudicating violations and for the enforcement of civil sanctions for violations.
(8) A schedule of civil sanctions for violations.
(9) Disciplinary hearings, which may include binding arbitration, civil sanctions, and research.
(10) Management of violation results.
(11) Programs relating to safety and performance research and education.
(12) An evaluation and accreditation program that ensures that racetracks in the United States meet the standards described in the elements of the Horseracing Safety Program.
(c) ActivitiesThe following activities shall be carried out under the racetrack safety program:
(1) Standards for racetrack safety
(2) Standards for safety and performance accreditation
(A) In generalNot later than 120 days before the program effective date, the Authority, in consultation with the racetrack safety standing committee, shall issue, by rule in accordance with section 3053 of this title
(i) safety and performance standards of accreditation for racetracks; and
(ii) the process by which a racetrack may achieve and maintain accreditation by the Authority.
(B) Modifications
(i) In general
(ii) Notice and comment
(C) Extension of provisional or interim accreditation
(3) Nationwide safety and performance database
(A) In general
(B) Collection of information
(Pub. L. 116–260, div. FF, title XII, § 1207, Dec. 27, 2020, 134 Stat. 3267.)
§ 3057. Rule violations and civil sanctions
(a) Description of rule violations
(1) In general
(2) ElementsThe description of rule violations established under paragraph (1) may include the following:
(A) With respect to a covered horse, strict liability for covered trainers for—
(i) the presence of a prohibited substance or method in a sample or the use of a prohibited substance or method;
(ii) the presence of a permitted substance in a sample in excess of the amount allowed by the horseracing anti-doping and medication control program; and
(iii) the use of a permitted method in violation of the applicable limitations established under the horseracing anti-doping and medication control program.
(B) Attempted use of a prohibited substance or method on a covered horse.
(C) Possession of any prohibited substance or method.
(D) Attempted possession of any prohibited substance or method.
(E) Administration or attempted administration of any prohibited substance or method on a covered horse.
(F) Refusal or failure, without compelling justification, to submit a covered horse for sample collection.
(G) Failure to cooperate with the Authority or an agent of the Authority during any investigation.
(H) Failure to respond truthfully, to the best of a covered person’s knowledge, to a question of the Authority or an agent of the Authority with respect to any matter under the jurisdiction of the Authority.
(I) Tampering or attempted tampering with the application of the safety, performance, or anti-doping and medication control rules or process adopted by the Authority, including—
(i) the intentional interference, or an attempt to interfere, with an official or agent of the Authority;
(ii) the procurement or the provision of fraudulent information to the Authority or agent; and
(iii) the intimidation of, or an attempt to intimidate, a potential witness.
(J) Trafficking or attempted trafficking in any prohibited substance or method.
(K) Assisting, encouraging, aiding, abetting, conspiring, covering up, or any other type of intentional complicity involving a safety, performance, or anti-doping and medication control rule violation or the violation of a period of suspension or eligibility.
(L) Threatening or seeking to intimidate a person with the intent of discouraging the person from the good faith reporting to the Authority, an agent of the Authority or the Commission, or the anti-doping and medication control enforcement agency under section 3054(e) of this title, of information that relates to—
(i) an alleged safety, performance, or anti-doping and medication control rule violation; or
(ii) alleged noncompliance with a safety, performance, or anti-doping and medication control rule.
(b) Testing laboratories
(1) Accreditation and standardsNot later than 120 days before the program effective date, the Authority shall, in consultation with the anti-doping and medication control enforcement agency, establish, by rule in accordance with section 3053 of this title
(A) standards of accreditation for laboratories involved in testing samples from covered horses;
(B) the process for achieving and maintaining accreditation; and
(C) the standards and protocols for testing such samples.
(2) Administration
(3) Extension of provisional or interim accreditation
(4) Selection of laboratories
(A) In general
(B) Selection by the authority
(c) Results management and disciplinary process
(1) In generalNot later than 120 days before the program effective date, the Authority shall establish in accordance with section 3053 of this title
(A) rules for safety, performance, and anti-doping and medication control results management; and
(B) the disciplinary process for safety, performance, and anti-doping and medication control rule violations.
(2) ElementsThe rules and process established under paragraph (1) shall include the following:
(A) Provisions for notification of safety, performance, and anti-doping and medication control rule violations.
(B) Hearing procedures.
(C) Standards for burden of proof.
(D) Presumptions.
(E) Evidentiary rules.
(F) Appeals.
(G) Guidelines for confidentiality and public reporting of decisions.
(3) Due process
(d) Civil sanctions
(1) In general
(2) RequirementsThe rules established under paragraph (1) shall—
(A) take into account the unique aspects of horseracing;
(B) be designed to ensure fair and transparent horseraces; and
(C) deter safety, performance, and anti-doping and medication control rule violations.
(3) SeverityThe civil sanctions under paragraph (1) may include—
(A) lifetime bans from horseracing, disgorgement of purses, monetary fines and penalties, and changes to the order of finish in covered races; and
(B) with respect to anti-doping and medication control rule violators, an opportunity to reduce the applicable civil sanctions that is comparable to the opportunity provided by the Protocol for Olympic Movement Testing of the United States Anti-Doping Agency.
(e) Modifications
(Pub. L. 116–260, div. FF, title XII, § 1208, Dec. 27, 2020, 134 Stat. 3269.)
§ 3058. Review of final decisions of the Authority
(a) Notice of civil sanctions
(b) Review by administrative law judge
(1) In general
(2) Nature of review
(A) In generalIn matters reviewed under this subsection, the administrative law judge shall determine whether—
(i) a person has engaged in such acts or practices, or has omitted such acts or practices, as the Authority has found the person to have engaged in or omitted;
(ii) such acts, practices, or omissions are in violation of this chapter or the anti-doping and medication control or racetrack safety rules approved by the Commission; or
(iii) the final civil sanction of the Authority was arbitrary, capricious, an abuse of discretion, or otherwise not in accordance with law.
(B) Conduct of hearing
(3) Decision by administrative law judge
(A) In generalWith respect to a matter reviewed under this subsection, an administrative law judge—
(i) shall render a decision not later than 60 days after the conclusion of the hearing;
(ii) may affirm, reverse, modify, set aside, or remand for further proceedings, in whole or in part, the final civil sanction of the Authority; and
(iii) may make any finding or conclusion that, in the judgment of the administrative law judge, is proper and based on the record.
(B) Final decision
(c) Review by Commission
(1) Notice of review by Commission
(2) Application for review
(A) In general
(B) Effect of denial of application for review
(C) Discretion of Commission
(i) In general
(ii) Matters to be consideredIn determining whether to grant such an application for review, the Commission shall consider whether the application makes a reasonable showing that—(I) a prejudicial error was committed in the conduct of the proceeding; or(II) the decision involved—(aa) an erroneous application of the anti-doping and medication control or racetrack safety rules approved by the Commission; or(bb) an exercise of discretion or a decision of law or policy that warrants review by the Commission.
(3) Nature of review
(A) In generalIn matters reviewed under this subsection, the Commission may—
(i) affirm, reverse, modify, set aside, or remand for further proceedings, in whole or in part, the decision of the administrative law judge; and
(ii) make any finding or conclusion that, in the judgement of the Commission, is proper and based on the record.
(B) De novo review
(C) Consideration of additional evidence
(i) Motion by Commission
(ii) Motion by a party(I) In generalA party may file a motion to consider additional evidence at any time before the issuance of a decision by the Commission, which shall show, with particularity, that—(aa) such additional evidence is material; and(bb) there were reasonable grounds for failure to submit the evidence previously.(II) ProcedureThe Commission may—(aa) accept or hear additional evidence; or(bb) remand the proceeding to the administrative law judge for the consideration of additional evidence.
(d) Stay of proceedings
(Pub. L. 116–260, div. FF, title XII, § 1209, Dec. 27, 2020, 134 Stat. 3272.)
§ 3059. Unfair or deceptive acts or practicesThe sale of a covered horse, or of any other horse in anticipation of its future participation in a covered race, shall be considered an unfair or deceptive act or practice in or affecting commerce under section 45(a) of this title if the seller—
(1) knows or has reason to know the horse has been administered—
(A) a bisphosphonate prior to the horse’s fourth birthday; or
(B) any other substance or method the Authority determines has a long-term degrading effect on the soundness of the covered horse; and
(2) fails to disclose to the buyer the administration of the bisphosphonate or other substance or method described in paragraph (1)(B).
(Pub. L. 116–260, div. FF, title XII, § 1210, Dec. 27, 2020, 134 Stat. 3274.)
§ 3060. State delegation; cooperation
(a) State delegation
(1) In general
(2) Implementation by State racing commission
(b) Cooperation
(Pub. L. 116–260, div. FF, title XII, § 1211, Dec. 27, 2020, 134 Stat. 3274.)