Health Articles

Microsoft word - 2016 application for accreditation - redline to 2014

A. General Information List the fol owing: 1. Applicant's Executive Offices: 2. URL of Applicant's Web Site: 3. Mailing Address: 4. Identify the Senior Management individual or individuals to whom the compliance officer will report under your Compliance Program. 5. List the telephone number and e-mail address for each person named above. 6. Provide the name and address of government agency(ies) that licenses(license) Applicant. 7. List dates of live racing to be held in 2016. 8. List expected dates of live racing to be held in 2017. B. Injury And Fatality Reporting and Prevention 1. Do you participate in the InCompass Equine Injury Database (EID)?  Yes  No If YES, • When did you begin participation in EID? • List veterinarian(s) responsible for completion of injury reports and indicate veterinarian's employment status (Official Veterinarian/Commission Veterinarian/Association Veterinarian). • If applicable, list personnel responsible for data entry (if other than veterinarian(s) listed above).  –Describe how, and by whom, information is provided to data entry personnel for EID submission. • Provide confirmation from InCompass verifying your current participation in the EID. • For which of the fol owing circumstances do you enter data into the EID? • AM – Official Veterinarian Scratches related to racing soundness? – If no, provide a Plan for commencement of such reporting. • AM – Scratches submit ed by trainers or private practicing veterinarians relating to il ness, racing soundness or other medical conditions? – If no, provide a Plan for commencement of such reporting. • PM – Veterinary scratches relating to horses injured traveling to, in, or exiting the paddock or saddling enclosure? – If no, provide a Plan for commencement of such reporting. • PM – Veterinary scratches relating to horses injured or determined to be unsound in the post – If no, provide a Plan for commencement of such reporting. • PM – Veterinary scratches relating to gate incidents or flipped horses (Injury status unclear)? – If no, provide a Plan for commencement of such reporting. • Fatal Conditions (musculoskeletal injuries and/or sudden death)? – If no, provide a Plan for commencement of such reporting. • Non-Fatal Conditions (musculoskeletal and/or otherwise)? – If no, provide a Plan for commencement of such reporting. • Fatal Conditions (musculoskeletal injuries and/or sudden death)? - If no, provide a Plan for commencement of such reporting. • When training data is submit ed, who is responsible for providing information? • Is fol ow up conducted to confirm the accuracy of the data received from "2nd hand" sources? • Please provide EXCEL spreadsheet (downloaded from EID Web site) of EID participation for the previous 60 days of live racing. If unable to complete for preceding 60 days because it is the beginning of a race meet or the race meet is less than 60 days, provide previous meet's EID data. Horse and trainer names may be redacted. • Please provide a narrative explaining an internal analysis of your EID data and how you may have used this analysis in determining operational changes, if applicable. • Explain reasons for current non-participation and Plans for future participation. 2. Are al racehorses subject to a pre-race examination by a Regulatory or Association Veterinarian?  Yes  No If YES, • List veterinarian(s) responsible for examinations and indicate veterinarian's job title (Official Veterinarian, Association Veterinarian). • Provide writ en documentation of the protocols utilized for pre-race veterinary examination, signed by Veterinarians listed above. • Provide writ en documentation of the protocols detailing lines of communication and procedures enlisted between the examining veterinarian and the stewards when the examining veterinarian determines a horse is unsuitable to participate. • Does your examining veterinarian utilize the InCompass Pre-Race Examination module to col ect and share examination data on al horses subjected to pre-race examination? • Explain why al horses are not subject to a pre-race examination by a Official or Association Veterinarian and describe any other measures taken to examine horses pre-race and provide Plans for future pre-race examination programs. • Describe your efforts in advocating for adoption of pre-race examination protocols. 3. Are al racehorses subject to post-race observation by an Official or Association Veterinarian?  Yes  No If YES, • List Veterinarian(s) in Charge (VIC) of observing horses fol owing each race and indicate veterinarian's job title (Official Veterinarian, Association Veterinarian). • Provide writ en documentation of protocols involved in post-race veterinary observation, signed by Veterinarians listed above. • Provide writ en explanation of fol ow-up involved with horses observed to potential y have an injury and/or other medical condition, signed by Veterinarian in Charge (VIC). • Explain why al horses are not subject to post-race observation by a Official or Association Veterinarian and describe any other measures taken to examine horses post-race and describe future Plans for implementing a post-race examination program. 4. Are al racehorses that suffer catastrophic injury during the Race Day or during any Non- Race Day activity at your facility subject to Post Mortem Veterinary Examination?  Yes  No If YES, • Provide writ en documentation from your racing commission confirming that Post Mortem Veterinary Examinations are being performed on al horses suffering catastrophic injuries, signed by the Official Veterinarian or other appropriate racing commission representative. • Provide writ en documentation of standard procedures for al horses undergoing Post Mortem Veterinary Examination, including the taking of blood, urine, and/or tissue samples for drug testing and transportation to diagnostic laboratory, signed by the Official Veterinarian. • At ach an example of a Post Mortem Veterinary Examination report for a Race Day racehorse, with al identifying information redacted. • Describe how Post Mortem Veterinary Examination information is used (e.g., racing commission annual statistical reports) and list individuals or organizations authorized to receive Post Mortem Veterinary Examination information. • List any circumstances under which a Post Mortem Veterinary Examination may be authorized and at ach an example of a Post Mortem Veterinary Examination report for a Race Day racehorse, with al identifying information redacted. 5. Do you maintain a Veterinarian's List?  Yes  No If YES, • List veterinarian(s) in charge of maintaining such list and indicate veterinarian's job title (Official Veterinarian, Association Veterinarian). • Provide writ en explanation of the protocols involved to determine if a horse warrants addition to the List, signed by Veterinarians listed above. • Provide writ en explanation of the protocols and procedures for a horse being removed from the Veterinarian's List, signed by Veterinarian in Charge, including what personnel are capable of physical y removing a horse from the Veterinarian's List. • Provide documentation of states or jurisdictions with whom you share Veterinarian's List information, signed by Veterinarian in Charge. • Provide confirmation that you utilize InCompass Solutions Race Track Operating System ("RTO") for sharing Veterinarian's Lists among jurisdictions. • Explain why you do not maintain a Veterinarian's List and list alternative resources upon which you rely and provide a Plan for your future participation in a Veterinarian's List. 6. Do you maintain a Restricted or similar List?  Yes  No If YES, • Provide writ en explanation of the difference between this list and any other official lists including, but not limited to, the Veterinarians' List, Starters' List, Stewards' List, etc. 7. Do your Veterinarians enlist a program of identifying "horses of interest" which may warrant further scrutiny in pre-race examinations and/or in the post parade?  Yes  No If YES, • Provide details of strategies incorporated to determine "horses of interest." 8. Do you conduct an "Injury Review" that reviews situations when there is increased frequency of catastrophic breakdowns?  Yes  No If YES, • Provide the names and affiliations of members of the committee (or, in case the commit ee is formed ad hoc, names and affiliations of potential members of the commit ee). • Provide writ en documentation of the injury review process. • Describe how the actions of the Injury Review Commit ee may be utilized to augment change in • Explain why you have not created an Injury Review Commit ee and describe Plans for future policy 9. Do the responsibilities of the Official Veterinarian fal under the auspices of the local regulatory body?  Yes  No If NO, • Explain the current oversight of the Official Veterinarian in your jurisdiction. 10. Do you have written protocols in place detailing the responsibilities of the Official Veterinarian?  Yes  No If YES, • Provide a copy of the protocols of the responsibilities of the Official Veterinarian including, but not limited to, Pre-Race Examinations, Post Race Observation, Administration of Furosemide, Veterinarians' Lists, and Necropsy. • Explain why you have you do not have writ en Official Veterinarian Protocols and describe Plans for future adoption. C. Safety Equipment and Safer Racing Environment 1. Does your local regulatory body have a rule in place similar in manner to ARCI-008-010(G) concerning safety and care of horses?  Yes  No If YES, • Provide a copy of the rule from your local regulatory authority rule book or from your Condition • Do you have a reporting mechanism, such as a tol -free phone number where violations of this rule can be reported anonymously? • Provide a Plan for advocating your regulatory body to adopt a rule or regulation concerning safety and care of horses. • Provide a Plan for implementing a reporting mechanism for instances of horse mistreatment. 2. Do you prohibit horses from wearing horseshoes on their front feet that have certain traction devices such as toe grabs that may restrict the natural forward slide of the hoof upon impact?  Yes  No If YES, • Provide a copy of the state regulatory body rule or regulation or House Rule, signed by the appropriate issuing authority, outlining al banned traction devices. • Provide writ en documentation of standard procedures for pre-race shoe inspections/changes, and the recording thereof, signed by the person(s) responsible for enforcing rules on horseshoes. • At ach one example of your communications regarding shoe standards to your personnel with a need-to-know (such as an in-house memo) and at least one example of your communications to horsemen (e.g., overnight or condition book page) regarding shoe standards. • Explain why you have not adopted a horseshoe policy and describe Plans for future policy adoption. 3. Do you require al licensed jockeys to only use cushioned riding crops in accordance with the RCI Model Rules during al races?  Yes  No If YES, • Provide a copy of your House Rule or state regulatory body rule or regulation requiring cushioned riding crops, signed by appropriate issuing authority. • Provide writ en documentation of standard procedures for ensuring compliance with the riding crop specifications and use of the riding crop regulations, and name(s) of individual(s) responsible for • At ach one example of your communications regarding riding crop standards and use of the riding crop regulations to your personnel with a need-to-know (such as an in-house memo) and an example of your communications to jockeys and trainers (e.g., overnight or condition book page) regarding riding crop standards and observance/enforcement of the riding crop regulations. • Explain why cushioned riding crops are not in general use and provide a Plan for their adoption in 4. Are al assistant starters and other licensees mounted on a horse or stable pony on association grounds at any time required to wear safety helmets?  Yes  No If YES, • Provide a copy of your state regulatory body rule or regulation or House Rule requiring safety helmets for designated licensees, signed by appropriate issuing authority. • Provide writ en documentation of standard procedures for ensuring compliance with the safety helmet rule(s) and name(s) of individual(s) responsible for enforcement. • At ach an example of your communications regarding riding helmets to your personnel with a need- to-know (such as an in-house memo) and at least one example of your communications to horsemen, jockeys, exercise riders and other backstretch workers (e.g., overnight or condition book page) regarding safety helmets. • List any licensee not required to wear a safety helmet while mounted on a horse or a stable pony on association grounds and give detailed explanation why such licensee is not required to wear a safety • Explain why a safety helmet rule is not currently in place and provide a Plan for future 5. Are al assistant starters and al licensees who are mounted on a horse or stable pony on association grounds at any time, required to wear safety vests?  Yes  No If YES, • Provide a copy of your state regulatory body rule or regulation or House Rule requiring safety vests, signed by appropriate issuing authority. • Provide writ en documentation of standard procedures for ensuring compliance with the safety vest rule(s) and name(s) of individual(s) responsible for enforcement. • At ach one example of your communications regarding safety vests to your personnel with a need- to-know (such as an in-house memo) and to backstretch licensees such as exercise riders or jockeys. • Explain why a rule for safety vests for assistant starters or certain other licensees who may perform certain job functions on horseback is not in place, and provide a Plan for future implementation. 6. Are al your starting and training gates equipped with padding?  Yes  No If YES, • Provide the manufacturer or other specifications for gate/padding utilized in your starting and • Explain why padded starting gates are not in use and provide a Plan for future implementation. 7. Do you have standard operating procedures in place to remove the starting gate from the racing surface in a safe and timely manner?  Yes  No If YES, • Describe the standard operating procedures in place for removal of the starting gate from the racing surface, including "back-up" plans. • Explain why you do not have standard operating procedures for removal of the starting gate from the racing surface and provide a Plan for future adoption. 8. Do you have an audible/visual emergency racetrack warning system in place on your main track and your training track(s)?  Yes  No If YES, • Describe the equipment, its locations and its operation. • Describe the standard operating protocols to trigger the emergency warning system and how it may be used to cal off a race or training in the event of an emergency in a manner similar to Model Rule ARCI-007-020(M). • Explain why you do not have an emergency racetrack warning system on your racetrack and training track(s) and provide your plans to procure this equipment and implement relevant protocols. • Describe current protocols to cal off a race or training in event of an on-track emergency. 9. Do you have an on-site equine ambulance?  Yes  No If YES, • Provide a copy of your state regulatory body rule or regulation or House Rule requiring an equine ambulance, signed by appropriate issuing authority. • At ach a copy of the ambulance manufacturer's specifications for your equipment, if available. • At ach a copy of the list of standard medical triage equipment contained in the equine ambulance. • Explain why you do not have an on-site equine ambulance and detail your alternative measures for providing emergency care to injured horses, and provide a Plan for securing an on-site equine 10. Does your regulatory body have a policy for addressing substance abuse and addiction for licensees in a manner similar to the Model Rule ARCI-008-010?  Yes  No If YES, • Provide a copy of your state regulatory body rule or regulation concerning substance abuse and • Provide examples of communications to horsemen and/or employees in which you provide information on where individuals can seek assistance, if needed. • Provide a description of any human care/social services facility or organization with which your racing facility is associated and/or funds for purposes of assisting individuals with substance abuse or addiction issues. • Provide a Plan for advocating your regulatory body to adopt a rule or regulation concerning substance abuse or addiction. 11. Does your track have a program to assist personnel with Problem Gambling?  Yes  No If YES, • Does your program include support for both frontside and backstretch personnel? • Does your program reflect recommendations as provided in the ARCI model rule on Problem Gambling and the Responsible Wagering Resources Guide for Race Track Managers published by the Winners Federation? • Please describe your in place program and provide any support materials utilized in ensuring awareness of the program and provide a plan for implementing such a program. • Explain why you do not have an in place program to support both front side and backstretch personnel with gambling problems. 12. Do you fund and/or participate in independent research to promote a safer racing environment?  Yes  No If YES, • Provide writ en documentation of your participation in/funding of independent safety research within the past 12 months. • At ach one example of your communications regarding safety research program participation to your personnel with a need-to-know. • Provide a list of responsible personnel, job titles and contact information. • Explain why you do not participate in safety research and your Plan for participating in such programs in the future. 13. Do you have standard operating procedures for managing track surface maintenance?  Yes  No If YES, • Provide writ en documentation of your track maintenance program including equipment used and • Provide examples of weather data col ected. • Provide examples of daily measurement data col ected and the methods used to col ect data. • Provide examples of surface sampling analysis. • Describe equipment used on racing surfaces. • Explain why you do not have writ en standard operating procedures for your racing surface 14. Do you participate in racetrack surface research studies and the uniform recording of daily track maintenance focusing on safety of dirt, turf and synthetic surfaces?  Yes  No If YES, • At ach one example of your communications regarding racetrack surface research study participation to your personnel with a need-to-know. • Provide a list of responsible personnel, job titles and contact information. • Explain why you do not participate in racetrack surface research studies and your Plan for participating in such programs in future. 15. Do you offer or make available continuing education for personnel involved in the safety and management of horses at your facility?  Yes  No If YES, • At ach examples of your continuing education programs. For example: In-house training modules relevant to horse handling, such as handbooks or videos; Outside programs relevant to horse safety at ended by your personnel; or, Training programs relevant to horse handling offered at your facility by outside organizations (such as Groom Elite, Groom Development, or ROAP Certificate Programs). • Explain why you do not offer continuing education and provide your Plan for participating in such programs in future. 16. Does your regulatory body require continuing education for veterinarians?  Yes  No If YES, • Describe which veterinarians have continuing education requirements. For example: Do Official Veterinarians have continuing education requirements? If yes, please describe the minimum requirements. Do Practicing Veterinarians have continuing education requirements? If yes, please describe the minimum requirements. 17. Does your regulatory body require continuing education for trainers?  Yes  No If YES, • Describe continuing education requirements for trainers. For example: How frequently is continuing education required? Please describe the minimum requirements/curriculum and methods for conducting education. 18. Has your state regulatory body adopted the use of the Uniform National Trainers Test?  Yes  No If YES, • Please provide a copy of the writ en test used in your state, signed by a steward (or appropriate testing official). • Provide a copy of the writ en test used in your state, signed by a steward (or appropriate testing official) and provide your advocacy plans for adoption of the Uniform National Trainers Test. 19. Do al Stewards at your facility meet minimum standards for accreditation as established by ARCI and the Racing Officials Accreditation Program ("ROAP")?  Yes  No If YES, • Provide confirmation that al Stewards meet the experience, education and examination requirements necessary to be accredited and are in good standing with al racing jurisdictions. • Explain why al of your Stewards are not accredited and submit your Plan to ensure that all Stewards are ful y accredited in the future. 20. Does your state regulatory authority participate in the Racing Regulatory Data Management System and regularly submit information regarding regulatory rulings on all licensees?  Yes  No If YES, • Please provide a copy of the most recent submission to the Racing Regulatory Data Management System, signed by a steward. • Explain why your regulatory authority does not participate in the Racing Regulatory Data Management System. 21. Do you have standard operating procedures for dealing with catastrophical y injured horses at your racetrack(s) and training facilities?  Yes  No If YES, • List veterinarian(s) in charge of responding to injured horses and indicate veterinarian's job title (Regulatory Veterinarian, Association Veterinarian, etc.). • Provide writ en documentation of standard procedures for obtaining bio samples (blood, urine or tissue) prior to administration of euthanasia solution, signed by Veterinarian in Charge. • Provide writ en documentation of standard procedures for the equine ambulance staff and veterinarians ministering to catastrophical y injured horses, signed by the Veterinarian in Charge. • Provide a writ en Plan for public communications regarding catastrophic injuries. • Explain why you do not have standard operating procedures for dealing with catastrophical y injured horses and submit your Plan for such emergencies, including a Plan for public communications concerning catastrophic injuries. 22. Do you maintain a Stewards' List?  Yes  No If YES, • List steward(s) in charge of maintaining such list and indicate steward's job title (Association Steward, State Steward). • Provide writ en explanation of the protocols involved to determine if a horse warrants addition to the list, signed by steward responsible for maintaining list. • Provide writ en explanation of the protocols and procedures for a horse being removed from the list, signed by steward responsible for maintaining list. • Provide documentation of states or jurisdictions with whom you share Stewards' List information, signed by steward responsible for maintaining list. • If applicable, provide confirmation that you utilize InCompass Solutions' Race Track Operating System ("RTO") for sharing Stewards' Lists among jurisdictions. • Explain why you do not maintain a Stewards' List and list alternative resources upon which you rely and provide a Plan for your future participation in a Stewards' List. 23. Do you maintain a Starter's List?  Yes  No If YES, • Provide name and contact information for Head Starter. • Provide writ en explanation of the protocols involved to determine if a horse warrants addition to the list, signed by Head Starter. • Provide writ en explanation of the protocols and procedures for a horse being removed from the list, signed by Head Starter. • Provide documentation of states or jurisdictions with whom you share Starter's List information, signed by veterinarian in charge. • If applicable, provide confirmation that you utilize InCompass Solutions Race Track Operating System ("RTO") for sharing Starter's Lists among jurisdictions. • Explain why you do not maintain a Starter's List and list alternative resources upon which you rely and provide a Plan for your future participation in a Starter's List. 24. Do you have standard operating procedures for managing outbreak of infectious disease at your racetrack(s) and training facilities?  Yes  No If YES, • Provide writ en documentation of steps taken to reduce the potential risks associated with outbreak of infectious disease prior to an outbreak. • List veterinarian(s) in charge of responding to reports of outbreak of infectious disease and indicate veterinarian's job title (Official Veterinarian, Association Veterinarian, etc.). • Provide writ en documentation of standard procedures when there is an outbreak of an infectious • Provide a writ en Plan for public communications regarding outbreak of infectious disease. • Explain why you do not have standard procedures in place for dealing with outbreak and management of infectious disease and describe your Plan for future adoption of such procedures. 25. Do you have standard operating procedures for managing fire safety at your racetrack(s) and training facilities?  Yes  No If YES, • Provide writ en documentation of standard procedures when there is a fire at your racetrack(s) or training facility. • Provide writ en documentation of steps taken to reduce risks of fire. • Explain why you do not have standard procedures in place for dealing with fire safety and provide a Plan for future adoption of such procedures. 26. Do you have a fire alarm system in your facility?  Yes  No If YES, • Provide documentation of the annual fire alarm inspection. If NO, • Provide documentation of the annual fire alarm inspection. 27. Do you have a fire sprinkler system in your facility?  Yes  No If YES, Provide documentation of the annual sprinkler inspection. Explain your emergency procedure in the event of a fire. 28. Do you have portable fire extinguishers in your facility?  Yes  No If YES,  Provide documentation for the annual inspections  Explain why you do not have extinguishers or the inspection documentation. 29. Do you have a clean agent or alternative fire suppression system in your facility?  Yes  No If YES,  Provide documentation for the semi-annual inspections  Explain your plan for protecting sensitive electronic equipment from fire. 30. Do you have emergency egress lighting at your facility?  Yes  No If YES,  Provide documentation for the annual load test and monthly function test.  Explain your egress plan in the event of an emergency or power failure. 31. Were there any deficiencies found at the time of the inspection, for any of the above life safety system?  Yes  No  Provide documentation that these deficiencies were repaired within 60 days, including a letter of compliance from the repair contractor that the repairs were completed per the associated NFPA Standard as wel as State and Local Codes.  Explain reason why the deficiencies were not repaired. 32. Does your track have standard operating procedures for managing the safety of human athletes, equine athletes and racing participants in its saddling paddock and walking ring?  Yes  No If YES, • Provide writ en documentation of standard procedures for managing safety in the saddling paddock and walking rings, including the personnel involved with overseeing the procedures. • Explain why you do not have standard procedures in place for managing safety in the saddling paddock and walking ring and provide a Plan for future adoption of such procedures. 33. Does your track have a standing safety committee which meets regularly to discuss issues concerning safety at your track?  Yes  No If YES, • List member(s) groups represented on your safety commit ee. • Provide documentation of safety commit ee meetings (i.e. meeting agendas or meeting minutes). • Explain why you do not have a standing safety commit ee and provide a Plan for future adoption of a safety committee. 34. Does your track ensure that there are practicing veterinarians on duty at your track at al hours when there is either training or racing occurring?  Yes  No If YES, • Describe how your track ensures that there is practicing veterinarian coverage at al hours when there is either racing or training occurring. • Explain why you do not ensure that there is adequate veterinarian coverage at your facility at al times when either racing or training is occurring and provide a Plan to ensure veterinary coverage in 35. Are al House Rules in place at your track printed in the Condition Book?  Yes  No If YES, • Provide a copy of a Condition Book with House Rules contained within. • Explain why you do not print House Rules in your Condition Book and explain how House Rules are communicated with licensees. D. Medication and Testing 1. Describe the procedure for drug testing at your facility. a. How many horses are routinely selected to be sent to the test barn? b. Which horses are routinely selected to be sent to the test barn? c. What criteria are used to select non-routine horses for sampling? d. Are additional horses routinely selected for sampling in stakes races? 2. Has your local regulatory authority adopted the Control ed Therapeutic Medication Schedule?  Yes  No If YES, • Provide writ en documentation of your state regulatory body rule or regulation detailing adoption of the Control ed Therapeutic Medication Schedule. • Describe your efforts in advocating for adoption of the Control ed Therapeutic Medication Schedule. 3. Has your local regulatory authority adopted the Multiple Medication Violation Penalty System?  Yes  No If YES, • Provide writ en documentation of your state regulatory body rule or regulation detailing adoption of the Multiple Medication Violation Penalty System. • Describe your efforts in advocating for adoption of the Multiple Medication Violation Penalty 4. Has your state adopted Penalties based on drug classifications for medication violations in a manner consistent with ARCI Model Rule 011-020 (B)?  Yes  No If YES, • Please provide detailed drug and therapeutic medication penalties, by classification, signed by a steward or appropriate commission representative. • If penalties are deemed a policy decision as opposed to encoded by rule, please provide documentation that the penalty classifications are fol owed, signed by a steward or appropriate commission representative. • Please provide documentation of the existing drug and therapeutic medication penalties in place in your racing jurisdiction. 5. Do you participate in testing for alkalinizing substances (TCO2 or Milk-Shaking)?  Yes  No If YES, • Provide writ en documentation of your state regulatory body rule or regulation or House Rule requiring testing for alkalinizing substances, signed by appropriate issuing authority. • Provide writ en documentation of standard procedures for sample col ection and handling, signed by the Veterinarian in Charge. • Explain why you do not participate in testing for alkalinizing substances and provide a Plan for testing in future and provide an advocacy Plan for adoption of rules or regulations in the future. • Describe your efforts in advocating for adoption of regulations requiring testing for alkalinizing substances and correlating penalties for violations. 6. Do you participate in testing for androgenic anabolic steroids for horses in training and competition?  Yes  No If YES, • Provide writ en documentation of your state regulatory body rule or regulation or House Rule requiring testing for androgenic anabolic steroids, signed by appropriate issuing authority. • Explain why you do not participate in testing for androgenic anabolic steroids and provide an advocacy Plan for adoption of regulations on androgenic anabolic steroid testing. • Describe your efforts in advocating for adoption of regulations requiring testing for androgenic anabolic steroids and correlating penalties for violations. 7. Does your regulatory body regulate the use of Non-Steroidal Anti-Inflammatory Drugs ("NSAIDS") in a manner consistent with ARCI Model Rule 011-020?  Yes  No If YES, • Provide a copy of the state regulatory rule regarding the administration of NSAIDS, signed by the Regulatory Veterinarian. • Provide a copy of the state regulatory rule detailing that NSAIDS are not al owed to be administered on Race Day in your racing jurisdiction. • Describe your efforts in advocating for adoption of regulations for use of NSAIDS and correlating penalties for violations. 8. Does your regulatory body regulate and test for the use of furosemide (Salix®, Lasix®) in a manner consistent with ARCI Model Rule 011-020?  Yes  No If YES, • Provide a copy of the state regulatory rule regarding the use and administration of furosemide, signed by the Regulatory Veterinarian. • Describe the protocols involved with furosemide administration at your racetrack. • Provide documentation from the official laboratory detailing the use of specific gravity and/or appropriate serum threshold. • Provide a copy of the state regulatory rule detailing the differences between the current rule in your jurisdiction and the identified model rule for the administration and regulation of furosemide. • Provide a Plan regarding advocacy for the adoption of a regulation concerning testing for and using furosemide (Salix®, Lasix®). • Describe your efforts in advocating for adoption of regulations for use of furosemide and correlating penalties for violations. 9. Do you prohibit possession or use of blood doping agents?  Yes  No If YES, • Provide writ en documentation of your state regulatory body rule or regulation or House Rule regarding the prohibition of the possession or use of blood doping agents, signed by the appropriate issuing authority. • Explain why you do not prohibit the possession or use of blood doping agents and your advocacy Plan for adoption of regulations on blood doping agents. 10. Do you participate in out-of-competition testing for blood doping agents?  Yes  No If YES, • Provide writ en documentation of your state regulatory body rule or regulation or House Rule requiring out-of-competition testing for blood doping agents, signed by appropriate issuing • Provide writ en documentation detailing the procedures for sample col ection and chain of custody for out-of-competition samples. • Explain why you do not participate in out-of-competition testing and provide an advocacy Plan for the adoption of regulations on out-of-competition testing. • Describe your efforts in advocating for adoption of an out-of-competition testing program and correlating penalties for violations. 11. Do you regulate or prohibit the use of Extracorporeal Shock Wave Therapy or substantial y similar procedures?  Yes  No If YES, • Provide writ en documentation of your state regulatory body rule or regulation or House Rule regarding the use of Extracorporeal Shock Wave Therapy or substantially similar procedures, signed by the appropriate issuing authority. • If applicable, provide documentation on how the use of Extracorporeal Shock Wave Therapy or substantially similar procedures is control ed off association grounds. • Explain why you do not regulate or ban the use of Extracorporeal Shock Wave Therapy or substantially similar procedures and your advocacy Plan for adoption of regulations on Extracorporeal Shock Wave Therapy or substantial y similar procedures. • Describe your efforts in advocating for adoption of regulations for use of Extracorporeal Shock Wave Therapy and correlating penalties for violations. 12. Do you regulate or prohibit the use of drugs, substances or medication that have not been approved by the United States Food and Drug Administration ("FDA") for any use?  Yes  No If YES, • Provide writ en documentation of your rule(s) regarding the use of Non-FDA Approved Drugs, substances or medications signed by the appropriate issuing authority. • Explain why you do not regulate or ban the use of Non-FDA Approved Drugs, substances or medications and your advocacy Plan for adoption of regulations on Non-FDA Approved Drugs. 13. Does your state regulatory body freeze, store and conduct retrospective super testing of a suspect horse's racing plasma and/or urine samples?  Yes  No 14. Have random inspections of test barn operations been performed in your facility anytime in the past?  Yes  No If YES, • Provide writ en documentation of standard procedures for random inspections of test barn operations, signed by Veterinarian in Charge or individual responsible for overseeing inspections and giving dates of the most recent inspection(s). • Explain why you do not have random inspections of your test barn operations and provide a Plan for random inspections in future. 15. Has the testing laboratory that is responsible for testing plasma and/or urine samples from your racing facility participated in the Racing Medication and Testing Consortium accreditation program?  Yes  No If YES, • Provide writ en documentation that such participation has taken place, signed by the Laboratory Director or individual responsible for overseeing the testing facility. • Explain why the laboratory has not participated in the RMTC accreditation program. • Describe Plans in place for the laboratory to participate in the RMTC accreditation program in the 16. Has your regulatory body adopted Official Testing Laboratory performance standards and quality control protocols that are consistent with RMTC's "Model Request for Proposals for Equine Drug Testing Laboratory"?  Yes  No If YES, • Provide a copy of the regulatory body's Official Testing Laboratory operating agreement – redacted where reasonable to maintain pricing confidentiality. Or, provide a copy of your state regulatory body's most recent Official Testing Laboratory RFP, plus writ en documentation verifying that Official Testing Laboratory performance standards and quality control protocols are consistent with RMTC guidelines. • Describe your efforts in advocating for adoption of Official Testing Laboratory operating standards and quality control protocols that are consistent with RMTC guidelines 17. Does your track have a mechanism in place to communicate with horsemen and practicing veterinarians current medication and testing protocols and, when appropriate, proposed new, regulatory authority-approved changes to medication and testing regulations and protocols?  Yes  No If YES, • Describe the mechanism in place to communicate with horsemen and practicing veterinarians at your track current medication and testing protocols and, when appropriate, proposed new, regulatory authority-approved changes to medication and testing regulations and protocols. • If applicable, list member(s) groups represented on your medication communication commit ee. • Provide documentation of medication communication commit ee meetings (i.e. meeting agendas or meeting minutes). • Explain why you do not have a mechanism in place to communicate with horsemen and practicing veterinarians at your track current medication and testing protocols and, when appropriate, proposed new, regulatory authority-approved changes to medication and testing regulations and protocols and provide a Plan for implementing a program in the future. 1. Do you have a detailed Security Plan for your racetrack, barn area and other restricted areas within your enclosure?  Yes  No If YES, • Provide writ en documentation of the Security Plan at your racetrack, signed by the Head of Security at your racetrack. • Explain why you do not have a detailed Security Plan for your racetrack, barn area and other restricted areas within your enclosure and describe your Plan for implementing one in the future. 2. Have you participated in an independent security assessment performed by a qualified security assessment organization in the past 12 months?  Yes  No If YES, • Provide writ en documentation of the security procedures reviewed, including dates, signed by an authorized agent of the independent security assessment organization that conducted the review. • Explain why you have not participated in an independent security assessment and your Plan for securing an independent security assessment. 3. Do you require al security staff to periodical y participate in security training programs?  Yes  No If YES, • Provide writ en documentation of security training modules, list training staff or agencies (including job titles) and give dates for most recent security training program. • Explain why you do not require al security training staff to periodical y participate in security training programs and provide a Plan for implementing security training in future. F. Safety and Health of Jockeys 1. Do you fol ow standard procedures for weighing out and weighing in of jockeys?  Yes  No If YES, • Provide writ en documentation of your state regulatory body rule or regulation, or your House Rule, regarding weighing of jockeys, signed by appropriate issuing authority. • Provide writ en documentation of standard procedures for ensuring compliance with the rule(s) regarding the weighing of jockeys and name(s) and job title(s) of individual(s) responsible for • At ach one example of your communications to your personnel with a need-to-know regarding the procedures for weighing jockeys (such as an in-house memo). • Explain why you do not have standard procedures for weighing jockeys and provide your Plan for instituting such procedures in future. 2. Does the scale of weights used at your racetrack(s) reflect the scale of weights recommended by the Model Rule ARCI-010-020(D)?  Yes  No If YES, • Provide a copy of your state regulatory body rule or regulation concerning the jockey scale of • Provide writ en documentation of the scale of weights currently used at your facility, signed by the person responsible for assigning weights for races. 3. Do al the jockeys at your racetrack(s) participate in the InCompass Solutions' Jockey Health Information System database?  Yes  No If YES, • Provide a writ en description of procedures in place to enable jockeys to input their health information into the system, signed by the person responsible. • Provide examples of communication used to ensure the jockeys are aware of the system. • Explain why jockeys at your racetrack(s) are not participating in the Jockey Health Information System and describe Plans to ensure their future participation. 4. Is your track participating in the Jockey Injury Database?  Yes  No If YES, • List the person (s) responsible for providing data for the Jockey Injury Database. • Provide an example (redacted, if necessary) of data provided to Jockey Injury Database. • Explain reasons for current non-participation and describe Plans for future participation. 5. Does your track have written protocols and procedures in place to provide timely, quality medical care for those who are injured or become il on racetrack grounds?  Yes  No If YES, • Provide a writ en description of protocols and procedures in place to provide timely, qualified medical care for those who are injured or become il on racetrack grounds. • Provide the name and qualifications of the track medical director or other responsible party who oversees al racetrack emergency services. • Provide the name(s) and qualifications of track emergency medical personnel, including Nurse(s), Medical Doctor(s), Paramedic(s), Emergency Medical Technician(s), and transportation provider(s). • Describe staffing of emergency medical personnel, including quantity of and location(s) where personnel are detailed, at al times when there is either racing or training taking place at your facility. • Describe the facility(ies) in place at your track for emergency medical care, including equipment available for treatment. • Describe the protocols in place for transportation of injured personnel to emergency medical facility(ies) including those off the grounds. • Describe the equipment used to transport injured personnel to local hospitals/trauma centers. • List the name(s) of area hospitals with which your track has a relationship provide a general description of the hospitals' level of care (including level of trauma care provided). If NO, • Explain why you do not have protocols and procedures in place for providing timely, quality medical care for those who become il or are injured on racetrack grounds and provide a Plan for submit ing 6. Has your regulatory authority adopted the Model Rule ARCI-008-030(A)(2) and (3) concerning the qualifications required for jockeys to be eligible to compete?  Yes  No If YES, • Provide a copy of your state regulatory body rule or regulation concerning the qualifications required for jockeys to compete. • Provide a writ en description of the licensing and eligibility requirements for jockeys and provide your advocacy Plans for adoption of the Model Rule. 7. Does your racetrack(s) maintain a minimum of $1,000,000 per incident insurance policy for al jockey participants?  Yes  No • Provide evidence that a policy exists. • Provide examples of communication to jockeys making them aware of what insurance coverage is in place on their behalf. • Explain what insurance is in place for jockeys and describe your Plans to provide a $1,000,000 policy in the future. 8. Do you and/or racing participants who compete at your racetrack(s) support programs geared toward funding jockey disability support?  Yes  No If YES, • Provide examples of ways in which you either support jockey disability programs or encourage support from participants at your racetrack(s). • Provide examples of your public endorsements of jockey disability programs. • Explain why you do not support or encourage support by participants in racing at your racetrack(s) of any jockey disability programs and describe your Plans for future support of programs geared toward funding jockey disability support. 9. Do you have written protocols regarding the initiation of scratches in the paddock, post parade or at the starting gate?  Yes  No If YES, • Provide the writ en protocols in place to initiate scratches in the paddock, post parade and at the • Describe the communication between jockeys, trainers, Official Veterinarians and Stewards regarding the scratch process. • Explain why you do not have writ en protocols in place concerning scratching of horses in the paddock, in the post parade, or at the starting gate and provide a Plan for the adoption of these 10. Do you have written protocols regarding the cancelation of racing due to inclement weather or hazardous racing conditions?  Yes  No If YES, • Provide the writ en protocols in place to cancel racing due to inclement weather or hazardous racing • Describe the communication between jockeys, trainers, Official Veterinarians and Stewards regarding the cancelation process. • Explain why you do not have writ en protocols in place concerning the cancelation of racing due to inclement weather or hazardous racing conditions and provide a Plan for the adoption of these G. Aftercare and Transition of Retired Racehorses 1. Do you support programs to facilitate the transition and aftercare of retired racehorses?  Yes  No If YES, • Provide examples of ways in which you participate in funding for equine transition programs, such as a starter fee, statutory check-off for purses or handle, public fundraiser(s) for equine retirement organization(s), direct contributions to equine retirement organizations, etc. • Provide a description of any on-site racehorse transition facility, including names and job titles of personnel (if applicable). • Provide examples of your public endorsements of equine retirement, such as Web links, track program ads, Public Service Announcements on in-house monitors, etc. • Provide examples of your communications to horsemen and owners in which you give contact information for organizations that place horses in transition. • Describe any state-funded racehorse transition programs you participate in. • Provide writ en documentation of any House Rule you have regarding "zero tolerance" policies for horses sent to slaughter (if applicable). Include at least one example of public communications to horsemen regarding this policy. • Explain why you do not support any programs to facilitate the transition and aftercare of retired racehorses and submit any Plans for future participation in such programs. H. Wagering Security 1. Does your racetrack(s) have specific protocols in place for stop wagering devices and the chain of command for their operation?  Yes  No If YES, • Provide writ en documentation of the protocols in place for stop wagering devices and chain of • Provide writ en documentation of the protocols in place for situations when there is a malfunction of the stop wagering device. • How does your racetrack(s) close the pools at the beginning of a race? 2. Does your racetrack(s) have the right to request and receive transactional data from guest sites and their totalisator company?  Yes  No If YES, • Provide documentation of the writ en agreement between you as a host and a guest that stipulates the right to receive transactional wagering data. • Explain why you do not have the right to request and receive transactional data from your guest sites and describe your Plan to secure such information in the future. 3. Does your totalistor provider meet the standards set forth in the Statement on Auditing Standard 70 (SAS70) and/or the Statement on Standards for Attestation Engagements 16 (SSAE16)?  Yes  No If YES, • Provide a writ en copy of the audit opinion provided to your totalisator provider indicating they meet the standards set forth in the Statement on Auditing Standard 70 or the Statement on Standards for At estation Engagements 16, signed by the person responsible for relationships with your totalisator • Explain why your totalisator provider has not met the Statement on Auditing Standard 70 or the Statement on Standards for At estation Engagements 16 and describe your plan for corrective measures in this area. 4. Has your totalisator provider had its equipment tested, reviewed, and reported on by an independent equipment certification provider?  Yes  No If YES, • Provide a writ en copy of the report provided to your totalisator provider indicating their equipment was tested, reviewed, and reported on by an independent equipment certification provider, signed by the person responsible for relationships with your totalisator provider. • Explain why your totalisator provider has not had its equipment tested, reviewed and reported on by an equipment certification provider and describe your Plan to secure such review and reporting in 5. Do you or your regulatory authority al ow wagers into your pools from jurisdictions/facilities that al ow cancel delays of any length of time?  Yes  No If YES, • Explain any Plan in place to advocate for changing the policy al owing wagers into your pools from jurisdictions/facilities that al ow cancel delays. 6. Do you or your regulatory authority al ow wagers into your pools from jurisdictions/facilities that have "double-hopped" from secondary jurisdictions/facilities?  Yes  No If YES, • Explain any Plan in place to advocate for changing the policy al owing wagers into your pools from jurisdictions/facilities that al ow "double hops." 7. Do you have protocols in place to make decisions whether to include or exclude guest wager pools from your wagering pools when active timing of wagers placed cannot be verified?  Yes  No If YES, • Describe, in writ en detail, the process that takes place concerning exclusion of guest wagers from your wagering pools. • Explain why there are no protocols in place that are implemented in cases when timing of guest pool wagers cannot be verified and provide your Plan to implement such protocols in the future. 8. Do you have a policy in place that determines your actions taken, as a guest, when your wagers are not included in a host's wagering pools?  Yes  No If YES, • Describe, in writ en detail, the policy concerning exclusion of wagers placed when you are a guest in • Describe, and give examples of, the communication to customers explaining your policy for handling exclusion from a host's wagering pools. • Explain why there is no policy in place for handling exclusion from a host's wagering pools and provide your Plan for implementing such a policy in the future. 9. Are your races broadcast and recorded with a timestamp display synchronized with atomic time in an Hours, Minutes, and Seconds format (HH:MM:SS)?  Yes  No If YES, • What atomic clock do you synchronize the video broadcast with? • Is the broadcast display synchronized with the totalisator record? • How frequently are the times synchronized? • Please provide evidence (stil photo or DVD of a race running) that clearly displays atomic time on • Explain why races are not broadcast and recorded with timestamping and describe your Plan for implementing timestamp procedures in the future. 10. Is your totalisator record keeping timestamped and synchronized with atomic time?  Yes  No If YES, • What atomic clock do you synchronize the video broadcast with? • Do you keep a log of last wager received and the official start of every race? • Please provide a sample of the wager log and official start log. • Explain why there is no timestamp on totalisator logs and official start records and describe your Plan for implementing such a protocol in the future. 11. What version of ITSP ("Intertote System Protocol") software is your totalisator provider operating under? 12. Do you have protocols in place that you enact upon suspicion of a Wagering Incident?  Yes  No If YES, • Describe, in writ en detail, the protocols in place that are enacted upon suspicion of a Wagering • Explain why you do not have protocols in place that are enacted upon suspicion of a Wagering Incident and describe your Plan for implementing such protocols in the future. 13. Do you have protocols in place for communications to the public regarding investigations of Wagering Incidents?  Yes  No If YES, • Describe, in writ en detail, the protocols in place for communications to the public regarding investigations of Wagering Incidents. • Explain why you do not have protocols in place for communications to the public regarding investigations of Wagering Incidents and describes your future Plans to implement a public communications strategy. 14. Describe and give examples of communications regarding the mechanism in place by which the public can report Wagering Incidents. 15. Do you have protocols in place to perform due diligence on wagering entities seeking access to your wagering pools?  Yes  No If YES, • Describe, in writ en detail, the protocols implemented to perform due diligence on wagering entities seeking access to your wagering pools. • Explain why you do not have protocols implemented to perform due diligence on wagering entities seeking access to your wagering pools and describe your Plan for implementing a due diligence program in the future. 16. Do you al ow wagers into your pools from computer or robotic assisted wagering entities?  Yes  No If YES, • What due diligence is conducted on these wagering entities? • If these entities are al owed into your bet ing pools, are these wagers placed by these entities time- • When are the wagers time-stamped (at the time the wager is placed or at the time it is transferred to the pool from the hub)? • What is the cancelation policy for wagers placed by computer assistance or robotical y? I. Compliance Program 1. Do you have a Compliance Program in place?  Yes  No If YES, • Please at ach documentation demonstrating the design, implementation and maintenance of your Compliance Program. • Is your Compliance Program prepared in accordance with compliance guidelines issued by NTRA Safety & Integrity Al iance? • Who is your Compliance Officer? • Why not? • Describe your Plans to implement an effective Compliance Program in the future. 1. Do you offer other programs or utilize other types of safety equipment not otherwise listed above? (For example, safety rail on racetrack, etc.)  Yes  No If YES, list and describe.

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