United States Department of Agriculture
Horse Protection Strategic Plan
This Horse Protection Strategic Plan was initiated by Animal and Plant Health Inspection Service (APHIS) officials in December 1995 as a corollary to the Animal Care Strategic Direction Plan and in response to program concerns. A committee was formed in February 1996 to draft a preliminary plan. APHIS elected to seek public input on these proposed policy and regulatory changes and published notice of public forums in the Federal Register on July 3, 1996. Three public meetings were convened in 1996 to gather comments regarding the proposed strategic plan: July 26 in Murfreesboro, TN, August 2 in St. Louis, MO, and August 16 in Sacramento, CA. These were open forums attended by APHIS personnel, Horse Industry Organization (HIO) representatives, animal interest groups, and other concerned individuals. The agenda consisted of breakout sessions covering the following main components of the strategic plan:
Comments from these forums were compiled by the chairperson and are available
at This document is not intended to supersede the Horse Protection Act (HPA) or its regulations. Implementing the items printed in bold and italic (like this sentence) will necessitate changing current regulations. Changing these regulations entails publishing the proposed rules in the Federal Register, allowing time for public comments to be submitted and analyzed, and publishing the final rules. Because public comments may necessitate further revisions in the regulatory language, APHIS cannot predict the final outcome of any proposed regulatory changes.
The U.S. Department of Agriculture (USDA), APHIS, in its enforcement of the HPA, seeks to continue to strengthen its association with the horse industry through a cooperative working relationship and a comprehensive plan to achieve the elimination of soring.(1)
The Congress of the United States has sought to eliminate the practice of soring through passage and enforcement of the HPA. The welfare of horses has been, and continues to be, the primary concern of APHIS veterinarians responsible for the enforcement of this law. APHIS now seeks to strengthen USDA-certified HIO's with a proactive regulatory program directed toward the elimination of both blatant and inconspicuous methods of soring. APHIS recognizes the challenges of this proposal; however, we believe these can be overcome through a cooperative, objective approach. All certified HIO's will continue to be treated equally under the program. APHIS believes the HIO's should (and has expectations that they will) adhere to the intent of the HPA and its accompanying regulations to relieve the suffering of sored horses. Detection methods must continuously advance and become more sophisticated as soring techniques change, to ensure fairness among all participants and to reinforce APHIS' commitment to eliminating this practice.
Enforcement History The HPA was passed by Congress in 1970, and Federal veterinarians began its enforcement by attending horse shows in 1972. Despite more than 20 years of Government intervention and regulation and an amendment to the Act to incorporate Designated Qualified Persons (DQP's) to inspect horses, the practice of soring continues. Enforcement statistics compiled for congressional reports support USDA contentions that the time for adoption of the Horse Protection Strategic Plan is now. These statistics indicate a discrepancy in the number of DQP-assessed violations at shows or sales when APHIS is present as compared to when APHIS is not present. APHIS believes this gap can be reduced through adopting and implementing this Horse Protection Strategic Plan, which includes HIO audits. This information will be used to assess HIO performance at those shows APHIS was unable to attend. Program Concerns Public forum discussions indicated discontent in the following areas:
APHIS Vision for the Program The concept of enforcing the HPA in conjunction with the horse industry is consistent with the APHIS vision. Team-based leadership between APHIS and the horse industry is the first step in achieving our mutual goal of eliminating the inhumane practice of soring. APHIS is aware that there is public interest in the horse protection program, and we are committed to delivering services of the highest quality. APHIS can accomplish this goal through a process of open communication, continual program evaluation, and strong, proactive leadership.
Horse Protection Enforcement Plan Partnership in Enforcement of the Horse Protection Act APHIS will not relinquish its authority under the Act or regulations but agrees to redefine its oversight of the horse industry through advisory, audit, and inspection roles. USDA-certified HIO's would enter into a cooperative enforcement partnership with APHIS. Enforcement of the horse protection program at affiliated shows or sales would be placed primarily upon the horse industry DQP systems. HIO's would be held accountable for the outcomes resulting from their DQP inspection programs. USDA certification would be contingent, in part, upon the satisfactory fulfillment of DQP program operations. Measurable performance standards for the horse protection program will be developed and continually reviewed to ensure accuracy and reliability. Communication between APHIS program managers and horse industry representatives would be formalized through specified meetings, direct involvement of APHIS regional offices with industry representatives, strategic planning committee workshops with industry personnel, and specialized training for industry organizations. USDA Oversight of Industry Deputy Administrator for Animal Care
Horse Protection Advisory Team (see definition in Glossary)
Regional Horse Protection Coordinator
APHIS Veterinarians
Horse Industry Organizations' Responsibilities
USDA Certification of the Horse Industry HIO's certified by USDA would receive either a provisional, full, probationary, or decertified status, as determined by APHIS audits, inspections, and evaluations. The following elements are necessary to achieve full certification [9 CFR 11.7(b)]:
APHIS' Deputy Administrator of Animal Care, upon recommendations from the Horse Protection Advisory Team, will provide final decisions on certification status. Provisional certification can be requested by and granted only to new organizations that have met all current regulatory requirements except for the "Records" element. Such certification is limited to 1 year. At that time, provisionally certified HIO's must meet full certification criteria. Based upon APHIS audits, inspections, and evaluations, an HIO will be given a deadline within which period it must correct a noncompliant element. Correction dates may be appealed to the HIO's respective Animal Care regional office, and this appeal must reach that office before the correction period has elapsed. If the correction is made by the deadline, certification status is maintained. If the correction is not made on time, APHIS will place the HIO on probation. The period of time that an organization can remain in probationary status is limited to 6 months. (If the HIO corrects the problem, APHIS will recertify the HIO.) Placement in probationary status may be appealed to the Horse Protection Advisory Team (through the appropriate Animal Care regional office). If an HIO fails to correct by the end of the probationary period the problem that caused it to be placed on probation, it will be decertified and must wait 6 months to reapply. An HIO may appeal decertification as outlined in 9 CFR 11.7(g). At reapplication, it must meet full certification criteria (i.e., it cannot return to provisional status). Probationary and decertified organizations are subject to increased scrutiny by APHIS.
A credible, appropriate, and uniform penalty system remains the cornerstone of this proposal. The following penalties and procedures will be adopted: A Letter of Warning is an official notification of unsatisfactory DQP performance. Requests for the issuance of a Letter of Warning will be based on clear evidence of unsatisfactory performance. Standards for satisfactory DQP performance will be written and included in annual DQP training. At the time a Letter of Warning is requested by the APHIS VMO, the DQP in question will be informed at the end of the show or sale. Requests for Letters of Warning will then be forwarded to the relevant Animal Care regional office for approval and will subsequently be forwarded to the DQP program director. When a DQP receives a second Letter of Warning, his or her license will be canceled, and the individual cannot reapply for 3 years. If, having once had his or her license canceled, a DQP reapplies and is issued a license and then receives a Letter of Warning within 2 years, his or her license will be canceled permanently. Actions Taken Against Certified HIO's
Actions Taken at Affiliated Shows
Actions Taken at Unaffiliated Shows
APHIS VMO's will continue to inspect at both affiliated and unaffiliated shows, with increased emphasis on those shows where the incidence of soring has been greatest. APHIS will initiate cases on those horses found to be sore, or otherwise in violation of the HPA, where appropriate penalties have not been imposed by the HIO.
In the spirit of partnering, the graduated penalty chart in table 1 brings into harmony the various current HIO penalty systems. The categories outlined in the chart represent violations committed by horse industry participants under the HPA and its regulations. The chart reflects the relative severity of various violations as historically viewed by APHIS when attempting to settle a case. These penalties do not represent those that may be imposed under the HPA by an Administrative Law Judge after notice and opportunity for a hearing. The minimum penalty levels described in table 1 will be adopted by all certified HIO's. Penalties are applied to the exhibitor, trainer, and owner. Penalties for bilateral soreness, scar rule, bad image, pressure shoeing, and unilateral soreness have 3-year time limit. Individuals with no additional violations for 3 years after a suspension has been served will be treated as first offenders for any subsequent offense of a similar nature. Penalties for the remaining violations in table 1 will be similarly removed after the end of each calendar year. All penalties in table 1 are cumulative and cannot be served concurrently. Additional penalties, such as fines or suspensions of individuals found in violation, may be levied by individual HIO's at their discretion. All HIO's will honor each other's suspension lists, and all suspensions of less than 8 months shall be served during the horse-show season. Postshow violators will be assessed appropriate penalties and will forfeit trophies, prizes, and class or category point awards. In the event that more than one violation is assessed during the inspection, all penalties will be applied and suspensions will be cumulatively served.
Proper training of all participants in horse protection is essential. Training must contain certain elements and be applicable, informative, and uniform so that all USDA-certified HIO participants maintain consistency and accountability in their performance under this plan. Primary groups of participants requiring training:
Combined APHIS and horse industry training programs will include the following areas:
With an effective training program, additional performance and measurement standards can be developed and analyzed. The initial development of an enforcement partnership in horse protection will begin with training. APHIS will continue to help organize and implement training for VMO's and DQP's, with input from industry and other interested parties. In order to provide specialized training to horse industry participants, APHIS will set up training sessions by region. Similar training will be provided across all regions to ensure consistency and uniformity. APHIS will augment this training by developing educational materials and information that will be available to all horse industry constituencies. Future considerations for training/education within this program may include mentoring; education for horse groups, owners, and the public at large, especially youth; and a national campaign to publicize the HPA.
Under this strategic plan, research would receive attention from APHIS, industry, and other allied groups in a cooperative effort. Areas of potential study may include but are not limited to:
Measurement standards for the horse protection program can be defined, established, and authenticated with the assistance of the medical and research communities. Research may be conducted by universities, corporations or private-practice veterinarians. APHIS will seek out resources for research from USDA and encourage HIO's, animal protection groups, and allied industry representatives to explore other research opportunities.
Appendix A: Animal Care Offices
Affiliated shows or sales--Those shows or sales sanctioned by a USDA-certified HIO Bad image--Descriptive term for any horse exhibiting signs of pain or distress in any or all of the following areas: appearance, locomotion, or physical examination Horse Protection Advisory Team--A team comprised of a cross section of APHIS employees who are knowledgeable about the Horse Protection Program. Horse-show season--A specified time period when most horse shows occur: March 1 through October 31 each year Pressure shoeing--Any manner of shoeing a horse that causes it to suffer, or that can reasonably be expected to cause it to suffer, pain or distress or lameness when walking, trotting, or otherwise moving, or inflammation or soreness regardless of movement. Scar--Fibrous tissue that has replaced normal tissue destroyed by an injury.(1) Soring--The application of any chemical or mechanical agent used on any limb of a horse or any practice inflicted upon the horse that can be expected to cause it physical pain or distress when moving.(2) Unaffiliated shows or sales--Those shows or sales not sanctioned by a USDA-certified HIO
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