[Senate Report 113-254]
[From the U.S. Government Publishing Office]
113th Congress } { REPORT
2d Session } SENATE { 113-254
_______________________________________________________________________
Calendar No. 562
PREVENT ALL SORING TACTICS ACT OF 2013
__________
R E P O R T
of the
COMMITTEE ON COMMERCE, SCIENCE, AND TRANSPORTATION
on
S. 1406
[GRAPHIC(S) NOT AVAILABLE IN TIFF FORMAT]
September 15, 2014.--Ordered to be printed
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U.S. GOVERNMENT PRINTING OFFICE
39-010 PDF WASHINGTON :
SENATE COMMITTEE ON COMMERCE, SCIENCE, AND TRANSPORTATION
one hundred thirteenth congress
second session
JOHN D. ROCKEFELLER IV, West Virginia, Chairman
BARBARA BOXER, California JOHN THUNE, South Dakota
BILL NELSON, Florida ROGER F. WICKER, Mississippi
MARIA CANTWELL, Washington ROY BLUNT, Missouri
MARK PRYOR, Arkansas MARCO RUBIO, Florida
CLAIRE McCASKILL, Missouri KELLY AYOTTE, New Hampshire
AMY KLOBUCHAR, Minnesota DEAN HELLER, Nevada
MARK BEGICH, Alaska DANIEL COATS, Indiana
RICHARD BLUMENTHAL, Connecticut TIM SCOTT, South Carolina
BRIAN SCHATZ, Hawaii TED CRUZ, Texas
ED MARKEY, Massachusetts DEB FISCHER, Nebraska
CORY BOOKER, New Jersey RON JOHNSON, Wisconsin
JOHN WALSH, Montana
Ellen Doneski, Staff Director
John Williams, General Counsel
David Schwietert, Republican Staff Director
Nick Rossi, Republican Deputy Staff Director
Rebecca Seidel, Republican General Counsel
Calendar No. 562
113th Congress } { Report
2d Session } SENATE { 113-254
=======================================================================
PREVENT ALL SORING TACTICS ACT OF 2013
_______
September 15, 2014.--Ordered to be printed
_______
Mr. Rockefeller, from the Committee on Commerce, Science, and
Transportation, submitted the following
R E P O R T
[To accompany S. 1406]
The Committee on Commerce, Science, and Transportation, to
which was referred the bill (S. 1406) to amend the Horse
Protection Act to designate additional unlawful acts under the
Act, strengthen penalties for violations of the Act, improve
Department of Agriculture enforcement of the Act, and for other
purposes, having considered the same, reports favorably thereon
with an amendment (in the nature of a substitute) and
recommends that the bill (as amended) do pass.
Purpose of the Bill
The purpose of S. 1406, the Prevent All Soring Tactics Act
of 2013, is to amend the Horse Protection Act (HPA) to protect
Tennessee Walking Horses and other gaited horses from a
practice known as ``soring.'' Soring is a process whereby
blistering agents, burns, lacerations, sharp objects, or other
substances and devices are applied to a horse's legs or hooves
to intentionally make each step painful, thus forcing the horse
to perform an exaggerated high-stepped gait that is valued in
show rings. The HPA prohibits horses that have been subjected
to soring from participating in shows, sales, exhibitions, or
auctions.
Background and Needs
In 1970, Congress passed the HPA (15 U.S.C. 1821 et seq.)
to protect Tennessee Walking Horses and other gaited show horse
breeds from the act of soring. As originally enacted, it was to
be enforced by the Animal and Plant Health Inspection Service
(APHIS), a branch of the U.S. Department of Agriculture (USDA).
However, a lack of staff and funding resulted in little
enforcement, which led to a 1976 amendment to the HPA that
established a means for the industry to self-police. The
amendment created the Designated Qualified Person (DQP)
program, which allowed non-USDA employees from within the
equine community to engage in training and certification
programs run by Horse Industry Organizations (HIOs) and
supervised by the USDA. HIOs are required to hire enough DQPs
to examine every horse shown for signs of soring and to issue
violations to exhibitors. The USDA spot checks the work of DQP
participants by making random inspections at a small number of
shows.\1\
---------------------------------------------------------------------------
\1\In 2007, USDA inspectors were able to attend approximately 30 of
the 463 sanctioned shows, or 6 percent. See U.S. Department of
Agriculture, Office of Inspector General, Animal and Plant Health
Inspection Service, Administration of the Horse Protection Program and
the Slaughter Horse Transport Program, Audit Report 33601-2-KC,
September 2010, at http://www.usda.gov/oig/webdocs/33601-02-KC.pdf.
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This current horse inspection regime under the HPA is
inadequate because it creates a conflict of interest when
inspections should properly be conducted with arms-length
impartiality. HIOs, as well as many of the DQPs, are industry
participants with a conflict of interest that could impede
robust enforcement. HIOs, which sponsor and sanction shows,
sales, and other events, are responsible for hiring, training,
and licensing DQPs who are responsible for enforcing the HPA by
inspecting horses.
In 2008-2009, the USDA's Office of the Inspector General
(OIG) conducted an audit of the HPA program and issued a report
of its findings.\2\ According to the report, violations of the
HPA are rampant. Exhibitors (the owners and trainers) of gaited
show horses often go to great lengths to evade detection rather
than comply with Federal law and train horses using humane
methods. The report's findings include:
---------------------------------------------------------------------------
\2\Ibid.
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DQPs are often likely to be show exhibitors
themselves and, thus, have clear conflicts of interest.
If they were to inspect other exhibitors' horses
rigorously, they might find their own horses subject to
much more stringent inspections at other shows.
Some DQPs regularly give exhibitors warnings
instead of issuing tickets for violations, as is
required by law. In the limited instances when the DQPs
do issue tickets, the tickets are issued not to the
exhibitor but to more junior employees, such as stable
hands who work for the exhibitor.
When USDA inspectors are present at horse
shows, the number of citations for violations increases
significantly.\3\
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\3\From 2005-2008, USDA inspectors were present at only 6 percent
of all shows, yet DQPs issued 49 percent of all violations at these
shows.
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S. 1406 would amend the HPA to eliminate the practice of
industry self-policing, prohibit the use of devices implicated
in soring, and provide for greater penalties for violations of
the HPA.
Summary of Provisions
S. 1406 would amend the HPA to protect Tennessee Walking
Horses and other gaited horses from a practice known as
``soring.'' Soring is a process whereby blistering agents,
burns, lacerations, sharp objects, or other substances and
devices are inflicted upon a horse's legs or hooves to
intentionally make each step painful, thus forcing the horse to
perform an exaggerated high-stepped gait that is valued in show
rings. The HPA already prohibits horses that have been
subjected to soring from participating in shows, sales,
exhibitions, or auctions, S. 1406 would prohibit the act of
soring itself.
S. 1406 would abolish the current DQP system and instead
require the USDA to license, train, and oversee the persons who
are hired to detect and diagnose sored horses at horse shows,
exhibitions, sales, and auctions. These USDA-licensed
inspectors at horse shows, exhibitions, sales, and auctions
would be paid by event organizers. And their hiring would be
voluntary, but it would protect management from liability if
soring were found at their shows. The bill would prohibit the
use of ``action devices'' including chains that rub up and down
an already sored leg to intensify the horse's pain when it
moves. S. 1406 would ensure that this prohibition does not
apply to protective devices. Finally, the bill would increase
the civil and criminal penalties for soring and would allow
permanent disqualification from participation in horse shows,
exhibitions, sales, or auctions for repeat offenders.
Legislative History
Senators Ayotte and Warner introduced S. 1406 on July 31,
2013. It is cosponsored by Senators Thune, Begich, Blumenthal,
Booker, Boxer, Cantwell, Klobuchar, Markey, Rubio, Schatz, and
Walsh of the Committee, as well as 58 other Senators. The House
companion to this bill, H.R. 1518, was introduced by
Representative Whitfield; it has 304 cosponsors.
The bill has the support of the American Association of
Equine Practitioners, the American Horse Council, the
Equestrian Federation, the American Quarter Horse Association,
the National Sheriffs' Association, the American Veterinary
Medical Association, the Humane Society of the United States,
veterinary medical associations for every State, most major
breed associations, many Walking Horse groups, and the American
Society for the Prevention of Cruelty to Animals.
On April 9, 2014, in an open Executive Session, the
Committee considered the bill and reported S. 1406, as amended,
favorably by voice vote. The Committee adopted a substitute
amendment from Senator Ayotte that made a change to the bill to
make it mirror its companion bill in the House, H.R. 1518. The
amendment capitalizes the word ``Racking'' in the term
``Racking Horse'' to denote a particular breed of horse.
Estimated Costs
In accordance with paragraph 11(a) of rule XXVI of the
Standing Rules of the Senate and section 403 of the
Congressional Budget Act of 1974, the Committee provides the
following cost estimate, prepared by the Congressional Budget
Office:
S. 1406--Prevent All Soring Tactics Act of 2014
S. 1406 would amend the Horse Protection Act of 1970 (HPA)
to strengthen and expand enforcement of current prohibitions on
soring horses. Soring refers to the practice of applying a
substance or device to a horse's limb to cause the horse pain
when moving. Although prohibited, the practice helps to achieve
the high stepping gait desired for Tennessee Walking Horses and
other similar breeds. Under current law, inspectors from the
U.S. Department of Agriculture (USDA) are sent to some large
horse shows, but the private managers of each event where such
horses compete usually hire their own inspectors to detect
soring and other violations of the HPA.
S. 1406 would require USDA to license, train, assign, and
oversee private inspectors qualified to independently detect
and diagnose a horse that has been subjected to soring and to
inspect horses at horse shows, exhibitions, sales, or auctions,
for purposes of enforcing HPA regulations. Those independent
inspectors would not be USDA employees and would continue to be
paid by the private managers of each event. The bill also would
prohibit the use of any device placed on a horse's limb to
artificially alter its gait (known as an action device). In
addition, S. 1406 would increase maximum fines and prison terms
for each violation of HPA. Upon any third or subsequent
violation, the Secretary of Agriculture could permanently
disqualify a person from having any part in future horse shows,
exhibitions, sales, or auctions. Finally, the bill would impose
a fine on event managers who refuse to pay the USDA licensed
horse inspectors.
Based on information from the Animal and Plant Health
Inspection Service (APHIS), CBO estimates that implementing S.
1406 would cost about $1 million per year over the 2015-2019
period, assuming appropriation of the necessary amounts, for
licensing, training, assigning, and monitoring independent
inspectors. In 2014, APHIS spent about $700,000 for HPA
enforcement.
Enacting S. 1406 would not affect direct spending. The bill
could increase revenues from penalties; therefore, pay-as-you-
go procedures apply. However, CBO estimates that any additional
revenues from those penalties would probably be negligible.
S. 1406 contains no intergovernmental mandates as defined
in the Unfunded Mandates Reform Act (UMRA).
The bill would impose a private-sector mandate, as defined
in UMRA, on some owners of horses by expanding the prohibition
on soring horses. The cost of the mandate would be the net
income forgone because of that expansion. Based on information
from USDA reports and industry sources, CBO estimates that the
cost of the mandate would fall below the annual threshold
established in UMRA ($152 million in 2014, adjusted annually
for inflation).
Regulatory Impact
In accordance with paragraph 11(b) of rule XXVI of the
Standing Rules of the Senate, the Committee provides the
following evaluation of the regulatory impact of the
legislation, as reported:
number of persons covered
The legislation would change the inspection and oversight
regime for shows, sales, exhibitions, and auctions that involve
Tennessee Walking Horses and other gaited horses.
economic impact
This legislation is not expected to have an adverse
economic impact on the Nation. The bill would direct the
Secretary of Agriculture (Secretary) to promulgate regulations
to license, train, assign, and oversee persons qualified to
inspect horses for soring and to assign such persons if the
show's management indicated their intent to hire inspectors. It
would increase penalties for soring and prohibit the use of
certain practices and devices on the horse breeds that have
been subject to soring.
privacy
S. 1406 would not have a negative impact on the personal
privacy of individuals.
paperwork
The legislation would not increase paperwork requirements
for private individuals or businesses. The bill would require
the USDA to issue implementing regulations, including rules
under which the USDA licenses, trains, assigns, and oversees
HPA inspectors.
Congressionally Directed Spending
In compliance with paragraph 4(b) of rule XLIV of the
Standing Rules of the Senate, the Committee provides that no
provisions contained in the bill, as reported, meet the
definition of congressionally directed spending items under the
rule.
Section-by-Section Analysis
Section 1. Short title.
Section 1 would establish the title of the bill as the
``Prevent All Soring Tactics Act of 2014.''
Section 2. Increased enforcement under Horse Protection Act.
Section 2(a) of the bill would amend section 2 of the HPA
(15 U.S.C. 1821) to add a definition of ``action device'' as
any boot, collar, chain, roller, or other device that encircles
or is placed upon a horse's lower leg in a way that rotates
around or slides up and down to cause friction or strikes the
horse's hoof, coronet band, fetlock joint, or pastern, but not
including soft rubber or soft leather bell boots or quarter
boots used as protective devices. This section would also add a
definition of what it means to ``participate'' in horse shows,
exhibitions, sales, or auctions, as that term is used in
section 6 of the HPA (15 U.S.C. 1825), as amended, regarding
penalties and disqualification of offenders.
Section 2(b) of the bill would amend section 3 of the HPA
(15 U.S.C. 1822) to include ways that the practice of soring
adversely affects and burdens interstate and foreign commerce,
including by creating unfair competition, deceiving the
spectating public and horse buyers, and negatively impacting
horse sales. It also references the USDA OIG's determination
that the existing program for inspecting horses is inadequate
to prevent soring. It identifies the three breeds that have
historically been subjected to soring--Tennessee Walking
Horses, Racking Horses, and Spotted Saddle Horses--and finds
that, despite existing regulations, violations of the HPA
continue to be prevalent in those three breeds.
Section 2(c) of the bill would amend section 4 of the HPA
(15 U.S.C. 1823) by directing the Secretary to prescribe
regulations to license, train, assign, and oversee persons
qualified to inspect horses for soring. It would grant the
Secretary authority to revoke an inspector's license if the
inspector's performance is found to be unsatisfactory,
following notice and an opportunity for a hearing. This section
would also establish that the management of a horse show,
exhibition, sale, or auction may opt to have voluntary
inspection by one or more inspectors licensed and assigned by
the Secretary. It would mandate that the Secretary publish and
update on the APHIS website information on violations of the
HPA so that management can determine if an individual is in
violation. This section also would require disqualifying a
horse from competition for a minimum of 180 days for a first
determination of soring, a minimum of one year for a second
determination, and a minimum of three years for a third
determination.
Section 2(d) of the bill would amend section 5 of the HPA
(15 U.S.C. 1824), which describes unlawful acts, to add a
prohibition against soring a horse or directing another person
to sore a horse for the purpose of showing, exhibiting,
selling, auctioning, or offering for sale the horse. It would
also prohibit the use of an action device on any limb of a
Tennessee Walking Horse, Racking Horse, or Spotted Saddle
Horse, and it would prohibit the use of a weighted shoe, pad,
wedge, hoof band, or other device or material at a horse show,
exhibition, sale, or auction placed on, inserted in, or
attached to any limb of any such horse, unless the device is
strictly protective or therapeutic.
Section 2(e) of the bill would amend section 6 of the HPA
(15 U.S.C. 1825) to increase the criminal penalty for unlawful
acts from a misdemeanor to a felony on the first offense, and
it would increase the maximum fine from $3,000 to $5,000 for
each violation. It also would create a felony penalty and
maximum $5,000 fine for violators who disobey orders of
disqualification, and it would increase the civil penalty for
each violation from $3,000 to $5,000. It would expand the range
of activities from which an offender can be disqualified, and
it would allow for the permanent disqualification of offenders
on a third or subsequent violation.
Section 2(f) of the bill would direct the Secretary to
issue implementing regulations within 180 days of the bill's
enactment, including rules under which the USDA would license,
train, assign, and oversee HPA inspectors.
Changes in Existing Law
In compliance with paragraph 12 of rule XXVI of the
Standing Rules of the Senate, changes in existing law made by
the bill, as reported, are shown as follows (existing law
proposed to be omitted is enclosed in black brackets, new
material is printed in italic, existing law in which no change
is proposed is shown in roman):
HORSE PROTECTION ACT
SEC. 2. DEFINITIONS.
[15 U.S.C. 1821]
As used in this Act unless the context otherwise requires:
(1)(A) The term ``action device'' means any boot,
collar, chain, roller, or other device that encircles
or is placed upon the lower extremity of the leg of a
horse in such a manner that it can--
(i) rotate around the leg or slide up and
down the leg, so as to cause friction; or
(ii) strike the hoof, coronet band, fetlock
joint, or pastern of the horse.
(B) Such term does not include soft rubber or soft
leather bell boots or quarter boots that are used as
protective devices.
[(1)] (2) The term ``management'' means any person
who organizes, exercises control over, or administers
or who is responsible for organizing, directing, or
administering.
[(2)] (3) The term ``Secretary'' means the Secretary
of Agriculture.
[(3)] (4) The term ``sore'' when used to describe a
horse means that--
(A) an irritating or blistering agent has
been applied, internally or externally, by a
person to any limb of a horse,
(B) any burn, cut, or laceration has been
inflicted by a person on any limb of a horse,
(C) any tack, nail, screw, or chemical agent
has been injected by a person into or used by a
person on any limb of a horse, or
(D) any other substance or device has been
used by a person on any limb of a horse or a
person has engaged in a practice involving a
horse,
and, as a result of such application, infliction,
injection, use, or practice, such horse suffers, or can
reasonably be expected to suffer, physical pain or
distress, inflammation, or lameness when walking,
trotting, or otherwise moving, except that such term
does not include such an application, infliction,
injection, use, or practice in connection with the
therapeutic treatment of a horse by or under the
supervision of a person licensed to practice veterinary
medicine in the State in which such treatment was
given.
[(4)] (5) The term ``State'' means any of the several
States, the District of Columbia, the Commonwealth of
Puerto Rico, the Virgin Islands, Guam, American Samoa,
and the Trust Territory of the Pacific Islands.
(6)(A) The term ``participate'' means engaging in any
activity with respect to a horse show, horse
exhibition, or horse sale or auction, including--
(i) transporting or arranging for the
transportation of a horse to or from a horse
show, horse exhibition, or horse sale or
auction;
(ii) personally giving instructions to an
exhibitor; or
(iii) being knowingly present in a warm-up
area, inspection area, or other area at a horse
show, horse exhibition, or horse sale or
auction that spectators are not permitted to
enter.
(B) Such term does not include spectating.
SEC. 3. CONGRESSIONAL STATEMENT OF FINDINGS.
[15 U.S.C. 1822]
The Congress finds and declares that--
(1) the soring of horses is cruel and inhumane;
(2) horses shown or exhibited which are sore, where
such soreness improves the performance of such horse,
compete unfairly with horses which are not sore;
(3) the movement, showing, exhibition, or sale of
sore horses in intrastate commerce and soring horses
for such purposes adversely affects and burdens
interstate and foreign commerce in many ways, including
by creating unfair competition, by deceiving the
spectating public and horse buyers, and by negatively
impacting horse sales;
(4) all horses which are subject to regulation under
this Act are either in interstate or foreign commerce
or substantially affect such commerce; [and]
(5) regulation under this Act by the Secretary is
appropriate to prevent and eliminate burdens upon
commerce and to effectively regulate commerce[.];
(6) the Inspector General of the Department of
Agriculture has determined that the program through
which the Secretary inspects horses is inadequate for
preventing soring;
(7) historically, Tennessee Walking Horses, Racking
Horses, and Spotted Saddle Horses have been subjected
to soring; and
(8) despite regulations in effect related to
inspection for purposes of ensuring that horses are not
sore, violations of this Act continue to be prevalent
in the Tennessee Walking Horse, Racking Horse, and
Spotted Saddle Horse breeds.
SEC. 4. HORSE SHOWS AND EXHIBITIONS.
[15 U.S.C. 1823]
(a) Disqualification of Horses.--The management of any horse
show or horse exhibition shall disqualify any horse from being
shown or exhibited (1) which is sore or (2) if the management
has been notified by a person [appointed] licensed in
accordance with regulations under subsection (c) or by the
Secretary that the horse is sore. In the first instance in
which the Secretary determines that a horse is sore, the
Secretary shall disqualify the horse from being shown or
exhibited for a period of not less than 180 days. In the second
instance in which the Secretary determines that such horse is
sore, the Secretary shall disqualify the horse for a period of
not less than one year. In the third instance in which the
Secretary determines that such horse is sore, the Secretary
shall disqualify the horse for a period of not less than three
years.
(b) Prohibited Activities.--The management of any horse sale
or auction shall prohibit the sale or auction or exhibition for
the purpose of sale of any horse (1) which is sore or (2) if
the management has been notified by a person [appointed]
licensed in accordance with regulations under subsection (c) or
by the Secretary that the horse is sore.
[(c) Appointment of Inspectors; Manner of Inspections.--The
Secretary shall prescribe by regulation requirements for the
appointment by the management of any horse show, horse
exhibition, or horse sale or auction of persons qualified to
detect and diagnose a horse which is sore or to otherwise
inspect horses for the purposes of enforcing this Act. Such
requirements shall prohibit the appointment of persons who,
after notice and opportunity for a hearing, have been
disqualified by the Secretary to make such detection,
diagnosis, or inspection. Appointment of a person in accordance
with the requirements prescribed under this subsection shall
not be construed as authorizing such person to conduct
inspections in a manner other than that prescribed for
inspections by the Secretary (or the Secretary's
representative) under subsection (e).]
(c)(1)(A) The Secretary shall prescribe by regulation
requirements for the Department of Agriculture to license,
train, assign, and oversee persons qualified to detect and
diagnose a horse which is sore or to otherwise inspect horses
at horse shows, horse exhibitions, or horse sales or auctions,
for hire by the management of such events, for the purposes of
enforcing this Act.
(B) No person shall be issued a license under this subsection
unless such person is free from conflicts of interest, as
defined by the Secretary in the regulations issued under
subparagraph (A).
(C) If the Secretary determines that the performance of a
person licensed in accordance with subparagraph (A) is
unsatisfactory, the Secretary may, after notice and an
opportunity for a hearing, revoke the license issued to such
person.
(D) In issuing licenses under this subsection, the Secretary
shall give a preference to persons who are licensed or
accredited veterinarians.
(E) Licensure of a person in accordance with the requirements
prescribed under this subsection shall not be construed as
authorizing such person to conduct inspections in a manner
other than that prescribed for inspections by the Secretary (or
the Secretary's representative) under subsection (e).
(2)(A) Not later than 30 days before the date on which a
horse show, horse exhibition, or horse sale or auction begins,
the management of such show, exhibition, or sale or auction may
notify the Secretary of the intent of the management to hire a
person or persons licensed under this subsection and assigned
by the Secretary to conduct inspections at such show,
exhibition, or sale or auction.
(B) After such notification, the Secretary shall assign a
person or persons licensed under this subsection to conduct
inspections at the horse show, horse exhibition, or horse sale
or auction.
(3) A person licensed by the Secretary to conduct inspections
under this subsection shall issue a citation with respect to
any violation of this Act recorded during an inspection and
notify the Secretary of each such violation not later than five
days after the date on which a citation was issued with respect
to such violation.
(d) Recordkeeping and Reporting Requirements; Availability of
Records.--The management of a horse show, horse exhibition, or
horse sale or auction shall establish and maintain such
records, make such reports, and provide such information as the
Secretary may by regulation reasonably require for the purposes
of implementing this Act or to determine compliance with this
Act. Upon request of an officer or employee duly designated by
the Secretary, such management shall permit entry at all
reasonable times for the inspection and copying (on or off the
premises) of records required to be maintained under this
subsection.
(e) Inspection by Secretary or Duly Appointed
Representative.--For purposes of enforcement of this Act
(including any regulation promulgated under this Act) the
Secretary, or any representative of the Secretary duly
designated by the Secretary, may inspect any horse show, horse
exhibition, or horse sale or auction or any horse at any such
show, exhibition, sale, or auction. Such an inspection may only
be made upon presenting appropriate credentials. Each such
inspection shall be commenced and completed with reasonable
promptness and shall be conducted within reasonable limits and
in a reasonable manner. An inspection under this subsection
shall extend to all things (including records) bearing on
whether the requirements of this Act have been complied with.
(f) The Secretary shall publish on the public website of the
Animal and Plant Health Inspection Service of the Department of
Agriculture, and update as frequently as the Secretary
determines is necessary, information on violations of this Act
for the purposes of allowing the management of a horse show,
horse exhibition, or horse sale or auction to determine if an
individual is in violation of this Act.
SEC. 5. UNLAWFUL ACTS.
[15 U.S.C. 1824]
The following conduct is prohibited:
(1) The shipping, transporting, moving, delivering,
or receiving of any horse which is sore with reason to
believe that such horse while it is sore may be shown,
exhibited, entered for the purpose of being shown or
exhibited, sold, auctioned, or offered for sale, in any
horse show, horse exhibition, or horse sale or auction;
except that this paragraph does not apply to the
shipping, transporting, moving, delivering, or
receiving of any horse by a common or contract carrier
or an employee thereof in the usual course of the
carrier's business or employee's employment unless the
carrier or employee has reason to believe that such
horse is sore.
(2) The (A) showing or exhibiting, in any horse show
or horse exhibition, of any horse which is sore, (B)
entering for the purpose of showing or exhibiting in
any horse show or horse exhibition, any horse which is
sore, (C) selling, auctioning, or offering for sale, in
any horse sale or auction, any horse which is sore,
[and (D)] (D) causing a horse to become sore or
directing another person to cause a horse to become
sore for the purpose of showing, exhibiting, selling,
auctioning, or offering for sale the horse in any horse
show, horse exhibition, or horse sale or auction, and
(E) allowing any activity described in clause (A), (B),
[or (C) respecting] (C), or (D) respecting a horse
which is sore by the owner of such horse.
(3) The failure by the management of any horse show
or horse exhibition, which does not [appoint] hire and
retain a person in accordance with section 4(c) of this
Act, to disqualify from being shown or exhibited any
horse which is sore.
(4) The failure by the management of any horse sale
or auction, which does not [appoint] hire and retain a
[qualified] person in accordance with section 4(c) of
this Act, to prohibit the sale, offering for sale, or
auction of any horse which is sore.
(5) The failure by the management of any horse show
or horse exhibition, which has [appointed] hired and
retained a person in accordance with section 4(c) of
this Act, to disqualify from being shown or exhibited
any horse (A) which is sore, and (B) after having been
notified by such person or the Secretary that the horse
is sore or after otherwise having knowledge that the
horse is sore.
(6) The failure by the management of any horse sale
or auction which has [appointed] hired and retained a
person in accordance with section 4(c) of this Act, to
prohibit the sale, offering for sale, or auction of any
horse (A) which is sore, and (B) after having been
notified by such person or the Secretary that the horse
is sore or after otherwise having knowledge that the
horse is sore.
(7) The showing or exhibiting at a horse show or
horse exhibition; the selling or auctioning at a horse
sale or auction; the allowing to be shown, exhibited,
or sold at a horse show, horse exhibition, or horse
sale or auction; the entering for the purpose of
showing or exhibiting in any horse show or horse
exhibition; or offering for sale at a horse sale or
auction, any horse which is wearing or bearing any
equipment, device, paraphernalia, or substance which
the Secretary by regulation under section 9 prohibits
to prevent the soring of horses.
(8) The failing to establish, maintain, or submit
records, notices, reports, or other information
required under section 4.
(9) The failure or refusal to permit access to or
copying of records, or the failure or refusal to permit
entry or inspection, as required by section 4.
(10) The removal of any marking required by the
Secretary to identify a horse as being detained.
(11) The failure or refusal to provide the Secretary
with adequate space or facilities, as the Secretary may
by regulation under section 9 prescribe, in which to
conduct inspections or any other activity authorized to
be performed by the Secretary under this Act.
(12) The use of an action device on any limb of a
Tennessee Walking Horse, a Racking Horse, or a Spotted
Saddle Horse at a horse show, horse exhibition, or
horse sale or auction.
(13) The use of a weighted shoe, pad, wedge, hoof
band, or other device or material at a horse show,
horse exhibition, or horse sale or auction that--
(A) is placed on, inserted in, or attached to
any limb of a Tennessee Walking Horse, a
Racking Horse, or a Spotted Saddle Horse;
(B) is constructed to artificially alter the
gait of such a horse; and
(C) is not strictly protective or therapeutic
in nature.
SEC. 6. VIOLATIONS AND PENALTIES.
[15 U.S.C. 1825]
(a) Criminal Acts and Penalties.--
(1) [Except as provided in paragraph (2) of this
subsection, any person who knowingly violates section
5] Any person who knowingly violates section 5 or the
regulations issued under such section, including any
violation recorded during an inspection conducted in
accordance with section 4(c) or 4(e) shall, upon
conviction thereof, be fined not [more than $3,000, or
imprisoned for not more than one year, or both.] more
than $5,000, or imprisoned for not more than three
years, or both, for each such violation.
[(2)(A) If any person knowingly violates section 5,
after one or more prior convictions of such person for
such a violation have become final, such person shall,
upon conviction thereof, be fined not more than $5,000,
or imprisoned for not more than two years, or both.]
[(B)] (2) Any person who knowingly makes, or causes
to be made, a false entry or statement in any report
required under this Act; who knowingly makes, or causes
to be made, any false entry in any account, record, or
memorandum required to be established and maintained by
any person or in any notification or other information
required to be submitted to the Secretary under section
4 of this Act; who knowingly neglects or fails to make
or cause to be made, full, true, and correct entries in
such accounts, records, memoranda, notification, or
other materials; who knowingly removes any such
documentary evidence out of the jurisdiction of the
United States; who knowingly mutilates, alters, or by
any other means falsifies any such documentary
evidence; or who knowingly refuses to submit any such
documentary evidence to the Secretary for inspection
and copying shall be guilty of an offense against the
United States, and upon conviction thereof shall be
fined not more than $5,000, or imprisoned for not more
than three years, or both.
[(C)] (3) Any person who forcibly assaults, resists,
opposes, impedes, intimidates, or interferes with any
person while engaged in or on account of the
performance of his official duties under this Act shall
be fined not more than $5,000, or imprisoned not more
than three years, or both. Whoever, in the commission
of such acts, uses a deadly or dangerous weapon shall
be fined not more than $10,000, or imprisoned not more
than ten years, or both. Whoever kills any person while
engaged in or on account of the performance of his
official duties under this Act shall be punishable as
provided under sections 1111 and 1112 of title 18,
United States Code.
(4) Any person who knowingly fails to obey an order
of disqualification shall, upon conviction thereof, be
fined not more than $5,000 for each failure to obey
such an order, imprisoned for not more than three
years, or both.
(b) Civil Penalties; Review and Enforcement.--
(1) Any person who violates [section 5 of this Act]
section 5 or the regulations issued under such section
shall be liable to the United States for a civil
penalty of not more than [$2,000] $4,000 for each
violation. No penalty shall be assessed unless such
person is given notice and opportunity for a hearing
before the Secretary with respect to such violation.
The amount of such civil penalty shall be assessed by
the Secretary by written order. In determining the
amount of such penalty, the Secretary shall take into
account all factors relevant to such determination,
including the nature, circumstances, extent, and
gravity of the prohibited conduct and, with respect to
the person found to have engaged in such conduct, the
degree of culpability, any history of prior offenses,
ability to pay, effect on ability to continue to do
business, and such other matters as justice may
require.
(2) Any person against whom a violation is found and
a civil penalty assessed under paragraph (1) of this
subsection may obtain review in the court of appeals of
the United States for the circuit in which such person
resides or has his place of business or in the United
States Court of Appeals for the District of Columbia
Circuit by filing a notice of appeal in such court
within 30 days from the date of such order and by
simultaneously sending a copy of such notice by
certified mail to the Secretary. The Secretary shall
promptly file in such court a certified copy of the
record upon which such violation was found and such
penalty assessed, as provided in section 2112 of title
28, United States Code. The findings of the Secretary
shall be set aside if found to be unsupported by
substantial evidence.
(3) If any person fails to pay an assessment of a
civil penalty after it has become a final and
unappealable order, or after the appropriate court of
appeals has entered final judgment in favor of the
Secretary, the Secretary shall refer the matter to the
Attorney General, who shall recover the amount assessed
in any appropriate district court of the United States.
In such action, the validity and appropriateness of the
final order imposing the civil penalty shall not be
subject to review.
(4) The Secretary may, in his discretion, compromise,
modify, or remit, with or without conditions, any civil
penalty assessed under this subsection.
(5) Any person who fails to pay a licensed inspector
hired under section 4(c) shall, upon conviction
thereof, be fined not more than $4,000 for each such
violation.
(c) Disqualification of Offenders; Orders; Civil Penalties
Applicable; Enforcement Procedures.--In addition to any fine,
imprisonment, or civil penalty authorized under this section,
any person who was convicted under subsection (a) or who paid a
civil penalty assessed under subsection (b) or is subject to a
final order under such subsection assessing a civil penalty for
any violation of any provision of this Act or any regulation
issued under this Act may be disqualified by order of the
Secretary, after notice and an opportunity for a hearing before
the Secretary, from showing or exhibiting any horse, judging or
managing any horse show, horse exhibition, or horse sale or
auction, or otherwise participating in any horse show, horse
exhibition, or horse sale or auction for a period of not less
than one year for the first violation and not less than five
years for [any subsequent] the second violation. For the third
or any subsequent violation, a person may be permanently
disqualified by order of the Secretary, after notice and an
opportunity for a hearing before the Secretary, from showing or
exhibiting any horse, judging or managing any horse show, horse
exhibition, or horse sale or auction, or otherwise
participating in, including financing the participation of
other individuals in, any horse show, horse exhibition, or
horse sale or auction (regardless of whether walking horses are
shown, exhibited, sold, auctioned, or offered for sale at the
horse show, horse exhibition, or horse sale or auction). Any
person who knowingly fails to obey an order of disqualification
shall be subject to a civil penalty of not more than [$3,000]
$5,000 for each violation. Any horse show, horse exhibition, or
horse sale or auction, or the management thereof, collectively
and severally, which knowingly allows any person who is under
an order of disqualification to show or exhibit any horse, to
enter for the purpose of showing or exhibiting any horse, to
take part in managing or judging, or otherwise to participate
in any horse show, horse exhibition, or horse sale or auction
in violation of an order shall be subject to a civil penalty of
not more than [$3,000] $5,000 for each violation. The
provisions of subsection (b) respecting the assessment, review,
collection, and compromise, modification, and remission of a
civil penalty apply with respect to civil penalties under this
subsection.
(d) Production of Witnesses and Books, Papers, and Documents;
Depositions; Fees; Presumptions; Jurisdiction.--
(1) The Secretary may require by subpena the
attendance and testimony of witnesses and the
production of books, papers, and documents relating to
any matter under investigation or the subject of a
proceeding. Witnesses summoned before the Secretary
shall be paid the same fees and mileage that are paid
witnesses in the courts of the United States.
(2) The attendance of witnesses, and the production
of books, papers, and documents, may be required at any
designated place from any place in the United States.
In case of disobedience to a subpena the Secretary, or
any party to a proceeding before the Secretary, may
invoke the aid of any appropriate district court of the
United States in requiring attendance and testimony of
witnesses and the production of such books, papers, and
documents under the provisions of this Act.
(3) The Secretary may order testimony to be taken by
deposition under oath in any proceeding or
investigation pending before him, at any stage of the
proceeding or investigation. Depositions may be taken
before any person designated by the Secretary who has
power to administer oaths. The Secretary may also
require the production of books, papers, and documents
at the taking of depositions.
(4) Witnesses whose depositions are taken and the
persons taking them shall be entitled to the same fees
as paid for like services in the courts of the United
States or in other jurisdictions in which they may
appear.
(5) In any civil or criminal action to enforce this
Act or any regulation under this Act a horse shall be
presumed to be a horse which is sore if it manifests
abnormal sensitivity or inflammation in both of its
forelimbs or both of its hindlimbs.
(6) The United States district courts, the District
Court of Guam, the District Court of the Virgin
Islands, the highest court of American Samoa, and the
United States courts of the other territories, are
vested with jurisdiction specifically to enforce, and
to prevent and restrain violations of this Act, and
shall have jurisdiction in all other kinds of cases
arising under this Act, except as provided in
subsection (b) of this section.
(e) Detention of Horses; Seizure and Condemnation of
Equipment.--
(1) The Secretary may detain (for a period not to
exceed twenty-four hours) for examination, testing, or
the taking of evidence, any horse at any horse show,
horse exhibition, or horse sale or auction which is
sore or which the Secretary has probable cause to
believe is sore. The Secretary may require the
temporary marking of any horse during the period of its
detention for the purpose of identifying the horse as
detained. A horse which is detained subject to this
paragraph shall not be moved by any person from the
place it is so detained except as authorized by the
Secretary or until the expiration of the detention
period applicable to the horse.
(2) Any equipment, device, paraphernalia, or
substance which was used in violation of any provision
of this Act or any regulation issued under this Act or
which contributed to the soring of any horse at or
prior to any horse show, horse exhibition, or horse
sale or auction, shall be liable to be proceeded
against, by process of libel for the seizure and
condemnation of such equipment, device, paraphernalia,
or substance, in any United States district court
within the jurisdiction of which such equipment,
device, paraphernalia, or substance is found. Such
proceedings shall conform as nearly as possible to
proceedings in rem in admiralty.