INVESTIGATION

OF EVENTS SURROUNDING THE BREEDERS CUP LADIES CLASSIC NOVEMBER 5, 2010

Report Issued March 10, 2011

KENTUCKY HORSE RACING COMMISSION

INVESTIGATION OF EVENTS SURROUNDING THE BREEDERS CUP LADIES CLASSIC, NOVEMBER 5, 2010

TABLE OF CONTENTS Summary and Recommendations Appendix A - Statutes and Regulations Appendix B - Investigative Report B-1. Investigators Summary B-2. Findings B-3. Staff Timeline Report B-4. Interview List Appendix C - Report from Office of Inspector General of Transportation Cabinet Appendix D Wagering Analysis Reports Appendix E Transcript of ESPN Broadcast Appendix F - Stewards Report Appendix G - Map of Track and Location of Veterinarians Appendix H - Summary of Veterinary Information

SUMMARY AND RECOMMENDATIONS TO: FROM: DATE: RE: I. KENTUCKY HORSE RACING COMMISSION (KHRC) STAFF OF KHRC March 10, 2011 2010 BREEDERS CUP LADIES CLASSIC

BACKGROUND.

While this report is directed to the KHRC, it is hoped that the transparency reflected in the report and the recommendations presented will be reviewed by other racing jurisdictions and industry stakeholders to foster a collaborative effort to make improvements regarding the safety and integrity of horse racing. This Executive Summary and accompanying documents are to be used by the KHRC in making its initial determination of whether any violations occurred in connection with the 2010 Breeders Cup Ladies Classic (Ladies Classic) at Churchill Downs on November 5, 2010. Life At Ten (LAT) was the second favorite in the Ladies Classic. She ran poorly, was never in contact with the field and finished last. In making this initial determination, the KHRC is being asked to determine if there is probable cause to support charging an individual with a violation. This initial determination does not include making any final findings or considering a penalty. The KHRC should consider all of the enclosed information. Should the KHRC decide to move forward with a charge against an individual, the KHRC will issue a Notice of Violation and set the matter for a hearing. Any individual charged has the right to an administrative hearing where he can present evidence and witnesses. The individual charged may also waive the right to a hearing. The KHRC should consider the statutes and regulations on point to determine if there were any rules violations. A copy of the statutes and regulations is attached as Appendix A. The first purpose of the investigation was to determine whether the various people involved - the participants - acted in the best interest of racing. In some instances there was not a specific rule violation, but rather a failure of common sense to prevail. One of the concepts to contemplate is whether everything should be regulated or should some things be left to common sense. The report will reveal that in some instances there is a conflicting memory or view of the facts. The Page 1 of 21

report will also reveal that there were some errors in judgment; some people could have done some things better. This summary will address the following basic questions related to the first purpose: 1. Was there any evidence of intentional wrongdoing or nefarious or fraudulent activity? 2. Should LAT have been scratched? What was the condition of the horse? Was she unfit to race? Were there communication issues? 3. Should a post-race sample have been collected from LAT? 4. Were any regulations violated? The second purpose of the investigation was to make recommendations to the industry so that an event such as this does not happen in the future. Last, this report will discuss recommendations being made as a result of this investigation that are not directly tied to an analysis of whether there were rule violations in the LAT situation. II. SCOPE OF THE INVESTIGATION.

The mission from the beginning was to conduct a thorough and comprehensive investigation. By interviewing 90 people, reviewing documentation and talking to consultants from around the country, we identified some errors that were made as well as some opportunities for improvement. The thorough, in-depth review allowed the KHRC staff to: 1. identify some of the mistakes made; 2. have the opportunity to set the record straight on several misperceptions; 3. provide the transparency that is deserved in a matter of this significance; and 4. have the opportunity to thoughtfully reflect on recommendations. Different witnesses had different perspectives based on their location on the track, their experience, their responsibilities, and their relationship to the other participants (financial or otherwise). The investigation of the events surrounding the Ladies Classic began immediately after the race. To ensure impartiality, the investigation was transferred to the KHRC and led by Patrick Adams (Adams), KHRC Director of Enforcement. The Report of Investigation is attached as Appendix B. Some investigative actions were directed to be taken on the Saturday and Sunday after the Ladies Classic. Investigative meetings were held the Monday, Tuesday and Wednesday following the Breeders Cup. Initially, the KHRC determined to take the actions as outlined below.

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The pre-race blood taken from every horse trained by Todd Pletcher (Pletcher), as well as the syringes collected for race day anti-bleeder medication administration of a Pletcher horse, would be tested. Investigators were told to collect: 1. veterinarians treatment sheets for all Pletcher horses for both days; 2. the pre-race examination cards used by the veterinarians for LAT; 3. veterinary records maintained by the practicing veterinarians for LAT; 4. daily training records for the prior 6 months; 5. track video feed for the Ladies Classic; 6. a wagering analysis by Thoroughbred Racing Protective Bureau (TRPB), Bet Fair and KHRC; and 7. copies of the videotapes of the broadcast from ESPN. Interviews were to be conducted of the following people directly involved in the Ladies Classic: 1. Jockey Johnny Velazquez (Velazquez); 2. Pletcher; 3. ESPN assistant producer Amy Zimmerman (Zimmerman); 4. assistant starter for LAT Mike Edwards; 5. pony person for LAT Betty Harless; 6. Jefferson County Sheriff Deputies assigned to LATs barn; 7. private security personnel assigned to LATs barn; 8. American Association of Equine Practitioners (AAEP) On Call veterinarian Dr. Larry Bramlage (Dr. Bramlage); 9. Chief State Steward John Veitch (Veitch); 10. Association Steward Butch Becraft (Becraft); 11. Association Steward Rick Leigh (Leigh); 12. all of the KHRC and Breeders Cup panel veterinarians on duty; 13. LATs private veterinarians involved in the Breeders Cup; and 14. any TRBP agents with knowledge. It was also decided early in the process that since the Stewards activities would be analyzed as part of the investigation it would be appropriate for an outside, independent party to conduct the portion of the investigation relating to the Stewards. Several resources were contemplated and ultimately it was determined that the Office of Inspector General of the Transportation Cabinet (OIG) would provide a valuable resource in this area and there would be no conflict in their involvement. A copy of the OIG report is attached as Appendix C. KHRC also decided early in the process that a detailed report, including recommendations, would be prepared and provided to the public. KHRC Chairman Bob Beck and Executive Director Lisa Underwood (Underwood) met with Breeders Cup President and CEO Greg Avioli, Breeders Cup COO and CFO Matt Lutz and Breeders Cup attorney Bob Watt on November 18, 2010 to discuss the scope of the investigation. The Breeders Cup executives and attorney agreed with the KHRC Chairman and Executive Director that it was in the best interest of the industry to conduct a comprehensive investigation. As a result of that meeting the scope of the interviews was expanded to include people such as all of the trainers and jockeys involved in the race, all assistant starters, all pony people, and the tractor driver. The thought was if you dont ask the questions you dont know what you might have missed. Page 3 of 21

III. A.

WAS THERE ANY EVIDENCE OF INTENTIONAL WRONGDOING OR NEFARIOUS OR FRAUDULENT ACTIVITY? WHAT THE INVESTIGATION REVEALED VARIOUS PARTICIPANTS ACTIONS. REGARDING THE

The KHRC Director of Enforcement uncovered no evidence of wrongdoing. Wagering analyses conducted by the TRPB, Bet Fair and by the KHRC Supervisor of Pari-mutuel Wagering uncovered no evidence of irregular wagering patterns. Summary of analyses attached as Appendix D. The Office of Inspector General of the Transportation Cabinet uncovered no evidence of wrongdoing. The pre-race blood drawn for TCO2 testing on every Pletcher horse entered in the Breeders Cup was tested; no prohibited substances were detected. Because LAT was not sent to the test barn, urine was not collected. Therefore, no analysis was performed to detect substances that can only be detected in the urine. The syringes collected from Pletcher horses were tested; no prohibited substances were detected.

IV.

SHOULD LAT HAVE BEEN SCRATCHED? WHAT WAS THE CONDITION OF THE HORSE? WERE THERE COMMUNICATION ISSUES? JOCKEY.

A.

WHAT THE INVESTIGATION REVEALED REGARDING THE JOCKEY. See Appendix E for the ESPN transcript. The following dialogue occurred approximately 5 minutes 30 seconds before LAT was loaded into the gate. When asked the following by Jerry Bailey, Johnny, your filly has never run on this racetrack. Can you tell anything by warming up if she likes it, doesnt like it, whats the story? Velazquez responded, Right now Im not sure, Jerry, to tell you the truth. Shes not warming up the way she normally does. Jerry Bailey then asked Velazquez is she being a little reluctant for you at this point? Velazquez responded, Yes, she is. Jerry Bailey and Velazquez then continued to talk about strategy for the race. Later between 1 minute and 15 seconds and 1 minute and 30 seconds prior to LAT being loaded in the starting gate, Jerry Bailey asked Page 4 of 21

Velazquez, Is she getting any better? Johnny responded, not really. Jerry Bailey asked, could it be the lights or is mostly physical with her? Velazquez responded, I dont know, Jerry, just---Im not sure. Velazquez could not hear the ESPN commentary. The pony person wore the microphone and a speaker on her arm. The speaker was only turned on when a commentator asked Velazquez a question. According to a statement provided by Dr. Bryce Peckham (Dr. Peckham) after the race, Dr. Peckham approached Velazquez as he was pulling off the tack. Dr. Peckham asked, what have you got? Velazquez said, she just wouldnt put out any effort. Dr. Peckham asked how she felt and Velazquez said she felt OK. On December 21, 2010, KHRC investigators conducted an in-person interview with Velazquez. During his interview, Velazquez stated he did not believe LAT would have been scratched even if he had brought her to the KHRC veterinarians to be examined. How was (sic) they going to scratch her? Shes not lame. I mean. Shes not limping. What were they going to say, shes too quiet to run? He further stated, Ive ridden horses that warm up really bad and run really good. During the December 21, 2010 interview Velazquez stated, She just didnt run. I mean, she didnt run at all and she looks like she was fine, but she just didnt show any interestShe showed no interest. Thats it. In an interview with KHRC investigators, Michael McCarthy (assistant trainer to Pletcher) stated he went to the horse after the race while Velazquez was unsaddling LAT. Velazquez said, I knew it. I knew it, you know. I shouldve scratched her. When asked about this statement in a subsequent interview on January 7, 2011, Velazquez stated, We say that every time the horse runs so bad. McCarthy said, after the race, LAT walked back to the barn fine and did not appear to be lame. McCarthy said he believed LAT was sound. She just had a wide look in her eye, like kind of a look of fear, you know? He further stated, when they returned to the barn, I thought she made aa fairly normal turn in the shed row, and as time when on, she progressively shortened strides. But, after LAT was given a bath she began to show signs of tying up.

B.

STEWARDS.

WHAT THE INVESTIGATION REVEALED REGARDING THE STEWARDS. This portion of the investigation was conducted by the OIG. The full OIG report is attached as Appendix C. Veitch is the Chief State Steward for the Commonwealth of Kentucky and is employed by the KHRC. Becraft and Leigh are both employees of Churchill and are approved as stewards by the KHRC. All three Stewards are accredited by the Racing Officials Accreditation Program. Page 5 of 21

The OIG report reveals that the Stewards received information from Zimmerman, a producer at ESPN, that Velazquez was concerned LAT was not warming up the way she normally does approximately 5 minutes and 30 seconds prior to her entering the starting gate. The Stewards did not call the KHRC veterinarians to inform them of the Velazquez conversation on ESPN. Becraft said he observed something physically wrong with LAT. Leigh said he thought LAT looked choppy, but he also said he did not see anything out of the ordinary with her. In hindsight, Becraft and Leigh believe they should have contacted the veterinarians. Veitch believed Velazquez should have taken LAT to Dr. Peckham. Becraft said he mentioned to the other Stewards that the veterinarians should be called about LAT. Becraft said that Veitch responded if we do that we might as well scratch the horse. Veitch denies hearing these comments from Becraft, but acknowledges Becraft might have said it. Veitch denies responding, if we do that we might as well scratch the horse. Leigh recalls Becraft saying the horse should be looked at by a veterinarian, but thought this occurred about the time LAT was entering the starting gate. After the call from Zimmerman the Stewards discontinued watching the broadcast. So they did not hear: 1. LATs trainer, Pletcher, say LAT was not herself in the paddock; 2. a second interview with Velazquez who reported LAT had not improved; and 3. an update from Dr. Bramlage who said none of the veterinarians on the ground had been made aware of the situation. According to statements given to the OIG, the Stewards do not like to listen to ESPN or other coverage of races because there is a time lag and there could be confusion about the actual status of live racing at the event for which they are responsible. Broadcasts often show replays of other races. The Stewards are concerned about either: 1. missing the start of the actual race and not pushing the button to lock the betting windows; or 2. seeing tape of a prior race and locking the windows too early. The OIG report indicated there is confusion among the Stewards regarding the chain of command. There was no clear understanding regarding the authority of each individual Steward vis a vis the Chief State Steward. The Stewards report is attached as Appendix F.

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C.

VETERINARIANS.

WHAT THE INVESTIGATION REVEALED REGARDING THE VARIOUS VETERINARIANS. 1. ROLES AND RESPONSIBILITIES There were multiple veterinarians with different roles and responsibilities during the Breeders Cup. The KHRC veterinarians are the official regulatory veterinarians and are responsible for making any recommendations to the Stewards regarding the scratch of a horse. The Breeders Cup panel veterinarians are hired by the Breeders Cup and are from different racing jurisdictions. Their role is to assist the KHRC regulatory veterinarians during Breeders Cup week and on race days. They report to the KHRC veterinarians. The AAEP On Call veterinarians are on site to assist the media. The AAEP On Call veterinarians provide requested information to the media in the event a horse is injured and on an as needed basis should any media representatives have questions regarding the health or treatment of a horse. One of the primary purposes of the AAEP On Call veterinarian program is to allow KHRC veterinarians to care for injured horses in a timely manner while providing the media with accurate information about a horses condition as quickly as possible. There were two AAEP On Call veterinarians on duty during the Breeders Cupone on the front side and one on the backside. LAT has her own private veterinarians who provide regular and ongoing veterinary care to her. 2. STANDARDS TO BE USED 810 KAR 1:012 Section 9(1) provides that a horse shall not be raced that is not in serviceable, sound racing condition. The Stewards may at any time cause a horse on association grounds to be examined by a qualified person. 810 KAR 1:024 Section 4 provides that the KHRC veterinarian shall have the authority to determine if a horse is unfit to race and if such a determination is made to recommend to the Stewards that the horse be excused. The Breeders Cup manual provides that on race day, each horse shall be examined by a KHRC veterinarian for racing soundness and health at some time during the morning. This examination will include observing the horse move at a trot. The Stewards may exclude the horse from racing if the State Veterinarian finds the horse is not serviceable for racing. The Breeders Cup Manual provides that the official veterinarian shall examine each horse immediately prior to the race at the Race Day Assembly Chute. The manual further provides, No horse shall be eligible

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to start in a race and shall be declared by the Stewards if it is found unfit to race, not properly identified, or improperly shod. 3. PRE-RACE EXAMINATIONS It is standard practice for KHRC veterinarians to perform a pre-race examination on the morning prior to a race on every horse entered to race that day. The purpose of the pre-race exam is to determine if a horse is fit to race. The criteria for fitness to race include racing soundness, overall physical condition, and general health. All Breeders Cup horses were observed on track and examined in their barns throughout the week. The KHRC veterinarians and Breeders Cup veterinarians met daily to discuss the results of their examinations. Horses were re-inspected as warranted based on the groups discussions. No reservations were expressed regarding the condition of LAT. The pre-race examination was performed on LAT by KHRC veterinarian Dr. Brad Bentz (Dr. Bentz) and Breeders Cup panel veterinarian Dr. Kathy Picciano (Dr. Picciano). Dr. Picciano noted in her written statement that, I was with Dr. Bentz when he examined her the morning of the race. I didnt examine her legs but I saw her jog in the shed row and she jogged fine. Dr. Bentz noted and recorded a subtle abnormality in LATs gait. Dr. Will Farmer (Dr. Farmer), a KHRC veterinarian, reported that Dr. Bentz observation was discussed by the group after the initial round of pre-race exams was performed. The group determined it was not necessary to reexamine LAT. Dr. Bentz did not update the record after the veterinarian group discussed the morning rounds. KHRC veterinarian Dr. Michael Hardy (Dr. Hardy) observed the horses immediately prior to the race at the Race Day Assembly Chute. Dr. Hardy stated in his report that, Life at Ten did not display any clinically significant findings while walking to the paddock. During the pre-race examination and the time prior to the race, nothing came to the attention of the Breeders Cup veterinarians (other than Dr. Jill Bailey (Dr. Bailey)) or the KHRC veterinarians to indicate there was a question regarding whether LAT was: 1. sound and healthy for racing; 2. fit; or 3. serviceable for racing. 4. LOCATION OF VETERINARIANS A copy of the placement of the KHRC and Breeders Cup panel veterinarians on the race track is attached as Appendix G. There were no KHRC or Breeders Cup panel veterinarians at the 3/8 pole. There was, however, an ESPN camera. The television audience and commentators saw some of LATs warm-up that the KHRC and Breeders Cup panel veterinarians could not see. There were a total of six KHRC veterinarians and five Breeders Cup veterinarians on the race track immediately prior to and during the running of the Ladies Classic. Page 8 of 21

5.

OBSERVATION OF PRE-RACE WARM-UP, RUNNING OF THE RACE AND POST RACE a. AAEP ON CALL VETERINARIANS: Dr. Bramlage served as the front-side AAEP On Call veterinarian. Dr. Bramlage is not a KHRC employee. In his written statement, Dr. Bramlage said Jeannine Edwards (Ms. Edwards) told him Velazquez had told Jerry Bailey on the air that the #1 horse, LAT, was not warming up well. Dr. Bramlage called Dr. Peckham on the radio, but did not inform Dr. Peckham of the specific horse Ms. Edwards mentioned to him. Rather, Dr. Bramlage asked Dr. Peckham if any of the jockeys had said anything to him. Dr. Peckham said they had not. According to Dr. Bramlage, he did not name the specific horse because when he made the call to Dr. Peckham there were reporters and spectators standing around him. None of the veterinarians on the track, other than Dr. Bailey, knew the identity of the specific horse. Prior to the race, Ms. Edwards reported, Well, guys, Im here with our On Call vet, Dr. Larry Bramlage, who tells me hes been speaking with his veterinarians on the track near the scene, and he says as of right now, Johnny Velazquez has not said anything to the vets yet about scratching this horse. As they get closer to the gate, they may take a look at her, but right now Dr. Bramlage has informed me that the vets on the ground have not been made aware of the situation (emphasis added). When interviewed by the OIG investigators, Ms. Edwards stated she assumed the veterinarians on the ground had been made aware of the situation by Dr. Bramlage. She stated she was watching whats happening on my TV monitor and I did not see any vet or anybody on the ground walk up to the horse and look at that horse, or talk to John Velazquez, and that kind of floored me. And when they put her in the gate, II mean, I was stunned. Dr. Foster Northrop (Dr. Northrop), the back-side AAEP On Call veterinarian on duty, and a member of the KHRC, was watching the Churchill video feed, which did not include the ESPN coverage. Approximately one minute to post, Dr. Northrop was called by Dr. Ross Russell (Dr. Russell), his assistant, who was watching the ESPN feed off site. Dr. Russell told Dr. Northrop that Velazquez was talking about how poorly his horse was doing on ESPN and then Dr. Russell said she looked tied up, watching her on television. Dr. Northrop tried to reach Dr. Bramlage by phone, but was unsuccessful. Dr. Northrop did not call the KHRC veterinarians. As he watched the race, Dr. Northrop said he noticed the jockey never asked LAT to run at all. After the race, Dr. Northrop observed LAT coming off the track and walked with her back to her barn. Dr. Northrop observed, she did not look distressed or uncomfortable or lame. She looked like a normal horse walking to me. Dr. Northrop said after the race, she looked comfortable. She wasnt Page 9 of 21

blowing. She wasnt sweaty. She wasnt, at all, uncomfortable at at that point. b. BREEDERS CUP PANEL VETERINARIANS: California Horse Racing Board veterinarian, Dr. Bailey, was serving on the Breeders Cup veterinary panel and was located at the pole at the horse ambulance. Dr. Bailey received a text message when the horses were on their way down to the gate in the stretch. According to a statement prepared by Dr. Bailey the text message informed her, Johnny was making negative comments to TV; my reply was that it seemed to be OK down on the track. Dr. Bailey did not tell any of the other veterinarians on the track about the text message. Dr. Bailey said, I did not notice any horses in that field appearing to have any problems at all. Dr. Bailey stated the horses were a long way from her and nearing the gate when she received the text. She received the text after Dr. Peckham responded to Dr. Bramlage that everything seemed to be good. And, so I didnt feel that it was my position to step in. Dr. Robin White (Dr. White) was stationed at the starting gate prior to the start of the race. One of the KHRC veterinarians approached Dr. Peckham and a brief discussion took place about the rumor of a horse not warming up well. In his written statement Dr. White noted, I can categorically say with confidence that Dr. Peckham, nor indeed any other veterinarian, had been given any specific information about which horse it was (if indeed it was any horse). In view of this lack of information, and also that no horse raised any veterinary concern at the gate, all horses were loaded and raced. The written statements and interviews provided by the other Breeders Cup panel veterinarians indicated they did not observe anything that suggested LAT was unfit to race. c. KHRC VETERINARIANS: The KHRC veterinarians were not notified by the Stewards, Pletcher, Velazquez, the AAEP On Call veterinarians, or the Breeders Cup panel veterinarians on site that Velazquez was concerned LAT was not warming up the way she normally does. Nor were the KHRC veterinarians informed about any of the commentary on ESPN. While horses are on the race track prior to a race, the KHRC veterinarians are also on the race track directly observing horses, and they are not watching television. Dr. Peckham stated in his report, there were four KHRC and two BC veterinarians positioned so they could observe the field during the warmup and none of us saw anything unusual with the mare. Two KHRC and one BC veterinarian observed her walk off the track and saw nothing to report. Dr. Peckham stated, in hindsight, had we known a jockey was concerned with an individual horse, one of us would have gone to the jockey to inquire. Dr. Peckham further noted if, Velazquez had brought Page 10 of 21

his reported concerns about LAT to any of the KHRC veterinarians, we would have recommended to the Stewards she be scratched from the race. Dr. Farmer said Dr. Bramlages call came over the Breeders Cup radio approximately two or three minutes prior to post. See AAEP On Call veterinarians above. Dr. Farmer approached various veterinarians on the track and told them there was rumor that one of the jockeys was concerned about how his horse was warming up and asked if anyone had brought a horse to the veterinarians. They each replied no. Dr. Farmer provided the following in a written statement, As LAT was beginning to be walked off the track, I jumped out of the chase truck to observe her status and speak with asst. trainer Mr. Michael McCarthy (sic). The horse appeared to be walking ok, she did appear tired with her head not fully erect. Her ears were up and she appeared to be aware of her surroundings. In speaking with Mr. McCarthy (sic) he stated that LAT had run at Hollywood Park once before under the lights and performed very poorly. At that point I walked with them until they made the turn at the top of the chute (sic) and headed towards their barn. At which point we also met up with Dr. Michael Hardy, Dr. Brent Cassady (sic), and a Breeders Cup panel veterinarian. At that point Dr. Hardy and Dr. Cassady (sic) walked with the horse off the track. Dr. Brent Cassady (Dr. Cassady) walked with LAT back to her barn. He did not detect any signs of lameness or overt distress during that time post-race. Dr. Michael Hardy (Dr. Hardy) said LAT was the first horse to walk back to the barnyard after the finish. In Dr. Hardys written statement he noted, LAT did show some mild signs of post-exertional exhaustion, however, within normal limits as compared to other horses routinely evaluated after racing. At no point during my evaluation of LAT before, during and after racing were there any clinically significant findings indicating the horse was under physiological distress. Dr. Bentz was asked by Dr. Farmer prior to the race if he heard the rumor of a jockey concerned about how his horse was warming up. Dr. Bentz was located at the pole. No one had brought Dr. Bentz a horse. Dr. Bentz watched each horse canter/gallop out from the post parade and did not detect any horse that exhibited a gait deficit of any kind. He also did not detect a gait problem in the return of the field from the clubhouse turn during the warm up. Dr. Liz Santschi (Dr. Santschi) was in the ambulance at the pole at the top of the stretch. She did not specifically observe LAT during the warm up. She heard the call from Dr. Bramlage when she was standing in the door of the ambulance. The horses were circling in front of her and she looked to see if any jockeys were attempting to contact a veterinarian. None were.

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d. PRACTICING VETERINARIANS FOR LAT: LAT has several private veterinarians hired by Pletcher to provide ongoing and regular veterinary care and services. Among those private veterinarians are Dr. Steve Allday (Dr. Allday) and Dr. Ken Reed (Dr. Reed). They were interviewed by KHRC investigators. In his interview, Dr. Allday noted that he was watching the ESPN coverage off site, and he thought LAT was tying up before the race. During his interview, Dr. Reed stated that he treated LAT the week leading up to the race. She was a very sound filly so we didnt do anything. Dr. Reed watched the ESPN coverage off site. He stated, during the warm up, I certainly thought she was walking short. Dr. Reed stated he went directly to LATs barn after the race. He treated her with fluids, a muscle relaxer and a tranquilizer because she was obviously in great distress, and obviously dried out. I mean, she was obviously in muscle cramps. He stated that he took her temperature that night, which was normal. He also indicated that he took blood the next day as well. Based on the results of the blood test, he stated that, she was probably sick going into the race and we didnt realize it, and thats what I told Todd. She probably had a little something going on even before, like I said a virus or a bacteria, and then we gave her the Lasix and we knocked her electrolyte count out and then it just snowballed. After the race, Dr. Reed stated that he continued to treat LAT for several days until she returned to normal. He stated that she was doing fine by the time she shipped out of Churchill. Dr. Mary Scollay (Dr. Scollay), KHRC Equine Medical Director, conducted an analysis of LAT veterinary records. The Analysis is attached as Appendix H. D. TRAINER.

WHAT THE INVESTIGATION REVEALED REGARDING THE TRAINER. After the call from Zimmerman to the Stewards and before the race, Pletcher said on ESPN, the filly was very quiet in the paddock, and you know, I told Johnny, make sure and warm her up good. Shes acting a littlea little unusual, you know, just really, really quiet. So I dont know what Johnnys feeling out there. After the race, Pletcher said to Jay Privman, I told him when we left the paddock that I was concerned about the way she saddled. She wasshe was abnormally quiet, you know, almost sedated like and you know, so I told him make sure and warm her up well. And, unfortunately, you know shes either had some sort of allergic reaction to her Lasix treatment or she just had some severe cramps or tied up or something before she ever went out there. She was moving soundly, but she clearly shouldve probably Page 12 of 21

not run, you know. And, its justits unfortunatebecause I dont think you know, of all the horses we brought over today, none were doing better than herjust, you know and the lastlast minute, something went wrong. Pletcher was interviewed in person by KHRC investigators on December 10, 2010. During his interview, Pletcher stated that LAT had a normal temperature the morning of the race. He also stated that he had trained LAT under the lights in the mornings to acclimate her to them. He stated that LAT was being quiet in the paddock, and he told Velazquez to make sure he loosened her up good and warmed her up and got her on her toes. However, he also stated that, she was walking soundly and she seemed fine. He did not think there was any reason to go to the veterinarians because, other than being quiet, he did not believe there was anything wrong with her. I would never send one out there that I didnt think was sound to run. So, you know, at that point, if something goes amiss then I would assume that the veterinarians and Johnny are going to have to make that decision. He said he felt that once the horse leaves the paddock, Its out of my hands. During the interview, Pletcher watched the ESPN coverage for the first time. He stated that he did not agree with the pre-race analysis given by the commentators. He stated that at no point before or during the race was LAT unsound. Its not an unsoundness issue, she just cramped up. He said it was not apparent that she was cramping up, or tying up, until after the race. He stated Velazquez did everything he could do and rode the horse out. Based on the ESPN coverage, he stated, I cant tell you that I saw enough that suggested she needed to be scratched she did have a moment there where she appeared tight and then she seemed to get better. So, it would have been really hard to say that. .. You know, obviously Johnny felt comfortable enough the way she was moving that he felt like she deserved the opportunity to run. And Im sure hes ridden horses before that he was concerned about the way they warmed up, and they ran better than he expected. After the race, Pletcher said he went back to the barn and met Dr. Reed. Pletcher stated LAT appeared to be tied up. She couldnt walk freely in the stall. Pletcher indicated that they did not take LATs temperature or draw blood until early the next morning.

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E.

OWNER.

WHAT THE INVESTIGATION REVEALED REGARDING THE OWNER. 810 KAR 1:016 Section 14 requires the stewards to take cognizance of any marked reversal of form of a horse and conduct inquiries of the licensed owner, licensed trainer and all other persons connected with the horse. The owner of the horse was Candy DeBartolo. Several days after the race, the racing manager for the DeBartolos, David Vance (Vance), complained to Underwood that the horse was not scratched. If LAT had been scratched by the Stewards on the recommendation of the KHRC veterinarians the DeBartolos would have received a refund in the amount of $60,000 from the Breeders Cup. Vance noted that he was upset with comments Veitch made that were included in a Courier-Journal article. In addition to the communications between Vance and Underwood, Vance was interviewed several times by KHRC investigators. The first interview was conducted on November 22, 2010, and the last was conducted on January 20, 2011. Vance has worked for the DeBartolo family in some capacity for over twenty years. He was told by the DeBartolos that they were interested in purchasing a race horse, and Vance contacted Pletcher to identify a horse to purchase. Pletcher learned of LAT and thought she would be a good choice. She was purchased in a private sale after her first race. She has been owned by the DeBartolos ever since. Vance stated, two days before the race Todd said that she had never been better. On the morning of the race, no one in Pletchers stable told Vance that LAT seemed more quiet than usual or might be reacting to the cold weather. Vance was present in the paddock before the race and thought that LAT looked calm, but attributed her calmness to her experience. He said she appeared calm to him the other times he had seen her race live. After the race, Vance spoke briefly with Pletcher. Pletcher said he did not know what happened to LAT, but theorized that she may have had a reaction to Lasix. Vance did not go to Pletchers barn after the race, but did go early the next morning. While he was at the barn, Dr. Reed arrived to treat LAT. Vance was told that LATs temperature was 103 degrees and that her white blood cell count was elevated and her enzymes were off the chart. He did not know what these symptoms indicated and was never told by Dr. Reed, Pletcher or anyone in Pletchers stable that LAT tied up. He indicated

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that he and Pletcher never discussed whether or not LAT should have been scratched. Vance acknowledged during his interview that he was familiar with racing from the business side. He also acknowledged he is not qualified to determine whether a horse was lame. Mrs. DeBartolo was interviewed on December 28, 2010. She stated that LAT is the first race horse she has owned. She stated that she had never seen LAT race live prior to the Breeders Cup due to personal and business matters. She stated that Vance managed all aspects of the horses training and care, and she never received any written reports on LAT. She stated she was very excited that LAT was running in the Breeders Cup and brought several friends to Churchill to watch the race. Based on her past performances, Mrs. DeBartolo expected LAT to run well. At no time before the race did anyone tell her anything about the condition of LAT. She watched the race from near the winners circle and was aghast at LATs performance. She stated her primary concern was for the welfare of LAT, but that no one has ever told her what the veterinary findings were or what was wrong with LAT. From reading blogs, she wondered if LAT should have been scratched. She expressed great concern that LAT was not tested after the race. F. MEDIA.

WHAT THE INVESTIGATION REVEALED REGARDING THE MEDIA. 1. THE ESPN COMMENTATORS REPORTED SOME INCORRECT INFORMATION. ESPN commentator, Randy Moss (Moss) reported, we now understand that the Stewards are now asking the vets to actually take a look at Life at Ten when she gets to the starting gate. However, the Stewards did not ask the veterinarians to look at LAT. After hearing the pre-race commentary, Zimmerman, stated that she contacted the Stewards on the drop down line approximately five minutes and thirty seconds prior to the horses entering the starting gate. Based on her conversation with the Stewards, she assumed they were going to contact the veterinarians. In an interview with the OIG, Zimmerman took responsibility for creating that confusion. ESPN did not correct this incorrect information during their follow up the next day. Page 15 of 21

Jerry Bailey reported, And it it isit is partly Johnnys responsibility to bring it to the attention of the vet, but the attending veterinarian is supposed to come over thereandand, say, is this horse okay? Moss then stated I mean thats what the veterinarian is at the starting gate for, to protect the public, to protect the horses, to protect the riders in situations like that. Jerry Bailey then stated He is hired by the state for that exact reason, and he needed to at least pose a question to Johnny, is she all right? Moss then noted Do youdo youshould should we run her? I mean, should she go into the gate, but This dialogue implied that the veterinarians have the duty to pro-actively approach a jockey prior to the horse loading to inquire if he is satisfied with the condition of his mount, even if the veterinarians have not noticed a problem with the horse. However, the state veterinarians have no such duty. Had the ESPN commentators understood the role of the KHRC veterinarians, they could have accurately reported on the veterinarians duties. GATHERED DURING THE

G.

OTHER INFORMATION INVESTIGATION.

During the interview with jockey Garret Gomez, he stated he had ridden LAT in November 2009 at Hollywood Park under the lights. He stated she did not warm up well and was sweating and washed out prior to the race. However, she went on to finish third. McCarthy, an assistant trainer for Pletcher, also mentioned that LAT had a hard time under the lights at Hollywood Park. After the race, Dr. Picciano asked McCarthy if the horse was OK, and he replied, maybe the lights bothered her. In her statement, Dr. Picciano stated that after the race, LAT appeared to be walking normally and wasnt in any apparent distress at that point. She was led off the track with no problem. The pony person for LAT, Betty Harless (Harless) stated, LAT was distressed, like she had tied up. She was tying up. She was distressing for some reason. Harless also stated she assumed Velazquez did not think the horse was in danger because he didnt take the horse to a veterinarian. She didnt feel right. She was not herself. But he did not say specifically, lets go to the gate and have the vet look at her. In a second interview, Harless noted that she had not been a pony person for LAT prior to the Ladies Classic. Jerry Mealing, the pony person for Malibu Prayer, who was also in the Ladies Classic, said that LAT started out bound up and stayed bound up.

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She was bound up when when she came out of the paddock and she never loosened up. The other pony people on the track for the Ladies Classic did not notice anything out of the ordinary with LAT. Patty Krotenko (Krotenko), an exercise rider for LAT, said she observed LAT during the race and said she did not believe LAT tied up. With regard to tying up, Krotenko stated in her interiew, Its something very noticeable, whether youre sitting on them or watching them. According to Horatio Depaz (Depaz), the foreman and an exercise rider for LAT, LAT had a normal temperature on the morning of November 5th and had a temperature of 102 or 103 that evening. Depaz thought after the race she went to tying up, kind of nervous reaction to what had gone on. Herbasically, her muscles were just tightening up on her just from not being able to relax and then (sic) the stress.

H.

OBSERVATIONS REGARDING WHETHER LAT SHOULD HAVE BEEN SCRATCHED. There are conflicting opinions on whether LAT should have been scratched. Velazquez did not present LAT to the KHRC veterinarians for evaluation. Had he done so, according to Dr. Peckham, Dr. Scollay and Veitch, the KHRC veterinarians would have recommended to the Stewards that LAT be scratched. This policy had been established prior to the Breeders Cup. LAT would have been scratched if either: (a) Velazquez had brought LAT to the veterinarians; or (b) the KHRC veterinarians determined the horse was not fit to race. The KHRC veterinarians did not observe anything, nor did they receive any information, that caused them to question LATs fitness to race. In his December 21st interview, Velazquez indicated he did not believe LAT would have been scratched had he brought her to the KHRC veterinarians to be examined and said he had ridden horses that warm up badly, but run well. Immediately after the race Velazquez told McCarthy, the assistant trainer, she should have been scratched. Velazquez later stated that he always makes these kinds of comments when a horse runs badly. After watching the ESPN coverage, Pletcher stated he saw no reason to scratch the horse.

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I.

OBSERVATIONS REGARDING THE CONDITION OF LAT, AND WHETHER SHE WAS UNFIT TO RACE. There are conflicting opinions on whether LAT was in distress prior to the race. Persons on the scene and watching television formed different opinions based on their locations and expertise. There was, however, consensus that immediately after the race, LAT seemed fine until sometime after she returned to the barn.

J.

OBSERVATIONS REGARDING COMMUNICATION ISSUES. Many of the participants seemed to be waiting for someone else to take action. The Stewards did not call Dr. Peckham, and inform him that Velazquez had said LAT was not warming up the way she normally does. They did not instruct Dr. Peckham to contact the jockey. The Stewards did not individually or collectively make a decision on whether to contact Dr. Peckham after receiving the call from Zimmerman. Velazquez did not present LAT to the KHRC veterinarians for evaluation. Pletcher did not voice his concerns regarding the condition of LAT to the Stewards. Dr. Bramlage did not identify to Dr. Peckham the jockey or horse in question. Dr. Bailey, Breeders Cup panel veterinarian, did not notify Dr. Peckham or any of the other KHRC veterinarians of the text message she received. ESPN commentators made some incorrect on-air statements. Regarding communication, there were several pre-event meetings held among personnel from Breeders' Cup, KHRC and Churchill Downs on logistics. KHRC also met with TRPB to discuss roles and responsibilities. KHRC veterinarians and Breeders' Cup panel veterinarians worked together the week prior to the Breeders' Cup to review the horses and conducted a daily meeting after morning rounds. ESPN conducted a preproduction meeting but did not invite Veitch or Underwood or any member of the KHRC staff. There was not an "all hands" meeting.

K.

RECOMMENDATIONS. The roles, responsibilities and authority of the Chief Steward and the associate Stewards should be clarified and a determination should be made regarding the protocols for decision making. KHRC should consider requiring the Stewards to monitor television coverage prior to a race.

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KHRC Equine Medical Director and Chief Veterinarian should clarify roles and responsibilities of veterinarians assisting the KHRC at a racing event. KHRC Equine Medical Director and Chief Veterinarian should review distribution of veterinary staff on-track during races. On Call veterinarian, provided by the AAEP to assist the media, has an obligation to promptly inform the KHRC Chief Veterinarian of any information relevant to the health or safety of horses in a race. Industry groups such as RCI, Jockeys Guild, The Jockey Club, TOBA, HBPA and AAEP may consider discussing the following: Formulation of a jockey responsibility rule. Weighing benefits of post parade jockey interview versus the duty of the KHRC to protect the safety and integrity of the sport. Consider a recommendation that the Jockeys Guild provide media training to its members. Consider the impact of post parade jockey interviews on wagering integrity. Consider the role of owners and trainers in deciding whether to allow their jockeys to grant a pre-race interview. If recommendation is made that jockeys should not be permitted to speak to the media after they leave the jockeys room, 810 KAR 1:009 Section 11(2) will need to be amended. See Appendix A. KHRC to improve existing KHRC radio system. Radio communications should have central command post from which all transmissions are monitored. All agencies providing support to the KHRC should be issued KHRC radios and assigned designated frequencies. Improve organization between KHRC and outside groups providing support. Coordinate an all-hands pre-event meeting. Educate owners, trainers, the media, and the public on the responsibilities of the regulatory veterinarians. Consider a request to the AAEP to expand its media guide to include the different roles filled by veterinarians at the racetrack. Consider improved technology for locking betting windows at the start of a race.

V. A.

SHOULD A POST-RACE SAMPLE HAVE BEEN COLLECTED FROM LAT? WHAT THE INVESTIGATION REVEALED VARIOUS PARTICIPANTS ACTIONS. REGARDING THE

In their respective interviews, the Stewards stated they did not send LAT to the test barn for the following reasons: Page 19 of 21

B.

They (all 3) believed TOBA protocol required them to test the top four finishers. They (Veitch) did not believe the test barn could accommodate extra horses. They (Becraft) were concerned the horse might require veterinary care. Communication came over the radio after the race that LAT was fine. The Stewards did not contact the test barn to determine if the barn was full. Dr. Peckham said that there is occasionally a crowded test barn area if there are multiple graded stakes, one after another, on the same card and four horses from each race are sampled. In that instance, both space and personnel issues come into play which are addressed by simply walking a horse or horses in the shed row until there is sufficient space and personnel to collect the necessary samples. In such cases, the stewards are notified of what is going on. Dr. Scollay also stated that they would never decline to sample a horse due to overcrowding in the test barn. All three Stewards regretted their lack of action in this matter.

OBSERVATIONS. LAT should have been tested post-race. Arrangements could have been made in the test barn for LAT to be tested. The Graded Stakes Committee and TOBA do not require the top four finishers to be tested. Nonetheless, this has been the custom in Kentucky for at least the last seven years. The Breeders Cup, however, does require that the first four finishers be tested. The Breeders Cup also authorizes the Stewards to test additional horses.

C.

RECOMMENDATIONS. In early 2010, the KHRC began revising the post-race sampling procedure. The revised procedure addresses the above issue. The new regulation (810 KAR 1:130) was filed in September 2010 and went into effect on February 4, 2011. Under this new regulation, in graded stakes races, the top three finishers will be sampled along with one or more additional horses selected for sampling based on guidelines set forth in the regulation. Under the sampling criteria, LATs poor performance would have resulted in her being selected for testing.

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VI.

WERE ANY REGULATIONS VIOLATED? After reviewing the investigative material, the Commission will decide if any violations occurred. The following relevant regulations have been identified. For text of relevant statutes and regulations cited below, see Appendix A.

A.

JOCKEY. 810 KAR 1:025 Section 14 (1)(q).

B.

STEWARDS. 810 KAR 1:004 Section 3. 810 KAR 1:012 Section 9. 810 KAR 1:016 Section 14. 810 KAR 1:018 Section 11.

C.

TRAINER. 810 KAR 1:008 Section 3. 810 KAR 1:018 Section 15.

D.

DISCIPLINARY MEASURES. 810 KAR 1:028 Section 10.

VII.

OTHER RECOMMENDATIONS.

The investigation raised other areas where improvement is recommended as follows: Improved backside security, including documentation of persons accessing the barn area. Racetrack veterinarians record keeping should be upgraded to meet the standards of the Kentucky Board of Veterinary Examiners. Amend 810 KAR 1:004 (Stewards) so the Stewards are not required to be in the paddock for every race. This provision is not necessary since there are other racing officials required to be in the paddock who can contact the Stewards if necessary. Improved Stewards recordkeeping and accountability. Improved KHRC veterinary record keeping.

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APPENDIX A KENTUCKY STATUTES AND REGULATIONS I. JOCKEY

A. 810 KAR 1:009 Section 10. Duty to Fulfill Engagements. Every rider shall fulfill his duly scheduled riding engagements, unless excused by the stewards due to circumstances under which a jockey could not reasonably be expected to be physically present at the required time. A rider shall not be required to ride a horse he believes to be unsound, nor over a racing strip he believes to be unsafe, but if the stewards find a rider's refusal to fulfill a riding engagement is based on a personal belief unwarranted by the facts and circumstances, the rider may be subject to disciplinary action. B. 810 KAR 1:009 Section 11(2). Presence in Jockey Room. Each rider reporting to the jockey room shall remain in the jockey room until he has fulfilled all his riding engagements for the day, except to ride in a race, or except to view the running of a race from a location approved by the stewards. While a rider is outside of the jockey room, a rider shall not have contact or communication with any person other than an owner or trainer for whom he is riding, a racing official, or a representative of the regular news media, until the rider has fulfilled all his riding engagements for the day. C. 810 KAR 1:016 Section 14. Horses to be Ridden Out. Every horse in every race shall be ridden so as to win or finish as near as possible to first and demonstrate the best and fastest performance of which it is capable at the time. A horse shall not be eased up without adequate cause, even if it has no apparent chance to earn a portion of the purse money. D. 810 KAR 1:025 Section 14(1)(Q). License Denial, Revocation, or Suspension. The commission, executive director, chief racing steward, or director of licensing may deny a license application, and the commission or chief state steward may suspend or revoke a license, or otherwise penalize in accordance with KRS 230.320(1) a licensee, or other person participating in horse racing, for any of the following reasons . . . (q) The licensee or applicant has engaged in conduct that is against the best interest of horse racing . . .. II. STEWARDS

A. 810 KAR 1:004 Section 3. General Powers of Stewards. The stewards shall exercise immediate supervision, control, and regulation of racing at each licensed race meeting on behalf of and responsible only to the commission.

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B. 810 KAR 1:004 Section 4(1) and (8). Duties and Responsibilities of Stewards. In addition to the duties and responsibilities necessary and pertinent to general supervision, control, and regulation of race meetings, and without limiting the authority of the stewards to perform these and other duties enumerated in these administrative regulations, the stewards shall have the following specific duties and responsibilities: (1) To take appropriate action on all misconduct or administrative regulation infractions, to cause investigations to be made of all instances of possible infractions, and to take appropriate action to prevent an administrative regulation infraction. (8) To supervise the taking of entries and receive all declarations and scratches and determine all questions arising and pertaining to declarations and scratches. The stewards in their discretion may refuse the entry of any horse by any person, refuse to permit a declaration or scratch, or may limit entries. C. 810 KAR 1:012 Section 9(1). Serviceable for Racing. A horse shall not be entered or raced that: (1) Is not in serviceable, sound racing condition. The stewards may at any time cause a horse on association grounds to be examined by a qualified person. D. 810 KAR 1:016 Section 14. Horses to be Ridden Out. Stewards shall take cognizance of any marked reversal of form of a horse and shall conduct inquiries of the licensed owner, licensed trainer, and all other persons connected with the horse. If the stewards find that the horse was deliberately restrained or impeded in any way or by any means so as not to win or finish as near as possible to first, any person found to have contributed to that circumstance may be penalized at the discretion of the stewards. E. 810 KAR 1:018 Section 11. Sample Collection, Testing, and Reporting. Sample collection shall be done in accordance with the instructions provided by the commission veterinarian. The commission veterinarian shall take a sample from a horse that finished first in a race and a horse or horses designated by the stewards to determine if there has been a violation of this administrative regulation. F. 810 KAR 1:027 Entries. Section 15(1) and (5). Scratches. Scratches shall be irrevocable and shall be permitted under the following conditions: (1)(a) Except as provided in paragraph (b) of this subsection, a horse may be scratched from a stakes race for any reason at any time until four hours prior to post time for the race by obtaining written approval from the stewards. Upon receiving a scratch from a stakes race, the racing secretary shall promptly notify the Page 2 of 5

stewards and pari-mutuel manager, and shall cause public announcement of the scratch to be made. (b) If a list of also-eligibles has been drawn, scratches shall be filed at the regular scratch time as posted by the racing secretary. Thereafter, a horse shall not be scratched unless: 1. A valid physical reason exists; or 2. The scratch is related to adverse track conditions or change of racing surface. (5) A horse that has been scratched or excused from starting by the stewards because of a physical disability or sickness shall be placed on the commissions veterinarian list for six (6) calendar days beginning the day after the horse was scratched or excused. III. TRAINER

A. 810 KAR 1:008 Sections 3(4) and (9). Duties and Responsibilities. A licensed trainer shall bear primary responsibility for the proper care, health, training condition, safety, and protection against the administration of prohibited drugs or medication of horses in his charge. A licensed trainer: (4) Shall bear primary responsibility for horses he enters as to eligibility; weight allowance claimed; physical fitness to perform creditably at the distance entered; absence of prohibited drugs or medications; proper shoes, bandages, and equipment; and timely arrival in the saddling paddock. A licensed trainer shall be jointly responsible with the licensed owner for horses he enters as to stakes payments and jockey fees due. (9) Shall promptly report to the [commission] veterinarian or horse identifier any sickness or death of any horse in his charge. B. 810 KAR 1:018 Medication; testing; prohibited practices. Section 15(1) and (5). Trainer Responsibility. (1) A trainer shall be responsible for the condition of a horse in his or her care. (5) A trainer shall be responsible for: (c) The proper identity, custody, care, health, condition, and safety of horses in his or her care; (k) Ensuring the fitness of every horse in his or her care to perform creditably at the distance entered.

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IV.

OTHER

A. 810 KAR 1:028 Section 10. Disciplinary measures by the commission. Upon finding a violation or an attempted violation of the provisions of KRS Chapter 230 relating to thoroughbred racing or Title 810 KAR, if not otherwise provided for in this administrative regulation, the commission may impose one (1) or more of the following penalties: (a) If the violation or attempted violation may affect the health or safety of the horse or a participant in a race or may affect the outcome of a race, declare a horse or a licensee ineligible to race or disqualify a horse or licensee in a race; (b) Suspend or revoke a person's licensing privileges for a period of time of not more than five (5) years as may be deemed appropriate by the commission in keeping with the seriousness of the violation; or (c) Eject or exclude persons from association grounds for a length of time the commission deems necessary. (2) The licensee whose licensing privileges may be suspended or revoked and the commission may enter into an agreement to mitigate the suspension or revocation by agreeing to payment of a fine in an amount not to exceed $50,000 as may be deemed appropriate by the commission in keeping with the seriousness of the violation and the facts of the case. B. GENERAL AUTHORITY OF COMMISSION

1. KRS 230.215(2). It is hereby declared the purpose and intent of this chapter in the interest of the public health, safety, and welfare, to vest in the racing commission forceful control of horse racing in the Commonwealth with plenary power to promulgate administrative regulations prescribing conditions under which all legitimate horse racing and wagering thereon is conducted in the Commonwealth so as to encourage the improvement of the breeds of horses in the Commonwealth, to regulate and maintain horse racing at horse race meetings in the Commonwealth of the highest quality and free of any corrupt, incompetent, dishonest, or unprincipled horse racing practices, and to regulate and maintain horse racing at race meetings in the Commonwealth so as to dissipate any cloud of association with the undesirable and maintain the appearance as well as the fact of complete honesty and integrity of horse racing in the Commonwealth. In addition to the general powers and duties vested in the racing commission by this chapter, it is the intent hereby to vest in the racing commission the power to eject or exclude from association grounds or any part thereof any person, licensed or unlicensed, whose conduct or reputation is such that his presence on association grounds may, in the opinion of the racing commission, reflect on the honesty and integrity of horse racing or interfere with the orderly conduct of horse racing.

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2. KRS 230.225(7)(a). The Commission is responsible for developing policies and procedures for oversight and regulation of horse racing matters, including but not limited to race day medication. V. VETERINARIANS

A. 810 KAR 1:024 Section 4. Commission Veterinarian. The commission shall employ a graduate veterinarian licensed in Kentucky and experienced in equine medicine and practice. (1) The commission veterinarian shall: (a) Advise the commission and the stewards on all equine veterinary matters; (b) Supervise and control the detention area; (c) Collect samples for the testing of horses for prohibited medication as outlined in 810 KAR 1:018; (d) Inspect and report all horses entered for racing soundness; (h) each day; (i) (j) (k) (l) 1. 2. 3. (m) (n) Be attendant on the stewards and the racing secretary at scratch time Examine horses as racing officials may request; Make prompt reports to the racing officials; Be present in the paddock for saddling; Inspect the horses for: Physical fitness; General conditions; and Any unsoundness; Accompany each field to the starting gate; Observe all horses after the finish of each field.

(2) The commission veterinarian shall have the authority to determine that: (a) A horse has suffered an injury: 1. While in the paddock; 2. During the post parade; or 3. At the starting gate; and (b) A horse is unfit to race and shall recommend to the stewards that the horse be excused and placed on the veterinary list. (3) All horses requested to be scratched for physical reasons after scratch time shall be inspected by a commission veterinarian, who shall report the condition of the horse to the stewards.

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APPENDIX B -1 Investigators Summary To: Kentucky Horse Racing Commission

From: Patrick Adams, Director of Enforcement Date: March 10, 2011 Prior to the running of the BC Ladies Classic at Churchill Downs on November 5, 2010, ESPN reporters interviewed jockey John Velazquez while he was warming up Life At Ten (LAT). The ESPN commentary and LATs performance during the race led to an investigation by the KHRC. The results of the investigation are outlined in this summary. LAT is owned by Candy DeBartolo and trained by Todd Pletcher. The ESPN reporter who interviewed Velazquez during the warm up was Jerry Bailey. After this interview, commentary was made by ESPN reporters Jeannine Edwards, Randy Moss, Joe Tessitore, Kenny Mayne, Hank Goldberg and Jay Privman. Other statements made by Todd Pletcher added to the controversy. There were comments made by the ESPN reporters about the KHRC veterinary staff that were inaccurate. The first group of people covered in this summary will be the KHRC veterinary staff. KHRC veterinarians were positioned around the track to observe the horses during the warm up and running of the race. While it was reported the veterinarians were advised of the ESPN commentary, no KHRC veterinarian was given any specific information. Dr. Larry Bramlage asked if a jockey had presented a horse for inspection; however he did not provide the name of a horse or jockey. Dr. Bramlage was the front side AAEP On-Call veterinarian for the event. All of the KHRC veterinarians were interviewed and provided written statements as to their respective locations and observations before, during, and after the running of the race. None of the KHRC veterinarians observed signs of lameness or distress in any of the horses in the BC Ladies Classic prior to the race. Velazquez did not present LAT for inspection to any KHRC veterinarian. During the running of the race, LAT trailed the rest of the field but was not pulled up by Velazquez. After finishing the race many yards behind the field, Velazquez pulled up LAT after the finish line. KHRC Chief Veterinarian, Dr. Bryce Peckham, inquired about the horse, and Velazquez replied that the horse was fine. The Breeders Cup also provided veterinarians who were located with or near the KHRC veterinarians. The Breeders Cup veterinarians were also interviewed and provided written statements. None of the Breeders Cup veterinarians observed any horses in the field showing any signs of lameness. However, Dr. Jill Bailey received a text message from a friend advising her of the ESPN commentary while the horses were being led to the starting gate. Dr. Bailey did not bring this information Page 1 of 5


to the attention of the KHRC staff because she assumed the situation had been addressed due to the radio conversation between Dr. Bramlage and Dr. Peckham. KHRC investigators interviewed all of the other trainers and jockeys in the race to determine if they saw or heard anything concerning LAT. These interviews garnered no information as all of the individuals were focused on the race and their respective horses. The pony riders for this race were also interviewed, with much the same result as the trainer and jockey interviews. However one pony rider, Jerry Mealing, thought LAT looked stiff and appeared to be reluctant during the warm up. Betty Harless rode the pony for LAT and stated she was concerned about the horse, but she did not think Velazquez felt he was in danger because he did not present the horse for examination to the veterinary staff. Deputies from the Jefferson County Sheriffs Office provided twenty-four hour security the week of the Breeders Cup. Two deputies were assigned to each barn. According to the deputies, nothing out of the ordinary or illicit occurred during the week. The Thoroughbred Racing Protective Bureau also provided seventeen agents during the week for enhanced security. The chief TRPB agent, Pete Lang, stated none of the TRPB agents reported any irregularities or suspected rule violations. Trainer Todd Pletcher was in the Horsemens Lounge prior to the running of the BC Ladies Classic. ESPN was not being shown, but Pletcher overheard an ESPN technician state that LAT was being taken to the veterinarians for examination. After he heard this statement, Pletcher went down to the track to look at LAT. Comments Pletcher later made to ESPN reporter Jay Privman were based on what he overheard from the ESPN technician. Later Pletcher acknowledged to the KHRC investigator that Velazquez had not asked for LAT to be examined by a veterinarian. Pletcher watched the ESPN coverage for the first time during his interview with KHRC investigators. Based on what he observed, he stated he saw no reason for the horse to be scratched. While the horse was calmer than usual in the paddock, Pletcher felt the horse would race well. Velazquez also expected LAT to run well. During his pre-race interview with Jerry Bailey, Velazquez said the horse was not warming up like she normally does. When interviewed by KHRC investigators, Velazquez observed that the ESPN reporters had elaborated on his pre-race comment. Velazquez said he would not have loaded LAT into the starting gate if he thought something was wrong with her. During the race, Velazquez said the horse acted as if she wanted to run but would not. Following the race, Velazquez made the statement, I should have scratched her, to assistant trainer Michael McCarthy. According to Velazquez, this statement was based solely on LATs performance during the race. Interviews were Page 2 of 5


conducted with the following Pletcher employees: Michael McCarthy, assistant trainer; Patty Krotenko, exercise rider; Miguel Rivera, groom; and, Horatio DePaz, barn foreman. These employees noticed LAT was unusually calm on the day of the race, but expected LAT to run well. During their respective interviews, Pletchers employees voiced different opinions regarding LATs calm demeanor and poor performance, including a reaction to the cold weather and the lights. Following the race, they agreed LAT showed no outward signs of lameness and did not seem distressed. However, they added the horse seemed to be tying up after returning to the barn and receiving a bath. LAT was treated that night for this condition by Dr. Ken Reed. The owner, Candy DeBartolo, explained that due to other personal and business obligations, DeBartolo had not been involved in the management of LAT and had never seen her run before. The DeBartolos hired a racing manager, David Vance, to oversee all aspects of LATs training. Vance was interviewed several times by KHRC investigators. LAT was treated by Dr. Steven Allday, Dr. Robert Landry and Dr. Ken Reed during the week leading up to and after the Breeders Cup. Dr. Allday injected LATs joints on November 1, 2010. Dr. Allday watched the race on ESPN and stated that he thought LAT was tying up during the warm up. He believed LAT should have been scratched. Dr. Landry administered the race day medications of Lasix and Amicar approximately four hours prior to the post time. Dr. Landry did not remember treating LAT before or after these administrations and was not present for Dr. Reeds treatments. Dr. Reed was interviewed and stated he had treated LAT with Phenylbutazone during the week leading up to the race. Dr. Reed watched the ESPN coverage and felt that LAT appeared to be tying up during the warm up. After watching LATs poor performance, Dr. Reed went to Pletchers barn and treated LAT following the race for tying up. Dr. Reed did not recall LAT having an elevated temperature that evening, but said she did have an elevated white blood cell count. Dr. Reed believed LAT may have had an undiagnosed virus or infection which manifested in the poor performance. In addition to the above veterinary treatments, LAT received a massage from physical therapist Carol Seaver during the week prior to the race. AAEP On-Call veterinarians, Dr. Larry Bramlage and Dr. Foster Northrop, were interviewed regarding their observations and actions. During the pre-race warm up, Dr. Bramlage was located near the winners circle. ESPN reporter Jeannine Page 3 of 5


Edwards informed Dr. Bramlage of the ESPN commentary and believed that Dr. Bramlage would forward the information to the KRHC veterinarians. While Dr. Bramlage was aware of the specific jockey and horse number in question, he did not forward that information to Dr. Peckham because he felt that reporters and spectators might overhear him. Prior to the running of the race, Dr. Northrop was on the back side and received a call from his assistant, Dr. Ross Russell, advising him of the ESPN commentary. Dr. Northrop attempted to call Dr. Bramlage, but did not reach him before the race started. Dr. Northrop met LAT on the track after the race and walked back with her to the barn. He noticed no outward signs of lameness or distress. Dr. Northrop was advised by McCarthy that he believed LAT reacted to the lights. Churchill Downs starter, Scott Jordan, was unable to see LAT prior to being loaded in the gate. As he loaded LAT into the gate, assistant starter Mike Edwards noticed nothing out of the ordinary with her. Edwards also stated that Velazquez did not say anything to him regarding LATs condition. Edwards noticed LAT broke slowly from the gate. Other assistant starters, as well as the tractor driver for the gate, were interviewed but provided no additional information. Outrider Greg Blasi heard Velazquez portion of the ESPN commentary and believed the horse appeared to be travelling wide in the front. On retrospect, Blasi said he felt he should have said something, but expected Velazquez to present the horse for examination if he was concerned about LATs condition. The ESPN reporters were interviewed. They believed they were giving the betting public important information regarding the race. ESPN producer Amy Zimmerman telephoned the stewards about the ESPN commentary. While the exact time of this call is unknown, it is believed to have been approximately five minutes and thirty seconds before LAT was loaded into the starting gate. Wagering analyses were conducted by the following three entities: the KHRC; TRPB; and, Betfair. No irregularities or integrity concerns were raised in the respective analyses. While LAT was not sampled following the race, blood samples were taken to test for TCO2. These samples were sent to the KHRC laboratory for testing. No prohibited substances were detected in the blood samples. The KHRC also submitted the syringes used to administer Lasix and Amicar to LAT to the KHRC laboratory for testing. No prohibited substances were detected in the syringes. The Office of Inspector General for the Transportation Cabinet conducted the investigation of the Stewards. According to the OIG report, the stewards were notified by Zimmerman of the ESPN commentary. This notification is reported to have been approximately five minutes and thirty three seconds prior to LAT loading into the starting gate. The stewards did not notify the KHRC veterinarians, and did not send the horse to the test barn for post race testing. Page 4 of 5


Conclusion: It is clear a communication breakdown contributed to this controversy. Had Dr. Bramlage given the jockeys name or horse number to Dr. Peckham this incident could have been resolved before the running of the race. If Dr. Bailey had relayed the information she received in a text message to the KHRC veterinary staff, this incident could have been resolved before the running of the race. If the stewards had notified the veterinary staff after Zimmerman contacting them this incident could have been resolved before the running of the race. Pletcher, his staff, and Velazquez all noticed LAT was unusually quiet during the day and in the paddock. Velazquez also noticed LAT was not warming up like she normally did. While in the best position to feel a potential problem and have the horse examined, Velazquez obviously did not present LAT to the KHRC veterinary staff for examination. Had Pletcher or Velazquez communicated any concerns to any veterinarian this situation could have been resolved.

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APPENDIX B -2 FINDINGS To: Kentucky Horse Racing Commission

From: Patrick Adams, Director of Enforcement Date: March 10, 2011 1) 2) LAT arrived at Churchill Downs on October 26, 2010 and was stabled in barn #34. Groom Miguel Rivera arrived with LAT. LAT had a published work at Churchill Downs on October 30, 2010. Patty Krotenko was the exercise rider. Later Miss Krotenko was interviewed and stated the horse worked well and experienced no problems during the week leading up to the BC BC Ladies Classic. On November 1, 2010, Dr. Steven Allday checked LAT for lameness and injected two joints. During an interview with Dr. Reed, he stated he had treated LAT with Phenylbutazone (bute) on Thursday November 4, 2010. Dr. Landry treated LAT with Lasix and Amicar on race day. The syringes from this administration were collected and tested. No prohibited substances were detected. LAT received new hind shoes on the morning of the race by farrier Ray Amato, Sr. Amato was not licensed by the KHRC at the time. On November 5, 2010, KHRC veterinarian Dr. Bentz and Breeders Cup panel veterinarian Dr. Picciano performed the pre-race examination on LAT. In her written statement, Dr. Picciano said LAT jogged fine. Dr. Bentz questioned LATs right front leg, but after discussion believed the uneven ground in the barn caused him to question the movement. Pletcher barn foreman Horatio De Paz took LATs temperature the morning of the race and noted her temperature was normal. On race day, Rivera noticed that LAT was more quiet than usual and was concerned that she was reacting to the colder air temperature. Prior to the race, blood was drawn for TCO2 testing by Jenna Hardy. In the paddock before the race, Pletcher told Velazquez to warm up LAT well. During the warm up, Velazquez was interviewed by ESPN analyst Jerry Bailey. Velazquez responds to a question by saying shes not warming up like she normally does. Following this statement, Jerry Bailey, Joe Tessitore Page 1 of 3

3) 4)

5) 6)

7) 8) 9) 10) 11)

12)

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15) 16) 17)

18)

19) 20) 21) 22)

23) 24)

and ESPN analyst Randy Moss made comments regarding their observations of LAT. After hearing the ESPN commentary, ESPN producer Amy Zimmerman telephoned the stewards. Zimmerman spoke to Chief State Steward John Veitch and told him that Velazquez was complaining about his horse. This call took place approximately five minutes and thirty seconds prior to LAT being loaded into the gate. As the horses were loading, Bailey asked Velazquez if LAT was any better, and he responded, no, not really. After hearing the ESPN commentary, ESPN reporter Jeannine Edwards told Dr. Larry Bramlage about the commentary. Because Ms. Edwards believed Dr. Bramlage would ask the KHRC veterinarians to examine LAT, she reported that Dr. Bramlage was in contact with his veterinarians on the track. Dr. Bramlage contacted Dr. Peckham, but did not advise Dr. Peckham of the specific horse and jockey of concern. At no time did Velazquez present LAT to the KHRC veterinarians for examination. Todd Pletcher was watching the race from the Horsemens Lounge and did not hear the ESPN commentary. He overheard an ESPN technician say that the number one horse was being taken to the veterinarians to be examined. While the horses were approaching the gate, Breeders Cup panel veterinarian Dr. Jill Bailey received a text message regarding the ESPN commentary. Dr. Bailey did not notify any KHRC veterinarians of the text. Dr. Bailey assumed the situation had been handled because of the radio traffic between Dr. Bramlage and Dr. Peckham. Dr. Bailey observed LAT as she approached the gate and noticed no outward signs of lameness on LAT. After hearing the ESPN commentary, Dr. Ross Russell telephoned Dr. Foster Northrop. Dr. Russell believed the horse was tying up. After receiving Dr. Russells telephone call, Dr. Northrop attempted to call Dr. Bramlage, but was unable to reach him. After the race, Velazquez told assistant trainer Michael McCarthy that he should have scratched LAT due to her poor race performance. Velazquez told Dr. Peckham that LAT was fine. The stewards did not send LAT to the detention barn for post-race sampling. ESPN did not interview Dr. Bramlage after the race and, according to Ms. Edwards and Zimmerman, had no plan to do so. Page 2 of 3

25) After the race, Dr. Northrop walked with LAT back to the barn. He detected no signs of lameness or distress. Dr. Northrop heard McCarthy say he thought LAT reacted to the lights. 26) According to Rivera and De Paz, LAT showed signs of tying up after returning to the barn and receiving a bath. 27) After returning to the barn, De Paz took LATs temperature and noted it was elevated at 102 degrees. 28) Dr. Ken Reed treated LAT after the race for tying up with fluids and medication. Dr. Reed does not recall LAT showing an elevated temperature. 29) Two different video feeds were being shown during the event at Churchill Downs: one from ESPN and one in house. 30) The remaining TCO2 blood was sent to the KHRC laboratory for testing. No prohibited substances were detected. 31) On November 6, 2010, Dr. Reed performed blood tests on LAT, the results of which indicated to him that she suffered from an undiagnosed virus or infection. 32) While watching the ESPN commentary for the first time during his KHRC interview, Pletcher stated he saw nothing wrong with LAT and no reason for her to be scratched. 33) During their respective interviews, Dr. Allday and Dr. Reed believed LAT was tying up during the pre-race warm up.

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APPENDIX B-3 Kentucky Horse Racing Commission Report of Investigation Life At Ten Staff Timeline Report: On November 5, 2010 prior to the running of the Breeders Cup Ladies Classic (BC Ladies Classic) at Churchill Downs reporters from ESPN interviewed jockey John Velazquez (Velazquez) while he was warming his horse up. The horse Velazquez was riding, in the tenth race of the Breeders Cup, was Life At Ten (LAT). The comments made by Velazquez, and those of the reporters from ESPN, along with the performance of the horse during the race led to an investigation by the Kentucky Horse Racing Commission (KHRC). The following is a timeline of this investigation. The timeline represents an overview of the activities taken during the investigation. It does not go into detail about daily conversations and meetings. November 5, 2010 KHRC Executive Director Lisa Underwood (Underwood) was present during the BC Ladies Classic. Underwood continued to watch LAT after the race to see if the ambulance picked her up or what happened. After the race, a KHRC veterinarian said she is OK; shes walking fine; she is not lame. Underwood stopped Chief State Steward John Veitch (Veitch) when he was walking through the paddock to leave for the day and called KHRC Equine Medical Director, Dr. Mary Scollay (Dr. Scollay) to check on the health of LAT. Dr. Scollay said the veterinarians were going to go to the barn to look at LAT. November 6, 2010 Dr. Scollay contacted Dr. Sally Baker (Dr. Baker), American Association Equine Practitioners (AAEP), for contact info for ESPN assistant producer Amy Zimmerman (Zimmerman). Prior to arriving at Churchill Downs, Underwood talked to Commissioner Burr Travis about the LAT situation. At that point Underwood knew LAT had been discussed on television. Scollay spoke to Zimmerman, requested review of video feed for BC Ladies Classic and meeting with ESPN analysts Randy Moss (Moss) and Jerry Bailey (Bailey). In paddock Saturday morningScollay told Underwood that Zimmerman told Veitch prior to the race that Velazquez complained about LAT. That was the first time Underwood had heard that ESPN had notified the stewards. Page 1 of 37

Underwood went to stewards stand with Dick Brown (Brown). Underwood asked steward Rick Leigh something like, did you hear ESPN coverage on LAT? He said, yeah we heard it. Brown and Underwood stood with Veitch on the balcony and asked him if ESPN had called. He said yes. Underwood did not delve further into timing because it was apparent that there needed to be in-depth questioning by an investigator. Underwood told Veitch to interview LAT trainer Todd Pletcher (Pletcher) and Velazquez. Veitch already knew to do this because it was part of his duties, but just as a reminder she said it. Underwood told Dr. Scollay to get statements from all of the veterinarians on the track (Breeders Cup veterinarians, Dr. Larry Bramlage (Dr. Bramlage) and KHRC veterinarians) while their memories were fresh. Dr. Scollay arrived at ESPN trailer for meeting with Zimmerman, Moss and Bailey. Director of Enforcement Pat Adams (Adams) spoke to Underwood who requested that outrider Greg Blasi (Blasi) be interviewed about the statements made by Velazquez prior to the running of the BC Ladies Classic. Underwood also requested that Adams interview the pony person and assistant starter who loaded LAT into the gate. November 7, 2010 Adams spoke to Blasi at the race office. Adams asked if he had heard the comments made by Velazquez and Blasi stated he had. Blasi said Velazquez never asked the KHRC veterinarian or any veterinarian to look at LAT. The only person Velazquez spoke to about the horse was Bailey. Blasi added he did not advise any of the veterinarians of what he had heard, nor did he request a veterinarian to examine LAT. Blasi said the horses were led to the gate and LAT was loaded for the race with the rest of the field. Blasi stated he felt Velazquez should have taken the horse to be examined if he truly believed the horse was not fit to race. Blasi added he believed LAT was travelling wide in the front during the warm up. November 8, 2010 Underwood asked Churchill Downs President Kevin Flanery (Flanery) for any video of the stewards room, any tapes of the paddock and the race and for Churchill Downs to request a wagering analysis from the Thoroughbred Racing Protective Bureau (TRPB). November 9, 2010 Underwood told Brown that Adams was in charge of the investigation. The investigation would not be conducted by the stewards. Underwood, Guilfoil and Scollay memorialized a list prepared on November 8th of people to interview and Page 2 of 37

documents to be collected. Underwood also had asked for a wagering investigation to be conducted. Drug testing was requested to be conducted on all the samples the KHRC has for Pletcher trained horses. All syringes collected from treatment of Pletcher trained horses were also sent for testing. Dr. Scollay asked ESPN for their tape of the BC Ladies Classic and asked veterinarians to provide the KHRC their respective locations on the track. Underwood asked KHRC Supervisor of Pari-mutuel wagering, Greg Lamb (Lamb) to look into wagering integrity aspects of the race. Dr. Scollay contacted Dr. Bryce Peckham (Dr. Peckham) to request sample ID information of the pre-race blood samples. Dr. Scollay received Dr. Peckhams response to pre-race blood information request. November 10, 2010 A meeting was held at Churchill Downs. Present for this meeting were the following KHRC staff: Underwood, Adams, and Lamb. Via telephone: Deputy Executive Director Marc Guilfoil (Guilfoil), and Dr. Scollay. Underwood met with the stewards and instructed them that media contact would be coordinated through the KHRC offices. Underwood advised Adams to obtain statements from the veterinarians at the gate and all KHRC veterinarians located around the course. Adams was also advised to speak to Zimmerman from ESPN regarding her conversation with the stewards prior to the running of the BC Ladies Classic. Adams spoke to Dr. Brent Cassady (Dr. Cassady) and Dr. Peckham and requested statements as to their positions around the course and any observations made during or prior to the race. Dr. Peckham stated he had already submitted a statement and would forward a copy to Adams. Dr. Cassady e-mailed a statement at approximately 1:00 p.m. Adams obtained a copy of LATs treatment sheet from KHRC test barn employee Greg Berry (Berry). This sheet showed that the horse was treated with Furosemide (Lasix) and Amicar at 3:25p.m., on November 5, 2010 by either Dr. Ken Reed (Dr. Reed), Dr. Eric French (Dr. French) or Dr. Robert Landry (Dr. Landry). Dr. Scollay contacted Zimmerman and requested DVDs of ESPN coverage. Dr. Scollay received pre-race blood sample ID info from Berry. Page 3 of 37

Lamb called Andy Cunningham (Cunningham) of Betfair in London. Lamb also sent an e-mail to Cunningham asking whether there were any large wagers on LAT to lose. On either November 10th or November 11th, Underwood emailed Curtis Linnell (Linnell) requesting TRPB conduct a wagering analysis. Underwood began compiling a list of recommendations. November 11, 2010 Betfair reported they did an analysis of exchange wagers placed on www.betfair.com (and therefore placed by non-US residents) on the BC Ladies Classic. Betfair did not find anything unusual or anything that raised integrity concerns. In response to requests from Underwood made earlier in the week, Flanery reported to Underwood that Churchill Downs does not have a camera or tapes of stewards room activity. The camera was ESPNs and he was going to ask ESPN if there was a tape. Churchill Downs was going to talk to TRPB that afternoon about doing a wagering analysis. Flanery agreed to give Adams whatever tapes Churchill Downs had. Underwood talked to DeBartolo Racing Manager David Vance (Vance) on the phone. Vance was upset with comments made by Veitch that were in a CourierJournal article. Vance stated what is right is to acknowledge in hindsight --the horse should have been scratched and tested. Vance said he felt compelled to respond publicly to Veitch. Vance said they were trying to decide on the next steps and could not stand by and allow insult and denial. November 12, 2010 Adams e-mailed Dr. Robin White (Dr. White) requesting him to call. A short time later Dr. White telephoned and Adams asked if he had seen LAT warming up. Dr. White stated he did not see the horse warming up and had not heard the interview of the jockey. Dr. White said he was at the starting gate close to Dr. Peckham and overheard someone on the radio ask if a jockey had brought a horse for the veterinarians to check. White added there was no mention of a specific horse or jockey and he had assumed the radio traffic was from the stewards. When asked if he had seen LAT approach the starting gate Dr. White stated he had but the horse showed no signs of lameness. Dr. White said he was present with Dr. Peckham on November 6, 2010 when Dr. Peckham went to Pletcher's barn to check LAT. White advised he heard Pletcher say the horse was running a fever and had an elevated white cell count. White said Page 4 of 37

Pletcher was apologetic about the statements he had made on ESPN after the BC Ladies Classic in which he erroneously stated that Velazquez had asked the KHRC vets to look at LAT. He now realized Velazquez had not made that request. Adams asked Veitch if he had radioed the veterinarians at the gate and Veitch advised that he had not. Adams asked if he had heard any radio traffic asking if a jockey had presented a horse at the gate for examination and Veitch stated that he heard nothing on the stewards radio about the horse. Veitch added that he was not the steward monitoring the radio on November 5, 2010. A telephonic interview was conducted with Zimmerman. During this interview Zimmerman said she heard the first part of the interview with Velazquez and called the stewards via the ring down telephone. Zimmerman stated she talked directly to Veitch. During this conversation Zimmerman said she notified the stewards of the interview and believed the stewards were watching the telecast. Zimmerman said there was ample time to do something before the horses were loaded in the gate for the race. Zimmerman had the opinion there was a "colossal communication problem" that prevented the horse from being seen by the veterinarians. Zimmerman said when the horses turned to go to the gate she thought the horse was going to be examined. Adams then spoke to steward Brooks Butch Becraft (Becraft) to ask if he had radioed Dr. Peckham. Becraft said he did not radio the vets at the gate about LAT. Becraft stated he was the steward monitoring the radio and he did not hear any such transmission to Dr. Peckham about LAT. Adams called for Dr. Bramlage and was advised he was out until November 15, 2010. Adams received an e-mail from Cunningham advising that Betfair had conducted an analysis and did not find anything unusual or anything that raised integrity concerns. November 13, 2010 Adams telephoned Dr. Debbie Lamparter (Dr. Lamparter), Dr. Dana Stead (Dr. Stead), and Dr. Liz Santschi (Dr. Santschi) with a request to call Adams about LAT. Adams first spoke to Dr. Lamparter, via telephone, who stated she was at the starting gate near the outside. Dr. Lamparter said she heard the radio traffic from Dr. Bramlage and saw Dr. Peckham contact Dr. Will Farmer (Dr. Farmer) and also saw Dr. Farmer contact Dr. Brad Bentz (Dr. Bentz). Dr. Lamparter heard Dr. Peckham radio Dr. Bramlage advising there had been no horse brought to any veterinarian and there was no other traffic. Dr. Lamparter said she was unable to Page 5 of 37

hear if there was any radio traffic on the KHRC radio. From her position on the track Dr. Lamparter was unable to see LAT warming up prior to the race. Dr. Santschi telephoned and stated she was located in the door of the horse ambulance positioned near the 1/4 pole. Dr. Santschi said Dr. Jill Bailey (Dr. Bailey) was out on the track and Dr. Bentz was located near the center of the track while the horses were warming up. Dr. Santschi said she did not see any outward signs of lameness on any of the horses running in the BC Ladies Classic. Adams received a telephone call from Dr. Stead. Dr. Stead stated he was located in the chase truck which was located approximately 100 yards behind the starting gate. Dr. Stead said he was with Dr. Farmer when he was asked by Dr. Peckham if any horses were presented for examination. Dr. Stead stated he was unable to see the horses warming up from his position and only saw the horses walking to the starting gate. Dr. Stead said he saw no outward sign of lameness of any of the horses. Dr. Stead added he believed there was a "communication meltdown" during this incident. Adams proceeded to the test barn to speak with Dr. Peckham. Adams requested his report and Dr. Peckham forwarded the report via e-mail. During this conversation Dr. Peckham stated KHRC Commissioners Ned Bonnie (Bonnie) and Dr. Foster Northrop (Dr. Northrup) had been on the backside on Saturday November 13, 2010 speaking to outrider Blasi. Adams met with Blasi outside the test barn (detention barn) after speaking to Dr. Peckham. Blasi stated he had spoken to the Commissioners and related the same information to them as he had during the earlier interview with Adams. Adams met with Dr. Northrop in the barn area at Churchill Downs. Adams explained he would like to ask what information he had been given from Blasi. Dr. Northrop related the information and the information was the same. Dr. Northrop added he had been made aware of the LAT ESPN broadcast by his assistant, Dr. Ross Russell (Dr. Russell), via telephone. Dr. Northrop stated he was watching the Churchill Downs feed, of the pre-race warm up, from an office in the barn of trainer Neil Howard. The Churchill Downs feed did not contain the interview between Velazquez and Bailey. Dr. Northrop explained he was the AAEP on call veterinarian for the backside during the Breeders Cup and attempted to contact Dr. Bramlage via radio but decided against transmitting the information due to concerns about the volume of people with access to the radio. Dr. Northrop attempted to telephone Dr. Bramlage but was unable to make contact. Adams obtained telephone numbers for Velazquez and Pletcher from Director of Licensing, Chris Clark (Clark).

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November 14, 2010 Underwood and KHRC Chairman Bob Beck discussed the need for an independent investigator to conduct the portion of the investigation relating to the stewards. Various potential investigators were discussed. There was a desire to find someone at no cost to the KHRC and who did not have a conflict of interest. November 15, 2010 Underwood talked to Vance again. He said LAT was back to normal and would go to Florida for 30 days and then go back into training. He thought they took the temperature every 2-3 hours before a race and there was nothing to indicate elevated anything. After the race, the blood count and enzymes were off the charts. His explanation was that LAT wasnt drinking as much water and could have become dehydrated. Underwood talked to Dr. Northrop and he said he walked back with LAT after the race and she didnt look tied up. He wanted to see the pre race video to see if she was tying up. She was not lame. November 16, 2010 Underwood told KHRC General Counsel Susan Speckert (Speckert) and Adams that she would like to have the Daily Training Logs for LAT for the last six months; all veterinarian records for LAT for the last six months and racing records for LAT for the last six months by the end of the week. November 17, 2010 Adams telephoned Velazquez and spoke to a female who stated Velazquez was not home. Adams requested a return call and provided a cellular telephone number. Adams telephoned the number provided for Pletcher and received a recording advising the number was no longer in service. Adams received a return call from Velazquez. Adams requested his appearance at the KHRC offices in Lexington, Kentucky. Velazquez stated he would come in but needed to contact his attorney and asked if he would need an attorney. Adams told Velazquez he could not advise him if he needed an attorney as that would be his decision. Adams reviewed a copy of the telecast provided by ESPN. Present during this review were Underwood, Guilfoil and Speckert. Adams spoke to Terry Meyocks, Executive Director of The Jockeys Guild (Meyocks), via telephone. He asked what the purpose of the interview requested with Velazquez. Adams explained he was tasked with investigating the matter and needed to speak with Velazquez about his comments to Bailey and Moss. Adams Page 7 of 37

added he was not looking to assess blame, and was only trying to ensure these events were not repeated. Meyocks shared his opinion the jockeys are not treated fairly in Kentucky and he was calling to see what the scope of the investigation was. Upon Adams arrival at Churchill Downs he telephoned Pete Lang (Lang) of the TRPB. Adams asked if any TRPB agent reported any irregularities during the Breeders Cup in Pletcher's barn, Barn # 34. Lang stated he had not received any reports from any TRPB agents about any suspected problems or violations in Pletcher's barn. November 18, 2010 Underwood and Beck met with Breeders Cup representatives Greg Avioli (Avioli), Matt Lutz (Lutz) and Bob Watt to discuss strategy. Breeders Cup management was supportive of the KHRC conducting a thorough investigation and making recommendations. The group decided that the focus should be on: 1. Did the participants act in the best interest of racing? 2. What could KHRC do better? Underwood went through the list of people to be interviewed, analysis to be conducted, etc. As a result of the meeting the scope of the interviews was expanded to include people such as all of the trainers and jockeys in the Ladies Classic all assistant starters, Mike McQuade (McQuade), Flanery, Churchill Downs Director of Racing Donnie Richardson (Richardson), Churchill Downs Track Superintendent Butch Lehr (Lehr), Churchill Downs Parimutuel Manager and Churchill Downs tractor driver. It was mentioned Arquana had a telecast in France and the Breeders Cup could obtain the tapes for KHRC. Also mentioned Breeders Cup could obtain the TVG tape for KHRC. Adams telephoned Dr. Bailey, Breeders Cup veterinarian panel, and asked if she saw LAT. Dr. Bailey stated she saw the horse but observed no outward signs of lameness from any of the horses in the field. Dr. Bailey said she saw Dr. Farmer talk to Dr. Bentz but did not hear the conversation. Adams telephoned Kathy Picciano DVM (Dr. Picciano), veterinarian panel, and left a message requesting an interview. Breeders Cup

Adams collected the Breeders Cup horse inspection cards from the test barn. Adams only retained the cards for the BC Ladies Classic. The remainder of the horse inspection cards were returned to the test barn. Adams met with Dr. Peckham for assistance interpreting the notes located on the horse inspection card for LAT. Adams conducted a telephone interview with Dr. Picciano. Dr. Picciano stated she was unable to see the horses warming up from her location. Dr. Picciano said she was located near the pole and only saw LAT as she came around the track after Page 8 of 37

the start of the race. While the horse was well behind the rest of the field, Dr. Picciano stated she did not see any outward signs of lameness. Dr. Picciano added the jockey continued to ride the horse around the race course. Dr. Picciano stated she was present at the gap when the horse was walking back to the barn after the race and heard assistant trainer Michael McCarthy (McCarthy) say the horse had been bothered by the lights. Adams telephoned Pletcher and requested an interview. Pletcher stated he would have his attorney contact Speckert for a date and time. Adams requested training records, veterinarian records and race records for last six months for LAT. Adams telephoned assistant trainer McCarthy in an attempt to conduct an interview. McCarthy stated his wife had just had a baby and would call back. Clark was requested by Speckert to assist in this investigation by conducting interviews on multiple trainers and jockeys that were in the paddock prior to the BC Ladies Classic. Clark was requested to interview the following individuals: Jockeys: Kent Desormeaux (Desormeaux), Joel Rosario (Rosario), Jeremy Rose (Rose), Julian Leparoux (Leparoux), Robby Albarado (Albarado), Jose Lezcano (Lezcano), Alan Garcia (Garcia), Rafael Bejarano (Bejarano), Calvin Borel (Borel), Garret Gomez (Gomez) Trainers: Bill Mott (Mott), Jerry Hollendorfer (Hollendorfer), Tony Dutrow (T. Dutrow), Rick Dutrow (R. Dutrow), Rusty Arnold (Arnold), David Carroll (Carroll), Shug McGaughey (McGaughey), Scott Fairlie (Fairlie), Dallas Stewart (Stewart) November 19, 2010 Underwood had a conversation with Vance. He told her LAT owner Candy DeBartolo (DeBartolo) wanted a copy of the blood test that was turned in. Underwood said, the jockey should have taken the horse to one of our veterinarians. Vance responded, well thats true. Underwood told him since the stewards were implicated as well, it was no longer in the stewards hands; it was at the commission level. Vance mentioned people were whispering in DeBartolos ear about suing. He stated that he wants to attend the KHRC meeting when it is in front of the KHRC. An interview was conducted with Dr. Northrop. In addition to information given by Dr. Northrop in the prior interview, he stated he had gone to the track and observed LAT walking back to Pletcher's barn. Dr. Northrop stated LAT did not appear to be in distress and showed no signs of lameness. Dr. Northrop said he asked the

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assistant trainer McCarthy if the horse was OK. McCarthy replied he thought the horse was bothered by the lights. An interview was conducted with assistant starter Mike Edwards (Mr. Edwards). Mr. Edwards stated he loaded LAT into the starting gate for the BC Ladies Classic. Mr. Edwards said the horse loaded into the gate fine and stood with no problems. Mr. Edwards said Velazquez did not say anything while waiting on the start. Mr. Edwards said Velazquez never asked the veterinarian to look at the horse. Mr. Edwards added LAT had to walk right by the KHRC veterinarian and Velazquez had every opportunity to talk to the veterinarian. An interview was conducted with ESPN analyst Bailey via telephone. During the interview Bailey explained the microphone was wired for the pony person riding next to the jockey. Bailey said he chose which jockeys he would interview two to three days prior to the race date. Bailey said there was no communication with Velazquez prior to the interview. An interview was conducted with Dr. Bramlage, on call AAEP veterinarian. Prior to the race Dr. Bramlage was standing in the winners circle. Dr. Bramlage said he did not hear the interview Velazquez had with Bailey and Moss. Dr. Bramlage said he was contacted by ESPN analyst Jeannine Edwards (Ms. Edwards) and asked if LAT had been examined by the veterinarian staff on the track. Dr. Bramlage stated he contacted Dr. Peckham, via radio, and asked if any jockey had presented a horse for examination. Dr. Peckham replied none of the horses in the field had been presented for examination. Dr. Bramlage said he did not feel comfortable mentioning the name or number of the horse on the radio from his location. Adams received a telephone call from Sgt. Mike Littlefield (Littlefield) of the Jefferson County Sheriff's Office (the JCSO) advising he would forward the names of the assigned deputies via e-mail. Adams spoke to Dr. Bentz, KHRC, and requested a written statement. Dr. Bentz stated he would provide a statement and talked briefly about the events surrounding LAT. Dr. Bentz said he had positioned himself near the middle of the track and had been approached by Dr. Farmer and asked if any jockey had presented a horse for examination. Dr. Bentz replied there had been no horses presented. An interview was conducted of Berry, KHRC. Berry was working in the test barn on November 5, 2010 and stated he was watching the Churchill Downs feed and did not hear the interview with Velazquez. Berry said there were four horses in the test barn from the 9th race and he was anticipating the first four finishing horses from the BC Ladies Classic. Berry stated there are four usable stalls in the test barn with two wash stalls. Page 10 of 37

An interview was conducted with the Horse Identifier, Barbara Borden (Borden). Borden stated she had identified LAT and in doing so did not notice anything out of the ordinary with the horse. Borden said she was watching the Churchill Downs video feed, with sound muted, in the claims office after identifying the horses for the BC Ladies Classic. Borden said she did not know of the interview until a later time, either later that evening or the next morning. An interview was conducted with pony rider Betty Harless (Harless). During this interview Harless stated she had been wired with the ESPN microphone and overheard the interview with Velazquez. Harless said Velazquez never asked to speak with a veterinarian and didn't talk to her during the pre-race warm up. Harless said she was concerned the horse was having some sort of problem due to the fact the horse did not gallop away from the pony as it did normally. Harless said Velazquez did not feel he was in danger with the horse and she felt that is why he took the horse to the gate without asking a veterinarian to examine the horse. Clark was working at Churchill Downs and began interviewing the trainers and jockeys. Clark started with the list of trainers. All of these interviews were conducted via telephone. The purpose of the interview was to focus on events prior to the race in the paddock area, when each person arrived in the paddock, if they saw or heard any comments about LAT. All of the trainers stated that they were focusing on their horse, and paying attention to their jockey and owners. In summary, there was no information of investigative value from any of the interviews Clark conducted. Below is the list of individuals interviewed via telephone. 1) 2) 3) 4) 5) 6) 7) 8) 9) Mott Hollendorfer R. Dutrow T. Dutrow Arnold Carroll McGaughey Fairlie Stewart

The jockeys were interviewed via a combination of telephone and face to face interviews. Again, the purpose of these interviews was to focus on the paddock area prior to the race and any information surrounding LAT. Of the jockeys Clark spoke with, none had any information that could assist in this investigation. Below is a list of the jockeys that were interviewed: Page 11 of 37

1) 2) 3) 4)

Rosario- via telephone Rose- via telephone Bejarano- via telephone Leparoux-in person

Dr. Scollay provided a written statement to Adams on her activities and location of veterinarians during the BC Ladies Classic. This statement contains information regarding events that occurred from the period of time from the paddock to post race. Dr. Scollay sent a reminder to KHRC veterinarians to submit statements which were previously requested. November 20, 2010 Adams received email from Littlefield with the contact information of the deputies from the day shift 7 a.m. to 7 p.m. Littlefield's email advised he had been unable to obtain the list of the night shift deputies assigned but left a message for the night shift Sgt., Vicky Brown, asking that she forward contact information to Adams. Adams received a written statement from Dr. Bentz. Adams met with Dr. Peckham requesting written statements from Dr. Michael Hardy (Dr. Hardy) and Dr. Farmer. Adams received an email from Sgt. Vicky Brown, JCSO, showing the contact information for the night shift deputies. Adams received a written statement from Dr. Picciano about LAT. Adams assigned Don Kolioutas (Kolioutas), KHRC Investigator, the interviews of the Rood and Riddle interns who were assisting on the track during the BC Ladies Classic. Clark interviewed jockey Kent Desormeaux in person at Churchill Downs. The interview focused on the same topic as the other interviews in this investigation. The summary of the interview provided no information to assist in this investigation. Clark left a voicemail for the following jockeys that he could not reach, requesting them to call to discuss LAT. 1) Lezcano 2) Garcia Page 12 of 37

3) Gomez 4) Albarado 5) Borel November 21, 2010 Adams telephoned Ms. Edwards and left a message for a return call. Adams telephoned Moss and left a message for a return call. Adams conducted an interview with Ms. Edwards. Ms. Edwards said she heard the interview on her ESPN ear piece and advised Dr. Bramlage. Ms. Edwards said she assumed the horse was being taken to the veterinarian for examination after Dr. Bramlage radioed the veterinarian staff on the track. Ms. Edwards was unable to hear Dr. Bramlage's radio conversation and was very surprised when the horse was led to the gate and loaded for the start of the race. November 22, 2010 Guilfoil contacted Vance via telephone to interview him about LAT and the happenings prior to and after the BC Ladies Classic. Vance stated that he is currently employed as racing manager for LAT owner DeBartolo. Vance said that he has worked in various positions for the DeBartolo family the past 20 plus years. Vance said he arrived at Churchill Downs on Wednesday, November 3, 2010, and had seen LAT on each day prior to her race on the evening of the November 5, 2010. Vance said that he watched her jog Thursday morning under tack and she looked fine. Vance was on the backside of Churchill Downs Friday morning, November 5, 2010, with his son to purchase Breeders Cup memorabilia and saw LAT that morning. Vance said that in all his visits he had not seen anything out of the ordinary with LAT and quoted trainer Pletcher as saying that she had never been better. Vance stated that he was present in the paddock for the saddling of LAT. Vance stated that he was with DeBartolo, along with his wife and his son. He further stated that he had no conversations with Pletcher in the paddock. Vance said that he made the observation that LAT looked calm from a distance in the paddock but attributed it to her experience as compared to the others. Vance said he followed the horse to trackside where he watched the race along with his son. Guilfoil asked Vance about when was the first time he knew something was amiss with LAT. Vance stated the horses were immediately behind gate and loading and my son got a cell phone call from someone in Texas who said, you better check somethings wrong with your horse. My son turned around and said dad theres something wrong with Life at Ten, you better call Todd (trainer) and so I took my cell phone and held it out to make a call and the gates opened. Vance said he went down to the track where they were unsaddling the horse to talk with Pletcher. Page 13 of 37

Vance said at that point Pletcher was at a loss as to the performance of LAT. He went on further to say Pletcher said he didnt know if it was an allergic reaction or what but he would definitely look into it and get back to him. Vance said he did not talk with Velazquez. Vance stated that he thinks the KHRC is doing an admirable job in the investigation, but he is not certain its imperative because the KHRC is not about trying to find out about any wrong doing. Vance believes the scope of the investigation should be: 1) Should she have been scratched? and 2) Should she have been tested? When asked about the newspaper reports that LATs temperature was taken sometime after the races and she spiked a temperature of 103 degrees, Vance said the first he had heard of it was the next morning but did not know when or who took the temperature. Vance said that Dr. Reed came by at a point and time when I was there to share the blood work and what they had determined (see follow up interview below). Vance did not know when Dr. Reed drew the blood. Vance asked several times for results of the blood test conducted by the KHRC and wanted to know why they have not been made public. Guilfoil then asked Vance about getting LATs owner DeBartolo to give permission to their veterinarian(s) to release treatment history to Adams. Vance declined and stated that he would place that request in Pletchers purview because DeBartolo did not hire the veterinarian(s), Pletcher did. Guilfoil then asked Vance about interviewing DeBartolo to which Vance said he would personally object to her being interviewed because she has zero to do with any aspects of it. He further stated that November 5, 2010 was the first time she had seen the horse race and he was not sure her attorneys would allow her to be interviewed. Vance then stated that is what he is there for and would be glad to answer any questions regarding LAT. November 23, 2010 Guilfoil contacted Frank Delgado (Mr. Delgado) via telephone to interview him about LAT and the happenings prior to and after the BC Ladies Classic. Mr. Delgado stated that he was working in the capacity of a Big Event Team (BET) investigator for the TRPB. Mr. Delgado was assigned to the paddock and winners circle for the two days of Breeders Cup racing at Churchill Downs. Mr. Delgado stated he was in the paddock and winners circle for the BC Ladies Classic and did not see anything out of the ordinary. Guilfoil contacted Juan Dominguez (Dominguez) via telephone to interview him about LAT and the happenings prior to and after the BC Ladies Classic. Dominguez was working in the capacity of a Big Event Team (BET) investigator for Page 14 of 37

the TRPB. Dominguez was assigned to the paddock and winners circle for the two days of Breeders Cup racing at Churchill Downs. Dominguez stated he was in the paddock and winners circle for the BC Ladies Classic and at the time did not notice anything out of the ordinary. Dominguez added that, after reflecting on the day, he thought LAT looked a little dull. He further stated that he works in New York as a racing investigator and has seen her race several times at New York tracks so is somewhat familiar with how she acts in the paddock. Kolioutas interviewed the following individuals in regard to the BC Ladies Classic. 1) 2) 3) 4) 5) Dr. Cameon Childers Dr. Pena Lowman Dr. Taralyn McCarroll Dr. Travis Tull Dr. Mara Wendell (Dr. Wendell)

These people are interns from Rood & Riddle equine who assisted during this event. All were unaware of the interviews of the jockey and did not see LAT warm up. Dr. Wendell was present for the pre-race blood draw but did not see anything out of the ordinary with the horse. November 24, 2010 Dr. Scollay requested information on Test Barn communications with the stewards from Berry. November 26, 2010 An interview was conducted with Deputy Bishe (Bishe) with the JCSO. Bishe stated he had worked Tuesday through Thursday but had to be relieved due to a death in his family. During his time working security at barn #34 (Pletchers barn), Bishe stated he observed nothing out of the ordinary. Bishe said he had only seen one veterinarian and what he believed to be his assistant enter the barn. Bishe said there were two veterinarians, a man and a woman, who were together. An interview was conducted with Deputy Marksberry (Marksberry) with the JCSO. Marksberry replaced Bishe on Friday and Saturday and observed the same veterinarians enter the barn. These veterinarians are believed to be Dr. Reed and his assistant. Marksberry stated it was Deputy Fahey, a reserve with the department, who collected the syringes. November 27, 2010 An interview was conducted with Robert Douglas (Douglas). Douglas is an assistant starter for Churchill Downs. Douglas said he had loaded the #6 horse for the race and did not observe LAT. Douglas explained there were three or four assistants who helped load the horse Acoma, which required the use of a blanket. Page 15 of 37

An interview was conducted with starter Scott Jordan (Jordan). Jordan stated he did not see LAT as his view was blocked by the gate, tractor and pony horses from his position as starter. Jordan stated he was positioned in front of the gate on an elevated stand waiting for the horses to be loaded. Jordan said he was not told of any suspected problems with LAT prior to the start of the race. November 28, 2010 An interview was conducted with Dr. Bailey. Dr. Bailey was asked about the text message she received prior to the running of the BC Ladies' Classic. Dr. Bailey stated a friend had sent her a text saying Velazquez was concerned about the way his horse was warming up. Dr. Bailey said this text came in while the horses were going to the gate. Dr. Bailey said she did not say anything to any commission veterinarian because she assumed the situation had been taken care of with the radio traffic from Dr. Bramlage to Dr. Peckham. A second interview was conducted with pony rider Harless to clarify information received in her first interview on November 19th. During the first interview Harless stated the horse did not gallop away from the pony as it did normally. However, during the November 28 interview Harless stated she was unsure if she had been the pony rider for LAT prior to the BC Ladies Classic. Harless said she did not remember ever being the pony person for the horse prior to this race. LAT had not raced in Kentucky prior to the BC Ladies Classic so it is unlikely Harless had been a pony rider for LAT before. Harless stated she believed Velazquez didn't think he was in danger because he would have asked her to take the horse to see a veterinarian. She added if he had asked her she would have taken him to a KHRC veterinarian for the horse to be inspected. A call was placed to McCarthy requesting an interview. McCarthy advised he would gladly talk, however he had the understanding all communication should go through Pletchers attorney. Adams stated he would have Speckert contact Pletchers attorney to set up a time for an interview. November 30, 2010 Guilfoil phoned Vance to ask follow up questions about his conversation with Dr. Reed. Vance had said earlier that Dr. Reed stopped by the barn to share blood results on LAT. He further stated that Dr. Reed reported that the enzymes were off the chart as well as a high white blood cell count but could not tell Guilfoil what this indicated. A written statement was provided by KHRC veterinarian Michael Hardy (Dr. Hardy) via email.

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December 1, 2010 Adams spoke to Marilyn K. Montavon (Montavon), who runs a business supplying ponies and riders for the race warm ups. Montavon advised some of the pony riders worked for her and some worked for Monte Graves (Ms. Graves). Montavon provided the names of her employees and was able to provide the phone numbers for two. Adams called to request an interview with Gomez regarding what he had seen during the race as he was the rider of the horse Malibu Prayer during this race. This horse is also trained by Pletcher and started from post position #3. Gomez also rode LAT in a race approximately one year prior and had a similar incident with the horse during that race. The telephone number from the licensing database was incorrect for Gomez. Adams was advised by Speckert that an interview was scheduled with Velazquez for December 13, 2010. December 2, 2010 Adams called the telephone numbers for the pony people obtained from Montavon. Adams was unable to make contact as there was no answer on either call. Adams located a second cell number for Gomez and called. Adams received no answer and left a message. Adams obtained a telephone number for Ms. Graves. He called this number but was unable to leave a voice mail. Adams received confirmation of a scheduled interview with Pletcher for December 10, 2010. December 3, 2010 Adams met with Guilfoil and Speckert regarding the LAT investigation. Adams provided all the written statements he had received and discussed the case. Adams asked Guilfoil if he would interview Rogers Beasley (Beasley), Director of Racing for Keeneland, Flanery, Richardson, and Lehr. Adams asked Speckert to request the billing records for LAT from DeBartolo and she stated she would. These were to be checked against what was going to be received from the trainer and practicing veterinarians. During this meeting it was noticed the TRPB had been contacted by the Breeders Cup about LAT not performing as expected. Speckert spoke with Brian Kopp (Kopp), attorney for the DeBartolos. They discussed receiving signed copies of release forms for veterinary information. Speckert also requested a list of LATs regular veterinarians, copies of all records concerning LAT from the DeBartolos and from Vance, including correspondence Page 17 of 37

with Pletcher, invoices, veterinarian bills, training records, etc. Speckert provided copies of 810 KAR 1:008 and 1:018 re: trainer responsibility rule and an excerpt from a legal brief on the trainer responsibility rule. Speckert emailed veterinary releases to Kopp to be executed by DeBartolo for the following: Dr. Allday, Dr. Charlie Hord, Dr. John Garrity (Garrity), Dr. Reed, Dr. French and Dr. Landry. December 5, 2010 Calls were made to the pony people, Jerry Mealing (Mealing) and Ms. Graves, who worked during the BC Ladies Classic. Mealing stated he felt LAT looked "like shit" and should have been scratched. Mealing stated he had worked as an outrider in other jurisdictions and thought the horse looked bad. Ms. Graves added she was more concerned with the horse she was taking care of and noticed little about the rest of the field of horses. An interview was conducted with Deputy Shafter Short (Short) who was present for security during 7:00 p.m. to 7:00 a.m during Breeders Cup week. Short stated he had not seen anything out of the ordinary during his time at Churchill Downs. Short said the only people to enter the barn over night were Pletcher employees and they arrived around 4:00 a.m. Short stated he had worked at the track as security for years and if he had seen a veterinarian overnight he would have known this to be out of the ordinary. Clark was requested by Adams to interview the Pony Crew that worked the BC Ladies Classic, relating to the LAT investigation. All of the interviews Clark conducted were done via telephone. Below is a list of individuals Clark interviewed. 1) Mealing: the pony rider for the #3 horse, Malibu Prayer. 2) Ms. Graves: the pony rider for the #8 horse, Unriveled Belle, and also employs some of the other pony riders. 3) Lynn Steffileno: the pony rider for the #9 horse, Acoma. 4) Candis Fires: Ms. Fires stated she was not working the BC Ladies Classic. 5) Frankie Castillo: the pony rider for the #4 horse, Milwaukee Appeal. 6) Carrie Landry: the pony rider for the #10 horse, Blind Luck. 7) Jose Castanon: the pony rider for the #6 horse, Persistently. Other than Mealing, the other pony riders did not notice anything regarding LAT.

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December 6, 2010 Guilfoil contacted Lehr, via telephone to interview him about LAT and the happenings prior to and after the BC Ladies Classic. Lehr stated, I didnt hear anything until the next morning, when I had a trainer come to me and you know and I really wasnt aware what he was even talking about. Lehr stated that he saw LAT from where he watches the races which is right there where the horses come on to the track on the front side of the track above the paddock tunnel. Lehr stated that he and his staff made sure that LAT was ok after the race and that it left him scratching his head. Lehr wanted to point out that the television in the office had problems. Lehr said that he usually likes to listen to the television throughout the day to listen to the comments but was unable to until about midday the next day. He did add that his televisions were in house televisions meaning he did not have ESPN coverage on. When asked if he ever watched the event coverage on ESPN, Lehr said that the only two channels he has on are the Churchill Downs feed and The Weather Channel. Lehr stated that he was concerned because LAT was way back and they were wondering whether we ought to pick her up or not. He said that there were a lot of veterinarians on the grounds and nobody made the call. Lehr said that the only radio contact they (track crew) had was with the outriders, starter, maintenance, ambulance and the stewards, and added that they do not have a radio channel with the veterinarians. When asked if he had heard any radio traffic about LAT, Lehr stated no, nothing. Guilfoil contacted Richardson, Senior Vice President of Racing for Churchill Downs Inc., via telephone to interview him about LAT and the happenings prior to and after the BC Ladies Classic. Richardson stated he was on the front side of Churchill Downs during the BC Ladies Classic talking with some horsemen about tickets for Saturdays races and did not witness the race. Richardson further stated that the first time he heard about LAT was approximately two hours after Fridays races. Richardson stated that some horsemen told him that she (LAT) was last, and that there was some issues with her in the paddock cause she was kind of listless and Pletcher had mentioned that to the jock and then my information was the jock got on the track.I guess he stopped there by Bailey and those guys and Moss and interviewed.told them somewhat that you know he was a little bit concerned about the horse and truly thats everything I know about it other than what you keep hearing. Guilfoil contacted Flanery, President of Churchill Downs via telephone to interview him about LAT and the happenings prior to and after the BC Ladies Classic. Flanery stated that he received an email from Bob Evans (Evans), President and CEO of Churchill Downs Inc. after the races on November 5, 2010, but at the time did not know what Evans was talking about. Flanery further said that when he Page 19 of 37

arrived at work the next morning, November 6, 2010 at 11:00 a.m., he did some internet research and found some reports of what had happened. Flanery stated that Evans was not present at the races due to a death in the family and saw it reported on ESPN. A contact telephone number was provided for McQuade by Lutz of the Breeders Cup. December 7, 2010 Guilfoil contacted Beasley, Director of Racing for Keeneland, via telephone to interview him about a meeting he had with several jockeys, KHRC race officials and representatives of the Jockeys Guild. That meeting was held at Keeneland on Saturday, October 23, 2010. Beasley stated that Meyocks (Jockeys Guild), Veitch, Dr. Peckham and several jockeys, including Victor Lebron (Lebron), Gomez, and Albarado attended. Beasley further stated that the meeting was requested by the jockeys and held as a result of an incident that happened at Keeneland prior to the running of the 4th race on Thursday, October 21, 2010. Beasley said that jockey Gomez stated he was not satisfied with the way his mount was warming up prior to the race and requested that KHRC veterinarian, Dr. Bentz, take a look at it and scratch the horse. Beasley said that Dr. Bentz stated he did not see anything wrong with the horse and radioed his findings to the stewards. Beasley stated when the horse was not scratched, Gomez elected not to ride and the stewards asked for another jockey to ride. Beasley said that Lebron volunteered to ride the mount. At the meeting on Saturday, Beasley said that Lebron stated that he was uncomfortable riding the horse but felt obligated because it was his only potential opportunity to ride a Breeders Cup horse for Mike Maker and that he would prefer not to be put in that situation in the future. Beasley stated that Meyocks said a similar incident had happened in California when Mike Smith and Alex Solis were forced to ride when the veterinarian would not scratch because he did not see a problem with the horse. Both times the horse broke down creating great concern with the jockeys. Beasley stated that as a result, the jockeys asked if we could follow New Yorks rule which states that if a jockey wants to scratch, then no other rider is allowed to ride. Beasley said that he told the jockeys for the remainder of the fall meet Keeneland would abide by the New York rule, but that he would have to research all jurisdictions to ascertain what was best for all concerned. Beasley further stated that this rule would have an effect on claiming horses and exotic wagering and that he would need to examine what changes if any would need to be made to address both issues. Note: Velazquez did not attend the meeting as he was out-of-state.

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Speckert received an email from Kopp asking for a telephone conference. Speckert returned his call and left a voicemail. December 8, 2010 Speckert received an email from Kopp stating that he would have a list of any additional private veterinarians for LAT by the end of the week. Speckert also requested a telephone conference to be scheduled on December 9. December 9, 2010 Speckert had a telephone conference with Kopp and sent a follow up email requesting any and all of the DeBartolos and Vances records pertaining to LAT. This request for documents included, invoices, trainers reports, veterinary reports, correspondence from the Pletcher barn or any veterinarians or equine therapists. Speckert also requested signed veterinarian releases to be returned. Speckert attached a blank veterinarian release form for any other veterinarians or medical providers. Adams attended a meeting with Guilfoil and Speckert to plan the interview with Pletcher. There was a long discussion pertaining to the line of questioning and how the interview would be conducted. December 10, 2010 An interview was conducted with Pletcher at the KHRC office. During the interview, Pletcher provided the name of the exercise rider who had ridden LAT for the published work from October 30, 2010. Pletcher stated he had noticed LAT was acting much calmer than she had during previous races but was unconcerned as she appeared sound. Adams asked which veterinarians had treated the horse and Pletcher advised Dr. Reed had administered Lasix and Amicar pre-race. Dr. Allday had examined the horse five days before for lameness and injected the joints. This is believed to have taken place on November 1, 2010. Pletcher added the horse received new shoes on the back feet the morning of November 5, 2010. Ray Amato Sr. (Amato Sr.) was the farrier who applied the shoes. When asked if the horse stood well for the farrier, Pletcher advised she stood very well. Pletcher said he gave instructions to jockey Velazquez to warm the horse up good but denied telling the groom handling the horse to "shake her head and wake her up." During the interview, a DVD of the pre-race warm up with the commentary was played for Pletcher. Adams asked if he had seen the telecast and he said he had not. Pletcher noted the horse was reluctant to turn around but said he thought the horse looked "fine" as she galloped after the turn. During the commentary provided by ESPN analysts Bailey and Moss, Adams asked Pletcher what he saw from his horse as compared to their observations. Pletcher stated he saw nothing during the warm up that led him to believe LAT should have been scratched. When asked about the comment the horse was travelling wide in front Pletcher said this was the normal gait for the horse and was not out of the ordinary. Pletcher was asked if he had Page 21 of 37

seen this part of the commentary in the Horsemens Lounge during the warm up and he stated the TV in the lounge was showing the feed from Churchill Downs and did not have the commentary from Bailey and Moss. Pletcher explained he had overheard an ESPN employee say the jockey on the #1 horse was taking the horse to the KHRC veterinarian and came out to see what had happened. Pletcher assumed the horse had been examined and was cleared to race as the horse was loaded in the gate. After the race started Pletcher noticed the horse did not want to run. Pletcher stated it appeared to him Velazquez was trying to get the horse to race but she would not. Pletcher stated once the horse left the paddock the jockey was responsible for taking the horse to the KHRC veterinarian if he suspected a problem. After the conclusion of the race Pletcher was unable to recall the entire conversation he had with Velazquez but stated Velazquez did not tell him he had taken the horse to the veterinarians for inspection. Pletcher said his post race statement was based solely on what he had heard in the Horsemens Lounge. Pletcher was able to provide the name of the reporter who followed Velazquez through the tunnel towards the jockeys room, as Matt Graves (Mr. Graves). Pletcher stated the horse walked from the track fine and only showed signs of "tying up" when the horse was returned to the barn and then only after bathing. December 12, 2010 Adams was advised the interview scheduled with Velazquez had been postponed due to weather. December 13, 2010 The interview with Velazquez was rescheduled for December 21, 2010. December 14, 2010 Adams was advised that a scheduled interview with owner DeBartolo had been postponed until December 22, 2010. An interview was conducted with Dr. Bramlage. Adams asked Dr. Bramlage why he had not given the horse number or jockeys name to Dr. Peckham via radio when asked by Ms. Edwards. Dr. Bramlage explained there were many people where he was standing, both patrons and press and he did not want them to overhear what he was saying. Dr. Bramlage continued saying he never puts that information over the radio due to the crowd. Adams requested a written statement from Dr. Bramlage about the events of November 5, 2010 and he advised he would provide this document. Adams received an email from Dr. Bramlage later in the day containing his written statement. Dr. Scollay requested curricula vitae from all veterinarians on track. Page 22 of 37

December 15, 2010 Adams telephoned the number supplied by Lutz and left a voice mail message for McQuade requesting a return call. Adams telephoned a number obtained from Association of Racing Commissioners International and left a voice mail for Amato Sr. requesting a return call. Adams telephoned the newspaper, Times Union, seeking Mr. Graves. Adams was advised he could leave a message for the sports editor because the receptionist did not have an extension for him. Adams was forwarded to the editors extension and left a voice mail. December 16, 2010 Adams received a telephone call from Mr. Graves. An interview was then conducted about what conversation had taken place between Mr. Graves and Velazquez following the BC Ladies' Classic. Mr. Graves stated he was unaware of what had taken place prior to the race and had asked Velazquez what had happened during the race. Mr. Graves said Velazquez told him the horse would just not run. Adams asked if there was a tape of the conversation and Mr. Graves said he had recorded over the conversation the next day. Mr. Graves stated he would forward an email to Adams containing quotes from Pletcher from an interview he conducted on Saturday morning November 6, 2010. December 17, 2010 An interview was conducted with Rudy Coffman (Coffman). Coffman was the driver of the tractor which pulled the starting gate at Churchill Downs. Coffman was sitting in the tractor while the horses were being escorted to the starting gate for the BC Ladies Classic. Adams asked Coffman if he noticed LAT as she was walking to the starting gate. Coffman stated he did not notice the horse. Coffman said he would not have known if there was anything wrong with any of the horses as he is not a horse person. Coffman stated he watched the start of the race to make sure all the horses were out of the gate before he moved the gate. Adams called Amato Sr. and left a voice mail. Adams interviewed Raul Vizcarrondo (Vizcarrondo). Vizcarrondo was the valet for jockey Velazquez on November 5, 2010. Vizcarrondo was asked if he had noticed anything out of the ordinary with LAT and he did not recall any irregularities. Vizcarrondo stated he did not speak to Velazquez about the BC Ladies Classic and was unaware of Valazquezs interview with Bailey prior to the race. Clark conducted interviews of Albarado and Borel related to the investigation. The interviews were done via telephone. Page 23 of 37

Additionally, Clark interviewed two other jockeys, Lezcano and Garcia. These two were interviewed via telephone. Both of these individuals were at the Aqueduct Race Course in New York. Neither jockey provided any information that would benefit this investigation. Speckert received an email from Kopp indicating that the veterinarian releases were sent to DeBartolo on December 16. He also indicated that he was checking to see if the DeBartolos had a file specific to LAT. Speckert responded to Kopp expressing concern with the delay in receiving the requested information. Speckert received an email back from Kopp stating that he was gathering the information as quickly as possible. Kopp indicated that the records pertaining to the horse were maintained by Pletcher, and the information the DeBartolo business office had pertained to billing. Kopp said that they had no desire to delay the investigation, but, rather, hoped it would move more quickly. Kopp asked for the status of the toxicology and expressed the DeBartolos desire to have their own testing done. Kopp stated that Speckert would have the signed veterinarian releases in her office when she got to work on Monday, December 20, 2010. December 19, 2010 Adams telephoned the jockeys room at Hollywood Park and spoke to Gomez. An interview then took place. Gomez said he did not notice LAT during the warm up and had only glanced at her prior to going to the gate and didn't pay attention. When asked about his race on LAT, and about the lights affecting LAT, Gomez stated that, during a race in 2009, LAT was washed out and shaking and LAT didn't warm up well. Gomez stated the horse went on to finish third in that race. December 20, 2010 Speckert received signed veterinary releases from Kopp via email. In addition to the requested releases provided on December 9, Kopp also provided releases for Perfecting Fluid Motion, Yarbrough and Rabenstein, DVM and James C. Hunt, DVM, Equine Therapy. December 21, 2010 Speckert asked Kopp for the records previously requested on December 9. Kopp said he would work on gathering the records on December 22he was in the middle of negotiations for another client. Speckert emailed Kopp to schedule a telephone conference with DeBartolo. Speckert expressed a desire to receive the requested records prior to the telephone conference with DeBartolo. Page 24 of 37

An in person interview was conducted with Velazquez. KHRC staff present included Adams, Speckert, and Clark. Velazquez was represented by attorney Maggie Moss and Meyocks from the Jockeys' Guild. Velazquez was asked what he had been told while in the paddock before the BC Ladies Classic and he confirmed that Pletcher had told him to warm the horse up well. Velazquez stated the horse felt sound as she walked from the paddock to the track for the post parade. Velazquez said the horse was not lame and his only comment to Bailey was that the horse wasn't warming up like she normally does. Velazquez said he did not hear any of the commentary provided by Bailey and Moss after his conversation with Bailey. Velazquez was asked what he meant by the horse not warming up like normal and he explained the horse normally would try to run off and was hard for him to hold back. Velazquez said he did not exercise the horse in the mornings because of the way she pulled. Velazquez said he did work some horses for Pletcher but not LAT. Adams asked about what appeared to be a stumble by LAT and Velazquez stated LAT bumped the pony which caused her to stumble. Velazquez said LAT didn't want to turn around at one point, near the 3/8 pole, but after she did turn around she moved soundly. Adams asked Velazquez if he should have taken the horse to the KHRC veterinarian for inspection and he stated no. Velazquez explained the horse was sound and other than warming up differently, she seemed fine. Velazquez believed the horse would be better once she was loaded into the starting gate. At the start of the race Velazquez said he tried to get the horse to run but she would not respond. Velazquez pointed out the horse was alert with her ears up but when he tried to get her to go faster she would not. Velazquez stated he had other horses he had ridden that day that warmed up much worse than LAT. One of these horses, R Heat Lightning, finished the race well in second or third place. Adams asked about the horse Quality Road and Velazquez said the horse did not seem to like the track surface and did not race well. Following this interview Clark and Adams briefed Underwood of what transpired. Adams received signed veterinary release forms from Speckert. Dr. Scollay contacted AAEP and requested information on on-call procedures and existing regulatory guidelines. December 22, 2010 Underwood telephoned David Ray (Ray) from the Office of the Inspector General for the Department of Transportation (OIG) to set up meeting on December 27, 2010. The OIG had been contacted to conduct interviews of the stewards. December 27, 2010 A meeting took place at the KHRC offices. This meeting was with investigators from the OIG. These investigators were given information to help with their Page 25 of 37

investigation regarding the role of the stewards in the BC Ladies Classic. Present during this meeting were: Underwood, Guilfoil, Speckert, Clark and Adams from the KHRC and inspectors Ray, Michael Duncan (Duncan) and Chuck Hines (Hines) from the OIG. Adams and Speckert interviewed Patty Krotenko (Krotenko) via telephone. Krotenko stated she was the regular exercise rider for LAT during September through the Breeder's Cup. Krotenko said the horse was normally spirited and eager to run when she rode the horse in the mornings. Adams asked if the published work from October 30 was under the lights at Churchill Downs and Krotenko did not remember. Krotenko was present in the paddock prior to the BC Ladies Classic and the horse was quiet but was alert. Adams asked if she saw the horse warming up and Krotenko said she did not. She stated that whether you are sitting on a horse or watching a horse, it is obvious when a horse ties up. After the race Krotenko walked back to the barn but did not recall talking to anyone about LATs performance. Krotenko said she didn't stay at the barn long. An interview was conducted with McCarthy. McCarthy is an assistant trainer for Pletcher and was present in the paddock before the BC Ladies Classic to saddle the number three horse Malibu Prayer, also a Pletcher trained horse. When asked, McCarthy said other than being really quiet LAT seemed fine from what he saw. McCarthy went to the horse after the race, while Velazquez was unsaddling her, to see what was wrong or what happened. McCarthy stated Velazquez said, "I knew it. I knew it, you know. I shouldve scratched her. McCarthy said the horse walked back to the barn fine and did not appear lame. After the horse was at the barn and given a bath the horse began to show signs of "tying up." McCarthy said the horse was given a tranquilizer by Dr. Reed and put in her stall. McCarthy did not know the exact medication Dr. Reed administered. Speckert emailed Kopp to ask if a time had been arranged for the telephone conference with DeBartolo, and if the records previously requested on December 9 were pulled. Speckert again expressed a desire to receive the requested records prior to the telephone conference. Speckert also asked for better contact information for Perfecting Fluid Motion because the address on the release provided by Kopp was incorrect. Kopp indicated a telephone conference would take place on December 28 at 1:00 and that they were short staffed for the holidays and not able to pull the file yet. December 28, 2010 Clark and Adams travelled to the addresses listed on the veterinary release forms in an attempt to collect the veterinary treatment records.

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Adams received a call from Dr. Garrity. Dr. Garrity stated he worked with Dr. Allday during the time of the Breeders Cup but did not treat LAT. Dr. Garrity explained that Pletcher was Dr. Alldays client and he did not work on Pletchers horses. Dr. Horde was also in practice with Dr. Allday and Dr. Garrity but did not do any work for Pletcher. Dr. Garrity said he would check his records just to make sure but was confident he did not treat the horse. On December 28, 2010, Guilfoil and Speckert conducted a telephone interview with DeBartolo, owner of LAT. DeBartolos attorney, Kopp, was also present for the interview. DeBartolo stated that LAT is the first race horse she has owned. She indicated that Vance arranged purchase of the horse about three years ago and managed the horse for her. Due to personal and business obligations, she had no involvement with the management of the horse and had never seen the horse work or race prior to the BC Ladies Classic. She was not sure who hired Pletcher as trainer, but thinks Vance mentioned his name. She said that Vance interacted with the Pletcher Stable and would then update the DeBartolos on when the horse was racing and the horses progress. She never received a written report from either Vance or Pletcher regarding the horse. She never saw any invoices for any training, veterinary or other bills for the horse. Those bills would go through Vance to be paid by the DeBartolos. DeBartolo indicated she was very excited that LAT was running in the BC Ladies Classic. She and about nine or ten friends travelled to Louisville on Thursday, November 4, to see the horse run. On Thursday, she and her friends went to the Pletcher barn at Churchill Downs, where DeBartolo saw LAT for the first time. Vance was with her at the time. She greeted Pletcher and his father, but did not speak with Pletcher about the horse. She said no one told her how they expected the horse to perform, but she assumed the horse would do well based on her past performances. Before the race, DeBartolo watched the horse being saddled in the paddock. She did not speak to anyone with the Pletcher Stable, and no one said anything to her about the condition of the horse. DeBartolo watched the race near the winners circle. She could not see or hear the ESPN broadcast from her location, and had not seen the ESPN footage as of the date of the interview. She said she was not concerned until the horse started running. She said she was aghast at what she saw as the horse trailed the field. DeBartolo indicated that she and her friends left after the race without speaking to anyone with the Pletcher Stable or without going to the barn to check on the horse. Page 27 of 37

She also stated that Vance has never given her any information regarding the horses performance in the race or the horses condition. DeBartolo said she has never been informed about the veterinary findings of the horse after the race. She said her primary concern was for the welfare of the horse. From reading blogs, DeBartolo wondered if LAT should have been scratched. Guilfoil and Speckert discussed the procedure for how a horse would be scratched under the circumstances with DeBartolo and Kopp. Kopp and DeBartolo both expressed concerns that the horse had not been tested after the race. Kopp indicated that the DeBartolos might want to perform testing of the pre-race blood samples themselves. Guilfoil and Speckert discussed the testing procedures provided in the regulations. During the interview, Speckert again requested the records previously requested on December 9 and asked to schedule a follow up interview with Vance. Pat Adams telephoned Dr. Reed and left a voice mail requesting a return call. January 3, 2011 Speckert emailed Kopp to inquire about the records previously requested on December 9 and asked if Vance could be interviewed during the week. Dr. Scollay repeated request for outstanding curricula vitae from Breeders Cup veterinarian panel. January 5, 2011 Speckert received an email from Kopp indicating that he had the previously requested records in the DeBartolos possession and that had spoken to Vance. Kopp also indicated he wanted to speak on January 6. Adams telephoned the office of Dr. Allday and requested his treatment records for LAT. The receptionist said she would have Dr. Allday call when he returned to the office as he had just left. Adams telephoned Dr. Reed and again left a voice mail requesting a call. Adams received a return call from Dr. Allday who stated he didnt need the releases and he would fax his records to the office. Adams asked if he was available for an interview and he said he could the following day but was too busy at the time. Adams advised he would call him in the morning and meet him at his convenience. Adams telephoned Ray Amato Jr. in an attempt to locate Amato Sr. Adams left a voice mail requesting a return call.

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January 6, 2011 Adams received a call from Amato Sr. who stated that Adams must have been looking for him because his son had not been to Kentucky to do any farrier work. Adams asked if he had put shoes on the back hooves of LAT and he stated that he had. Amato Sr. said he had advised Pletcher he should shoe LAT on the day of the race and that was what Pletcher did. Amato Sr. did not notice any problem during his time with the horse. Adams asked if the horse stood well for his work and he said she did. Amato Sr. stated if the horse didnt stand well and needed a tranquilizer the horse would have to be shod earlier in the week as a veterinarian would have to be called to administer the drug. Amato Sr. added this was not the case with this horse. Prior to this conversation, it was noticed Amato Sr. was not licensed in Kentucky while he was performing this work. Adams met with Dr. Allday in Lexington for an interview. Dr. Allday stated he had travelled to other jurisdictions to check the horse for lameness for quite some time. Dr. Allday said he had given LAT joint injections on the front legs on November 1, 2010 in preparation for the upcoming race. Dr. Allday said he was watching the ESPN telecast and believed LAT should have been scratched because he saw the horse was having trouble while warming up. Dr. Allday added he was familiar with LAT and thought the horse was tying up during the warm up. Dr. Allday was of the opinion the veterinary staff should have noticed this and scratched the horse. January 7, 2011 A follow up interview was conducted with Velazquez. This interview contained additional questions pertaining to LAT. Adams asked Velazquez if, in his opinion, he thought the horse was tying up. Velazquez stated he did not think the horse was tying up he felt the horse was just tight. Concerning a statement Velazquez reportedly made to assistant trainer McCarthy, Velazquez said he indeed made the statement maybe I should have scratched her. Velazquez added this statement was based on the horses performance during the race and had nothing to do with the way the horse warmed up prior to the race. Velazquez explained he rides many horses and some are very tight during the warm up. Some horses race well and even win after they warm up poorly. Underwood asked Adams if ESPN had interviewed Dr. Bramlage following the race for insight regarding what had happened to the horse. Adams was unaware if an interview had taken place after the race. Follow up interviews will be conducted with Zimmerman, McQuade, and Dr. Bramlage. Adams telephoned the office of Dr. Reed, Dr. French, and Dr. Landry with a request for LATs treatment records. Adams faxed the release to their office and received Page 29 of 37

the records. It was noticed that Dr. Landry administered the pre-race medications, Lasix and Amicar, to LAT on November 5, 2010. Dr. Reed treated the horse following the race after the horse returned to the barn. Also contained were the results from blood work performed by Dr. Reed. January 10, 2011 Adams received an e-mail from Speckert advising McQuade had telephoned the office. McQuade was given Adams telephone number and called leaving Adams a message. This is the first call received after a message was left for McQuade on December 15, 2010 containing Adams contact information. Speckert had a telephone conversation with Kopp. He indicated he would scan and email requested records in the DeBartolos possession and try to set up a telephone conference with Vance on Tuesday, January 18, 2011. Scollay reviewed LAT medical records. January 11, 2011 Kopp attempted to email the requested records, however the records would not come through on email, so Kopp sent them via fax. January 14, 2011 A telephone interview was conducted with Rivera, the groom for LAT. Rivera is employed by Pletcher and speaks only Spanish. Interpreters were utilized for both parties. During the interview Rivera explained he had been the groom for the horse for approximately four months and travelled with the horse. Rivera was in the barn from 3:45 a.m. on November 5, 2010 and noticed the horse was very quiet during the day. Rivera said he was concerned but believed the cold weather was the problem. Rivera applied ice to the horses legs and put two blankets on the horse as usual. The horse was quiet during the walk to the paddock and while in the paddock. Rivera spoke to jockey Velazquez and said the horse was ready to win, he then wished Velazquez good luck. Rivera then walked the horse to the track for the post parade and warm up. Following the race Rivera said the horse was walking fine around the track and back to the barn. After washing the horse at the barn, Rivera said the horse began showing signs of tying up. Rivera stated the veterinarian was called and the horse was treated. The next interview was Horatio De Paz (De Paz). De Paz is the barn foreman for Pletcher. De Paz stated he was at the barn at approximately 4:00 a.m. and worked with the other grooms cleaning stalls, feeding, and watering the horses in the barn. De Paz also took the temperature of the horse on the morning of the race and reported it was normal. De Paz noticed the horse was quiet but assumed it was the Page 30 of 37

cold weather. De Paz accompanied the horse to the paddock and said the horse was calm but believed she would be fine for the race. Following the race De Paz walked with the horse back to the barn and was present when the horse was treated. De Paz did not know what drugs were given and counsel for Pletcher asked De Paz not asked to speculate. De Paz stated he took the horses temperature that evening following the race and recalled it was approximately 102 degrees. The next morning November 6, 2010 De Paz again took the horses temperature and believed it to be approximately 103 degrees. Dr. Scollay requested Adams obtain an instrument printout from Dr. Reed regarding the instrument used to draw blood from LAT following the BC Ladies Classic. January 15, 2011 Adams interviewed Dr. Landry via telephone about LAT. Dr. Landry stated he administered the pre-race medications (IV) because Dr. Reed was busy with another client. Dr. Landry said Pletcher was Dr. Reeds client and he was just helping him. Dr. Landry said he did not notice anything out of the ordinary while he was treating the horse. Dr. Reed treated the horse after the race and Dr. Landry had no knowledge of what treatment was performed. The blood work was done by Dr. Reed on November 6, 2010. Dr. Landry did not recall treating the horse after the prerace treatment. January 17, 2011 Dr. Scollay submitted a draft of a memorandum on LAT pre-race medical records. January 18, 2011 A telephone interview was conducted with Dr. Russell. Dr. Russell works with Dr. Northrop and was watching the ESPN telecast from his office. Dr. Russell said the horse appeared to be tying up while warming up for the BC Ladies Classic and he telephoned Dr. Northrop, who was still at the track. When asked to explain what he saw Dr. Russell said the horse looked stiff and it looked as if the pony was pulling the horse along rather than guiding it during the warm up. January 19, 2011 A follow up interview was conducted with Zimmerman from ESPN. Adams asked if ESPN interviewed Dr. Bramlage following the BC Ladies Classic for insight as to what might have happened. Zimmerman said he was not interviewed because he had gone toward the location near where the horse was to check on her condition. Zimmerman said Dr. Bramlage was a liaison between the press and the veterinarians on the track so he can explain what is happening for the press. Zimmerman stated she was unsure where Dr. Bramlage had gone but he was not in a location where the reporters could ask his opinion of the incident. Page 31 of 37

McQuade, from ESPN, was interviewed about when the Zimmerman call was made to the stewards from the production truck. McQuade did not know the exact time of the Zimmerman call but said it was shortly after the comments made by Velazquez during the first time he spoke to Bailey. McQuade was then asked if Dr. Bramlage was interviewed after the race and McQuade said Dr. Bramlage was, but the footage was not aired during the telecast. January 20, 2011 An interview was conducted with Carol Seaver (Seaver), from Perfecting Fluid Motion LLC, about her involvement with LAT. Seaver said she was a physical therapist and worked massaging the horse prior to race day. During her time with the horse she did not see anything out of the ordinary. Seaver stated she uses no needles or medication and only massages the animals. Dr. French was interviewed via telephone about any treatment he may have given LAT. Dr. French said he did not believe he had treated the horse anytime during the meet at Churchill Downs. Adams asked about the instrument used by Dr. Reed for the blood tests and Dr. Reed was unsure as to where the instrument was now located. Dr. French suggested it may be at the office in Hot Springs, Arkansas or possibly at the Fair Grounds in Louisiana. Dr. French seemed unfamiliar with the instrument and the results from the blood tests for LAT. On January 20, 2011, Guilfoil and Speckert conducted a follow-up telephone interview with Vance. Kopp, was also present for the interview. Speckert requested the records previously requested on December 9 in Vances possession. Vance indicated that he is the racing manager for the DeBartolos. They own one horse, LAT, and Vance does not manage horses for anyone else. In addition to managing LAT, he also does consulting work for racetracks, primarily in Latin America. Vance stated that he advised the DeBartolos to use Pletcher as a trainer. The DeBartolos expressed interest to Vance in buying a race horse, and Vance contacted Pletcher to identify a horse to purchase. Pletcher contacted Vance about LAT, and the DeBartolos purchased her in a private sale. The DeBartolos bought LAT after her first race. They have owned her ever since. Vance described his duties with regards to LAT as coordinating the necessary licensing, discussing with Pletcher the plans for LAT, and talking to bloodstock agents about the possibility of purchasing other horses. He indicated that he has seen LAT run live approximately four times. He typically watches her races on television.

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Vance indicated he speaks directly with Pletcher approximately once a week by telephone. These conversations relate to upcoming races. He said that Pletcher rarely calls him. Vance also said that he receives a one-line weekly email on LATs status from one of Pletchers employees. He further indicated he is not involved with any veterinary, farrier or other care given to LAT. He is not aware of her feed or supplement regimen. Vance does not review bills or invoices. Vance disagreed with Pletcher that LAT is a somewhat on her toes type mare. He said that she always seemed calm to him, the few times he saw her race live, and did not seem excitable. He also admitted that he does not have the experience to really characterize the personality of a horse or know when a horse is off or lame. He saw LAT in the paddock before the BC Ladies Classic, and she seemed calm, but, in his opinion, like she normally appeared to him. When he visited the Pletcher barn the day before the race, he spoke briefly with Pletcher. According to Vance, Pletcher indicated LAT had never been better. No one in the Pletcher Stable told Vance that she seemed more quiet than usual or may be reacting to the cold weather. After the race, Pletcher told Vance that he wasnt really sure what happened. Pletcher theorized that LAT might have had a reaction to Lasix. Vance did not go back to Pletchers barn the night of the BC Ladies Classic. Vance went to Pletchers barn on the morning of November 6th. Dr. Reed came to attend to LAT while Vance was present. According to Vance, Dr. Reed indicated that LAT had a temperature of 103 degrees and the blood work showed a high white blood cell count. He said for the few days following the race, LATs blood count and enzymes were monitored, and he spoke with Pletcher to receive updates. He has never been given a diagnosis or been told that LAT tied up. Vance has never spoken directly with Candy DeBartolo concerning the condition of LAT. Vance and Pletcher never spoke about whether LAT should have been scratched. Vance was not aware of the role of the KHRC veterinarians. He did not seem to be aware of the trainer responsibility rule. When asked, based on his knowledge and experience, who is ultimately responsible for the welfare of the horse, he stated, I thinkyou know, if yourethats such a wide range, Susan. I know racing. I mean, IveIve been around it most of my life and and I know how the system works. I know the trainers responsible, you know, isis held responsible for the horse. I mean, if he does well or does poorly, but, you know there are jockeys and stewards and veterinarians and so many other people involved. Kopp indicated that the DeBartolos still do not have a clear understanding of what happened to LAT.

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January 21, 2011 Adams spoke to Dr. Scollay about the instrument used for testing the blood of LAT in the days following the race. Dr. Scollay said she would call Dr. Landry to get some information needed to assess the reports received from the office of Dr. Reed. Dr. Scollay stated the instrument was currently located in Hot Springs, Arkansas and she knew the veterinarian who was currently using the instrument. Dr. Scollay was going to call to get the information. January 27, 2011 Kopp attempted to email documents in Vances possession, but they would not go through on email. January 28, 2011 Speckert received records in Vances possession which had originally been requested on December 9. February 2, 2011 Clark, KHRC Director of Licensing had a telephone conversation with Dr. Bramlage. The purpose of the conversation was to discuss if or when ESPN conducted an interview with Dr. Bramlage following the BC Ladies Classic. In previous interviews with ESPN personnel this topic had been discussed with conflicting answers. Dr. Bramlage stated that he was not interviewed by ESPN after the BC Ladies Classic and that after the race he went down to the track to see LAT. Dr. Bramlage again stated that he did not talk to ESPN reporter Zimmerman or do any interview with ESPN following the BC Ladies Classic. Adams conducted an interview with Dr. Reed via phone. KHRC staff had been attempting to contact Dr. Reed since late November but he was out of the country and unavailable. Dr. Reed was asked what treatment he had performed on LAT during the week leading up to the November 5, 2010 running of the race. Dr. Reed stated the horse was in great shape and only received a Phenylbutazone (Bute) shot on November 4, 2010. Dr. Reed added the horse received Lasix and Amicar as prerace medications on race day. Dr. Reed said he was watching LAT warm up for the race and believed the horse was short in its stride as he watched on television. Dr. Reed proceeded to the barn and waited for the horse to return after the race. Dr. Reed treated the horse at the barn with fluids, and medications for tying up. Dr. Reed did not recall the horse having an elevated temperature following the race. From the blood work done on November 6, 2010, Dr. Reed noted an elevated white blood cell count and believed the horse had an undetected virus or infection. Dr. Reed added he thought the horse had this undetected condition prior to receiving Page 34 of 37

lasix and the condition caused the horse to lose electrolytes which caused the horse to tie up. February 3, 2011 Clark had a telephone conversation with Dr. Bramlage to discuss the actions of Dr. Bramlage following the BC Ladies Classic. Dr. Bramlage stated that after the race, he walked from the winners circle, with an English reporter named Nick, to the location where LAT was on the track. Dr. Bramlage could see Velazquez talking to Dr. Peckham, but could not hear their conversation. Dr. Bramlage was focusing on LAT and her condition and he could see nothing to be wrong. Dr. Bramlage spoke to Dr. Peckham and informed him that he could see no signs of lameness. Dr. Bramlage did not talk to anyone on camera nor did he talk to anyone in the ESPN production truck after the race. He did state that he could hear Ms. Edwards inquiring as to why he was not at his post in the winners circle. Dr. Bramlage stated that he believes ESPN did want to interview him following the race, but he did not have any factual information to share at that time. Dr. Bramlage believes ESPN production moved forward and did not have time to interview him once he had factual knowledge about the condition of LAT. Clark telephoned Ms. Edwards and asked if ESPN had planned to interview Dr. Bramlage following the BC Ladies Classic. Ms. Edwards stated there were no plans to interview Dr. Bramlage, however she wanted to, but he was not at his normal location. There were no plans to interview him on Saturday either, thus there was no follow up interview with Dr. Bramlage. KHRC received the report from Office of Inspector General. February 9, 2011 Dr. Scollay contacted Dora Delgado (Ms. Delgado) and requested responsibilities of Breeders Cup veterinarian panel. February 11, 2011 Dr. Scollay forwarded email received from Ms. Delgado to Adams containing the Breeders Cup veterinarian protocol outline. February 15, 2011 Adams spoke to Dr. Stead and requested a written statement. Dr. Stead stated he had misunderstood a previous message from Adams and said he would forward a written statement as soon as possible.

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February 18, 2011 Adams received an email from Dr. Stead containing his written statement. Adams conducted an interview with Dr. Bentz regarding the pre-race exam card for LAT. Dr. Bentz said he had watched LAT jog in the barn and the card was a note for what he had seen. Dr. Bentz said the notes from the morning pre-race exams were discussed during a meeting of the veterinarians after the pre-race exams and before the races started. Dr. Bentz said notes were made about horses to watch during post parades during this meeting. Dr. Bentz stated he could not recall if LAT was discussed specifically during the meeting. February 21, 2011 Adams interviewed Dr. Farmer about any notes he had on LAT from the pre-race meeting. Dr. Farmer stated he did not have any notes regarding LAT from the meeting. Dr. Farmer added he did not see LAT jog or gallop on the track during the week and did not see any notes from any veterinarians from watching LAT on the track. Dr. Farmer reported that Dr. Bentz observation was discussed by the group after the initial round of pre-race exams was performed. The group determined it was not necessary to re-examine LAT. Adams interviewed Dr. Bentz again about the pre-race exam card for LAT. Dr. Bentz was unable to remember which Breeders Cup panel vet was with him during the exam. Dr. Bentz stated he used the card to take notes of what he observed and believed LAT may have been affected by the uneven ground in the barn. Dr. Bentz was sure LAT was discussed during a meeting of the veterinarians but did not recall what was said. Dr. Bentz said he did not have a program during the meeting. Adams spoke to Ms. Delgado via telephone and asked if she had been contacted by any Breeders Cup panel veterinarians with any concerns about LAT before the race. Ms. Delgado stated she had not. Ms. Delgado said she saw LAT break from the starting gate slowly and called to ask what the condition of LAT was. Ms. Delgado said she heard over the radio the horse did not appear lame and was being eased around the course. March 3, 2011 Adams spoke to Ray Amato Sr. to obtain the time he applied the rear shoes to LAT. Amato stated he did not recall the exact time, but believed he had done so between 8:30 a.m. and 9:30 a.m. on November 5, 2010. Adams spoke to Dr. Bentz to obtain the time he performed the pre-race inspection of LAT. Dr. Bentz stated he did not recall the exact time, but believed he started the pre-race inspections for the day at approximately 8:00 a.m. Dr. Bentz added he started at the barn farthest away from the test barn and worked his way towards

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the test barn. Dr. Bentz speculated he performed the exam on LAT close to 10:00 a.m. Adams asked Dr. Picciano if she remembered the time of the pre-race inspection of LAT and she did not recall. Dr. Picciano said she believed the inspection took place between 9:30 a.m. and 10:00 a.m.

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APPENDIX B-4 Kentucky Horse Racing Commission Interview List Name 1) Greg Blasi 2) Amy Zimmerman 3) Dr. Bryce Peckham 4) Dr. Brent Cassady 5) Dr. Robin White 6) Dr. Debbie Lamparter 7) Dr. Liz Santschi 8) Dr. Dana Stead 9) Dr. Foster Northrop 10) Pete Lang 11) Dr. Jill Bailey 12) Dr. Kathy Picciano 13) Mike Edwards 14) Jerry Bailey 15) Dr. Larry Bramlage 16) Dr. Brad Bentz 17) Greg Berry Date 11/7/10, 11/13/10 11/12/10, 1/19/11 and OIG 11/10/10, 11/13/10 11/10/10 11/12/10 11/13/10 11/13/10 11/13/10 11/13/10, 11/19/10 11/17/10 11/18/10 11/18/10, 3/3/11 11/18/10 11/19/10 11/19/10, 12/15/10, 2/2,3/11 11/19/10, 3/3/11 11/19/10 Employer Churchill Downs ESPN KHRC KHRC Breeders Cup Breeders Cup Breeders Cup Breeders Cup AAEP/KHRC/ Vet TRPB Breeders Cup Breeders Cup Churchill Downs ESPN AAEP KHRC KHRC

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Name 18) Barbara Borden 19) Betty Harless 20) Jeannine Edwards 21) Bill Mott 22) Jerry Hollendorfer 23) Tony Dutrow 24) Rick Dutrow 25) Rusty Arnold 26) David Carroll 27) Shug McGaughey 28) Scott Fairlie 29) Dallas Stewart 30) Joel Rosario 31) Jeremy Rose 32) Rafael Bejarano 33) Julian Leparoux 34) Kent Desormeaux 35) Randy Moss 36) Dr. Will Farmer 37) Dr. Michael Hardy 11/19/10 11/19/10

Date

Employer Churchill Downs Pony Rider ESPN Trainer Trainer Trainer Trainer Trainer Trainer Trainer Trainer Trainer Jockey Jockey Jockey Jockey Jockey ESPN KHRC KHRC

11/21/10, 2/3/11 11/19/10 11/19/10 11/19/10 11/19/10 11/19/10 11/19/10 11/19/10 11/19/10 11/19/10 11/19/10 11/19/10 11/19/10 11/19/10 11/19/10 11/22/10 11/22/10 11/22/10

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Name 38) David Vance 39) Frank Delgado 40) Juan Dominguez 41) Cameon Childers 42) Pena Lowman 43) Taralyn McCarroll 44) Travis Tull 45) Mara Wendell 46) Bud Bishe 47) Ken Marksberry 48) Robert Douglas 49) Scott Jordan 50) Shafter Short 51) Jerry Mealing 52) Monte Graves 53) Lynn Steffileno 54) Candis Fires 55) Frankie Castillo 56) Carrie Landry 57) Jose Castanon

Date 11/22,30/10, 1/20/11 11/23/10 11/23/10 11/23/10 11/23/10 11/23/10 11/23/10 11/23/10 11/26/10 11/26/10 11/27/10 11/27/10 12/5/10 12/5/10 12/5/10 12/5/10 12/5/10 12/5/10 12/5/10 12/5/10

Employer C. DeBartolo TRPB TRPB Rood & Riddle Rood & Riddle Rood & Riddle Rood & Riddle Rood & Riddle JCSO JCSO Churchill Downs Churchill Downs JCSO Pony Rider Pony Rider Pony Rider Pony Rider Pony Rider Pony Rider Pony Rider

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Name 58) Butch Lehr 59) Donnie Richardson 60) Kevin Flanery 61) Rogers Beasley 62) Todd Pletcher 63) Matt Graves 64) Rudy Coffman 65) Raul Vizcarrondo 66) Robby Albarado 67) Calvin Borel 68) Jose Lezcano 69) Alan Garcia 70) Garrett Gomez 71) John Velazquez 72) Patty Krotenko 73) Mike McCarthy 74) Dr. John Garrity 75) Candy DeBartolo 76) Ray Amato Sr. 77) Dr. Steve Allday 12/6/10 12/6/10 12/6/10 12/6/10 12/10/10 12/16/10 12/16/10 12/16/10 12/16/10 12/16/10 12/16/10 12/16/10 12/19/10

Date

Employer Churchill Downs Churchill Downs Churchill Downs Keeneland Trainer Reporter Churchill Downs Valet Jockey Jockey Jockey Jockey Jockey Jockey T. Pletcher T. Pletcher Veterinarian Owner Blacksmith Veterinarian

12/21/10, 1/7/11 12/27/10 12/27/10 12/28/10 12/28/10 1/6/11, 3/3/11 1/6/11

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Name 78) Miguel Rivera 79) Horatio De Paz 80) Dr. Robert Landry 81) Dr. Ross Russell 82) Mike McQuade 83) Carol Seaver 84) Dr. Eric French 85) Dr. Ken Reed 86) John Veitch 87) Brooks Becraft 88) Rick Leigh 89) Lisa Underwood 90) David Ceisler 1/14/11 1/14/11 1/15/11 1/18/11

Date

Employer T. Pletcher T. Pletcher Veterinarian Veterinarian ESPN Perf. Fluid Motion Veterinarian Veterinarian Steward Steward Steward KHRC ESPN

1/19/11 and OIG 1/20/11 1/20/11 2/2/11 OIG Report OIG Report OIG Report OIG Report OIG Report

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