Auckland RC 7 March 2021 – R 9 (adjourned heard 13 March 2021 at Ellerslie) – Chair, Mr G Jones
ID: JCA15178
Code:
Thoroughbred
Meet Title:
Auckland RC - 7 March 2021
Meet Chair:
GJones
Meet Committee Member 1:
ASmith
Race Date:
2021/03/07
Race Number:
R 9
Decision:
As Mr Innes admitted the breach the Committee found the charge proved.
Penalty:
Mr Innes’ Licence is suspended for 4 days commencing after racing 13 March 2021 and concluding after racing on 21 March 2021. In addition, we impose a fine of $1,500.
The meeting at Gore on 14 March 2021 was not included as rider declarations were closed.
Facts:
This charge arises from the running of Race 9, the $1,000,000 (Group 1) Vodafone Derby. An Information (No A14028) was filed pursuant to Rule 638(3)(b)(ii) by the Informant, Mr Oatham, alleging that Mr Innes used his whip excessively when riding MILFORD prior to the 100 metres.
The investigation into this breach was opened and adjourned due to Mr Innes having left the course prior to being interviewed. As a result, the charge was heard prior to the commencement of racing at Ellerslie on Saturday 13 March 2021.
Mr Innes said that he understood the Rule and confirmed that he admitted the breach. He also wished to advise the Committee that he left the course the previous after being cleared and given permission to do so.
Rule 638(3)(b)(ii) provides:
A Rider shall not strike a horse with a whip in a manner or to an extent which is:
(i) unnecessary, or
(ii) excessive, or
(iii) improper
Without affecting the generality of Rule 638(3)(b), a rider may be penalised if their whip use is outside of the following guidelines:
Flat Races
Prior to the 100-metre mark in a race, official trial or jump out:
(i) The whip should not be used on more than 5 occasions.
(ii) The whip should not be used in consecutive strides.
(iii) The rider may at their discretion use the whip with a slapping motion down the shoulder, with the whip hand remaining on the reins.
In the final 100 metres, the whip may be used at the Rider’s discretion.
Using available race films Mr Oatham demonstrated the breach. He identified Mr Innes’ mount; MILFORD who was racing wide on the track on the outer of FRONTMAN (D Johnson). Both horses were fighting out the finish with the eventual winner, ROCKET SPADE (C Grylls) who was racing on their inner.
He said that between the straight entrance to the 100-metre mark Mr Innes struck his mount 8 times, with the fourth and fifth strikes being consecutive.
Mr Oatham added that MILFORD finished in second place.
In response Mr Innes said that he agreed that the number of strikes was 8.
Submissions for Penalty:
Mr Oatham said Mr Innes has a clear record having not breached the Whip Rule within the reset period. He said that the new Whip penalties came into force on 9 December 2020, and they provide for a fine commensurate with the Stakes and Status of the race. In this regard Mr Oatham that Mr Innes’ mount finished second and the breach occurred in a Group 1 Race with a stake of $1,000,000. He said his earnings were about $8,700.
Mr Innes submitted that if a suspension was proposed he is not seeking a deferment. He said that it was not his fault the charge was not heard last week, as he had left the course after being given permission to do so. He said therefore in anticipation of a suspension he has not taken any mounts this week, including in the NZ Oaks at next week’s Trentham Premier meeting. He submitted that consistent with the recent breach by rider Mrs Allpress in Wellington Cup he should receive a suspension rather than a fine. He submitted that Mrs Allpress received a suspension, but no fine.
Mr Innes added that he did not gain an unfair advantage by use of his whip and his mount was “green and layed in and out” in the run up the home straight.
Reasons for Penalty:
This is Mr Innes’ first breach of the Whip Rule within the reset period. Whereas the NZTR revised Penalty Guidelines (as of 9 December 2020) recommends a starting point $300 fine for a first breach, the JCA Penalty Guide recommends, that where a breach occurs in a Group or feature race, and the number of strikes is less than 9, but still more than the permitted 5, a fine appropriate to the Status of the race is to be the starting point.
We adopted the methodology recommended in the JCA Guide in terms of our decision-making approach. This conforms with r 902(2) of the NZTR Rules of Racing which empowers a Committee in imposing a penalty to have due regard to such matters as it considers appropriate including: (a) the Status of the Race; (b) the Stake payable in respect of the Race.
In that regard it is of note that this breach occurred in a Group 1 race with Stake money of $1,000,000 and for finishing in second place Mr Innes’ mounts share of the stake is $174,000 and his percentage equates to about $8,700 (@ 5%). On that basis in our determination penalty, we must therefore consider what constitutes a fair, reasonable, and proportionate percentage of Mr Innes’ earnings for finishing in second place.
In so far as charges that have animal welfare impacts are concerned, such as whip breaches, we have limited discretion to deviate too far from the recommended starting points. To deviate compelling or exceptional mitigating circumstances would need to exist. In this case there are no such circumstances or factors. Mr Innes sought a suspension as opposed to a fine and relied on the case RIU v Allpress (2021 Wellington Cup) for doing so. We did consider this case and concluded that there were no similarities between this matter and the Allpress case. Specifically, Mrs Allpress’s breach occurred in a Group 3 race, the number of strikes was 9 and the starting point was a 6-day suspension. Further in finishing in 5th place Mrs Allpress’s percentage of stake money was about $280 compared to Mr Inness’ percentage ($8,700).
Penalties for breaches in Group 1 races are fact dependant. Since 2016 there have been 13 whip breaches in Group 1 races and only 2 where the number of strikes has been less than 9, as is the situation in this case. They are:
D Johnson 8 strikes – finished in 3rd place, fined $800 (G1) $200k – 19/09/20
J Parkes 7 strikes – finished in 1st place, fined $1,200 (G1) $200k – 22/1017
The fines in the above reference cases vary widely in relation the percentage of each rider’s percentage of Stake money versus imposed (between 20% and about 60%), therefore they are not particularly helpful. Further the key difference between these cases and this one is the relative difference in Mr Innes’ earning from stake money.
The aggravating and mitigating factors that we considered included:
1.-That the breach occurred in the $1 million dollar Vodafone Derby which is New Zealand’s richest Thoroughbred race.
2.-That in finishing in second place Mr Innes’ earning were about $8,700.
3.-That Mr Innes has a particularly good record in relation to the whip Rule; his last breach having occurred on 5 November 2019, at Ellerslie in a Black Type race (9 strikes, 3 of which were consecutive) incurred a $1,500 fine.
4.-That it is therefore noteworthy that Mr Innes has not beached the Rule for 16 months given that he is a reasonably busy Senior Rider.
5.-That Mr Innes admitted the breach at the first available opportunity albeit an admission in relation to a whip breach does not necessarily result in a reduction in penalty.
We also considered Mr Innes’ submission that due to this matter being heard this week he elected not to take any mounts at the pending Wellington Premier meeting, because it was his intention to argue for a suspension as opposed to a fine. Whilst it is entirely up to Mr Innes when and where he takes mounts, we accept this is a factor for us to consider.
The penalty we impose must be consistent, proportionate and operate as a deterrent. Therefore, after weighing up the above factors we determined a fine of $1,500, (which represents slightly more than 17% of his earnings) and a suspension to be fair and reasonable penalty.
JCA Decision Fields (raw)
Dmitry: This section contains all JCA fields migrated from the raw data.
Data from these fields should be mapped appropriately to display amongst the standard fields above; please make note of any values below that are missing in the above standard fields but should be there.
hearingid: 72ad3e0d6c7870c81bfd38e3c8579e7d
informantnumber: A14028
horsename:
hearing_racingtype:
startdate: no date provided
newcharge: Excessive Use of Whip
plea: admitted
penaltyrequired: 1
decisiondate: 14/03/2021
hearing_title: Auckland RC 7 March 2021 - R 9 (adjourned heard 13 March 2021 at Ellerslie) - Chair, Mr G Jones
charge:
facts:
This charge arises from the running of Race 9, the $1,000,000 (Group 1) Vodafone Derby. An Information (No A14028) was filed pursuant to Rule 638(3)(b)(ii) by the Informant, Mr Oatham, alleging that Mr Innes used his whip excessively when riding MILFORD prior to the 100 metres.
The investigation into this breach was opened and adjourned due to Mr Innes having left the course prior to being interviewed. As a result, the charge was heard prior to the commencement of racing at Ellerslie on Saturday 13 March 2021.
Mr Innes said that he understood the Rule and confirmed that he admitted the breach. He also wished to advise the Committee that he left the course the previous after being cleared and given permission to do so.
Rule 638(3)(b)(ii) provides:
A Rider shall not strike a horse with a whip in a manner or to an extent which is:
(i) unnecessary, or
(ii) excessive, or
(iii) improper
Without affecting the generality of Rule 638(3)(b), a rider may be penalised if their whip use is outside of the following guidelines:
Flat Races
Prior to the 100-metre mark in a race, official trial or jump out:
(i) The whip should not be used on more than 5 occasions.
(ii) The whip should not be used in consecutive strides.
(iii) The rider may at their discretion use the whip with a slapping motion down the shoulder, with the whip hand remaining on the reins.
In the final 100 metres, the whip may be used at the Rider’s discretion.
Using available race films Mr Oatham demonstrated the breach. He identified Mr Innes’ mount; MILFORD who was racing wide on the track on the outer of FRONTMAN (D Johnson). Both horses were fighting out the finish with the eventual winner, ROCKET SPADE (C Grylls) who was racing on their inner.
He said that between the straight entrance to the 100-metre mark Mr Innes struck his mount 8 times, with the fourth and fifth strikes being consecutive.
Mr Oatham added that MILFORD finished in second place.
In response Mr Innes said that he agreed that the number of strikes was 8.
appealdecision:
isappeal:
submissionsfordecision:
reasonsfordecision:
Decision:
As Mr Innes admitted the breach the Committee found the charge proved.
sumissionsforpenalty:
Mr Oatham said Mr Innes has a clear record having not breached the Whip Rule within the reset period. He said that the new Whip penalties came into force on 9 December 2020, and they provide for a fine commensurate with the Stakes and Status of the race. In this regard Mr Oatham that Mr Innes’ mount finished second and the breach occurred in a Group 1 Race with a stake of $1,000,000. He said his earnings were about $8,700.
Mr Innes submitted that if a suspension was proposed he is not seeking a deferment. He said that it was not his fault the charge was not heard last week, as he had left the course after being given permission to do so. He said therefore in anticipation of a suspension he has not taken any mounts this week, including in the NZ Oaks at next week’s Trentham Premier meeting. He submitted that consistent with the recent breach by rider Mrs Allpress in Wellington Cup he should receive a suspension rather than a fine. He submitted that Mrs Allpress received a suspension, but no fine.
Mr Innes added that he did not gain an unfair advantage by use of his whip and his mount was “green and layed in and out” in the run up the home straight.
reasonsforpenalty:
This is Mr Innes’ first breach of the Whip Rule within the reset period. Whereas the NZTR revised Penalty Guidelines (as of 9 December 2020) recommends a starting point $300 fine for a first breach, the JCA Penalty Guide recommends, that where a breach occurs in a Group or feature race, and the number of strikes is less than 9, but still more than the permitted 5, a fine appropriate to the Status of the race is to be the starting point.
We adopted the methodology recommended in the JCA Guide in terms of our decision-making approach. This conforms with r 902(2) of the NZTR Rules of Racing which empowers a Committee in imposing a penalty to have due regard to such matters as it considers appropriate including: (a) the Status of the Race; (b) the Stake payable in respect of the Race.
In that regard it is of note that this breach occurred in a Group 1 race with Stake money of $1,000,000 and for finishing in second place Mr Innes’ mounts share of the stake is $174,000 and his percentage equates to about $8,700 (@ 5%). On that basis in our determination penalty, we must therefore consider what constitutes a fair, reasonable, and proportionate percentage of Mr Innes’ earnings for finishing in second place.
In so far as charges that have animal welfare impacts are concerned, such as whip breaches, we have limited discretion to deviate too far from the recommended starting points. To deviate compelling or exceptional mitigating circumstances would need to exist. In this case there are no such circumstances or factors. Mr Innes sought a suspension as opposed to a fine and relied on the case RIU v Allpress (2021 Wellington Cup) for doing so. We did consider this case and concluded that there were no similarities between this matter and the Allpress case. Specifically, Mrs Allpress’s breach occurred in a Group 3 race, the number of strikes was 9 and the starting point was a 6-day suspension. Further in finishing in 5th place Mrs Allpress’s percentage of stake money was about $280 compared to Mr Inness’ percentage ($8,700).
Penalties for breaches in Group 1 races are fact dependant. Since 2016 there have been 13 whip breaches in Group 1 races and only 2 where the number of strikes has been less than 9, as is the situation in this case. They are:
D Johnson 8 strikes – finished in 3rd place, fined $800 (G1) $200k – 19/09/20
J Parkes 7 strikes – finished in 1st place, fined $1,200 (G1) $200k – 22/1017
The fines in the above reference cases vary widely in relation the percentage of each rider’s percentage of Stake money versus imposed (between 20% and about 60%), therefore they are not particularly helpful. Further the key difference between these cases and this one is the relative difference in Mr Innes’ earning from stake money.
The aggravating and mitigating factors that we considered included:
1.-That the breach occurred in the $1 million dollar Vodafone Derby which is New Zealand’s richest Thoroughbred race.
2.-That in finishing in second place Mr Innes’ earning were about $8,700.
3.-That Mr Innes has a particularly good record in relation to the whip Rule; his last breach having occurred on 5 November 2019, at Ellerslie in a Black Type race (9 strikes, 3 of which were consecutive) incurred a $1,500 fine.
4.-That it is therefore noteworthy that Mr Innes has not beached the Rule for 16 months given that he is a reasonably busy Senior Rider.
5.-That Mr Innes admitted the breach at the first available opportunity albeit an admission in relation to a whip breach does not necessarily result in a reduction in penalty.
We also considered Mr Innes’ submission that due to this matter being heard this week he elected not to take any mounts at the pending Wellington Premier meeting, because it was his intention to argue for a suspension as opposed to a fine. Whilst it is entirely up to Mr Innes when and where he takes mounts, we accept this is a factor for us to consider.
The penalty we impose must be consistent, proportionate and operate as a deterrent. Therefore, after weighing up the above factors we determined a fine of $1,500, (which represents slightly more than 17% of his earnings) and a suspension to be fair and reasonable penalty.
penalty:
Mr Innes’ Licence is suspended for 4 days commencing after racing 13 March 2021 and concluding after racing on 21 March 2021. In addition, we impose a fine of $1,500.
The meeting at Gore on 14 March 2021 was not included as rider declarations were closed.
hearing_type: Hearing
Rules: 638(3)(b)(ii)
Informant: Mr J Oatham - Chief Stipendiary Steward
JockeysandTrainer: Mr L Innes - Rider of MILFORD
Otherperson:
PersonPresent:
Respondent:
StipendSteward:
raceid: aecd6e5ec4f654022d4185098a07bcde
race_expapproval:
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race_noreport: 0
race_emailed1: 0
race_emailed2: 0
race_title: R 9
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meetdate: 07/03/2021
meet_title: Auckland RC - 7 March 2021
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