What Are the Whip Rules in Horse Racing?

One of the most enduring attractions of the sport of horse racing is the relationship between the noble horses themselves and the men and women in the saddle. There are in fact few sports that can compare when it comes to the thrills, spills, and drama provided by the sight of man or woman and beast jointly straining every sinew in pursuit of victory. A feature of the world’s finest form of equine entertainment ever since the first recorded race back in 1622, it is a partnership that continues to enthral to this day.

In any given contest it is the ability of the horse which is the number one factor in performance, with the jockey’s role being to carry out the desired tactics and ensure that the horse runs to the best of its ability. A difficult and at times dangerous task – particularly in the National Hunt sphere – and one in which an array of equipment is required, with the joint aims of ensuring the safety of the rider and enhancing the performance of the horse. Included amongst this jockey’s tool kit are gloves, goggles, helmets, vests, and whips. All of which are largely accepted as being essential features of the sport. All that is barring that last item: the whip.

A mainstay of the sport ever since its inauguration, the whip persists in proving to be a controversial subject, with some stating its use should be severely restricted, and others lobbying for its ban altogether. Here we take a closer look at this thorny issue, including what exactly a modern whip consists of, the regulations surrounding its use and the punishments in place for those who break the rules.

What Is the Whip?

First things first, what exactly is the whip in the world of horse racing? Whilst in the very early days of the sport, the types of whip used likely varied significantly between riders, in the modern era whips are strictly regulated by the British Horseracing Authority and equivalent governing bodies around the world. The current type of whip used in all British and Irish racing contains an energy-absorbing foam padded layer and was designed with input from the RSPCA, with the aim being to create a piece of kit that achieved its function, whilst minimising any potential negative impact on the horse. In order to be used within the sport all whips must conform to the following:

• Maximum Length – Flat: 70cm; National Hunt: 68cm
• Maximum Weight – 160 grams in both branches of the sport. Equivalent in weight to a billiard ball, a baseball, or 80% of the average hamster.
• Diameter – Minimum of 1cm. This broader diameter decreases the amount by which a whip can bend, lessening the springing force generated.
• Binding – Flat: No binding within 17cm of the end of whip; National Hunt: No binding within 23cm of end of whip. Binding is more likely to contain abrasive features and so is kept away from the likely contact area.
• Contact Area – Must be smooth and free of raised surfaces or protrusions of any kind. Must also be completely covered with a shock absorbent material, which is able to be compressed by at least 6mm.

All whips used in British racing come from the same accredited supplier, ensuring uniformity of standards and all are checked by the Clerk of the Scales on the day of the race.

The one area of the whip that jockeys may have altered is the handle and/or grip, which may be tailored to their individual preferences. All told, we can see that we aren’t talking about anything of Indiana Jones proportions here, whilst there are a number of stipulations in place aimed at lessening the impact on the horse, notably the cushioning and minimum diameter requirements. Even with that in mind though, there are those who will, quite reasonably, question why jockeys even need to use a whip at all.

The Purpose of the Whip

Whilst horsemanship and skill in the saddle can go a long way towards guiding a horse, there are occasions when an 8st-10st man or woman needs a little assistance in encouraging a one-tonne animal to act as desired. This is where the whip comes in, with the reasons for its use falling into two main categories: safety and encouragement.

Safety

With regards to safety, the whip acts as an essential aid in protecting the welfare of both the jockey and the horse, as well as the other runners and riders in the race. One of the main functions in this area is that of correction, i.e. ensuring a horse maintains a straight line, rather than veering across other runners creating a potential hazard. Reasons for a horse taking such an errant path can range from simple inexperience to distractions in the crowd or spotting the route back to the stables.

Encouragement

The second area of whip usage attracts the greater level of criticism, i.e. that of encouraging a horse to put in maximum effort in order to obtain the best possible finishing position. With horses not necessarily knowing where the winning line is, the whip can be a particularly useful aid in the closing stages of a race, acting as a tool to help the horse maintain its effort and focus right to the line.

Horses are also unaware of any tactical instructions in a race and, whilst a shake of the reins may be sufficient to inspire acceleration in some runners, others may need a stroke of the whip on their hindquarters in order to lengthen their stride. In these areas, whip advocates reasonably argue that the whip can be essential in enabling a horse to achieve a finishing position that most accurately reflects its ability.

Whip Rules

In addition to the rules in place regarding the type of whip which may be used, there are also strict regulations relating to acceptable reasons for its use, and exactly how often it may be used during a given race. As of early 2022, racing continues to operate under the latest set of guidelines and regulations published in 2010, which were, in turn, the result of a significant review of the role of the whip, and represent a marked tightening of the rules from those in use prior to 2010.

Dealing first with the appropriate use of the whip, one key point to note here is that whilst all jockeys must carry a whip, they are not at all obliged to use it unless they see fit. And when considering reaching for the whip, all jockeys are asked to first:

• Encourage the horse to lengthen its stride and accelerate through the use of hands and heels.
• Bear in mind how much of the race is still left to run.
• First show the horse the whip and give it time to respond.

How May it be Used?

Having considered the above and determined that the application of the whip is appropriate, further stipulations are then in place concerning exactly how the whip itself should be used, as follows:

• Whip must not be raised over shoulder height prior to application.
• Only to be used on the hindquarters, or down the shoulder.
• The whip must always be used in a backhand position when applied to the shoulder. What this effectively means is that when holding their arm straight out in front of them, the handle must be contained within the fist of the jockey, with the main body of the whip then pointing down rather than up. This again decreases the level of force able to be applied.
• The horse must be given a chance to respond before the whip is used for a second time.
• When using the whip down the shoulder of the horse both hands must remain on the reins.
• Keep in synch with the stride of the horse when using the whip, i.e. no multiple hits within a single stride pattern, known as “rat-tat-tat” use.
• Must not be used when the horse is either out of contention or clearly winning the race.
• Must not be used with excessive force or otherwise compromise the welfare of the horse.
• Must not be used more than five times within the final furlong of a flat race, or after the final obstacle in a jumps contest.

And, How Often?

Whilst there are no set rules in place regarding how often the whip may be used to the shoulder area whilst both hands are on the reins – an act which really amounts to no more than gentle encouragement – the regulations regarding its use with the hands off the reins are far stricter.

In a flat race, the maximum permitted number of uses of the whip in a hands off the reins position is seven, whilst over jumps the number stands at eight – in each case, this represents close to half of the pre-2010 totals. Any use over and above these levels will automatically attract the attention of the stewards who will then be called upon to examine the race in detail and determine whether or not the rider in question is deemed to be in breach of the rules of racing.

The Review Process

One thing to note here is that going over and above the set number of uses will trigger a review, but will not automatically result in a punishment. With the circumstances of any given race potentially varying so widely, rather than simply counting the number of uses, the stewards will analyse the use of the whip in the context of the race in question. For example, were there moments within the race where the jockey was forced to reach for the whip for safety reasons through no fault of their own? Or, was the mount of the rider perhaps unusually errant in continually veering off a straight path?

The exact analysis will often be fairly complex, but, in brief, any uses which contravene the guidelines listed in the above “How it may be used” section will be looked upon particularly sternly, as will instances where the whip is used excessively on a young or inexperienced horse or continues to be used despite having no noticeable effect. In contrast, uses in circumstances that fall into the following categories may on occasion be disregarded.

• If use was essential to maintain a challenging position prior to the closing stages of a race.
• Use was obviously required to maintain the concentration of the horse, and/or correct hanging/drifting off a true line.
• Should the contact made be very light.
• Should the use come following a mistake at an obstacle.
• Used to correct a horse who appeared likely to meet an obstacle on an incorrect stride and therefore be at risk of making a significant jumping error.

Punishments

Having taken everything into consideration and determined that the jockey was indeed at fault, the severity of the punishment will then relate to the number of times by which the permitted use was exceeded, operating on an ascending scale as detailed in the table below.

Hits Above the Permitted Number	Minimum Punishment
1	2-day suspension
2	4-day suspension
3+	7-day suspension

In addition to the above, there are also certain types of strike which result in a suspension even if the overall total falls within an acceptable level. These strikes generally fall into the category of either causing harm to the horse and/or clearly contravening the rules of recommended use, with the offences and related punishments as follows.

Type of Whip Mis-Use	Hits Amounting to a Breach	Suspension
Causes a minor weal/wound	Automatic	5 Days
Causes a moderate weal/wound	Automatic	8 Days
Causes a more severe injury	Automatic	Referred
Used from an above shoulder height position	2	2 Days
Used without considering horses stride pattern	3	2 Days
Used with excessive force	1	2 Days
Not allowing time to respond	3	3 Days
Used despite no response from the horse	3	5 Days
Used when out of contention	3	5 Days
Used when clearly winning	2	2 Days
Used when past the post	2	2 Days
Used in the incorrect place	1	2 Days
Used down the shoulder in the forehand positions	2	2 Days

In addition to the above punishments which relate to a single incident, further sanctions are in place for repeat offenders:

• Five 2-6 day suspensions within a six-month period will result in a rider being referred to the Disciplinary Panel, where they should expect a further suspension of between 14 and 60 days.
• Four suspensions of 7 days or more within a six-month period will again see the Disciplinary Panel become involved, with the standard punishments in this instance being a ban of between two and six months.
• Further to suspensions, jockeys may also be fined a percentage of their prize money should the offence occur in a flat contest worth £27,500 or more, or a jumps race worth £20,000 or more. Guilty professional riders who finish within the top six in such events may be fined between £200 and £10,000; for apprentices, the range is £100 to £5,000; and for amateurs £200 to £400.
• In the case of a 7- or 8-day suspension, professional riders will always be fined 20% of their prize money earnings for the race, with apprentices fined 10%.
• The fines then increase again for 9-day suspensions, rising to 40% of prize money for professionals and 20% for apprentices.

Effective but Still Room for Improvement?

When taken together that all provides quite an incentive for the riders to stay within the rules. But have the rule changes implemented in 2010 had the desired effect?

A look at the most recent report on the subject, published in 2020, would strongly suggest that they have. When comparing 2020 totals to those of 2010, total suspensions are down by 52%, whilst the percentage of runners affected has also decreased by 58%, with a total of 297 suspensions equating to around 0.40% of all rides. Those figures are impressive at first glance, but all the more so considering the acceptable use tallies of 2020 are around half those of 2010. In essence, jockeys are now picking up a ban less than half as often as they used to, even though it is now close to twice as easy to fall foul of the regulations.

And encouragingly from an animal welfare standpoint, the total number of suspensions resulting from a whip causing injury to the horse over this 10-year period stands at a perfect zero. Whilst the jockeys do still go against the regulations from time to time, it seems that the air-cushioned whip is at least doing an excellent job of protecting the wellbeing of the horse.

A New Review

Despite the obvious improvements resulting from the 2010 rule changes, the whip continues to draw criticism, whether that is due to welfare issues – although it is hard to argue that significant progress hasn’t been made in this regard – or whether the punishments in place are severe enough to prevent jockeys from breaking the rules. In the eyes of many, despite being a significantly reduced number, 297 rule breaches are still 297 too many.

With all of the above in mind, the independent Horse Welfare Board approached the British Horseracing Authority in 2020 with the recommendation that the sport’s governing body undertake a public consultation regarding the use of the whip, with recommended issues to be discussed including.

• Whether the existing penalties provide sufficient deterrent.
• Whether disqualification should be considered as a punishment.
• Whether a tightening of the whip rules would increase public engagement with horse racing and so benefit the sport as a whole.
• Whether international whip rules should be harmonised. Different jurisdictions enforce different rules and punishments regarding the whip, but Britain is already amongst the strictest in the world.

Taking this advice on board, the BHA was quick to organise just such a consultation, gathering together views submitted by those within the industry and non-industry stakeholders, in addition to a broad cross-section of the general public. Closed on the 6th September 2021, this consultation attracted over 2,000 responses in total, creating a large pool of data and opinions to be reviewed.

The autumn and winter of 2021 was then set aside for meetings of focus groups, data assessment and the proposal of recommendations. Set to be presented to the BHA board in 2022, it would then be at the discretion of the board which – if any – of these proposed changes would be implemented, with late Spring 2022 pencilled in for the introduction of any rule changes.