POLICY

Applies to all handicap races in Victoria from 1st March 2004.

(Except “Group” races)

What is a Ratings Based Handicapping (RBH) System?

•  RBH is a system designed for all horses to be given a rating figure by a handicapper and for interested parties to refer to a template to find what weight a horse would be allocated in any particular race according to that rating.
The weights on the template are always subject to the rules of racing which decree that a top-weight shall not be handicapped at less than 58kg. Therefore if a horse is rated with a weight of 56.0kg. it shall be weighted at 58.0kg. and all other horses nominated shall also rise 2kg.


Benefits

•  Improved customer service, productivity, information and understanding of handicapping methodology.
•  Provides a very simple and fair ballot plan with all RBH balloting in "ratings order".
•  Ready reference guide for trainers and owners prior to nominations – A ratings based handicapping system with publicly displayed ratings and race scales will be advantageous to both owners and trainers in assessing the anticipated handicap of the horse prior to nominations. This will allow for trainers to more accurately place horses after determining the handicap of a horse relative to other horses across various classes.
•  Productivity and efficiency savings over time.

Objectives

• Handicapping Panel to issue some 90,000 ratings per season based on a state population of 9,000 horses contesting 4650 races per season. A direct post race ratings system would see these assessment figures almost halved as Victoria has approximately 49,000 starters per season. These assessments would be further reduced if only those maidens who earn prize-money are initially rated.
This will lead to a greater degree of both productivity and general handicapping   efficiency.
•  The publishing of accurate ratings will give stakeholders a greater insight into the handicapping process. By having a handicapping process open to public scrutiny, owners and trainers etc, may be better informed as to the weight adjustment made after a particular performance.
•  Foundation for national and international assessments – The rating of all horses within Victoria and NSW will provide an advanced progression of ratings to nationally and internationally accepted ratings standards. This will have flow on benefits for both the breeding industry and international racing.
•  Reduced time delay – With all horses rated prior to nomination time it is anticipated that there will be a reduction in the time turnaround between nominations and when weights are declared. This may eventually result in earlier final acceptances, which will then expedite the current weekly process of form generation etc.
•  Advancement of current work practices – Ratings based handicapping will allow for further technological involvement in the handicapping process. In particular it will enhance the usage and value of the RVL website for industry participants.




How a ratings based system would work in Victoria – Methodology

Categories of Ratings

•  Two-Year-Olds Only.
•  Main Template. (All races other than 2-Y-O's.)
•  Jumping Only [Hurdle & Steeple]
•  The ratings are to be published as a guide to trainers when making entries for ratings-related handicap events. They may not display the exact weight a horse shall carry in a race but it will clearly show the relativity between horses when the weights are allocated.
•  The ratings for Victorian horses will be posted on an RVL website within two working days of the race in which it ran. Horses racing outside Victoria would have their rating amended as soon as practicable.
•  The single-figure ratings assessment will only be reviewed for some horses when those horses race under circumstances and/or distances for which they have clearly demonstrated to be their established level of competition. (For example a “stayer ” is unlikely to have his or her rating lowered for an unplaced performance in a sprint race.)
•  Horses with less than three starts will receive a provisional rating, which may be altered to reflect the ability levels of the other nominations received in the event for which they are nominating.
•  Interstate horses coming to race in Victoria will have their rating validated by the Handicapper for the nominated event.
•  Information which will be displayed on the RVL website.
•  Horse name and suffix
•  Age & Sex
•  Current Class
•  Current rating figure
•  Race-date rating last updated from
•  ANZ Classification rating (if applicable)
•  “Group” races as well as “Prestige” Jumping events will be exempt from the ratings for the time being. This is largely due to early closing of entry times, influx of horses from outside ratings-based states and the fact that we want to be certain RBH is working well before we subject our highest standard races to the system.
•  In set-weight maiden events those placegetters who earn prizemoney would be rated immediately. Any subsequent deterioration in a maiden rating would be corrected at nomination time for the particular event concerned. As would the inclusion of any horse, which failed to earn prizemoney as a maiden, but which was nominated for a restricted class or open handicap event.
•  Horses will be eliminated by displayed ratings lowest first. Horses on the same rating will then be separated by age - oldest first, with horses on the same rating, and of the same age being separated by lot.
•  Fillies and mares are rated equally with their male counterpart when performances are rated alike. They receive a 2.5kg allowance when racing against the males.
•  3YO’s are rated equally with older (4YO+) horses when performances are rated alike. They receive an age allowance when racing against the older horses (except in the latter stages of the season).




RBH TEMPLATE EXAMPLE

A class 3 (Provincial 1) race in August has the following horses
* A 4-Y-O gelding.
* A 4-Y-O mare.
* A 3-Y-O colt.
* A 3-Y-O filly.

The handicapper has all horses equal in relative ability and has allocated a rating of 73 for each.

The weight for a 73 rated horse in a Provincial 1 Class 3 (highest country standard) is 57kg.
The 4-Y-O gelding receives the 57.0kg.
The 4-Y-O mare receives a sex allowance of 2.5kg and is allocated 54.5kg.
The 3-Y-O colt receives an age allowance of 2.5kg and has 54.5kg.
The 3-Y-O filly receives an age allowance of 2.5kg. PLUS a fillies allowance of 2.5kg. to be allocated 52.0kg.

All four horses are rated at 73 for the ballot with the two 3YO's equal above the two 4YO's (Oldest horses balloted first)



BUSINESS RULES

•  The templates show in line format, the rating figure and the corresponding weight figure the horse will carry in the various classes of Victorian racing. All weights relate to a 52.0kg minimum – except for Group & Listed events – and treat horses as at full maturity as four-year-olds.
•  They will remain effective until December 31st, 2004 at which time they may be reviewed
•  The rating figures for all fillies and mares are listed equal to that of a colt, gelding or entire of equal performance standard. However 2½kg is then subtracted when they race in mixed sex company.
•  When 3yo’s race against older horses in Restricted Class events they will receive an allowance in line with those published for Maiden horses in such races. It is a sliding scale adjusted quarterly from an initial 2½kg in August to nil at the end of the season. 3yo fillies will also receive this allowance PLUS their 2½kg sex allowance.
•  When 3yo’s race against older horses in races other than Restricted Class events the Handicapper will assess their form against the current Weight-for-Age scale to determine an appropriate allowance, if any.
•  Should it be necessary to raise weights to satisfy the 58.0kg minimum topweight rule at weights declaration time, and there is a spread of weights of less than 3.5kg, ratings may be extended down at the discretion of the handicapper.
•  In order to overcome unforeseen circumstances, such as clarification of form, and to maintain flexibility when necessary, it is imperative that the rating of a horse may be amended or varied for competitive reasons. This is particularly necessary for such instances where results are affected by stewards inquiries, correction of race results or extenuating race related conditions


•  "Unraced" horses cannot be allotted a rating. Ratings are extracted from race performances only.


The Ratings Based Handicapping Procedures & Policy, together with the accompanying templates, remain the property of Racing Victoria Limited and their partners in the project. RVL and their partners reserve the right to redefine, alter or vary the application of this concept or templates at any time in order to comply with circumstances, perceived or otherwise, which may arise.



HANDICAPPING PRINCIPLES AND PRACTICES WITHIN VICTORIA

Classes 1 and 2

In Class 1 events we use the base weight, or commencement weight, of 54.5kg on a 52.0kg limit. This is determined on the fundamental that if a race is limited to one win then a horse who has that win (from a few starts), and maybe a placing is usually the best horse in the race and has to be allotted 58kg (under the rules). Therefore if that form was worth on average a 3½kg increment, it follows that the "base weight" would be 54.5kg. Thus horses with better form move up from the 54.5kg and conversely those with worse form move down from this figure until the minimum is reached. The movements of weights (all things being equal) would be 2 to 3.5kg for a win, 0.5 to 1.5kg for a second, nil to 1kg for a third, little movement for a fourth and varying degrees down for all other runners according to all the usual considerations.

Three-years-old receive an allowance for immaturity on a sliding scale as the year progresses. Fillies and mares are allowed 2.5kg all year round.
Class One Events (52kg minimum)
Unraced 4YO =54.5kg
Unraced 3YO Aug/Oct =52.0kg
Unraced 3YO Nov/Jan =53.0
Unraced 3YO Feb/Apr =54.0
Unraced 3YO May/Jul =54.5 = unraced 4YO

As the standard of form diminishes from Provincial to Non-TAB country meetings so too does the quality of horses requiring of top-weight (58kg). It is therefore possible that a horse on 54kg at Cranbourne might well have to be allotted 58kg at a non-TAB venue and that horses on the minimum at mid-week level could be over the minimum at these non-TAB meetings. The differential between Class 1 and Class 2 is 1.5kg and as a consequence the base weight (ie. weight of an unraced 4YO male) in Class 2 is 53kg on 52kg minimum.

Classes 3 and 4

Handicapping Class 3 and 4 races is quite different from Class 1 and 2 races as mid-week 3YO winners are eligible for Class 3 races. However the principles involved remain very similar. For instance, when handicapping a Class 1 race an unraced weight of 54.5kg on a 52kg minimum is used. This relates to 53kg (also on 52kg minimum) in a Class 2 event. Experience has led us to use a 2.0kg difference between Classes 2 and 3 this then means that an unraced horse would be weighted on the minimum in a "true scale" Class 3. Therefore, horses that have had one maiden win may well receive between 1 and 2kg above the minimum in a mid-week Class 3. As the majority of Class 3 and Class 4 horses have raced previously at the lower levels a fairly accurate rating for these horses can be readily determined by the time they reach Class 3.

The penalty scale that we generally use for wins in Class 3 and 4 races is as follows:
Mid-week metropolitan restricted 3yo winner up 2.5kg to 3.5kg
Mid-week TAB Maiden, Classes 1,2,3 winner up 2kg to 3kg
Monday, Friday & Saturday TAB Classes 1,2,3 winner up 1.5kg to 2.5kg (feature Class races discretionary)

As our ratings are maintained off a Grade 1 or mid-week base, it is imperative that the different strength of wins is appreciated. When we handicap a mid-week Class 3 or 4 it is generally rated as a true scale. This means that if a horse has earned for example 57kg on a 52kg minimum, or 5kg over at a midweek level, this is the weight that horse will carry in a mid-week Class 3. As Class 4 races are rated 2kg stronger, that horse will be allotted 55kg in such races. We will however scale races differently as they decrease in stature and strength of nomination. By this we mean that the above-mentioned horse could carry 58kg on a 52kg minimum at a Friday meeting and 59kg on a 52kg minimum at a non-TAB meeting on a Saturday. In other words there is roughly a 1kg differential between mid-week class and non-TAB class - which is also reflected in our penalty scales.

Classes 5 and 6

It is at this upper point of the restricted class structure where class winners, the winners of one metropolitan event restricted by prizemoney and/or race won, open 3yo winners and the winners of one open handicap, are combined prior to their advancement to open handicap class. Class 5 races are rated as 3½kg inferior to provincial open handicaps whilst Class 6 events are rated on average 2kg weaker. Also Class 5 races are rated a kilogram stronger than Class 4 events. Thus if a Class 4 horse is entitled to be weighted at 57kg on a 52kg minimum the same horse will receive 56kg in a comparable Class 5 and 54½kg in a similar Class 6 event. In all instances the weight variables are determined by the stipulated minimum.

Provincial Open Handicaps

The weight allocated to a horse in a provincial Class 6 event will generally equal the allotted weight in a non-TAB handicap. Experience has shown us that there are approximately three levels of provincial handicap racing.
They are:
Provincial-1 Handicaps
- Generally when races are over $10,000.
Provincial-2 Handicaps
- Generally when races are under $10,000.
Provincial-3 Handicaps
- When races are Non-TAB.



Open 2yo Handicaps

When scaling 2yo handicaps at both a metropolitan and provincial level the unraced weight is normally an appropriate guide. In early season 2yo handicaps it is especially relevant, as the majority of entries are having their first start. As such you are moving horses who have raced either above or below this median level depending on the strength of their performances. This is the most practical way to handicap these juveniles because they have insufficient depth of form to adequately characterise them as sprinters, middle-distance or stayers - or whether or not they will maintain their displayed level of performance.

Fillies receive the appropriate weight-for-age allowance of 2½kg at all times.
Our penalty scale would again reflect the relative strength of the race the horse performed in.
Metropolitan - Listed, Group wins +3 to 4½kg
Saturday Open +2 to 2½kg
Mid-week Restricted & Provincial-1 [TAB] +1½ to 2½kg
Provincial-2 [non-TAB] +1 to 2kg


Open 3yo Handicaps

Saturday 3yo weights are generally based on a scale where all nominations have weights related directly against the minimum at this level of competition. If for example a 3yo wins two Saturday 3yo races from its only two starts, and a cumulative penalty amounting to approximately 4½kg is appropriate, then that horse's "true scale" weight becomes 4½kg above the limit - whatever that limit might be. In most circumstances this would be 56½kg on a 52kg minimum, but if this proved to be the highest weighted horse in the race then its weight would rise to 58kg (to satisfy the minimum topweight rule) and the minimum would also rise an equal amount to 53½kg.

There are times when, particularly during the spring and autumn carnivals when the impact of a consistently greater number of better performed horses is reflected in the nominations, it is not only possible but necessary to declare more competitive scales. In this regard a typical situation would be to have all such nominations scaled down by an appropriate amount whilst still maintaing a suitable spread of weights from 58.0+kg down to the 52kg minimum. Based on statistical evidence it has been found that a horse is not deserving of a weight above the minimum until it has achieved a weight of about 58.0kg in a Class 1 provincial race. Generally a "maiden win" is not sufficient to lift a 3yo above the limit in a Saturday level 3yo event - unless the horse has previous good metropolitan place form or under exceptional circumstances.

Normally variations to a horse's weight are calculated by giving the usual considerations for merit in handicap races with penalties ranging between 1.5kg to about 3.5kg for wins in Saturday class and placings with relative movements from very little to an additional 1.5kg. Unplaced runs maybe adjusted downwards by as much as 1.5kg. Naturally weight variations for performances in set-weight, Group or Listed races provide a greater range of penalties but always with careful consideration as to the horse's overall record. When some horses run in set-weight events they are considerably disadvantaged at the scale of weights compared to a discretionary handicap. It therefore requires a greater deliberation before determining an adjustment to their "handicap" weight.

In all circumstances it is necessary to consider all the variables which may apply such as the suitability of the distance, previous pattern of form (stage of preparation), beaten margin, merits of performance, standard of race, recent form, overall form, etc.


Mid-week 3yo Handicaps

If a Saturday performed 3yo nominates (ie. a horse which would normally receive above the Saturday minimum of 52kg), it is usually deserving of a weight which is approximately 2kg higher in this type of event as compared to its Saturday weight. Penalties for wins in mid-week class are on average worth 1.5kg/2.0kg going to Saturday class but may be 2.5-3kg for another mid-week event. The higher mid-week penalty is to facilitate the necessity to relate the performances against the provincial movements of all other 3yo's. On average terms a mid-week second is equivalent to a good Class 2 win in which a winner would receive about 2kg penalty. Therefore if such a horse rises 1½kg or 2kg then it naturally follows that the winner has to receive an appropriate penalty. This also allows for provincial class winners to be adequately catered for under these scales.


Open Metropolitan & Midweek Mares

As a general rule open mares events are assessed as being equal to provincial open handicaps. The attached templates include an extra 2½kg for ballot purposes only. However there are occasions when field strengths will vary as in Spring Carnival and also some feature distance mares races. When assessing changes in mares events the strength of fields are taken into consideration. This is why we relate them to provincial rather than open metropolitan handicaps - the adjustment of weights is slightly tempered in the former class of contest. Normally midweek 1MW-Mares events are assessed 1kg weaker than Saturday mares company and Class 6 Mares races 2kg weaker - but once again field strengths can vary.


Open Handicaps

These events attract the widest cross section of form. Often requiring analysis in areas of character by various conditions such as distance, scale (class, restricted, welter or handicap), venue, season, individual history or 'animal' and/or contest - or any combination thereof - handicaps can vary widely in weight scales used. Whilst Class One and Two events can only attract winners from the lower end of the scale and juvenile events are distinguished by the age of the nominations, open handicaps are at the very end attracting all possible combinations of exposed form. The ratings scales or running handicap provides for horses to be related with a view to all those aspects previously detailed but primarily with heavy accent on historical characterisation (ie. sprinter, middle distance or staying type) and current form at that particular distance. Naturally Group and Listed, or performances at a level which is generally higher than that which has been attained, will inflate these movements.


Apprentice Claims and Overweight

Handicappers do not factor-in apprentice claims - such weight allowances are given to equate the relative inexperience of the junior rider to his more senior counterpart. However, all overweight is accounted for in re-weighting as this is a discretionary judgement of the connections in addition to the handicapper's specific analysis.


Eligibility and Handicap Ratings

Australia now has a uniform national restricted race schedule where all winners are classified in terms of their winning record. It is important to acknowledge that only winners are re-classified, all other runners remain unchanged. However, with handicapping, the ratings of all runners are reassessed. In normal circumstances expect the winner to be elevated by 1½ to 2½kg and in terms of the beaten margins the second horse may go up 1kg, the third horse increased by ½kg whilst 4th and 5th horses may remain unchanged. All other runners may incur a weight decrease. Therefore in time, and with horses racing in differing classes compared to their eligibility, (eg. Class 2 horse winning a Class 6 event), you can see how lower classified horses can be allotted more weight than horses with higher classifications.