Chapter 36: Alcohol and Drug Violations - Human

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36.01  A licensee in a Safety Sensitive Position is prohibited from the following:

  1. Using an Illegal Drug or a Prohibited Substance at a licensed facility;
  2. Performing activities of the Safety Sensitive Position at a licensed facility while an Illegal Drug or a Prohibited Substance is present in his or her body;
  3. Consuming Alcohol at a licensed facility while performing, or reasonably prior to performing activities, of a Safety Sensitive Position;
  4. Performing activities of the Safety Sensitive Position at a licensed facility while having a BAC of .02 or higher;
  5. Using, at a licensed facility, any Impairing Prescription Medication without a prescription for the licensee’s use of that medication;
  6. Performing activities of the Safety Sensitive Position at a licensed facility while an Impairing Prescription Medication for which the licensee does not have a prescription for use is present in his or her body;
  7. Intentionally using, at a licensed facility, any Impairing Prescription Medication prescribed for the licensee’s use in a manner not prescribed and which use has the potential to impair the licensee’s abilities to perform the activities of his or her position safely;
  8. Performing activities of the Safety Sensitive Position at a licensed facility while,
    1. An Impairing Prescription Medication intentionally used in a manner not prescribed to the licensee is present is his or her body, and
    2. He or she displays signs that his or her physical or cognitive abilities are impaired to the extent that there is a potential that the licensee cannot safely perform the activities of the Safety Sensitive Position.
  9. Within the first eight hours of an event described in 36.03(a) or until tested or advised by a Commission Representative under 36.03(a) that a test is not required, using an Illegal Drug or a Prohibited Substance or consuming Alcohol or using any Impairing Prescription Medication without a prescription for the licensee’s use or intentionally using any Impairing Prescription Medication prescribed for the licensee’s use in a manner not prescribed.

36.02  A licensee in a Safety Sensitive Position called in unexpectedly activities of a Safety Sensitive Position in a manner that would violate 36.01(b), (d), (f) or (h) shall decline the request.

36.03  A licensee or Designated Racing Official shall not be present at a licenced facility in the following circumstances:

  1. Alcohol, an Illegal Drug, a Prohibited Substance or an Impairing Prescription Medication is present in his or her body, and
  2. He or she displays signs that his or her physical or cognitive abilities are impaired to the extent that there is a potential that the licensee or Designated Racing Official cannot safely perform his or her activities or duties related to the business of racing, he or she poses a safety risk to himself or herself, to other persons or to horses or, in a situation where the licensee or Designated Racing Official has been involved in an incident, accident or near miss, the licensee or Designated Racing Official displays signs of physical or cognitive impairment.

36.04  A licensee in a Safety Sensitive Position is subject to testing in the following situations:

  1. Post Incident/Accident
    A Commission Representative investigating a significant accident, incident or near miss that occurs at a licensed facility may require a licensee in a Safety Sensitive Position to undergo testing for the presence of Illegal Drugs, Prohibited Substances, Impairing Prescription Medication or a combination of these substances in his or her body, if the Representative has a reasonable belief that the licensee’s activities are or were relevant to the accident, incident or near miss being investigated.
  2. Required Alcohol Testing
    At times or in circumstances set by the Commission or a Commission Representative or upon direction of a Commission Representative, a licensee in a Safety Sensitive position shall undergo testing for Alcohol in his or her body when they are performing, scheduled to perform or have completed performing the activities of the position.
  3. Unannounced Drug Testing
    A licensee in a Safety Sensitive Position shall undergo testing for the presence of Illegal Drugs, Prohibited Substances, Impairing Prescription Medication or a combination of these substances in his or her body without notice to the licensee at any time during the racing season. The selection of the licensee for testing will be by an objective selection system managed by the Commission’s Program Coordinator.
  4. Return to Duty – Post Violation
    Where a licensee seeks to return to a Safety Sensitive Position after a suspension for a violation of a prohibition in 36.01, he or she will be required to undergo testing for the presence of Alcohol, Illegal Drugs, Prohibited Substances, Impairing Prescription Medication, or a combination of these substances in his or her body and the test or tests must show no presence of such substances in his or her body before the licensee may return to such a position. In addition, it shall be a condition of the licensee’s licence as set out in a Post-Violation Agreement described in 36.13 that the licensee will be required to undergo testing for the presence of Illegal Drugs, Prohibited Substances, Impairing Prescription Medication or a combination of these substances in his or her body without notice to the licensee at any time.
  5. Return to Duty – Post Treatment
    Where a licensee is returning to a Safety Sensitive Position after receiving treatment for abuse of or addiction to Alcohol, Illegal Drugs, Impairing Prescription Medication or a combination of these substances, the licensee may be subject to testing for such substances in his or her body as a monitoring tool on a case by case basis to support the licensee’s recovery.
  6. Additional Testing
    Where a laboratory conducting a test for the presence of an Illegal Drug, a Prohibited Substance or an Impairing Prescription Medication reports that the testing of the sample cannot provide an accurate determination of the presence or the amount of the substance in the licensee’s body for whatever reason, including that the sample is a dilute sample, the licensee shall submit to an additional test, if directed by a Commission Representative.

36.05  Reasonable Cause Testing
Any licensee and any Designated Racing Official engaged in the business of racing at a licenced facility, whether or not he or she is in a Safety Sensitive Position, shall submit to the testing for the presence in his or her body of Alcohol, Illegal Drugs, Prohibited Substances or Impairing Prescription Medications on the request of a Commission Representative where,

  1. That Representative has reasonable grounds to believe that the licensee’s or Designated Racing Official’s physical and cognitive abilities are impaired to the extent that there is a potential that the licensee or Designated Racing Official cannot safely perform their activities or duties related to the business of racing, poses a safety risk to other persons or horses; or
  2. The licensee or Designated Racing Official has been involved in an incident, accident or near miss and a Commission Representative has reasonable grounds to believe that that the licensee’s or Designated Racing Official’s physical and cognitive abilities are impaired or were impaired at the time of the incident, accident or near miss.

36.06  Testing Protocol – Alcohol
A person required to undergo testing for the presence of Alcohol in his or her body shall provide a breath sample to a Commission Representative for analysis at a time and place and in a manner directed by the representative.

36.07  Testing Protocol – Illegal Drugs, Prohibited Substances and Impairing Prescription Medications
A person required to undergo testing for the presence in his or her body of Illegal Drugs, Prohibited Substances or Impairing Prescription Medications, or a combination of these substances, shall provide a sample of bodily fluid to a Commission Representative at a time and place and in a manner directed by the Representative.

36.08  Immediate Suspension – Illegal Drugs, Prohibited Substances in a Licensee in a Safety Sensitive Position
Should an Illegal Drug or a Prohibited Substance be found to be present in the body of a licensee in a Safety Sensitive Position at the time of testing, the licensee is suspended from his or her duties until a Medical Review Officer has reviewed the result and provided a report to the Commission or a Commission Representative. Upon reviewing the report the Commission Representative will make a recommendation to the Registrar concerning the future status of the licensee.

36.09  Immediate Suspension – Impairing Prescription Medication without a Valid Prescription in a Safety Sensitive Position
Should an Impairing Prescription Medication be found to be present in the body of a licensee in a Safety Sensitive Position at the time of testing and the licensee cannot show that he or she has a valid prescription for the medication, the licensee is suspended from his or her duties until a Medical Review Officer has reviewed the result and provided a report to the Commission or a Commission Representative. Upon reviewing the report the Commission Representative will make a recommendation to the Registrar concerning the future status of the licensee.

36.10  Immediate Suspension – Impairing Prescription Medication with a Valid Prescription in a Safety Sensitive Position
Should an Impairing Prescription Medication be found to be present in the body of a licensee in a Safety Sensitive Position at the time of testing and, notwithstanding that the medication has been validly prescribed to the licensee,  a Commission Representative has reasonable grounds to believe that the licensee displays signs that the licensee’s physical or cognitive abilities are impaired extent that there is a potential that the licensee cannot safely perform the activities of the Safety Sensitive Position, the licensee is suspended from his or her duties until a Medical Review Officer has reviewed the result and provided a report to the Commission or a Commission Representative. Upon reviewing the report the Commission Representative will make a recommendation to the Registrar concerning the future status of the licensee.

36.11  Immediate Suspension – Reasonable Cause Testing for Illegal Drugs, Prohibited Substances or Impairing Prescription Medication
A licensee or Designated Racing Official is suspended from his or her duties until a Medical Review Officer notifies the licensee or Designated Racing Official that he or she may return to his or her duties, if, after a test under 36.05, Alcohol, an Illegal Drug, Prohibited Substance or Impairing Prescription Medication is present in the body of a licensee or Designated Racing Official at the time of testing and,

  1. A Commission Representative has reasonable grounds to believe licensee’s or Designated Racing Official’s physical and cognitive abilities are impaired to the extent that there is a potential that the licensee or Designated Racing Official cannot safely perform their activities or duties related to the business of racing or poses a safety risk to other persons or horses; or
  2. A situation where the licensee or Designated Racing Official has been involved in an incident, accident or near miss, the Commission Representative has reasonable grounds to believe that that the licensee’s or Designated Racing Official’s physical and cognitive abilities are impaired or were impaired at the time of the incident, accident or near miss.

36.12  Penalties for Violations of 36.01 – Safety Sensitive Positions

  1. The penalties for a violation of 36.01(d) are the following:
    1. Where the breath sample provided results in a test result of .02 to .039 BAC,
      1. For a first violation, a suspension from performing the duty or duties for which he or she is licensed for that day, a $100 monetary penalty, a reminder of the policy requirements and a suggested referral for assistance;
      2. For a second violation, a suspension from performing the duty or duties for which he or she is licensed for that day, a $300 monetary penalty, a suspension for a further 5 days if the second violation occurs within 12 months of the first violation, and a referral, at the discretion of a Commission Representative,  to a Substance Abuse Professional (SAP) for evaluation to determine the need for a structured assistance program; and
      3. Any subsequent violation within 12 months of the second or subsequent violation shall result in the suspension from the duty or duties for which they are licences and the licensee shall be referred to the Registrar who may impose a monetary penalty, a suspension, make directions, impose conditions, or a combination of all of these.
    2. Where the breath sample provided results in a test result of .04 to .079  BAC,
      1. For a first violation, suspension from performing the duty or duties for which he/she is licensed for that day, a $300 monetary penalty, a suspension of five (5) days, a reminder of the policy requirements and a suggested referral for assistance;
      2. For a second violation, suspension from performing the duty or duties for which he/she is licensed for that day, a monetary penalty of $500 and a suspension of fifteen (15) days if committed within 12 months of the first violation, referral to a Substance Abuse Professional (SAP) for evaluation to determine the need for a structured assistance program if they choose to return to duties with the Commission, and compliance with return to work conditions set out in an agreement with the individual, and must provide a negative return to duty drug and alcohol test,
      3. Any subsequent violation within 12 months of the second or subsequent violation shall result in suspension from performing the duty or duties for which they are licensed and they shall be referred to the Registrar who may impose a monetary penalty, a suspension, make directions, impose conditions, or a combination of all of these.
    3. Where the breath sample provided results in a test result of .08 BAC or higher,
      1. For a first violation, suspension from performing the duty or duties for which he/she is licensed for that day, a $500 monetary penalty, a suspension of fifteen (15) days, referral to a Substance Abuse Professional (SAP) for evaluation to determine the need for a structured assistance program if they choose to return to their duties as a licensee, and compliance with return to work conditions set out in an agreement with the individual, and must provide a negative return to duty drug and alcohol test;
      2. Any subsequent violation within 12 months of the first violation shall result in suspension from performing the duty or duties for which they are licensed and they shall be referred to the Registrar who may impose a monetary penalty, a suspension, make directions, impose conditions, or a combination of all of these.
  2. Violations of 36.01, other than 36.01(d), and 36.02 and 36.03 shall be referred to the Registrar who may impose a monetary penalty, a suspension, make directions, impose conditions, or a combination of all of these.

36.13  Post Violation Agreements
A licensee or Designated Racing Official who has violated any of 36.01, 36.02, or 36.03 may be directed by the Registrar to enter into a Post Violation Agreement which will, at a minimum, include the following:

  1. Full cooperation with the Substance Abuse Professional (SAP) assessment process;
  2. Adherence to any recommended treatment, monitoring, and aftercare program;
  3. Maintenance of sobriety on return to duty;
  4. Successful completion of a return to duty alcohol and drug test;
  5. Ongoing unannounced testing for a period set out in the agreement; and
  6. No further violations of the policy.

Although the Registrar will refer licensees and Designated Racing Officials who test positive to qualified services, the cost of these services to persons not employed by the Commission is not covered by the Commission. All costs associated with assessment, treatment and aftercare, will be at his or her own expense.

36.14  Immediate Suspension and Referral – Refusal to Test, Adulterating or Tampering with Sample
Where a licensee refuses to undergo testing as required by this Rule 36 or adulterates or tampers with, or attempts to adulterate or tamper with, a sample provided under this Rule 36, he or she shall be suspended from performing the duties for which they are licenced and the matter shall be referred to the Registrar who may impose a monetary penalty, a suspension, make directions, impose conditions, or a combination of all of these.

36.15  Nothing in this Rule 36 restricts a Judge’s authority to impose a penalty under 6.01for conduct prejudicial to the best interests of racing including, but not limited to, penalties for the following:

  1. Possession, distribution, manufacture, offering for sale of Illegal Drugs, Illegal Drug paraphernalia, Prohibited Substances or Prohibited Substances paraphernalia;
  2. Manufacture, distribution or offering for sale of drugs for which a prescription is required in Canada; or
  3. Possession of Impairing Prescription Medications that are not legally prescribed to the person possessing them.

36.16  Nothing in this Rule 36 restricts a Judge’s authority under 6.01 to impose a penalty under that rule in circumstances where the Judge has reasonable grounds to believe that a licensee or Designated Racing Official is not capable of performing his or her activities or duties relating to the business of horse racing, whether due to impairment or any other reason.

36.17  Any licensee or Designated Racing Official who fails to report a participant whom he or she might reasonably determine to have been consuming Alcohol, Illegal Drugs or Prohibited Substances, to the Judges violates these rules and shall be subject to a monetary penalty or suspension, or both.

36.18  Additional Penalties
No Raceway, Association, or licensed body shall impose a penalty upon a licensee who has violated this rule, unless that licensee is directly employed by that Raceway, Association or licensed body.