Thoroughbred — Chapter 4: Licensing

4.01.01  The Commission Agent shall issue licences to Racing Officials, pari-mutuel employees, stable employees and every person who practices his/her profession, trade or calling, on a racetrack provided such licences have been approved by the Registrar.

4.01.02  Deleted.

4.01.03  Deleted.

4.01.04  Every licence issued to any licensee by the Commission is issued on the condition that the licensee, their employees, and agents who may be concerned with racing, shall accept, observe and enforce the Rules.

4.01.05.1  Deleted.

4.01.05.2  The Registrar may suspend the licence of any licensee who has accumulated unpaid obligations relating to racing, become bankrupt, or otherwise displayed financial irresponsibility reflecting on the sport. No such action shall be taken unless and until the Registrar is presented with a judgement or judgements from a court or courts having competent jurisdiction over the matter, and the Registrar is satisfied that the participant is indebted and has been adjudged a debtor in a matter relating to Thoroughbred racing in any of its forms. In the case of a licensee who has become bankrupt, the Registrar may licence such participant to work for wages for another licensed participant. However, the bankrupt licensee may not carry on his or her trade or calling as an independent business or operate as a public stable without the permission of the trustee in bankruptcy and the Registrar.

4.01.06  Deleted.

4.01.07  Upon any occupational licensee leaving the employment of an owner or trainer, it shall be the responsibility of that licensee to notify the Commission Agent accordingly. It shall also be the responsibility of the employer, be it owner or trainer, to notify the Commission of this change.

4.01.08  Deleted.

4.01.08.1  Each licensee

1. Shall have in his or her possession a valid licence issued to the licensee whenever the licensee is:
   1. In the stable area of the Association; or
   2. Acting in a capacity for which a licence is required; and
2. Shall produce his or her licence upon request by an authorized representative of the Association, a Racing Official or a representative of the Commission.

4.01.08.2  The Association shall ensure that no individual enters or is permitted to enter the stable area of the Association unless that individual:

1. Has in his or her possession a valid licence issued to that individual; or
2. Is a guest of a licensee who has in his or her possession a valid licence issued to that licensee and the guest is signed-in by that licensee and the Association has issued to the guest a “guest pass” approved of by the Stewards which the guest is obliged to have in his or her possession while in the stable area of the Association and to produce to an authorized representative of the Association, a Racing Official or a representative of the Commission.

Any Association that fails to comply with this rule, after notice from the Registrar, shall be subject to a monetary penalty.

4.01.08.3  Any person who fails or refuses to produce upon request by an authorized representative of the Association, a Racing Official or a representative of the Commission his or her valid licence or a guest pass issued to him or her pursuant to Rule 4.01.08.2 shall be subject to a monetary penalty and/or suspension by the Stewards in the case of a licensee or to removal from the premises by the Association in the case of a guest.

4.02  The licence fees, paid to the Commission by people involved in racing, are established by the Board and approved by the Minister. An applicant for a licence will not be considered a renewal if their licence has been in a state of lapse for five racing seasons prior to the season of application. A Partnership which races under a stable name must fill out the Partnership form but is not required to pay the Partnership fee.

4.03  The monthly fee for regulatory funding, which is paid to the Commission by an Association, shall be set forth each fiscal year in the Registrar’s General Directive relating to Regulatory Funding.

4.04.01  Anyone under the age of 18 applying for a licence must provide a parental consent submission. Any application for a person 16 years of age or younger must be approved by the Stewards. A person under 10 years of age is only eligible for an owner’s licence, unless otherwise approved by the Stewards.

4.04.02  Notwithstanding Rule 4.04.1, no person under 18 years of age will be licensed by the Commission as an apprentice jockey, or jockey, save and except those apprentice jockeys and jockeys, under 18 years of age, who have previously been licensed by another Commission.

4.04.03  Any licensee who is required to be employed by another licensee, or who employs other licensees, must provide the name of all applicable employers or employees on their application, or make a regulatory submission, and update the information if it changes.

4.04.04  Applicants for groom or hot walker licences must be bona fide groom or hot walkers and must have their status confirmed by the trainer actively utilizing their services.

4.05 No person shall exercise horses until he/she has been granted a current licence valid for exercising horses.

4.06.01  Deleted.

4.06.02 Before being granted a jockey’s or apprentice jockey’s licence, each applicant shall present to the Stewards or Registrar the following:

1. A medical certificate acceptable to the Registrar confirming that he or she is clear to ride in races.
2. An eye examination by an ophthalmologist or an acceptable optometrist.

 The expense of these examinations shall be borne by the applicant. The Stewards at their discretion may grant temporary licensing without the completion of part (a) or (b) for a specific limited period.

4.06.03  Regardless of the term of licence, a jockey or apprentice jockey shall make available to the Stewards:

1. On an annual basis, a medical certificate confirming that he or she is clear to ride in races.
2. Every two years, an eye examination by an ophthalmologist or an acceptable optometrist.

4.07  The Stewards shall notify the Registrar of all jockey agents they have recommended for licences and shall keep the Registrar notified of all changes in the representation of jockeys or apprentice jockeys by an agent.

4.08.01  Deleted.

4.08.02  The Registrar will recognize for a non-resident, who is participating in racing in Ontario, valid licences from recognized racing jurisdictions or the National Racing Compact. In order to be recognized the licensee must be in good standing in all jurisdictions and file or have filed on his or her behalf a Commission reciprocal licensing form or other form approved by the Registrar, outlining name, address and licensing particulars prior to racing. For the purpose of this rule, a non-resident of Ontario shall have the definition attributed to a non-resident of Canada in the Income Tax Act (Canada). Non-residents of Ontario who have filed or have had filed on their behalf a reciprocal licensing form shall be deemed to be licensees of the Commission and subject to the Commission Rules and Registrar’s directives.

4.08.03  In an emergency situation, if an application has been received along with the required fees, a temporary licence may be issued. The temporary licence is valid for 30 days from the date of issuance, unless otherwise notified by the Commission.

4.09  The Registrar or the Stewards may at any time order a thorough physical examination of any jockey’s valet by a physician appointed by the Registrar.

4.10  The requirements of Rule 4.06.02 may be waived by the Stewards in the case of a jockey or apprentice jockey who on arrival in Ontario proposes to ride in Ontario for less than seven racing days and such jockey shall so certify to the Stewards before he/she is granted a licence.

4.11  The Registrar may demand the surrender of any occupational licence.

4.12  Deleted.

4.13  In order to be licensed as a veterinarian’s student assistant, the applicant must fulfil the following conditions:

1. He or she shall have been enrolled and have completed at least one year at a veterinary college recognized by the Ontario Veterinary Association;
2. He or she shall be in the employment of a veterinarian licensed by the Commission;
3. He or she shall agree to and obey the regulations of the Ontario Veterinary Association in regard to student assistants.

4.14  A licensee must provide and ensure that the Registrar receives notice of any change in permanent address not later than five (5) days after the change.

4.15  A person shall not participate in the affairs of an Association as Corporate Director, General Manager, Officer, Agent, or Employee of such Association without first receiving a licence from the Commission, nor shall any person participate in racing as an Official, Owner, Trainer, Jockey, Apprentice Jockey, Jockey’s Agent, Jockey’s Valet, Trainer, Groom,  Authorized Agent, Tradesperson, or Veterinarian, or stable employee, nor shall anyone practice their profession, trade, occupation, calling including pari-mutuel employees unless such persons have applied for and have been issued a current Commission licence classified in the appropriate category. An Association may admit to its grounds the holder of the licence to enable the licensee to have access to the area where the licensee is obliged to perform their duties. A licence will not be required for the employee of a company, Partnership, or person with whom the Association has an agreement to supply goods or services on a frequent basis if permission to be exempt from licensing has been received from the Registrar.  The Registrar’s granting or refusal of permission is not subject to appeal.

4.15.01  Where an Association has entered into an agreement with a horsepeople’s organization, representing participants racing at that facility, that horsepeople’s organization must be licensed by the Commission.

4.15.02  Each Association shall ensure that it has an agreement with either of the following for the purposes of Section 3(1)(c)(iii) of the Pari-Mutuel Betting Supervision Regulations under the Criminal Code (Canada):

1. A horsepeople’s organization licensed pursuant to Rule 4.15.01; or
2. Individuals licensed in good standing by the Commission and racing at that Association.

Failure to comply with this rule may result in a monetary penalty or suspension.

4.16  Deleted.

4.17  A licence becomes invalid if the licensee ceases to be employed or to act in the capacity named in the licence and that licence shall be surrendered to and retained by the Registrar.

4.18  The Stewards, Starter, Placing Judges and the Timer are required to submit an eye examination once every two years for visual acuity and colour blindness, with the naked eye and/or corrective lenses, if required.

4.19  Any person accompanying a horse to the test barn must have a valid Commission licence on their person for identification. The designated representative of the horse being tested, must present their licence to the test inspector when signing the sample identification card.