This Directive sets the new annual allocation of revenue contributions of purse monies from the various racing associations and horse people groups to fund the Equine Medication Control and Drug Task Force, effective April 1, 2012.

A late fee charge will apply to those tracks whose total payment is in arrears past the due date.

1. To be deducted from the Horsemen’s Purses by track and remitted to ORC.
2. To be paid from Track Operating expenses.

BY ORDER OF THE COMMISSION

(original document signed by)
John Blakney Executive Director

This Directive replaces General Directive No. 2/2011.  The levy is expressed as a monthly fee and calculated based on total 2011 wagering from all sources (live and simulcast) related to each track’s betting permit.

In accordance with past practice, this levy is imposed pursuant to the Memorandum Of Understanding (MOU) between the Minister of Consumer and Business Services, the Ontario Horse Racing Industry Association and the Ontario Racing Commission, and is deemed an amount authorized under provincial enactment for the purpose of CPMA Regulation 103(1)(h).

Effective April 1, 2012, the monthly fees for the fiscal year 2012/2013 which ends March 31, 2013, are as follows:

Note:  A late fee charge will apply to those tracks whose total payment is in arrears past the due date.

BY ORDER OF THE COMMISSION

John L. Blakney
Executive Director

Pursuant to Section 7(f) of the Racing Commission Act, 2000, this directive sets the Annual Racetrack
Licence Fee for the Ontario Racing Commission fiscal year 2012-2013, as part of the fees and other
application charges applicable to a Licence to Operate a Racetrack. The fee is expressed as a monthly
charge, calculated based on the portion of the total purses paid at each track for the 2011 racing season and
is effective April 1, 2012.

A late fee charge will apply to those tracks whose total payment is in arrears past the due date.
BY ORDER OF THE COMMISSION

John L. Blakney
Executive Director

Preamble

WHEREAS amendments to the Pari-Mutuel Betting Supervision Regulations (“Regulations”) were to came into force on January 1, 2012;

AND WHEREAS as a result of the amendments to the Regulations, the Ontario Racing Commission (“ORC”) would be required to “approve” horsepersons;

AND WHEREAS the ORC determined that the mechanism for “approving” horsepersons would be conducted through licensing of horsepersons in accordance with the Racing Commission Act, 2000;

AND WHEREAS the ORC implemented certain Rules of Racing relating to the requirement for horsepersons (horsepeople’s organizations) to be licensed in accordance with the Racing Commission Act, 2000;

AND WHEREAS the horsepeople’s organizations served upon the ORC a Notice of Application for Judicial Review;

AND WHEREAS the Judicial Review was heard on March 14, 2012 and the decision of the Superior Court of Justice, Divisional Court was delivered on June 12, 2012;

AND WHEREAS the ORC and the horsepeople’s organizations have determined that further consultations are required prior to the continued implementation of certain Rules of Racing related to the licensing of horsepeople’s organizations;

TAKE NOTICE that the Director hereby issues General Directive No 4/2012 as follows:

GENERAL DIRECTIVE NO. 4/2012 – Stay of the continued implementation of Rules of Racing relating to licensing of horsepeople’s organizations

The ORC Director hereby orders a stay of the continued implementation of the following Rules of Racing until September 30, 2012:

Rules of Standardbred Racing

Rule 3.02.01

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.

Rule 3.02.02:

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:

1. a horsepeople’s organization licensed pursuant to Rule 3.02.01; or
2. individuals licensed in good standing by the Commission and racing at that Association.

Failure to comply with this rule may result in fines or suspension.

Rules of Thoroughbred Racing

Rule 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.

Rule 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:

1. a horsepeople’s organization licensed pursuant to Rule 3.02.01; or
2. individuals licensed in good standing by the Commission and racing at that Association.

Failure to comply with this rule may result in fines or suspension.

BY ORDER OF THE COMMISSION

John L. Blakney

Executive Director

This Directive sets the new annual allocation of revenue contributions from the various racing associations and horse peoples purse accounts to recover the costs of the Ontario Racing Program, for the year March 31, 2012.

 A late fee charge will apply to those tracks whose total payment is in arrears past the due date.

BY ORDER OF THE COMMISSION        

John Blakney
Executive Director

¹To be deducted from the Horsemen’s Purses by track and remitted to ORC.
²To be paid from Track Operating expenses. 

Preamble

WHEREAS amendments to the Pari-Mutuel Betting Supervision Regulations (“Regulations”) were to came into force on January 1, 2012;

AND WHEREAS as a result of the amendments to the Regulations, the Ontario Racing Commission (“ORC”) would be required to “approve” horsepersons;

AND WHEREAS the ORC determined that the mechanism for “approving” horsepersons would be conducted through licensing of horsepersons in accordance with the Racing Commission Act, 2000;

AND WHEREAS the ORC implemented certain Rules of Racing relating to the requirement for horsepersons (horsepeople’s organizations) to be licensed in accordance with the Racing Commission Act, 2000;

AND WHEREAS the horsepeople’s organizations served upon the ORC a Notice of Application for Judicial Review;

AND WHEREAS the Judicial Review was heard on March 14, 2012 and the decision of the Superior Court of Justice, Divisional Court was delivered on June 12, 2012;

AND WHEREAS the ORC and the horsepeople’s organizations have determined that further consultations are required prior to the continued implementation of certain Rules of Racing related to the licensing of horsepeople’s organizations;

AND WHEREAS the Director issued General Directive No 4/2012 which ordered a stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until September 30, 2012;

AND WHEREAS the Director has received certain communications from the horsepeople’s organization and has determined that further consultation will be required prior to the implementation of certain Rules of Racing related to the licensing of horsepeople’s organizations;

TAKE NOTICE that the Director hereby issues General Directive No. 6/2012 as follows:

The ORC Director hereby orders a stay of the continued implementation of the following Rules of Racing until December 31, 2012:

Rules of Standardbred Racing

Rule 3.02.01

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.

Rule 3.02.02:

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:

1. a horsepeople’s organization licensed pursuant to Rule 3.02.01; or
2. individuals licensed in good standing by the Commission and racing at that Association.

Failure to comply with this rule may result in fines or suspension.

Rules of Thoroughbred Racing

Rule 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.

Rule 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:

1. a horsepeople’s organization licensed pursuant to Rule 3.02.01; or
2. individuals licensed in good standing by the Commission and racing at that Association.

Failure to comply with this rule may result in fines or suspension.

BY ORDER OF THE COMMISSION

John L. Blakney
Executive Director

Preamble

WHEREAS amendments to the Pari-Mutuel Betting Supervision Regulations (“Regulations”) came into force on January 1, 2012;

AND WHEREAS as a result of the amendments to the Regulations, the Ontario Racing Commission (“ORC”) would be required to “approve” horsepersons;

AND WHEREAS the ORC determined that the mechanism for “approving” horsepersons would be conducted through licensing of horsepersons in accordance with the Racing Commission Act, 2000;

AND WHEREAS the ORC implemented certain Rules of Racing relating to the requirement for horsepersons (horsepeople’s organizations) to be licensed in accordance with the Racing Commission Act, 2000;

AND WHEREAS the horsepeople’s organizations served upon the ORC a Notice of Application for Judicial Review;

AND WHEREAS the Judicial Review was heard on March 14, 2012 and the decision of the Superior Court of Justice, Divisional Court was delivered on June 12, 2012;

AND WHEREAS the ORC and the horsepeople’s organizations determined that further consultations were required prior to the continued implementation of certain Rules of Racing related to the licensing of horsepeople’s organizations;

AND WHEREAS the Director issued General Directive No 4/2012 which ordered a stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until September 30, 2012;

AND WHEREAS the Director issued General Directive No 6/2012 which ordered a further stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until December 31, 2012;

AND WHEREAS the Director issued General Directive No 7/2012 which ordered a further stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until March 31, 2013;

AND WHEREAS the Director has received certain communications from horsepeople’s organizations and has determined that further consultation is required prior to the implementation of certain Rules of Racing related to the licensing of horsepeople’s organizations;

TAKE NOTICE that the Director hereby issues General Directive No. 1/2013 as follows:

The ORC Director hereby orders a stay of the continued implementation of the following Rules of Racing until June 30, 2013:

Rules of Standardbred Racing

Rule 3.02.01

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.

Rule 3.02.02:

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:

1. a horsepeople’s organization licensed pursuant to Rule 3.02.01; or
2. individuals licensed in good standing by the Commission and racing at that Association.

Failure to comply with this rule may result in fines or suspension.

Rules of Thoroughbred Racing

Rule 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.

Rule 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:

1. a horsepeople’s organization licensed pursuant to Rule 3.02.01; or
2. individuals licensed in good standing by the Commission and racing at that Association.

Failure to comply with this rule may result in fines or suspension. BY ORDER OF THE COMMISSION

(original document signed by)
Steve Lehman Executive Director

Preamble

WHEREAS amendments to the Pari-Mutuel Betting Supervision Regulations (“Regulations”) came into force on January 1, 2012;

AND WHEREAS as a result of the amendments to the Regulations, the Ontario Racing Commission (“ORC”) would be required to “approve” horsepersons;

AND WHEREAS the ORC determined that the mechanism for “approving” horsepersons would be conducted through licensing of horsepersons in accordance with the Racing Commission Act, 2000;

AND WHEREAS the ORC implemented certain Rules of Racing relating to the requirement for horsepersons (horsepeople’s organizations) to be licensed in accordance with the Racing Commission Act, 2000;

AND WHEREAS the horsepeople’s organizations served upon the ORC a Notice of Application for Judicial Review;

AND WHEREAS the Judicial Review was heard on March 14, 2012 and the decision of the Superior Court of Justice, Divisional Court was delivered on June 12, 2012;

AND WHEREAS the ORC and the horsepeople’s organizations determined that further consultations were required prior to the continued implementation of certain Rules of Racing related to the licensing of horsepeople’s organizations;

AND WHEREAS the Director issued General Directive No 4/2012 which ordered a stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until September 30, 2012;

AND WHEREAS the Director issued General Directive No 6/2012 which ordered a further stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until December 31, 2012;

AND WHEREAS the Director issued General Directive No 7/2012 which ordered a further stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until March 31, 2013;

AND WHEREAS the Director issued General Directive No 1/2013 which ordered a further stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until June 30, 2013;

AND WHEREAS the Director has received certain communications from horsepeople’s organizations and has determined that further consultation is required prior to the implementation of certain Rules of Racing related to the licensing of horsepeople’s organizations;

TAKE NOTICE that the Director hereby issues General Directive No. 2/2013 as follows:

The ORC Director hereby orders a stay of the continued implementation of the following Rules of Racing until December 31, 2013:

Rules of Standardbred Racing

Rule 3.02.01

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.

Rule 3.02.02:

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:

1. a horsepeople’s organization licensed pursuant to Rule 3.02.01; or
2. individuals licensed in good standing by the Commission and racing at that Association.

Failure to comply with this rule may result in fines or suspension.

Rules of Thoroughbred Racing

Rule 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.

Rule 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:

1. a horsepeople’s organization licensed pursuant to Rule 3.02.01; or
2. individuals licensed in good standing by the Commission and racing at that Association.

Failure to comply with this rule may result in fines or suspension.

BY ORDER OF THE COMMISSION

Steve Lehman
Executive Director

Pursuant to Section 7(f) of the Racing Commission Act, 2000, this directive sets the Annual Racetrack Licence Fee for the Ontario Racing Commission fiscal year 2013-2014, as part of the fees and other application charges applicable to a Licence to Operate a Racetrack. The fee is for an annual licence, calculated based on the portion of the total purses paid at each track for the 2011 racing season and is effective April 1, 2013, invoiced and payable in monthly amounts.

A late fee charge will apply to those tracks whose total payment is in arrears past the due date.

BY ORDER OF THE COMMISSION

Steve Lehman
Executive Director

This Directive sets the new annual allocation of revenue contributions of purse monies from the various racing associations and horse people groups to fund the Equine Medication Control Program for the fiscal year April 1, 2013 to March 31, 2014.

A late fee charge will apply to those tracks whose total payment is in arrears past the due date.

(1) To be deducted from the Horsemen’s Purses by track and remitted to ORC.
(2) To be paid from Track Operating expenses.

BY ORDER OF THE COMMISSION   

Steve Lehman

Executive Director

This Directive replaces General Directive No. 2/2012. The levy is an annual charge calculated based on total 2012 wagering from all sources (live and simulcast) related to each track’s betting permit.

In accordance with past practice, this levy is imposed pursuant to the Memorandum Of Understanding (MOU) between the Minister of Consumer and Business Services, the Ontario Horse Racing Industry Association and the Ontario Racing Commission, and is deemed an amount authorized under provincial enactment for the purpose of CPMA Regulation 103(1)(h).

Effective April 1, 2013, the fee for the fiscal year ending March 31, 2014, are as follows:

Note: A late fee charge will apply to those tracks whose total payment is in arrears past the due date.

BY ORDER OF THE COMMISSION

Steve Lehman
Executive Director

Preamble

WHEREAS amendments to the Pari-Mutuel Betting Supervision Regulations (“Regulations”) came into force on January 1, 2012;

AND WHEREAS as a result of the amendments to the Regulations, the Ontario Racing Commission (“ORC”) would be required to “approve” horsepersons;

AND WHEREAS the ORC determined that the mechanism for “approving” horsepersons would be conducted through licensing of horsepersons in accordance with the Racing Commission Act, 2000;

AND WHEREAS the ORC implemented certain Rules of Racing relating to the requirement for horsepersons (horsepeople’s organizations) to be licensed in accordance with the Racing Commission Act, 2000;

AND WHEREAS the horsepeople’s organizations served upon the ORC a Notice of Application for Judicial Review;

AND WHEREAS the Judicial Review was heard on March 14, 2012 and the decision of the Superior Court of Justice, Divisional Court was delivered on June 12, 2012;

AND WHEREAS the ORC and the horsepeople’s organizations determined that further consultations were required prior to the continued implementation of certain Rules of Racing related to the licensing of horsepeople’s organizations;

AND WHEREAS the Director issued General Directive No 4/2012 which ordered a stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until September 30, 2012;

AND WHEREAS the Director issued General Directive No 6/2012 which ordered a further stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until December 31, 2012;

AND WHEREAS the Director issued General Directive No 7/2012 which ordered a further stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until March 31, 2013;

AND WHEREAS the Director issued General Directive No 1/2013 which ordered a further stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until June 30, 2013;

AND WHEREAS the Director issued General Directive No 2/2013 which ordered a further stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until December 31, 2013;

AND WHEREAS the Director has determined that it is in the best interests of racing to further delay the implementation of certain Rules of Racing related to the licensing of horsepeople's organizations;

TAKE NOTICE that the Director hereby issues General Directive No. 6/2013 as follows:

The ORC Director hereby orders a stay of the continued implementation of the following Rules of Racing until March 31, 2014:

Rules of Standardbred Racing

Rule 3.02.01

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.

Rule 3.02.02:

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:

1. a horsepeople’s organization licensed pursuant to Rule 3.02.01; or
2. individuals licensed in good standing by the Commission and racing at that Association.

Failure to comply with this rule may result in fines or suspension.

Rules of Thoroughbred Racing

Rule 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.

Rule 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:

1. a horsepeople’s organization licensed pursuant to Rule 3.02.01; or
2. individuals licensed in good standing by the Commission and racing at that Association.

Failure to comply with this rule may result in fines or suspension.

BY ORDER OF THE COMMISSION

Steve Lehman
Executive Director

Preamble

WHEREAS amendments to the Pari-Mutuel Betting Supervision Regulations (“Regulations”) came into force on January 1, 2012;

AND WHEREAS as a result of the amendments to the Regulations, the Ontario Racing Commission (“ORC”) would be required to “approve” horsepersons;

AND WHEREAS the ORC determined that the mechanism for “approving” horsepersons would be conducted through licensing of horsepersons in accordance with the Racing Commission Act, 2000;

AND WHEREAS the ORC implemented certain Rules of Racing relating to the requirement for horsepersons (horsepeople’s organizations) to be licensed in accordance with the Racing Commission Act, 2000;

AND WHEREAS the horsepeople’s organizations served upon the ORC a Notice of Application for Judicial Review;

AND WHEREAS the Judicial Review was heard on March 14, 2012 and the decision of the Superior Court of Justice, Divisional Court was delivered on June 12, 2012;

AND WHEREAS the ORC and the horsepeople’s organizations determined that further consultations were required prior to the continued implementation of certain Rules of Racing related to the licensing of horsepeople’s organizations;

AND WHEREAS the Director issued General Directive No 4/2012 which ordered a stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until September 30, 2012;

AND WHEREAS the Director issued General Directive No 6/2012 which ordered a further stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until December 31, 2012;

AND WHEREAS the Director issued General Directive No 7/2012 which ordered a further stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until March 31, 2013;

AND WHEREAS the Director issued General Directive No 1/2013 which ordered a further stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until June 30, 2013;

AND WHEREAS the Director issued General Directive No 2/2013 which ordered a further stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until December 31, 2013;

AND WHEREAS the Director issued General Directive No 6/2013 which ordered a further stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until March 31, 2014;

AND WHEREAS the Director has determined that it is in the best interests of racing to further delay the implementation of certain Rules of Racing related to the licensing of horsepeople's organizations;

TAKE NOTICE that the Director hereby issues General Directive No. 1/2014 as follows:

The ORC Director hereby orders a stay of the continued implementation of the following Rules of Racing until September 30, 2014:

Rules of Standardbred Racing

Rule 3.02.01

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.

Rule 3.02.02:

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:

1. a horsepeople’s organization licensed pursuant to Rule 3.02.01; or
2. individuals licensed in good standing by the Commission and racing at that Association.

Failure to comply with this rule may result in fines or suspension.

Rules of Thoroughbred Racing

Rule 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.

Rule 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:

1. a horsepeople’s organization licensed pursuant to Rule 3.02.01; or
2. individuals licensed in good standing by the Commission and racing at that Association.

Failure to comply with this rule may result in fines or suspension.

BY ORDER OF THE COMMISSION

Steve Lehman
Executive Director

Preamble

WHEREAS amendments to the Pari-Mutuel Betting Supervision Regulations (“Regulations”) came into force on January 1, 2012;

AND WHEREAS as a result of the amendments to the Regulations, the Ontario Racing Commission (“ORC”) would be required to “approve” horsepersons;

AND WHEREAS the ORC determined that the mechanism for “approving” horsepersons would be conducted through licensing of horsepersons in accordance with the Racing Commission Act, 2000;

AND WHEREAS the ORC implemented certain Rules of Racing relating to the requirement for horsepersons (horsepeople’s organizations) to be licensed in accordance with the Racing Commission Act, 2000;

AND WHEREAS the horsepeople’s organizations served upon the ORC a Notice of Application for Judicial Review;

AND WHEREAS the Judicial Review was heard on March 14, 2012 and the decision of the Superior Court of Justice, Divisional Court was delivered on June 12, 2012;

AND WHEREAS the ORC and the horsepeople’s organizations determined that further consultations were required prior to the continued implementation of certain Rules of Racing related to the licensing of horsepeople’s organizations;

AND WHEREAS the Director issued General Directive No 4/2012 which ordered a stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until September 30, 2012;

AND WHEREAS the Director issued General Directive No 6/2012 which ordered a further stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until December 31, 2012;

AND WHEREAS the Director issued General Directive No 7/2012 which ordered a further stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until March 31, 2013;

AND WHEREAS the Director issued General Directive No 1/2013 which ordered a further stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until June 30, 2013;

AND WHEREAS the Director issued General Directive No 2/2013 which ordered a further stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until December 31, 2013;

AND WHEREAS the Director issued General Directive No 6/2013 which ordered a further stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until March 31, 2014;

AND WHEREAS the Director issued General Directive No 1/2014 which ordered a further stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until September 30, 2014;

AND WHERAS the Director issued General Directive No 2/2014 which ordered a further stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until March 31, 2015;

AND WHEREAS the Director issued General Directive No 1/2015 which ordered a further stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until September 30, 2015;

AND WHEREAS the Director has determined that it is in the best interests of racing to further delay the implementation of certain Rules of Racing related to the licensing of horsepeople's organizations;

TAKE NOTICE that the Director hereby issues General Directive No. 3-2015 as follows:

The ORC Director hereby orders a stay of the continued implementation of the following Rules of Racing until March 31, 2016.

Rules of Standardbred Racing

Rule 3.02.01

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.

Rule 3.02.02:

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:

1. a horsepeople’s organization licensed pursuant to Rule 3.02.01; or
2. individuals licensed in good standing by the Commission and racing at that Association.

Failure to comply with this rule may result in fines or suspension.

Rules of Thoroughbred Racing

Rule 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.

Rule 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:

1. a horsepeople’s organization licensed pursuant to Rule 3.02.01; or
2. individuals licensed in good standing by the Commission and racing at that Association.

Failure to comply with this rule may result in fines or suspension.

BY ORDER OF THE COMMISSION

Jean Major
Executive Director

Preamble

WHEREAS the Ontario Racing Commission (“ORC”) is committed to working with industry stakeholders to ensure that the integrity of the industry and public interest are upheld to the highest standards;

AND WHEREAS the integrity of races is preserved, in part, through the use of Race Patrol and Photo Finish equipment and/or services;

AND WHEREAS the Race Patrol and Photo Finish equipment and/or services used at Ontario Racetracks are vital tools which race officials rely upon while officiating races as such tools include live and retrievable video of the race and photo finish technologies;

AND WHEREAS in August of 2011, the Canadian Pari-Mutuel Agency ("CPMA") through its amendment of the CPMA Regulations, Section 43, eliminated the requirements of Racetrack Associations to provide video surveillance equipment for race patrol purposes;

AND WHEREAS there are currently no provincial or federal regulatory requirements with respect to race patrol equipment;

ND WHEREAS the division of Racing Operations of the ORC recently developed a comprehensive Service Standard document which provides for minimum standards of equipment used for Race Patrol and Photo Finish used by Racetrack Associations (hereinafter “2016 Standards”), following consultation with industry representatives;

AND WHEREAS the implementation of 2016 Standards allows the Racetrack Associations to:

1. Preserve usage of the current race patrol equipment for a period of time while urging racetrack operators to plan and negotiate with service providers for upgraded equipment which will meet the new standards;
2. Convert, update and replace existing equipment used for Race Patrol and Photo Finish Standards by April 1^st 2018; and
3. Benefit from sharing equipment based on non-conflicting race days, or use capital equipment pooling wherever possible if cooperation and logistical analysis is applied, creating potential savings for racetrack operators.

TAKE NOTICE that the Director hereby issues General Directive No. 1 – 2016, as follows:

The ORC Director hereby orders that effective February 1, 2016 all Ontario raceway/racetrack licensed administrators must commence implementing the 2016 Minimum “Race Patrol” and “Photo Finish” Standards Requirements outlined below and further orders that effective April 1, 2018, the 2016 Minimum “Race Patrol” and “Photo Finish” Standards become mandatory.

2016 MINIMUM “RACE PATROL” AND “PHOTO FINISH” STANDARDS:

1. Grouping

For the purpose of sharing equipment or capital equipment pooling, the following racetracks may form a group, subject to appropriate cooperation and logistical analysis performed by the grouped parties:

1. Clinton Raceway, Grand River Raceway, Hanover Raceway, and Western Fair Raceway;
2. Dresden Raceway and Leamington Raceway;
3. Flamboro Downs and Georgian Downs;
4. Mohawk Raceway and Woodbine Standardbred.

2. Reference Chart Race Patrol and Photo Finish – Ontario 2016

3. Race Patrol Equipment Specifications, 2016 Standards:

Camera Selection and Performance Specification:

Each camera grouping A, B or C must ultimately meet the minimum specification (equivalent or better) indicated for that group. Camera locations indicated for B or C may also select cameras of the next higher class i.e. Group C can install B or A Group Cameras. Similarly, locations identified in the “B” Group may also select Cameras from the “A” Group.

2016 Adherence Requirements:

All equipment replacements, upgrades or changes must meet or exceed these new standards during the conversion period of February 1, 2016 to the adherence date of April 1, 2018. Conversion to the 2016 minimum standards can be made at any time prior to the adherence requirement date of April 1, 2018.

Existing Race Patrol/Photo Finish service levels (quantity/quality of equipment) used during the 2015 racing season for adjudication must be maintained during the standards conversion period including access to Low Pan cameras where applicable.

4.  Camera / Lens Groupings, Listed by Track Name in Alphabetical Order

5. Provisions for Race Patrol Required of the Track/Association:

Pan Cameras (grandstand location) requirements:

1. Access to unobstructed view of the entire race course from the grandstand above the finish line near the Judges’ Room location.
2. Weather protection for equipment and operator (maintain an office environment).
3. Condensation control provisions for both lenses and windows for high humidity periods.
4. Camera turret where the temperature could fall below 12C when races are conducted. Note: Smooth operating camera turrets are deemed “essential” to race patrol adjudication; On-going turret maintenance & repair is required.
5. 2 AC outlets of Isolated Power; 117-120VAC 15Amp for the equipment.
6. Appropriate cable/signal-delivery connection or ST terminating single or multimode Fiber from race patrol room to all camera locations as well as the Judges Room.
7. Communication system/device to control room (hands free speaker phone) and access to emergency services.

Camera Towers- infrastructure requirements:

8. Camera towers (structure ladders and booth) are to be safety checked and inspected annually (inspection reports documented and available upon request)
9. Camera turrets required where the temperature could fall below 12C when races are conducted.
   Note: Smooth- operating camera turrets are deemed “essential” to race patrol adjudication; On-going turret maintenance & repair is required.
10. 2 AC outlets of Isolated Power; 117-120VAC 15Amp for the equipment.
11. Appropriate cable/signal-delivery connection or ST terminating single or multimode Fiber from race patrol room to all camera locations as well as Judges Room when required.
12. Heater sufficient to maintain 21C room temperature.
13.  Switchable light source inside the tower and on the ladder.
14. Safety provisions from the ground to the tower booth must meet current building code(s).
15. Intercom/Communication device in the tower to control room (hands free speaker phone) and access to emergency services.

Race Patrol Control room (Recording Location) requirements:

16. Camera mounting location as per ORC approved drawings.
17. Temperature control provisions for both operators & equipment to maintain 21C.
18. Weather protection for equipment and operator (maintain an office environment).
19. Adequate uninterrupted power circuits; 117-120VAC power at 15Amp - 4 AC outlets. Power outlets to be located at base of camera mounting base and at recording location.
20. Track must provide and install appropriate signal cables as required to judges, tote, photo finish, timing system, CCTV system locations from the operator’s position in the Grandstand (Judges’ Stand) to the camera positions in the Towers, Photo Finish Room etc. Contractor to terminate cables provided at both ends.
21. Provide all cable runs from the Pan Camera operator’s position in the Judges’ Area to all necessary System locations (check for direction of system requirements).
22. Internet connectivity that meets or exceeds “conditions of license” specification requirements to video stream signals to the ORC (Central Adjudication Room).
23. Telephone access to outside line (emergency services) and judges.
24. Duplex Intercom communications to all camera locations with hands-free operation.

6. Minimum Performance Specifications – Photo Finish/Timing

Digital Photo Finish line-scan sensor camera system guidance:

The Number of Cameras required is provided above in Chart B: “Reference Chart Race Patrol and Photo Finish – Ontario 2016,” listed by track.

Hardware & Software:

25. Minimum of one (1) Digital line scan sensor Color Camera per track (preferably two (2), with Automatic Gain control and Automatic Iris. Cameras must be capable of providing scan rate(s) selected between: 1500 to 5000 (Pixel Density). The minimum goal setting for Ontario is 1728 other settings deemed suitable for the actual site circumstances must be approved. Equipment selected and internal settings must be individually approved based on site testing for each track. Each camera connects to a computer through Ethernet topology to allow non-proprietary cabling and maximum flexibility in camera distance from computer. Reverse angle camera positioned trackside is recommended as a supplement but optional.
26. Lens selection requires site specific analysis to achieve maximum light transmission, focal length, depth of field and optimum zoom ratio. Lenses selected must therefore be selected using detailed analysis of site specific challenges and approval by site.
27. Contractor must provide visible alignment targets on the inside and outside of each track surface aligned with available survey markers at the finish line.
28. An electronic start beam must be made available to start the camera/timer or feed providing a pulse from any existing electronic timer beam must be made available to start the camera.
29. Timer Enabling Option, which allows events to be timed on any number of cameras connected across the network. The number of cameras capable of being connected, unlimited. Multiple camera angles are to be displayed on one computer screen (main, back-up and mirror cameras).
30. Fully digital output, capable of being connected to any computer running Windows, including notebooks, without the use of any intermediate proprietary hardware.
31. Camera capable of combining of adjacent pixels on the CCD for purposes of increasing light sensitivity and allowing a digital zooming effect.
32. Camera capable of being positioned up to 2 km from computer to allow for remote reverse angle shot to replace mirror where applicable. System must have an option for camera to be powered remotely and used in wireless topology.
33. Camera Control Software, which allows operation on computers running Windows, with Database Integration. “Results” can be printed or sent to another computer, Internet, Display Board, Television or any Media Network seconds after race finishes. Running Time capable of being paused or stopped and sent to such external devices during the race.
34. Software must be robust, secure and allow for a pre-emptive multitasking operating system.
35. Software must allow the option to exchange the start list and results data with a variety of event management database packages as well as off-the-shelf software such as Excel, Access, etc.
36. Software must be language independent, allowing menu customization and localization. The user must be able to choose their preferred breed terminology and create their own, according to the type of racing and preference of the Regulator.
37. Electronic data processing minimizes the risk of human error or unauthorized data manipulation. To that effect, the image evaluation software must be capable of producing charts automatically related to the time result of each participant. Timing resolution is to be adjustable to seconds, fifth, tenth, hundredth, thousandth, ten thousandth as needed. Rounding of time fraction is to be field definable by site.
38. Measure of “length” must be field definable to match governing bodies’ definition. Software must allow variable measure, based on a definable horses’ speed in any given race, regardless of race distance, track condition, type of racing or any other variable that may affect the value of this measure and be changeable to match visual reference.
39. Capture duration is to be limited only by hard drive size (virtually unlimited, with a minimum of 320 gig hard drive) across the full spectrum of scan rates and image densities. The capture rate must not be limited by RAM in the computer.
40. Simultaneous capture and evaluation must be possible on a single computer. The operator must be able to capture the race on one screen, while the race is being evaluated, or even capture a race picture, while evaluating a prior race. Capture on one computer with evaluation of same race on another computer must be possible while in capture state.
41. Multiple open events must be possible.
42. Easy serial port and/or network connection to other PC based data programs must be possible.
43. Connection to message centers and displays boards through serial port and TCP ports possible.
44. Even if the Manufacturer or Supplier provides free 24 hour/day 365 days/year technical support, and maintains “Hot Swap” cameras in stock to support eventual failures in the field with immediate response, a backup system arrangement must be made available for immediate dispatch at all times.
45. Note: some manufacturers may also offer a One-year Instant Replacement warranty with optionally extendable warranties up to 5 years.
46. Cameras must accept Lens mounts compatible with Nikon or Canon lenses (or lenses with equivalent light transmission) and be equipped with a thru-the-lens viewer and remote Iris controller.
47. Cameras must be equipped with Digital Zoom to allow use of higher quality fixed focal length lenses.
48. Four axis mounting apparatus (such as manfrotto or equivalent) as to assure proper mounting and alignment of camera in vertical plane of finish line.
49. TCP network controllable AC power switch possible.
50. At least one (1) Windows PC, with one (1) NIC for communication with camera(s), and one (1) optional NIC for communication with Governing Body’s network and the Internet. Up to three (3) DVI display outputs, for judges, operator, and TV Scan Converter. At least one (1) 24”1920 by 1080 DVI display for Judges. One (1) high quality Keyboard and Mouse.
51. One (1) Genlockable Scan Converter with DVI input, SD/HD SDI output, NTSC Composite Video output. Capable of automatic upscale and downscale with Anti-Flicker, Zoom and Freeze functionalities. Each system must have at least (1) one 1920 by 1080 DVI display for scan converter monitoring.
52. Optional software must be available to transmit Running Time and Results to TV Control Room for further display on track CCTV where applicable.
     
7. Photo Finish Camera Must be Capable to Meet the Following Minimum Technical Specifications:
53. Sensor Type                                       Single Line CCD
54. Acquired Image Height                       1200 to 4000 pixels
55. Pixel Density                                       Minimum sensor capacity of 1728
56. Line-Scan Rate                                   1500 to 5000 lines/sec.
57. Digital Zoom                                        25% to 200%-300%
58. Image Compression                           Real-Time Lossless
59. Time Resolution                                  Up to 1/3000th of a second
60. Pixel Rate                                           Up to 20M pixels/sec
61. Maximum Pixel Depth                        2M colors
62. Exposure Control                                Automatic
63. Gamma Correction                             Real-Time in camera hardware
64. Phase Light Compensation                Adjustable (Option)
65. Capture Method                                  Manual, Automatic, Timed, Photo Eye
66. Standard Lens Mount                         F-mount w/ Reflex Viewer and Auto Iris  control
67. Minimum Lighting                               1000lux at 1000 lines/sec subject to object reflectivity and background
68. Recommended Lighting                     >2500lux or better preferably non-pulsing type
69. Connection to Computer                    Cat5 (100BT) or Fiber
70. Distance from Computer                    100m to 2000m max. based on cabling topology
71. Remote Control Options                     Iris
72. Time Base                                           ±1ppm from 0 - 50º C
73. Computer Interface                             Wired or Wireless Ethernet
74. External Power Source                       12 V DC or 90-264 V AC, 47-63Hz
75. Cooling                                                Forced Air
76. Operating Temperature                      0 to 50ºC
77. Storage Temperature                         -25 to 80ºC
8.  Photo Finish Control Software Minimum Specifications:
78. PC Platform Windows compatible.
79. Multiple Simultaneous Camera Views with TimeTracking between cameras.
80. Native Virtual Memory for Continuous Imaging.
81. Secure File System with enhanced file sharing permissions.
82. Real-Time Serial or Network Display Interface for Running Time & Results.
83. Generic Database Interface (Network, File or Serial based).
84. Manual or Automatic Lane Identification capable.
85. Image/Results Printing with Automatic Start Indication.
86. Intelligent Continuous Image Zoom and Rolling Scroll.
87. Live Video Mode for Accurate Camera Alignment.
88. Brightness, Contrast and Gamma Post-Processing of multiple regions of image independently.
89. Start logging and retrieval capability.
90. Fully Automatic Split Timing Capability.
91. Object Finder and Automatic Dead-Space Elimination.
92. Automatic capture capability.
93. Allow use of camera as virtual photo eye.
94. Lap & Split time recording.
95. Measure of “length” field definable to match governing bodies’ definition.
96. Language independent, allowing user to choose their preferred terminology language or even terminology set, as well as creating new terms as to match governing bodies’ definition.
97. Result fields to simultaneously display Horse #, Start Position, Finish Position, Horse’s Name, Driver or Jockey, Trainer, Owner, Finish Time, Lengths, Delta Time, Cumulative Lengths. Option to display any combination of these fields as an overlay on the image to aid judges or to display to public. At a minimum each finish display to the public must include the track name, date, race number, and Win, Place or Show overlays.
98. Customizable User Interface to ease operation.
9.  Provisions for Photo Finish That is Required of the Track/Association:

Winning post mirror (for thoroughbred):

99. Mirror and mounting base at the winning post.
100. Reverse angle camera mounting base at the winning post (optional provision).
101. A slot in the running rail in front of the mirror.
102. Power to the camera base post for a reverse angle camera system, 117-120VAC power at 15Amp.
103. 2 AC outlets in NEMA enclosure of sufficient size to host camera IP remote power outlet (12 X 15X 8 cm) and Fiber Transceiver (3 X 10 X 15 cm).
104. Supplementary artificial lighting where necessary to enhance mirror images.
105. One (1) ST terminating single or multimode Fiber from NEMA enclosure to Photo Finish control apparatus in Judges’ Room.

Survey must be provided and confirmed at all tracks:

106. Surveyor to align the finish line to the track and mark the sight line for the cameras.
107. Six Finish line indicators at the following locations as confirmed by the surveyor:
     1.  Finish post or Mirror post base;
     2. Outer running rail ground;
     3. Judges’ room railing or countertop;
     4.  Judges’ rear wall;
     5. Photo Finish Room window railing;
     6. Photo Finish Room rear wall.

Photo Finish Room (Camera Location) Minimum Requirements:

108. One (1) Camera mounting pedestal for 2 cameras, as per ORC approved drawings.
109. One (1) uninterrupted power circuits 117-120VAC power at 15Amp - 4 AC outlets. Power outlets to be located at base of camera pedestal.
110. Supplementary artificial lighting where necessary to enhance pictures.
111. Two (2) Timer Start Signal solenoids which shall close the N/O voltage free contacts and start the camera timers when the race starts or the starting gate opens. Client will provide one (1) cable with a single twisted pair (22 AWG stranded), connected to the N/O voltage free contacts of each of the two solenoids.
112. Track must provide two (2) cables with a single twisted pair (22 AWG stranded), to be run from the Photo Finish operator’s position in the Judges’ Room to the camera positions in the Photo Finish Room; Contractor to terminate cables at both ends. In the case of non-availability of the start gate signal (thoroughbred/quarter horses only) then a means to manually start the internal timing is to be provided.
113. Three (3) Cat 5 cables to be run from the Photo Finish operator’s position in the Judges Room to the camera positions in the Photo Finish Room.
114. A direct view of the track. The cameras cannot view the track through a window. If this is difficult then an opening window shall be provided that can be slid open for the duration of each race. A slit window to enable both cameras to view the track need only be 150mm wide and the height of the 2 cameras.
115. Care needs to be taken with condensation control for both lenses and windows for high humidity periods.

Photo Finish operator’s position in Judges Room:

116. Counter Space or Desk along back and/or side wall of Placing Judges’ Room of sufficient size (±2400 mm long) to support:
     1. Two (2) Computers with mice and One Laser Printer when required;
     2. DVI peripherals and SDI Scan Converters;
     3. (Judges’ and SDI displays will be wall mounted (± 1800 mm high) with VESA supports;
     4. Power and 3KVA UPS with power distribution (12 sockets) for the PCs and associated equipment;
     5. Power outlets on back wall, above counter (or under as to hide AC cords, as long as easily accessible);
     6. Ethernet Access to house LAN to access Start Lists and to disseminate Results and Photos where applicable;
     7. One (1) ST terminating single or multimode Fiber shall run from Judges Room to TV Control Room if more than 100 ft distance;
     8. One (1) operators’ chair.

System check list for a Typical One-Camera Photo Finish System:

117. Any Camera Photo Finish System must contain or have the following features:
     1. Colour Line scan Camera (site survey required to determine optimal model);
     2.  Fixed focal length Lens with a 35mm type mount (specific to track);
     3. Manfrotto camera mount (models change call for guidance) ;
     4. Iris Control Interface (recommended for most sites) ;
     5. Camera start Switch;
     6. Start switch interface;
     7. Camera stand (customized according to setup);
     8. UPS Backup Power Supply;
     9. Power bar;
     10. Computer with Windows Software (see detailed configuration details);
     11. Ethernet and TCIP Ports;
     12. Cat 5 cable (customized according to camera computer location);
     13. Hi Res Computer Monitor;
     14. Matrox or other Video Scan Converter;
     15. Output Monitor 1980 x 1080 with DVI input.

10. Fiber Optics guidance information:

Most of the existing cables that transmit the video to the Judges and Stewards from the race patrol cameras in Ontario may not be suitable for transmission of the more “data rich” HD content required by current model equipment. In most cases this issue will require re-cabling to deliver the HD content from camera positions to the race patrol recording location and then on to the Judges’ Stand. Some tracks have fiber optic cables in place. However, transitioning to HD will require advice and guidance in adapting to new site-specific Transmit and Receive boxes that connect to the terminals at each end of the cable.

Alternatively a wireless solution may be more suitable under certain situations to transmit the signals back from remote cameras particularly for those looking for a temporary solution.

The licensed racetrack administrators should use the following information related to this transmission of race patrol camera signals that may be helpful in upgrading the Photo Finish and Video Patrol Systems.

For tracks without fiber optic cables in place:

118. Single mode fiber is recommended to transmit up to 1.5 Gigabytes data rate.
     1. Single mode may actually be less expensive than multi mode fiber and will handle higher data rates over longer distances than multi mode. It is also more adaptable to possible higher data rates in the future;
     2. The transmitters and receivers for single mode fiber may cost more than the units used for multi mode.
119. Multi mode fiber is “data limiting” but may be adaptable for applications in the building.
120. For cost efficiency Lay at least six strands of 8-10 micron fiber in one cable.
121. Cost per meter of cable vary depending on application variables i.e.: number of glass strands, (armored, direct burial or aerial) micron size, distance, type of data, if used for audio as well, communications applications, control circuits etc. (consult a knowledgeable fiber optics contractor familiar with HD TV transmissions).
122. The Flex (bidirectional TX and RX units utilizing 2 fibers) can cost up to $1,600 each, your application may cost less.

For tracks that have fiber optic cables in place:

123. Most legacy fiber installations are 50 micron or the older 62.5 micron cables used in multi-mode. The older SD composite video TX and RX fiber boxes are not suitable for HD-SDI transmissions that now require higher data rates.
124. 50 micron MM fiber is typically used for up to 1.3 km applications.
125. 62.5 micron MM fiber is typically used for up to 1km applications.
126. Legacy (older multi-mode fiber) installations require upgraded TX and RX boxes to adapt to current HD-SDI requirements. Note: legacy fiber installations may not adapt to future data rate requirements or may not be adaptable to current standards due to distance limitations.
127. An upgrade to multi-mode TX and RX boxes may cost $1,000.00 each end or more depending on your application and communication needs. It may also be necessary to add repeaters if your application exceeds the distance limitations. Be sure to get expert advice and a site visit to determine the adaptability to your situation.

For a good cross section of available fiber optic hardware options the ORC recommends visiting Communication Specialties Inc. web site www.commspecial.com to learn more or call Paul Seiden at (813) 653-1686.

In Canada, SS Marketing Distribution handles fiber optic hardware (514) 780-2070 or contact Rob DeSlaulier (416) 832-8025 or other vendors to obtain more information.

For information on fiber installations and cable it is recommended to contact Com Cabling (800) 331-3069 or other installation vendors.

Wireless transmission option:

Wireless HD transmitters are relatively new for applications that require the distances required at most race tracks. New high gain antennae are being developed and customized to allow for wireless point to point transmission such as those that would be required to transmit from the camera towers at the tracks with good results of up to 2,500ft.

These low powered transmitters are required to be operated below the 100 m-watts maximum in the 5 to 6 Gig band spectrum to be unlicensed. Since the transmitters are low-powered they require high gain fixed antenna precisely pointed to be effective.

Transmitters of this category will also transmit imbedded HD audio or one channel of stereo analogue audio when connected to its built-in XLR 5 inputs.

The cost of a suitably configured system with specialized antenna to transmit wirelessly from a typical camera tower could cost in the range of $30,000.00 (+/-)

For more information about wireless the ORC recommends to contact Peter Crevier at (416) 399-0528 or other HD wireless vendors.

BY ORDER OF THE COMMISSION

Jean Major
Executive Director

Preamble

WHEREAS amendments to the Pari-Mutuel Betting Supervision Regulations (“Regulations”) came into force on January 1, 2012;

AND WHEREAS as a result of the amendments to the Regulations, the Ontario Racing Commission (“ORC”) would be required to “approve” horsepersons;

AND WHEREAS the ORC determined that the mechanism for “approving” horsepersons would be conducted through licensing of horsepersons in accordance with the Racing Commission Act, 2000;

AND WHEREAS the ORC implemented certain Rules of Racing relating to the requirement for horsepersons (horsepeople’s organizations) to be licensed in accordance with the Racing Commission Act, 2000;

AND WHEREAS the horsepeople’s organizations served upon the ORC a Notice of Application for Judicial Review;

AND WHEREAS the Judicial Review was heard on March 14, 2012 and the decision of the Superior Court of Justice, Divisional Court was delivered on June 12, 2012;

AND WHEREAS the ORC and the horsepeople’s organizations determined that further consultations were required prior to the continued implementation of certain Rules of Racing related to the licensing of horsepeople’s organizations;

AND WHEREAS the Director issued General Directive No 4/2012 which ordered a stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until September 30, 2012;

AND WHEREAS the Director issued General Directive No 6/2012 which ordered a further stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until December 31, 2012;

AND WHEREAS the Director issued General Directive No 7/2012 which ordered a further stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until March 31, 2013;

AND WHEREAS the Director issued General Directive No 1/2013 which ordered a further stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until June 30, 2013;

AND WHEREAS the Director issued General Directive No 2/2013 which ordered a further stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until December 31, 2013;

AND WHEREAS the Director issued General Directive No 6/2013 which ordered a further stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until March 31, 2014;

AND WHEREAS the Director issued General Directive No 1/2014 which ordered a further stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until September 30, 2014;

AND WHERAS the Director issued General Directive No 2/2014 which ordered a further stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until March 31, 2015;

AND WHEREAS the Director issued General Directive No 1/2015 which ordered a further stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until September 30, 2015;

AND WHEREAS the Director issued General Directive No 3/2015 which ordered a further stay of the implementation of certain Rules of Racing relating to licensing of horsepeople’s organizations until March 31, 2016;

AND WHEREAS the Director has determined that it is in the best interests of racing to further delay the implementation of certain Rules of Racing related to the licensing of horsepeople's organizations;

TAKE NOTICE that the Director hereby issues General Directive No. 2-2016 as follows:

The ORC Director hereby orders a stay of the continued implementation of the following Rules of Racing until December 31, 2016.

Rules of Standardbred Racing

Rule 3.02.01

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.

Rule 3.02.02:

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:

1. a horsepeople’s organization licensed pursuant to Rule 3.02.01; or
2. individuals licensed in good standing by the Commission and racing at that Association.

Failure to comply with this rule may result in fines or suspension.

Rules of Thoroughbred Racing

Rule 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.

Rule 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:

1. a horsepeople’s organization licensed pursuant to Rule 3.02.01; or
2. individuals licensed in good standing by the Commission and racing at that Association.

Failure to comply with this rule may result in fines or suspension.

BY ORDER OF THE COMMISSION

Jean Major
Executive Director

The Ontario Racing Commission at its meeting of Thursday, May 27, 2010 resolved that the Rules of Standardbred Racing 2008 be amended as follows, effective immediately.

Chapter 15
CLAIMING RACES

Rule 15.09  A claimed horse, regardless of ownership:

<<Continued >>

(b)     shall only be entered in a claiming race within 15 days of the horse being claimed, if it is entered in a claiming race in a class higher than the race from which it was claimed. For the purpose of this requirement, a “class higher “shall be not less than 20 % more than the amount for which the horse was claimed.

(b)        Deleted

<<Continued >>

BY ORDER OF THE COMMISSION

John L. Blakney
Executive Director

The Ontario Racing Commission at its meeting of Wednesday, July 28, 2010 resolved that the Rules of Standardbred Racing 2008 be amended by the promulgation of the following Rules, effective September 15, 2010, except where noted otherwise.

Please note:  Additions to rules are noted in bold.

Chapter 2

DEFINITIONS

Preference Date means a date in which a horse has been drawn in to start.

Chapter 6

VIOLATIONS, FINES, SUSPENSIONS AND EXPULSIONS

Rule 6.02  Violation of the following shall make offenders liable to a fine or suspension:

1. failure to drive when programmed without having been excused by the Judges;
2. use of offensive  or profane language;
3. Delete;
4. Failure to wear silks when warming up a horse prior to racing;
5. Disturbing the peace;
6. Failure to have proper saddle cloth on a horse when warming up for a race;
7. Failure to participate in, or being late for a post parade without permission of the Judges; or
8. Failure to have proper head number and saddle cloth on a horse when racing;
9. Smoking is prohibited within 10 feet of any designated signed areas, stall, tack room, shedrow or any portion of a barn including the paddock. For the purpose of this rule, the paddock will include the cafeteria, drivers’/jockeys’ change room, washrooms and offices within the paddock area. Smoking shall also be prohibited on the racetrack:
   1. while mounted on a race horse or pony and /or
   2. while warming up a horse within two hours of post time of the first race or during the race card.

Penalty for an infraction of Rule 6.02(i):

• First offence will result in a $50 fine,
• Second offence within a year of the first offence will result in a $300 fine or a 5 day suspension or both,
• Third offence within a year of the first offence will result in a minimum fine of $500 and a 7 day suspension,
• Fourth offence within a year of the first offence will result in a indefinite suspension and referral to the Director.

Rule 6.48.02  The holder of a licence as an owner and/or trainer issued by the Commission shall constitute permission to allow a person designated by the Director to collect or otherwise obtain biological samples from any horse owned and/or trained by a licencee, for purposes of testing. Samples may be collected and tested at any time, whether stabled on or off the grounds of the racing association. Where a blood sample has been collected for purposes of TC02 testing, that sample may be used for testing for the indication of the administration of erythropoietin or any of its synthetic derivatives, and/or any other substance as designated by the Director. The application for a licence as an owner and/or trainer issued by the Commission shall constitute permission for a person designated by the Director to obtain that blood sample for such purposes.

NEW Rule 6.53  No person shall administer, attempt to administer, or cause to be administered, any medication by a nasogastric tube to a horse on race day prior to its race, except for emergency treatment, which treatment will result in the horse being scratched from the race.

Chapter 8

COMMISSION VETERINARIANS, OFFICIAL VETERINARIANS
AND OTHER VETERINARIANS

Rule 8.14  A veterinarian who dispenses a drug or medication shall label the container in which the drug or medication is dispensed with the following information:

1. name, strength and quantity of the drug or medication,
2. date dispensed,
3. name and address of the dispensing veterinarian,
4. identity of the horse for which it is prescribed,
5. name of the trainer of the horse, and
6. the directions for use and the detection limit determined in accordance with Rule 8.10.01,
7. In the event that the a drug or medication is to be dispensed to multiple horses from a single container, such container shall be marked “BARN USE”, and will be exempt from items 2 and 4 above and replaced by a written log, in the prescribed form, identifying the horses for which the drug or medication was prescribed, the date dispensed and all other information required in the prescribed form.

(Effective date of this amendment shall be subject to the closing of the public process)

Chapter 15

CLAIMING RACES

Rule 15.09  A claimed horse, regardless of ownership, shall only race at a track or tracks in the province of Ontario for the next 60 days, except where such horse has been nominated to participate in an added money event before it was claimed, or unless the track where the horse was claimed closes for more than 30 days. In the case of a track closing for more than 30 days, the horse is released from the provisions of this rule the day after the track closes. For the purposes of this rule, racetracks operated by Woodbine Entertainment Group shall be considered one track. Any person who violates this rule shall be subject to a suspension or fine of 10% of the claiming price or 100% of the purse for each race, whichever is greater and the horse may be suspended. A claimant shall be held in violation of this rule if he or she disposes of the horse in any manner other than by claiming and the horse races outside of the Province of Ontario within 60 days of the horse being claimed.

Chapter 17

DECLARATIONS AND DRAWING OF POST POSITIONS

Rule 17.10  Starters and also eligibles for overnight events shall be drawn by lot from horses properly declared to start, except that preference shall be given according to a horse’s last scheduled start in a purse race, other than races designated as schooling races, at the gait for which it is declared.  In addition, preference shall be governed by the following:

1. if more than the required number of horses are declared in with the same   preference date, the previous two preference dates shall apply. A race secretary may draw by lot if more than two previous preference dates are identical. These procedures are to be carried out at the time of the draw in the presence of licensed participants;
2. when a horse is racing for the first time at the gait declared, it shall have preference over other horses regardless of their preference dates;
3. if a declaration is made for a horse that has already been drawn in to start in a race that has not yet been contested, the date of that uncontested race shall be its preference date;
4. the declarer shall be responsible for providing acceptable evidence of exact preference dates governed by eligible declarations or starts in uncontested races made at other tracks;
5. when a race has been reopened for additional declarations, preference shall be given to those horses eligible and declared at the time declarations closed originally;
6. if conditions so specify, preference can be given to two-year-olds, regardless of preference date;
7. if a horse was scratched due to error or negligence by an official or employee of the association;
8. when otherwise determined by the Judges;
9. not withstanding Rule 22.33.

Rule 17.12.02  If 17.12.01 (a) or (b) applies to an owner, the horse may race as a separate betting interest, with the approval of the Judges, if the owner is not required to be licensed under the rules, or is an added money event.              

Chapter 18

PLACING AND MONEY DISTRIBUTION

Rule 18.08.02  A horse while on stride, or part of the horse’s sulky, that leaves the race course by going inside the pylons which constitutes the inside limits of the course, when not forced to do so as a result of the actions of another driver and/or horse, shall be in violation of this rule.  In addition, when an act of interference causes a horse, or part of the horse’s sulky, to cross inside the pylons and the horse is placed by the Judges, the offending horse shall be placed behind the horse with which it interfered.

For purposes of placing the following shall apply:

1. If a horse while on stride, or part of the horse’s sulky, goes inside two (2) consecutive pylons, the offending horse shall be placed behind all horses that are lapped on to the offending horse at the wire,
2. If a horse while on stride, or any part of the horse’s sulky, goes inside three (3) or more consecutive pylons, the offending horse shall be placed last,
3. If in the opinion of the Judges a horse while on stride, or part of the horse’s sulky, goes inside a pylon(s) and that action gave the horse an unfair advantage over other horses in the race or the action helped improve its position in the race, the horse may be placed at the discretion of the Judges.

Drivers who in the opinion of the Judges leave the racing course when not forced to do so as a result of another driver and/or horse may be fined or suspended.

Penalties for drivers violating Rule 18.08.02 are as follows:

• for the 1^st offence, a fine of $100 shall be assessed;
• for the 2^nd offence within a year of the 1^st offence and within 750 drives of the 1^st offence, a fine of $300 shall be assessed;
• for the 3^rd offence within a year of the 1^st offence and within 750 drives of the 1^st offence, a minimum fine of $500 plus a suspension for 3 days shall be assessed;
• for the 4^th offence within a year of the 1^st offence and within 750 drives of the 1^st offence, a minimum fine of $1,000 and a suspension for 5 days shall be assessed.

Chapter 20

JUDGES’ AND VETERINARIANS’ LISTS

Rule 20.03.01  Where a horse, entered to race, is scratched by the judges, as a result of the horse having received any:

1. medication;
2. medical treatment; or
3. medical procedure;

the judges may impose a fine upon the trainer of the horse unless the trainer satisfies the judges that the medication, medical procedure or treatment was in the best interests of the health of the horse.

Chapter 22

RACING RULES

Rule 22.25  Any trainer who wishes to change any bridle, hopples, length of hopples or shoes on a horse from one race to another shall apply to the Judges at least one (1) hour prior to the first scheduled post time of the day, or a time prescribed by the Association, for permission to do so, and no change shall be made without such permission. The Judges shall assure themselves of the necessity for any change of bridles, hopples, length of hopples or shoes before granting permission. Any such change, or change(s) of a nature which the Judges are of the opinion that the public should be advised shall be communicated to the public as soon as possible.

NEW Rule 22.32.01  Where, after the horses were released at the starting point the Judges determine that due to exceptional circumstances a race was prevented from having a fair chance to be contested, in the interest of the public the judges may order the race stopped.

Rule 22.38.05  All horses that race are eligible to be selected by the Judges for blood gas testing. The entry of a horse shall constitute permission for a person designated by the approved TC0₂ laboratory to obtain blood samples. To the extent that it is feasible, the owner, trainer or other person responsible for the horse will be given notice that the horse is to be tested and may be present when the blood sample is taken. Refusal by an owner, trainer or other person responsible for the horse to attend the taking of the sample will not affect the validity of the test. Any owner, trainer or other person responsible for the horse who refuses or fails to permit the taking of a sample from a horse shall have all applicable horses scratched by the Judges. Such refusal shall be deemed an admission of a violation of Rule 22.38 empowering the Judges to hold a hearing whereby the penalties contemplated by 22.38.06 may be imposed. It shall be the responsibility of the trainer of a horse selected for post-race testing to see that the horse is taken directly to the testing barn or retention area immediately after being notified of the horse’s selection for testing.

Commission Judges will select the horses to be tested and advise the approved TC02 laboratory personnel accordingly. Commission Judges may also instruct the approved TC02 laboratory personnel to collect samples from every horse in selected races.

The approved TC0₂ laboratory is responsible for:

1. collecting blood samples, by an authorized person (veterinarian or RAHT – Registered Animal Health Technician, or other person approved by the Commission) from each selected horse into two plasma separator tubes;
2. collecting the samples within approximately 20 minutes immediately preceding the start of the race in which the selected horse is entered, or as directed by an ORC Judge. The ORC Judges may also direct the collection of the sample from a selected horse at least 90 minutes after a race in a secured area designated by the Judges;
3. ensuring that the samples are centrifuged within approximately 20 minutes of collection and kept under refrigerated conditions until shipped;
4. shipping the samples to the laboratory in an insulated container;
5. analysing samples for TC0₂ using a Beckman Synchron EL-ISE;
6. analysing samples within 48 hours, or up to a maximum of 96 hours in exceptional circumstances, of collection and reporting all results to the Commission and the Canadian Pari-Mutuel Agency.

NEW Rule 22.39  An owner and/or trainer wishing to race a horse upon the grounds of an association in accordance with the regulations set forth by the Canadian Pari-Mutuel Agency for the use of penicillin G procaine must so declare on the applicable form which fulfills the requirements of the Canadian Pari-Mutuel Agency. This form must be signed by the  horse’s  veterinarian or trainer and deposited in a locked box in a place designated by the Ontario Racing Commission or provided to  a test inspector no later than one half (1/2) hour before the post time of the race in which the horse is entered.

Chapter 31

STANDARDBRED CANADA FIELD REPRESENTATIVE

Rule 31.01  A Standardbred Canada field representative shall:

<continued>

b)  input to and maintain accurately the Standardbred Canada database, including:

<continued>

            (xi)   Delete

<continued>

  Chapter 37

OUT OF COMPETITION PRAGRAM

Rule 37.02  When an order for a biological sample has been made by the Director, the samples will be taken by a veterinarian employed by the Commission, an Official Veterinarian, or a qualified person approved by the Commission Supervisor of Veterinarians, to determine whether or not the horse has any drug, medication or other substance in its system.

NEW Rule 37.09  Owners and/or trainers of horses shall allow a person designated by the Director access at any time, whether on or off the grounds of a racing association, to the following:

1. stabling areas;
2. training areas; and/or
3. trailers used for the transportation of horses and vehicles.

Access shall be granted for the purposes of:

1. conducting unannounced random searches for illegal or non-therapeutic medications or drugs, including any drug, substance, article or medication listed in Rule 6.46.01, or other device described in the rules; and/or
2. seizing any suspected illegal or non-therapeutic medication or drugs, including any drug, substance, article or medication listed in Rule 6.46.01, or other device described in the rules. Any medication, drug, substance, article or device seized may be forwarded by the Commission to the official chemist for analysis.

For the purposes of Rule 37.09, a horse shall be deemed to be:

1. a horse that has raced in the past 60 days or is within 60 days of racing and/or qualifying;
2. a horse qualified to race in Ontario;
3. a horse entered to race in Ontario; and/or
4. a registered standardbred horse.

BY ORDER OF THE COMMISSION

John L. Blakney
Executive Director

The Ontario Racing Commission at its meeting of Thursday, September 9, 2010 resolved that the Rules of Standardbred Racing 2008 be amended by the promulgation of the following Rule, effective immediately.

Chapter 37

OUT OF COMPETITION PROGRAM

Rule 37.09      Owners and/or trainers of horses shall allow a person designated by the Director, acting upon reasonable and probable grounds, access at any time, whether on or off the grounds of a racing association, to the following:

1. stabling areas;
2. training areas; and/or
3. trailers used for the transportation of horses and vehicles.

Access shall be granted for the purposes of:

1. conducting unannounced random searches for illegal or non-therapeutic medications or drugs, including any drug, substance, article or medication listed in Rule 6.46.01, or other device described in the rules; and/or
2. seizing any suspected illegal or non-therapeutic medication or drugs, including any drug, substance, article or medication listed in Rule 6.46.01, or other device described in the rules. Any medication, drug, substance, article or device seized may be forwarded by the Commission to the official chemist for analysis.

For the purposes of Rule 37.09, a horse shall be deemed to be:

1. a horse that has raced in the past 60 days or is within 60 days of racing and/or qualifying;
2. a horse qualified to race in Ontario;
3. a horse entered to race in Ontario; and/or
4. a registered standardbred horse.

BY ORDER OF THE COMMISSION

John L. Blakney
Executive Director

The Ontario Racing Commission at its meeting of Thursday, February 24, 2011 resolved that the Rules of Standardbred Racing 2008 be amended by the promulgation of the following Rules, effective March 1, 2011, except where noted differently.

Please note:  Additions or changes to the rules are noted in bold.

Chapter 7

RACING ASSOCIATIONS

Rule 7.16.05   An Association shall disburse the monies from the Purse Account(s) only as follows:

1. to pay purses in accordance with the Rules of Racing; or
2. with respect to any monies received from the Ontario Lottery and Gaming Corporation, in accordance with the provisions of an agreement between the Ontario Lottery and Gaming Corporation and the Association, or as specified by the Director; or
3. to reimburse owners for races that are cancelled or races that are declared ‘no contest’ by the Director or his delegate; or
4. for other purposes which are approved by the Director that are for the benefit of racing or will provide benefits to all or a sizeable proportion of horsepeople who participate at meetings of the Association. 

The Association, in a manner satisfactory to the Director, shall at the time of disbursement disclose or cause to be disclosed to owners, trainers and others who receive purse money, the purposes under (iv) above and the amount of any monies disbursed for such purposes.

(Rule 7.16.05 effective immediately)

Chapter 12

QUALIFYING RACES

Rule 12.02  Declaration for overnight events, other than schooling races or matinee races, at extended meetings, shall be governed by the following:

1. qualifying standards shall be established by the race secretary, filed with the Judges and posted so as to be available for inspection of participants at all times. A horse shall be deems unqualified if …

<rule continued>

New Rule 12.02.01  When entering into overnight races, a horse’s individual time in its last clean charted line in a purse, qualifying or schooling race must meet the following time standard for the track at which it is entering to race, after the Judges have given appropriate allowances for track conditions on that day:

New Rule 12.02.02     Time allowances for overnight races are as follows:

Chapter 14

OVERNIGHT EVENTS

Rule 14.06  Conditions:

a)         May be based only on:

            <rule continued> 

7. exclusion of schooling races;
8. Ontario Sired, Ontario Bred, or Ontario Sires Stakes eligible; or
9. A combination of any one or more of the qualifications listed under this section.

Chapter 17

DECLARATIONS AND DRAWING OF POST POSITIONS

Rule 17.10  Starters and also eligibles for overnight events shall be drawn by lot from horses properly declared to start, except as follows:

1. first preference shall be given to a horse that is stabled in Canada the day of the draw and remains in Canada until the race is contested; and
2. second preference shall be given according to a horse’s last scheduled start in a purse race, other than races designated as schooling races, at the gait for which it is declared.

In addition preference shall be governed by the following:

<rule continued>

New Rule 17.10.01  Notwithstanding the requirements under 17.10 (i), Ontario Sires Stakes eligible horses will be exempt from the requirement to meet first preference for the period of May 1 to November 1 of the current year inclusive.

BY ORDER OF THE COMMISSION

John L. Blakney
Executive Director

The Ontario Racing Commission at its meeting of Thursday, January 27, 2011 resolved that the Rules of Standardbred Racing 2008 be amended by the promulgation of the following Rules, effective March 31, 2011.

Please note:  Additions to rules are noted in bold.

Chapter 2

DEFINITIONS

BAC means Blood Alcohol Content. It is the grams of alcohol in 100 millilitres of blood when referenced as .02 to .039 BAC and the equivalent of 20 to 39 milligrams of alcohol in 100 millilitres of blood.

Safety Sensitive Position means…. <rule continued>

Standardbred: driver, trainer, groom, starting gate personnel, horse identifier, commission and official veterinarians, outrider, blacksmith, test inspector, TCO₂ technician, track maintenance personnel.

Chapter 6

VIOLATIONS, FINES, SUSPENSIONS AND EXPULSIONS

New Rule 6.02  Violation of the following shall make offenders liable to a fine or suspension:

<rule continued>

(i)   Smoking is prohibited within 10 feet of any designated signed areas, stall, tack room, shedrow or any portion of a barn including the paddock. For the purpose of this rule, the paddock will include the cafeteria, drivers’ change room, washrooms and offices within the paddock area. Smoking is also prohibited anywhere on the racetrack surface from two hours prior to the post time for the first race to the completion of the race card.

Penalty for an infraction of Rule 14.05:

      First offence will result in a $50 fine;

      Second offence within a year of the first offence will result in a $300 fine or a 5 day suspension or both;

      Third offence within a year of the first offence will result in a minimum fine of $500 and a 7 day suspension;

      Fourth offence within a year of the first offence will result in an indefinite suspension and referral to the Director.

Rule 6.53  No person shall administer, attempt to administer, or cause to be administered, any medication or substance by a nasogastric tube to a horse on race day prior to its race, except for emergency treatment, which treatment will result in the horse being scratched from the race.

Chapter 36

 ALCOHOL AND DRUG OFFENCES - HUMAN

Rule 36.07  Designated Licensees are subject to testing in the following situations:

<continued>

(h)       Dilute Samples

            If the laboratory identifies a dilute sample, the designated licensee will be required to complete another test.

Rule 36.08

The consequences for licensees who are in violation of the policy are as follows: 

1. Alcohol:  Test Result of .02 to .039 BAC

ii)   For a second offence, suspension from performing the duty or duties for which he/she is licensed for that day, a $300 fine and suspension of 5 days if committed within 12 months of the first offence, and the licensee will be referred to a Substance Abuse Professional (SAP) for evaluation to determine the need for a structured assistance program and must provide a negative return to duty drug and alcohol test; and

b)  Alcohol: Test result of .04  to .079 BAC

       i)   a for a first offence, suspension from performing the duty or duties for which he/she is licensed for that day, a $300 fine, a suspension for five (5) days, a reminder of the policy requirements and a suggested referral for assistance and must provide a negative return to duty alcohol test;

ii)  for a second offence, suspension from performing the duty or duties for which he/she is licensed for that day, a fine of $500 and a suspension of fifteen (15) days if committed within 12 months of the first offence, 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 ORC, compliance with return to work conditions set out in an agreement with the individual, and must provide a negative return to duty alcohol test;

c)   Illicit Drugs or Alcohol test result of .08 BAC or higher

i)   for a first offence, suspension from performing the duty or duties for which he/she is licensed for that day, a $500 fine, 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 duties with the ORC, 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;

<Rule continued>

g)   Referral to the Commission
Individuals who have been suspended from performing the duties for which they are licensed and who are referred to the Commission:

ii)   Will be referred to a hearing before the Commission within twenty (20) days of the request for reinstatement;

<Rule continued>

New Rule 36.13  Additional Penalties

No racetrack, association, or licensed body shall impose a penalty upon a licensee who has violated this policy, unless that licensee is directly employed by that racetrack, association, or licensed body.

BY ORDER OF THE COMMISSION

John L. Blakney
Executive Director

The Ontario Racing Commission at its meeting of Wednesday, March 23, 2011 resolved that the Rules of Standardbred Racing 2008 be amended by the promulgation of the following Rules, effective April 1, 2011.

Chapter 5

JUDGES AND RACING OFFICALS

Rule 5.01  At an extended race meeting, except in the case of an emergency, there shall be a minimum of two Judges employed and appointed by the Commission, one of whom shall be designated by the Commission as a Senior Judge under whose supervision the judges shall, collectively, carry out all the duties and responsibilities specified in the rules. All decisions of the Judges shall be determined by majority vote. In the cases where there are only two judges officiating, the Senior Judge or the Judge designated as the Senior Judge by the Director, shall have in addition to the regular vote, a casting vote.  

BY ORDER OF THE COMMISSION

John L. Blakney
Executive Director

The Ontario Racing Commission at its meeting of Wednesday, July 29, 2011 resolved that the Rules of Standardbred Racing 2008 be amended by the promulgation of the following Rule, with an effective date subject to the closing of the public process. The public process is complete and the Rule is now effective immediately.

Please note:  Changes to rules are noted in bold.

Chapter 8

COMMISSION VETERINARIANS, OFFICIAL VETERINARIANS
AND OTHER VETERINARIANS

Rule 8.14  A veterinarian who dispenses a drug or medication shall label the container in which the drug or medication is dispensed with the following information:

1. Name and strength of the drug or medication,
2. Date and quantity prescribed,
3. Name and address of the dispensing veterinarian,
4. Name of the horse for which it is prescribed,
5. Name of the trainer of the horse,
6. Directions for use, and
7. Detection limit determined in accordance with Rule 8.10.01.

In the event that the a drug or medication is to be dispensed to multiple horses from a single container, such container shall be marked “BARN USE”, and will be exempt from items (ii) and (iv) above and replaced by a written log, to include the following information:

1. Name of the horse for which it is prescribed, and
2. Date and quantity prescribed.

BY ORDER OF THE COMMISSION

John L. Blakney
Executive Director

The Ontario Racing Commission at its meeting of Wednesday, June 29, 2011 resolved that the Rules of Standardbred Racing 2008 be amended by the promulgation of the following Rules, effective January 4, 2012.

CHAPTER 2

DEFINITIONS

Safety line means a line that is constructed to prevent failure due to breakage of the line, or breakage or inadvertent loss of the primary connection to the bit.

CHAPTER 6

VIOLATIONS, FINES, SUSPENSIONS AND EXPULSIONS

Rule 6.46.1  A person shall not possess, administer, traffic, or attempt to possess, administer, or traffic, in a drug, substance or medication, or anything held out to be a drug, substance or medication, for a horse:

(a)     for which an official chemist shall classify an official sample as positive and issue a certificate of positive analysis in accordance with section 165 of the Pari-Mutuel Betting Supervision Regulations (SOR/91-365), and/or

(b)     which has not been labeled for veterinary use under the Food and Drug Regulations or, if labeled for human use under the Food and Drug Regulations, has not been prescribed by a veterinarian after conducting an examination of the horse and determining that the drug, substance or medication is medically required by the horse and the drug, substance or medication is used only for that horse in accordance with the prescription issued by the veterinarian, and/or

(c)     which may endanger the health and welfare of the horse or endanger the safety of a driver, and/or

(d)    which is not labeled, or accurately labeled, with the contained drug, substance, medication, or active ingredient, and/or

(e)     which may adversely affect the integrity of racing, and/or

(f)     which is listed hereafter:

                                    (i)         Erythropoietin or any of its synthetic derivatives; or

                                    (ii)        Any synthetic hemoglobin like substances.

For the purposes of this section, trafficking includes, but is not limited to, keep for sale, deliver, manufacture, sell, transport, distribute, give, import, and/or export.

Notwithstanding (a) and (b), a veterinarian may possess the drug, substance or medication other than erythropoietin, or any of its synthetic derivatives or any synthetic hemoglobin like substances if the possession is in the ordinary course of the practice of veterinary medicine for purposes of prescribing or administering the drug, substance or medication for the treatment of a horse.

Notwithstanding (a) and (b), a person licensed as a trainer, owner, or groom may possess or use a drug, substance or medication for a horse that is on a list of established by the Director provided that such possession or use is not otherwise contrary to the Rules, the Food and Drugs Act and its regulations, the Pari-Mutuel Betting Supervision Regulations, the Livestock Medicines Act,  C.D.S.A. and its regulations, the Health Disciplines Act and its regulations, the Veterinarians Act and its regulations, or any conditions to the possession and use imposed by the Director.

CHAPTER 26

TRAINERS AND GROOMS

Rule 26.12.01             A trainer shall be responsible to ensure that all horses under his/her care and control, while training or racing on Association grounds are properly equipped, which may include the use of safety reins/lines.

CHAPTER 37
OUT OF COMPETITION PROGRAM

Rule 37.09  Owners and/or trainers of horses shall allow a person designated by the Director acting upon reasonable grounds that the business of horse racing in any or all of its forms is taking place, access at any reasonable time, whether on or off the grounds of a racing association, to the following:

1. stabling areas;
2. training areas; and/or
3. vehicles and/or trailers used for the transportation of horses or the business of horseracing.

Access shall be granted for the purposes of:

1. conducting unannounced random inspections for illegal or non-therapeutic medications or drugs, including any drug, substance, article or medication listed in Rule 6.46.01,or other device described in the rules; and/or
2. seizing any suspected illegal or non-therapeutic medication or drugs, including any drug, substance, article or medication listed in Rule 6.46.01, or other device described in the rules. Any medication, drug, substance, article or device seized may be forwarded by the Commission for analysis to a lab of its choice.

For the purposes of Rule 37.09, a horse shall be deemed to be:

1. a horse that has raced in the past 60 days or is within 60 days of racing and/or workout;
2. a horse qualified to race in Ontario;
3. a horse entered to race in Ontario; and/or
4. a registered standardbred horse.

BY ORDER OF THE COMMISSION

John L. Blakney
Executive Director

The Ontario Racing Commission at its meeting of Tuesday, October 25, 2011 resolved that the Rules of Standardbred Racing 2008 be amended by the promulgation of the following Rules, effective January 1, 2012.

CHAPTER 3

LICENCES

Rule 3.02.01  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.

BY ORDER OF THE COMMISSION

John L. Blakney
Executive Director

The Ontario Racing Commission at its meeting of Thursday, December 22, 2011 resolved that the Rules of Standardbred Racing 2008 be amended by the promulgation of the following Rules, effective January 4, 2012.

CHAPTER 26

TRAINERS

Rule 26.01  A person shall not train horses, or be programmed as trainer of record at extended meetings, without first having obtained a trainer licence valid for the current year by meeting the standards for trainers, as required by Standardbred Canada or the United States Trotting Association and being licensed by the Commission. The holder of a driver’s licence issued by Standardbred Canada or the United States Trotting Association is entitled to all privileges of a trainer and is subject to all rules respecting trainers. Valid categories of licences are:

(a)  A, a full licence valid for all meetings and permitting operation of a public stable.

(b)  C, an apprentice licence valid for all meetings and permitting operation of a public stable, subject to satisfactory performance and ongoing approval of the Judges.  The Judges may impose any conditions as deemed appropriate. This licence must be held for a minimum period of six months before applying to the Judges for an upgrade to an “A” licence.

(b) (c)  F, a licence restricted to the training of horses while owned by the holder and/or his or her immediate family at all race meetings.  Any “F” trainer who wishes to upgrade his/her licence must first upgrade to “C”.  If the trainer has satisfied the requirements of the “C” licence in the past, at the discretion of the Judges that trainer may be upgraded to “A”.

Rule 26.01.01  The Judges may review the performance of a trainer at any time and may take the following actions:

(i)  amend the licence category;

(ii)  recommend that the Director revoke the licence;

(iii)  apply conditions to the licence, or

(iv)  require the trainer to re-qualify for his or her licence in accordance with Standardbred Canada regulations.

BY ORDER OF THE COMMISSION

John L. Blakney
Executive Director

The Ontario Racing Commission at its meeting of Wednesday, January 4, 2012 resolved that the Rules of Standardbred Racing 2008 be amended by the promulgation of the following Rule, effective January 9, 2012.

Chapter 3

LICENCES

Rule 3.02.02  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:

1. a horsepeople’s organization licensed pursuant to Rule 3.02.01; or
2. individuals licensed in good standing by the Commission and racing at that Association.

Failure to comply with this rule may result in fines or suspension.  

BY ORDER OF THE COMMISSION

John L. Blakney
Executive Director

WHEREAS the use of 3rd party staking services has increased over the last number of years;

AND WHEREAS the ORC wishes to ensure that staking payments made to 3rd parties are processed and notification made in a timely way;

TAKE NOTICE that Standardbred Rule 16.18 is hereby immediately amended to ensure that all staking payments made are properly accounted;

AND FURTHER TAKE NOTICE that the ratification of the amended Rule 16.18 by the Board of the Ontario Racing Commission shall occur on Thursday, February 23, 2012;

Chapter 16

ADDED MONEY EVENTS

Rule 16.18  Nomination and sustaining payments must be received by the sponsor not later than the hour of closing, except those made by mail or by electronic transaction. Payments made by mail must bear a postmark dated thereon not later than the hour of closing. Payments made by electronic transaction to a third party providing a staking service must be processed and the sponsor notified, not later than the hour of closing. In the event the hour of closing falls on a Saturday, Sunday or legal holiday, the hour of closing shall be extended to the same hour of the next business day. The hour of closing shall be midnight of the due date. 

BY ORDER OF THE COMMISSION

John L. Blakney
Executive Director

The Ontario Racing Commission at its meeting of Thursday, April 26, 2012 resolved that the Rules of Standardbred Racing 2008 be amended by the promulgation of the following Rules, effective immediately.

Chapter 1

PRELIMINARY

Rule 1.02  Standardbred racing shall be conducted in accordance with the rules, Commission directives, conditions of licences granted by the Director or the Commission, track rules approved by the Director, and any other applicable laws and regulations. In case of conflict, the Rules of Standardbred Racing shall supersede the conditions of a horse race and the regulations of the Association.

Chapter 2

DEFINITIONS

Commission Veterinarian means a person employed by the Commission and licensed in good standing with the College of Veterinarians of Ontario.

Official Chemist means a person approved as the Official Chemist pursuant to the Pari-Mutuel Betting Supervision Regulations.

Official Sample means a sample of blood, saliva, urine or other bodily substance that has, in accordance with the Pari-Mutuel Betting Supervision Regulations, been obtained from a horse.

Official Veterinarian means a person employed by the Association and licensed in good standing with the College of Veterinarians of Ontario.

Chapter 3

LICENCES

3.05.01  The licence fees, paid to the Commission by people involved in racing, are set by the Commission. An applicant for a licence will not be considered a renewal if the licence has been in a state of lapse for five racing seasons prior to the season of application.

Chapter 8

COMMISSION VETERINARIANS, OFFICIAL VETERINARIANS, AND OTHER VETERINARIANS

Rule 8.08.01  A veterinarian shall maintain and keep the records required pursuant to the Rules for not less than two clear years and shall make such records available to the Director, Judge or their delegates upon request.

Chapter 19

TIME AND RECORDS

Rule 19.04  In order that performances thereon may be recognized or published as official, every association shall have filed with the Commission the certificate of a duly licensed civil engineer or land surveyor that the track has been measured from wire to wire three feet out from the pylons, which constitute the inside limits of the course and certifying exactly the result of such measurement. Each track shall be measured and re-certified in the event of any changes or relocation of the pylons, which constitute the inside limits of the course.

Chapter 35

ONTARIO STANDARDBRED EXERCISE INDUCED PULMONARY HAEMORRHAGE (EIPH) PROGRAM

Rule 35.01.02  Any person providing false or misleading information on Form 1 or Form 2 may be subject to a suspension and or fine being levied by the Judges or by the Commission.

Rule 35.02.02  Any owner or trainer who intends to race a horse within the EIPH Program that is properly certified as per Rule 35.02.01 is required to submit the Form 1 certificate to a Standardbred Canada representative. The Standardbred Canada representative shall cause the form 1 to be entered into the Standardbred Canada computer data indicating that the subject horse has been certified to receive Furosemide.  Such information shall be entered into the computer by the Standardbred Canada representative at or before the time of the entry of the horse into the race following the date upon which it was certified.

Rule 35.02.03  Delete.

Rule 35.03  If a horse to which Form 2 applies and with respect to which enrolment is sought in the EIPH Program has not been enrolled prior to the time of entry of the subject race, such enrolment may be extended to immediately prior to the time it is required to receive Furosemide on the date of the first occasion in which it races in Ontario and seeks certification.  Such extension of time is solely within the discretion of the judges and may be granted by them if evidence is presented by the owner or trainer or the authorized representative of the owner or trainer of the subject horse that the horse has raced on Furosemide in such other jurisdictions where the use of Furosemide is authorized.

BY ORDER OF THE COMMISSION

John L. Blakney
Executive Director

The Ontario Racing Commission at its meeting of Tuesday, June 26, 2012 resolved that the Rules of Standardbred Racing 2008 be amended by the promulgation of the following Rules, effective immediately.

Chapter 5
JUDGES AND RACING OFFICIALS

5.03  At all extended pari-mutuel race meetings there shall be the following licensed racing officials approved by the Director;

1. Judges
2. Race secretary and/or assistant race secretary
3. Timers
4. Charter
5. Starter
6. A patrol judge or patrol judges in accordance with rule 33.01
7. Paddock judge
8. Equipment inspector/horse identifier
9. Assistant paddock judge
10. Paddock security custodian
11. Paddock security guard
12. Chief test inspector and test inspectors.
13. Placing Judge

Chapter 7
RACING ASSOCIATIONS

7.18  Associations or their delegate shall keep on file, race patrol film or video of each race for reference or reproduction upon request of the Commission for one year after the last racing day of the previous year.

Chapter 22
RACING RULES

22.38.01  Approved TCO2 Laboratory

In any part of Rule 22.38, “approved TCO2 laboratory” means a laboratory approved by the Commission under 22.38.02, to conduct the testing of standardbred horses in accordance with Rule 22.38.05.

22.38.02  Laboratory Approval Process

The Commission may approve a laboratory under Rule 22.38.01, if:

<continued>….

22.38.05          Replace (RAHT) - Registered Animal Health Technician with Registered Veterinarian Technician    

Chapter 33
PATROL JUDGES AND PLACING JUDGES

33.03  The Placing Judge shall:

1. be appointed by the association
2. be subject to supervision by the Judges
3. occupy the photo finish stand 15 minutes prior to the first race post time
4. record all horses in their order of finish of every race.
5. produce a photo at the request of the Judges

33.04  In determining the places of the horses at the finish of a race, the Placing Judge shall consider only the relative position of the respective noses of such horses.

33.05  The Placing Judge in consultation with the Judges shall cause to be prominently displayed to the public the numbers of the first four horses in the order of finish and shall be responsible for recording the remainder of the field.

33.06  When the Placing Judges differ in their placements, the Judges shall inspect the print prior to the official sign being posted and the decision of the Judges shall prevail.

33.07  The Judges shall confirm with the photo finishing and Placing Judges as to the result of every race by declaring the result official, and the word “Official” shall be flashed or other wise placed on the totalizator board, in a manner in which it may be clearly seen from any part of the grandstand.

33.08  Nothing in the Rules shall be construed to prevent the placing judges, with the approval of the Judges, from correcting an error before the display of the “Official” sign or from recalling the “Official” sign in case it has been displayed through error.

33.09  On all tracks a proper camera shall be installed as an aid to the Placing Judge; however, in all cases, the camera is merely an aid and the decision of the Judges shall be final.

33.10  Photo finish photographs shall not be released to anyone for publication without permission of the Judges, except to the Association for its public display at the racetrack at which racing is being conducted.

BY ORDER OF THE COMMISSION

John L. Blakney
Executive Director

The Executive Director approved the following changes to the Rules of Standardbred Racing 2008, effective July 31, 2012, subject to ratification by the Board of the Commission at its September Board meeting.

CHAPTER 5
JUDGES AND RACING OFFICIALS

Rule 5.02.01  At a non-extended race meeting, there shall be a minimum of one Judge employed by the holder of a permit to conduct pari-mutuel betting, who shall be accredited as a Judge by Standardbred Canada. The Judge shall carry out the duties and responsibilities specified in the Rules & Regulations of Standardbred Canada, as amended from time to time.  All decisions of the Judge shall be in accordance with the Rules & Regulations of Standardbred Canada.

CHAPTER 11
TRAINERS 

Rule 11.01.01  A horse shall not be permitted to enter or start unless:

1. it is duly registered with and approved by the registry office of Standardbred Canada or the United States Trotting Association (USTA), subject to requirements under 11.01.02.

Notwithstanding that a horse is registered with the USTA, any horse registered with the USTA that would not meet the registry requirements set out by Standardbred Canada shall not be eligible to race.

Rule 11.01  Renumbered 11.01.02

BY ORDER OF THE COMMISSION

Original Signed

John L. Blakney
Executive Director

The Ontario Racing Commission at its meeting of Thursday, December 20, 2012 resolved that the Rules of Standardbred Racing 2012 be amended by the promulgation of the following Rules, effective immediately.

CHAPTER 9

OFFICIAL SAMPLES AND POSITIVE TESTS

Revised Rule 9.12.02  Only the owner, trainer or designated representative of the trainer, to a maximum of two persons having a valid Commission licence on their person, are permitted to have care, custody or control of a horse in the retention area. Failure to present the licence may result in a fine and / or suspension.

CHAPTER 15

CLAIMING RACES

New Rule 15.16.01  Transfer of possession of a claimed horse to the successful claimant or their representative shall take place in the paddock immediately after the running of the race. The horse’s halter must accompany the horse. Altering or removing the horse’s shoes prior to transfer is not permitted.

New Rule 15.16.02  Notwithstanding the requirements under 15.16.01, in the case where a claimed horse must submit for post race testing, physical custody of the claimed horse shall transfer from the original owner to the successful claimant outside the retention area following completion of the test and after the sample tags have been signed by the original owner or their representative.

BY ORDER OF THE COMMISSION

Steve Lehman
Executive Director

The Ontario Racing Commission resolved on February 5, 2013 to permit variances to the Rules of Standardbred Racing 2012 for the last race of each of Western Fair District (WFD)’s race cards for the period February 7 to May 31, 2013. This decision of the Board will be confirmed at its next meeting.

CHAPTER 14

OVERNIGHT EVENTS

Rule 14.12  In overnight events, not more than one trailer shall be permitted, regardless of the size of the track. At least eight feet per horse must be provided the starters in the front tier. Exceptions on field sizes can be granted with the written permission of the Commission.

Variance granted

WFD is permitted a variance to Rule 14.12, which limits the number of trailers in overnight races to 1.  WFD is permitted 2 trailers in the last race of each race card.

CHAPTER 18

PLACING AND MONEY DISTRIBUTION

Rule 18.01  Unless otherwise provided in the conditions, all purses shall be distributed on the dash basis with the money awarded according to a horse’s position in each separate dash or heat of the race. Purse money distribution in overnight events shall be limited to five monies.

Variance granted

WFD is permitted a variance to Rule 18.01, which limits the purse distribution in overnight races to 5^th place. WFD is permitted to distribute purse monies to 6^th place for the last race of each race card.

BY ORDER OF THE COMMISSION

Steve Lehman
Executive Director

The Ontario Racing Commission on February 25, 2016 gave approval to extend the variance to the Rules of Standardbred Racing 2012 as outlined in Standardbred Directive Number 3-2013 until such time as a complete review and substantive revisions of the Rules of Racing are completed.

CHAPTER 14

OVERNIGHT EVENTS

Rule 14.12  In overnight events, not more than one trailer shall be permitted, regardless of the size of the track. At least eight feet per horse must be provided the starters in the front tier. Exceptions on field sizes can be granted with the written permission of the Commission.

Variance granted

WFD is permitted a variance to Rule 14.12, which limits the number of trailers in overnight races to 1.  WFD is permitted 2 trailers in two races per race card.

CHAPTER 18

PLACING AND MONEY DISTRIBUTION

Rule 18.01  Unless otherwise provided in the conditions, all purses shall be distributed on the dash basis with the money awarded according to a horse’s position in each separate dash or heat of the race. Purse money distribution in overnight events shall be limited to five monies.

Variance granted

WFD is permitted a variance to Rule 18.01, which limits the purse distribution in overnight races to 5^th place. WFD is permitted to distribute purse monies to 6^th place for the two races per race card that carry the extra trailers.

BY ORDER OF THE COMMISSION

Jean Major
Executive Director

The Ontario Racing Commission at its meeting of Thursday, April 24, 2014 resolved that the Rules of Standardbred Racing 2012 be amended by the promulgation of the following Rules, effective immediately.

Non-Extended Meetings Appendix

Pari-Mutuel Non-Extended Meetings shall be governed by the Rules of Standardbred Racing 2012, with the following exceptions:

Chapter 5: RACING OFFICIALS AND JUDGES

5.01    There shall be a minimum of one Judge employed and appointed by the Commission.

Chapter 7: RACING ASSOCIATIONS

7.02     An Association shall provide in the paddock or staging area direct communication facilities to the Judges’ stand.

7.03    As a condition of its Racetrack Operator’s Licence,

1. An Association shall provide a suitable Judges’ stand that offers an unobstructed view of the entire racing strip and has adequate facilities for the Judges to carry out their duties.
2. Delete
3. Delete

 7.10.1    Delete

Chapter 8: COMMISSION VETERINARIANS, OFFICIAL VETERINARIANS AND OTHER VETERINARIANS

8.01.02    The Official Veterinarians shall be those veterinarians appointed by the Association and approved by the Commission to officiate. At the discretion of the Commission, the duties of the Official Veterinarian may be assumed by the Commission Veterinarian.

8.01.03    There shall be an Official Veterinarian in attendance or within easy call.

Chapter 11: HORSES PERMITTED TO RACE

11.01.02 (d), (e), (f)  Delete

11.02.01      Delete

Chapter 12: QUALIFYING RACES

12.02.01  Delete

12.03  Delete

12.09  Delete

12.10.01  Delete

12.11 (a), (b)  Delete

Chapter 17: DECLARATIONS AND DRAWING OF POST POSITIONS

17.05  Submitting a Declaration for a horse that is ineligible to race because it has been placed on the Judges’ List or Veterinarians’ List may be prohibited.

Chapter 18: PLACING AND MONEY DISTRIBUTION

18.08.04  If no pylons exist at the racetrack, the decision regarding horses leaving the course will be at the discretion of the Judges.

Chapter 19: TIME AND RECORDS

19.02  The time of each heat or dash shall be accurately taken by a specified timer, and placed in the record in minutes, seconds and fifths of seconds, and upon the decision of each heat the time thereof shall be publicly announced, or admitted to the record. If the timer fails to act, no time shall be announced or recorded.

19.04  Delete

Chapter 20: JUDGES’ AND VETERINARIANS’ LISTS

20.02  Delete

20.04.04  Delete

Chapter 22: RACING RULES

22.02  All races must be started with a mobile starting gate. No person shall be allowed to ride in the starting gate except the starter, the driver and a patrol judge without the permission of the Judges. The starting gate must be equipped with two-way communications to the Judges’ stand and a mechanical loudspeaker to be used for the sole purpose of communicating instructions to drivers.

22.03 (c), (k), (l)  Delete

22.38.04  Delete

Chapter 26: TRAINERS AND GROOMS

26.12  Delete

Chapter 32: PADDOCK JUDGE AND EQUIPMENT INSPECTOR

32.01 (d)  Delete

Chapter 33: PATROL AND PLACING JUDGE

33.03  Delete

33.04  Delete

33.05  Delete

33.06  Delete

33.  Delete

33.09  Delete

33.09.01    A proper camera may be installed on all tracks as an aid for the Judges. However, in all cases, the camera is merely an aid and the decision of the Judges shall be final.

Policy Directive No. 2-2010  Delete

Policy Directive No. 2-2012  Delete

The Ontario Racing Commission at its meeting of Thursday, April 24, 2014 resolved that the Rules of Standardbred Racing 2012 be amended by the promulgation of the following Rules, effective immediately.

Chapter 2

DEFINITIONS

Safety Sensitive Position     means …<continued>
Delete sections defining positions for Thoroughbred and Quarter Horse

CHAPTER 5

JUDGES AND RACING OFFICIALS

Rule 5.02.01   Delete

Rule 5.02.02   Delete

Rule 5.02.03   Delete

Rules related to the number of Judges at Non-Extended meetings
These rules are deleted, as rule requirement will now be included in the Non-Extended Meeting Appendix

BY ORDER OF THE COMMISSION

Steve Lehman
Executive Director

The Ontario Racing Commission at its meeting of Thursday, April 24, 2014 resolved that the Rules of Standardbred Racing 2012 be amended by the promulgation of the following Rules, effective immediately.

Racing Under Saddle Appendix

Pari-Mutuel Racing Under Saddle Horse Racing shall be governed by the Rules of Standardbred Racing 2012, with the following exceptions:

All references to the word “Driver” shall be deemed to be “Rider”

All references to the word “Sulky” shall be deleted.

Chapter 2: DEFINITIONS

Racing Under Saddle means a Standardbred trotting race where the horse is ridden, not driven.

Chapter 3: LICENSING

3.10.01  Where a licensee is suspended or fined by the Judges during a Standardbred harness race, the penalty shall be reciprocated for Racing Under Saddle races, and where a licensee is suspended or fined by the Judges during a Racing Under Saddle race, the penalty shall be reciprocated for Standardbred races.

Chapter 6: VIOLATIONS, FINES, SUSPENSIONS & EXPULSIONS

6.02 (h) failure to have proper saddle cloth on a horse when racing.

6.39 Delete

6.39.01  Only properly Commission licensed participants shall be mounted on a horse or pony on the Association grounds, and such participant is required to wear properly affixed and secured helmets and safety vests, as prescribed by Rule 6.39.02. The licensee is responsible for ensuring that his/ her helmet and safety vest meets the safety standards.

6.39.02  Where it is required under the rules, only helmets meeting the following standards shall be used:

1. American Society for Testing and Materials (ASTM 1163);
2. UK Standards (EN- 1384 and PAS- 015); or
3. Australian/ New Zealand Standard (AS/ NZ 3838)
4. Snell Memorial Foundations (H2000)

    Where it is required under the rules, only safety vests meeting the following standards shall be used:

1. British Equestrian Trade Association (BETA: 2000 Level 1 );
2. Euro Norm ( EN 13158: 2000 Level 1 );
3. American Society for Testing and Materials ( ASTM F2681 – 08 );
4. Shoe and Allied Trade Research Association ( SATRA Jockey Vest Document M6 Issue 3 ) ; or
5. Australian Racing Board (ARB Standard 1. 1998).

6.39.03 A rider shall adhere to the following equipment restrictions:

1. Riding boots must have at least a half (½) inch heel;
2. Riding crops shall be no longer than thirty (30) inches in length; and
3. Spurs shall not be worn.

Chapter 11: ELIGIBILITY

11.01.02 (d), (e), (f)  Delete

11.01.2 (g)  The horse is at least 3 years of age to race at any meeting but not older than 14 years of age.

11.01.2 (m)  the horse has qualified on the trotting gait

11.02.1  Delete

11.02.2  Delete

Chapter 12: QUALIFYING RACES

Delete in its entirety

12.01.01  Qualifying races will only be held for the trotting gait and a horse will be considered qualified for Racing Under Saddle races if it meets the following standards at the track where the horse is qualifying.
1/2 mile track – 2:16
5/8 mile track – 2:14
7/8 mile track – 2:12

12.01.02  A horse must qualify at least once on the trotting gait prior to the start of any Racing Under Saddle races in any given year, and will not need to re-qualify during that season, unless required to do so by the Judges.

12.01.03  A qualifying race scheduled for Racing Under Saddle participants must have at least three (3) horses.

Chapter 14: OVERNIGHT EVENTS

14.03  Delete

14.10 (c)  Delete

14.12  There shall be no trailing horses.

Chapter 15: Claiming Races

Delete in its entirety

Chapter 18: PLACING AND MONEY DISTRIBUTION

18.08.02  If, at a race track which does not have a continuous solid in side hub rail, a horse while on stride leaves the course by going inside the hub rail or other demarcation which constitutes the inside limits of the course, the offending horse shall be placed back where, in the opinion of the judges, the action gave the horse an unfair advantage over other horses in the race, or the action helped the horse improve its position in the race. In addition, when an act of interference causes a horse to cross the inside limits of the course, and the horse is placed by the judges, the offending horse shall be placed behind the horse with which it interfered. Riders, who in the opinion of the judges, leave the racing strip when not forced to do so as a result of the actions of another riders and/or horse may be fined or suspended by the Judges.
Penalties for riders violating provision of Rule 18.08.02 are as follows:

1. For the 1st offence; a fine of $100 shall be assessed
2. For the 2nd offence within a year of the 1st offence and within 750 rides of the 1st offence: a fine of $300 shall be assessed
3. For the 3rd offence within a year of the 1st offence and within 750 rides of the 1st offence: a minimum fine of $500 plus a suspension for 3 days shall be assessed.
4. For the 4th offence within a year of the 1st offence and within 750 rides of the 1st offence a minimum fine of $1,000 and a suspension for 5 days shall be assessed.

Chapter 22: RACING RULES

22.01 (h)  Delete

22.05.01  A rider shall not commit any of the following acts which are considered violations of riding rules:

1. (a)    Change course or position, or swerve in or out, bump, or bear in or out during any part of the race in such a manner as to compel a horse to shorten its stride or cause another rider to change course, take his or her horse back, or pull his or her horse out of its stride. <rule continued>

22.17.01    A rider must be mounted on the horse at the finish of the race or the horse must be placed as not finishing.

22.17.02    A horse shall be placed as not finishing where the rider at any time during the running of the race was not mounted on the horse but was mounted at the finish of the race. In such case, the Judges may invoke the provisions of Rule 22.32 if they deem it in the public interest to do so.

22.19  Delete

22.20  Delete

22.21.04  Delete

22.23.03 (c) & (d)  Delete

22.23.03  At any time while on the grounds of an association, it is an offence for a rider, or the person in control of the horse, to use the whip to hit or make contact with the horse as follows:

1. To urge the horse other than in front of the saddle on the shoulder.
2. To strike the horse’s head with the riding crop.

22.25 Any trainer who wishes to change bridles on a horse from one race to another shall apply to the Judges for permission to do so, and no change shall be made without such permission. The Judges shall assure themselves of the necessity for any change of bridles before granting permission. Any change of a nature which the Judges are of the opinion that the public should be advised, must be shown on the program or announced to the public before any wagering occurs on that race.

22.25.01  A trainer shall adhere to the following equipment requirements:

1. A horse shall wear a safety girth;
2. A horse shall have a bit in mouth;
3. A horse shall wear a crupper and head check;
4. A horse shall wear a breast collar or buxton; and
5. A horse shall use either Thoroughbred or Ladder reins.

22.25.02  A trainer shall adhere to the following equipment restrictions:

1. No Trotting hopples;
2. No Head or line poles;
3. No 2 ring martingales;
4. No head numbers; and
5. No snaps on reins that attach to a bit.

Chapter 25: DRIVERS

25.01  A person shall not ride a horse in a Racing Under Saddle races other than an exhibition or schooling race, without having first obtained a rider licence valid for the current year by meeting the standards as laid down by Standardbred Canada or the United States Trotting Association and being licensed by the Commission.

25.01.01  A rider shall participate and be approved in at least one (1) qualifying race, prior to receiving final approval of their Commission licence. Both the rider and the horse must meet the qualifying standards set out in these rules.

25.02.01  Delete

The Ontario Racing Commission at its meeting of Thursday, March 26, 2015 resolved that the Rules of Standardbred Racing 2012 be amended by the promulgation of the following revisions, effective immediately.

Racing Under Saddle Appendix

Chapter 6: VIOLATIONS, FINES, SUSPENSIONS & EXPULSIONS

Current rule # 6.39.03 (a) Riding boots must have at least a half (1/2) inch heel.

New rule # 6.39.03 (a) Riding boots shall be worn.

Chapter 11: HORSE PERMITTED TO RACE

Current rule # 11.09 For the purposes of eligibility to race at extended meetings, past performance lines charted at non-extended meetings in Ontario shall not be considered other than for the purpose of crediting the horses with the number of starts, wins and purse money earned at non-extended meetings.

New rule # 11.09 For the purpose of eligibility to race at extended meetings, past performance lines charted at non-extended meetings or RUS races in Ontario, shall not be considered other than for the purpose of crediting the horses with the number of starts, wins and purse money earned at non-extended meetings or RUS races.

Chapter 12: QUALIFYING RACES

Current rule # 12.01.01 Qualifying races will only be held for the trotting gait and a horse will be considered qualified for RACING UNDER SADDLE races if it meets the following standards at the track where the horse is qualifying.
1/2 mile- 2:16
5/8 mile- 2:14
7/8 mile -2:12

New rule # 12.01.01 Qualifying races will only be held for the trotting gait and a horse will be considered qualified for RACING UNDER SADDLE races if it meets the following standards at the track where the horse is qualifying.
1/2 mile – 2:08
5/8 mile – 2:06
7/8 mile – 2:04

Chapter 25: DRIVERS

Current rule # 25.01.01    A rider shall participate and be approved in at least one (1) qualifying race prior to receiving final approval of their Commission licence. Both the rider and the horse must meet the qualifying standards set out in these rules.

New rule # 25.01.01  A rider shall participate and be approved in at least three (3) qualifying races prior to receiving final approval of their Commission licence.
Both the rider and the horse must meet the qualifying standards set out in these rules.

The Ontario Racing Commission on February 25, 2016 gave approval to extend the variance to the Rules of Standardbred Racing 2012 as outlined in Standardbred Directive Number 3-2013 until such time as a complete review and substantive revisions of the Rules of Racing are completed.

CHAPTER 14

OVERNIGHT EVENTS

Rule 14.12  In overnight events, not more than one trailer shall be permitted, regardless of the size of the track. At least eight feet per horse must be provided the starters in the front tier. Exceptions on field sizes can be granted with the written permission of the Commission.

Variance granted

WFD is permitted a variance to Rule 14.12, which limits the number of trailers in overnight races to 1.  WFD is permitted 2 trailers in two races per race card.

CHAPTER 18

PLACING AND MONEY DISTRIBUTION

Rule 18.01  Unless otherwise provided in the conditions, all purses shall be distributed on the dash basis with the money awarded according to a horse’s position in each separate dash or heat of the race. Purse money distribution in overnight events shall be limited to five monies.

Variance granted

WFD is permitted a variance to Rule 18.01, which limits the purse distribution in overnight races to 5^th place. WFD is permitted to distribute purse monies to 6^th place for the two races per race card that carry the extra trailers.

BY ORDER OF THE COMMISSION

Jean Major
Executive Director and CEO

RULES OF STANDARDBRED RACING 2016

On February 23, 2017 the Registrar approved revisions to Chapter 36 Alcohol and Drug Violations – Human and related Chapter 2 Definitions, as outlined below. The revisions will come into effect on April 1, 2017. A clean copy of the revisions is attached hereto at Appendix “A”. A copy of the previous version is attached hereto at Appendix “B”.

 Chapter 2

DEFINITIONS

Alcohol means the intoxicating agent in Beverage Alcohol, ethyl alcohol, or other low molecular weight alcohols including methyl and isopropyl.

BAC means Blood Alcohol Content Concentration. It is the grams of alcohol in 100 milliliters of blood when referenced as .02 to .039 BAC and the equivalent of 20 to 39 milligrams of alcohol in 100 milliliters of blood.

Beverage Alcohol means beer, wine and distilled spirits.

Drug means any substance, including alcohol, illegal drugs or medications, the use of which has the potential to adversely affect the way a person thinks, feels or acts. Drugs of concern are those that inhibit a person’s ability to perform his or her job safely and productively, including the following:

Alcohol means the intoxicating agent in beverage alcohol, ethyl alcohol, or other low molecular weight alcohols including methyl and isopropyl.

Beverage Alcohol refers to beer, wine and distilled spirits.

Illegal Drug means any drug or substance which is not legally obtainable and whose use, sale, possession, purchase or transfer is restricted or prohibited by law.

Medication means a drug obtained legally, either over-the-counter or through a prescription.

Fit for Work means being able to safely and effectively perform assigned duties without any limitations due to the use or after-effects of alcohol, illegal drugs, medications or other substances that can impact performance.

Illegal Drug means any drug or substance which is not legally obtainable and whose use, sale, possession, purchase or transfer is restricted or prohibited by law.

[NEW] Impairing Prescription Medication means a substance, other than Marihuana, that may be legally prescribed by a health care professional in Canada and that has the potential to impair the physical or cognitive abilities of the person using the substance, regardless of whether the substance is or is not used as prescribed.

[NEW] Marihuana means all parts of the Cannabis plant, its derivatives and compounds that contain the psychoactive cannabinoid chemical “delta-9-tetrahydro-cannabinol” (THC).

[NEW] Prohibited Substance means any substance which the Registrar has declared prohibited and includes Marihuana.

Safety Sensitive Position means a position, as determined by the Registrar, in which individuals have a key and direct role in the handling of a horse such that performance is impacted by alcohol or other drug use could result in a licensee has a direct role in racing such that Alcohol, Illegal Drug, Impairing Prescription Medication or Prohibited Substance use could result in:

1. An incident affecting the health or safety of employees, licensees, patrons, horses, or the public; or
2. An inadequate response or failure to respond to an emergency or operational situation.

When determining if a position is a Safety Sensitive Position, the factors which the Registrar will consider include, but are not limited, to the following:

1. The type and amount of contact the position has with horses
2. The extent to which the position requires the individual to be on the racetrack at the same time as horses and the circumstances of that presence on the racetrack.

This category includes any and all individuals licensees required to temporarily act in a Safety Sensitive Position.

The following positions are included Safety Sensitive Positions:

Standardbred: driver, trainer, groom, starting gate personnel, horse identifier, commission and official veterinarian, outrider and blacksmith, test inspector, TCO2 technician and track maintenance personnel.

Chapter 36

ALCOHOL AND DRUG VIOLATIONS - HUMAN

36.01 All Designated Racing Officials and individuals who hold a safety sensitive position are subject to the following Alcohol & Drug Rules.

36.02 Designated Licensees are prohibited from the following:

(a) the use, possession, distribution, manufacture, offering or sale of illegal drugs or illegal drug paraphernalia;

b) reporting for work under the influence of illegal drugs;

c) the presence in the body of illicit drugs or unprescribed drugs for which a prescription is legally required in Canada, as determined through the testing program.

36.03 Designated Licensees are prohibited from the following:

(a) reporting for work under the influence of alcohol from any source;

(b) the use of alcohol within the first eight hours after an accident or until tested or advised by the Commission that a test is not required.

36.04 Designated Licensees are prohibited from the following:

(a) the intentional misuse of medications including using medication not as prescribed, using someone else’s prescription medication, combining medication and alcohol use against direction; and

(b) the unauthorized possession of prescribed medications without a legally obtained prescription, and unauthorized distribution, offering or sale of prescription medications (trafficking).

The onus rests with Designated Licensees to investigate (through their doctor or pharmacist) whether a medication can affect safe operation and take appropriate action to minimize safety risk.

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

(a) Using an Illegal Drug or a Prohibited Substance at a licenced facility;

(b) Performing activities of the Safety Sensitive Position at a licenced facility while an Illegal Drug or a Prohibited Substance is present in his or her body;

(c) Consuming Alcohol at a licenced facility while performing, or reasonably prior to performing activities, of a Safety Sensitive Position;

(d) Performing activities of the Safety Sensitive Position at a licenced facility while having a BAC of .02 or higher;

(e) Using, at a licenced facility, any Impairing Prescription Medication without a prescription for the licensee’s use of that medication;

(f) Performing activities of the Safety Sensitive Position at a licenced facility while an Impairing Prescription Medication for which the licensee does not have a prescription for use is present in his or her body;

(g) Intentionally using, at a licenced 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;

(h) Performing activities of the Safety Sensitive Position at a licenced facility while,

a. An Impairing Prescription Medication intentionally used in a manner not prescribed to the licensee is present is his or her body, and

b. 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.

(i) 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:

(a) 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.

(b) 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.

(c) 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 Co-ordinator.

(d) 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.

(e) 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.

(f) 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 Designated Licensees called in unexpectedly and requested to perform unscheduled duties associated with the business of racing while under the influence of alcohol, drugs or medications that could impact safety and/or breach the Alcohol and Drug Rules shall decline the request.

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 In accordance with the Horse Racing Licence Act, 2015, the Commission may conduct unannounced searches where there are reasonable grounds to believe a prohibited substance is present on Commission li censed premises in violation of the Rules of Racing or specific track rules. Prohibited substances include illegal drugs and prescribed medications possessed without a legally obtained prescription as set out in Rule 36.02.

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 Designated Licensees are subject to testing in the following situations:

(a) Reasonable Cause

Designated Licensees are required to submit to testing on request whenever the Commission Representative has reasonable grounds to believe that the actions, appearance or conduct of a Designated Licensee are consistent with, or indicative of the use of drugs or alcohol, or where the Designated Licensees have been involved in an incident or accident and the Commission has reasonable grounds to believe that alcohol or drug use may have been a contributing factor. The decision to test shall be made by a Commission Representative.

(b) Post Incident/Accident

Designated Licensees may be subject to alcohol and drug testing after a significant accident, incident or near miss that occurs at a Commission licensed facility as part of a full investigation into the circumstances. The decision to refer an individual or a group of individuals for a test will be made by the Commission Representative investigating the incident.

(c) Unannounced Drug Testing

Designated Licensees are subject to drug testing which will take place on an unannounced basis throughout the racing season. Selection for testing will be handled through an independent selection system managed by the Commission’s Program Administrator.

(d) Required Alcohol Testing

All Designated Licensees are subject to alcohol testing at any time that they are engaged in the business of racing at a licensed facility.

(e) Return to Duty - Post Violation

Following a violation resulting in a suspension, Designated Licensees will be required to pass a return to duty alcohol and drug test and will be subject to unannounced testing as a condition of continued licensing as set out in an agreement with the Commission and the provisions of 38.08 (f).

(f) Return to Duty - Post Treatment

Following a violation resulting in a Designated Licensee completing primary treatment for an alcohol or drug problem, Designated Licensees may be subject to testing as a monitoring tool as determined on a case by case basis to support the Designated Licensee’s recovery.

(g) Failure to Test

Any Designated Licensee who fails to report directly for a test, re fuses to submit to a test, re fuses to agree to dis closure of a test result to the Program Administrator, or whose test results in a report from the Medical Review Officer stating that the sample has been adulterated or tampered with, violates of the Alcohol and Drug Rules with consequences set out in 38.08 (d).

(h) Dilute Samples

If the laboratory identifies a dilute sample, the designated licensee will be required to complete another test.

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 The penalties for Designated Licensees are as follows:

(a) Alcohol: Test Result of .02 to .039 BAC

(i) for a first violation, suspension from per forming the duty or duties for which he/she is licensed for that day, a $100 monetary penalty and reminder of the policy requirements and suggested referral for assistance;

(ii) for a second violation, suspension from per forming the duty or duties for which he/she is li censed for that day, a $300 monetary penalty and suspension of 5 days if committed within 12 months of the first monetary penalty, and the licensee will be referred to a Substance Abuse Professional (SAP) for evaluation to deter mine the need for a structured assistance program and must provide a negative return to duty drug and alcohol test;

(iii) any subsequent violation within 12 months of the second violation shall result in suspension from performing the duty or duties for which they are licensed and they shall be referred to the Commission.

(b) Alcohol: Test result of .04 to .079 BAC

(i) a for a first violation, suspension from per forming the duty or duties for which he/she is licensed for that day, a $300 monetary penalty, a suspension for five (5) days, a reminder of the policy requirements and a suggested referral for assistance and must provide a negative return to duty alcohol test;

(ii) for a second violation, suspension from per forming the duty or duties for which he/she is licensed for that day, a fine 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 deter mine the need for a structured assistance program if they choose to return to duties with the Commission, 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;

(iii) any subsequent violation within 12 months of the second violation shall result in suspension from performing the duty or duties for which they are licensed and they shall be referred to the Registrar.

(c) Illegal Drugs or Alcohol test result of .08 BAC or higher

(i) for a first violation suspension from per forming 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 deter mine the need for a structured assistance program if they choose to return to their duties with the 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;

(ii) any subsequent violation within 12 months of the first offence violation shall result in suspension from per forming the duty or duties for which they are li censed and they shall be referred to the Registrar.

(d) Refusal to Test Situation (including adulterating/tampering with the sample)

A first offence violation shall result in suspension from per forming the duty or duties for which they are licensed and they shall be referred to the Registrar.

(e) Subsequent Offence Violation Situation

The penalty for a second violation will be administered in accordance with the specific penalties for that second violation category.

(f) Post Violation Agreements

Specific conditions will be set out by agreement with the Designated Licensee which will include, at a minimum the following:

(i) full cooperation with the Substance Abuse Professional (SAP) assessment process;

(ii) adherence to any recommended treatment, monitoring, and after care program; (iii) maintenance of sobriety on return to duty;

(iv) successful completion of a return to duty alcohol and drug test;

(v) ongoing unannounced testing for a period set out in the agreement; and

(vi) no further violations of the policy.

Although the Registrar will refer individuals who test positive to qualified services, the cost of these services is not covered by the Commission. All costs associated with assessment, treatment and after care, will be at the expense of the individual.

(g) Referral to the Registrar

Designated Licensees who have been suspended from performing the duties for which they are licensed and who are referred to the Registrar:

(i) must provide proof that they have a negative result before applying for a hearing to be reinstated;

(ii) will be referred to the Registrar within twenty (20) days of the request for reinstatement;

(iii) will have a continued suspension from all licensed activities, du ties and responsibilities and barred from attendance at all Commission licensed Raceways pending final disposition by the Registrar.

The referral to the Registrar is for the sole purpose of determining the future status of the licensee, which may include a lifetime ban from the sport, and industry of racing, or other specific conditions.

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 The Registrar has the authority and discretion to indefinitely suspend any Designated Licensee who:

(a) tests .02 BAC or greater;

(b) has been tested in a reasonable cause or post incident situation pending the results of the test;

(c) has refused to complete the testing process as directed by the Registrar.

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 Definitions moved to Chapter 2.

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 Whether breath analysis testing equipment is or is not available, and if due to alcohol or drug impairment, a person is unfit to drive, or carry out his or her duties, or whose conduct may reflect adversely on the sport, he/she shall forthwith be suspended for the remainder of that day and may be subject to a further suspension and monetary penalty as the Judges or other officials see fit.

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. An 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 Any official who fails to report a participant, whom he/she might reason ably deter mine to have been consuming alcoholic beverages or drugs, to the Judges violates these rules and shall be subject to a monetary penalty or suspended, or both.

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 licenced 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 licenced 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 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.

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.

BY ORDER OF THE REGISTRAR

Jean Major

Chief Executive Officer and
Registrar of Alcohol, Gaming and Racing

Appendix “A”

Rules of Standardbred Racing 2016 – revised

Chapter 2

DEFINITIONS

Alcohol means the intoxicating agent in Beverage Alcohol, ethyl alcohol, or other low molecular weight alcohols including methyl and isopropyl.

BAC means Blood Alcohol Concentration. It is the grams of alcohol in 100 milliliters of blood when referenced as .02 to .039 BAC and the equivalent of 20 to 39 milligrams of alcohol in 100 milliliters of blood.

Beverage Alcohol means beer, wine and distilled spirits.

Illegal Drug means any drug or substance which is not legally obtainable and whose use, sale, possession, purchase or transfer is restricted or prohibited by law.

Impairing Prescription Medication means a substance, other than Marihuana, that may be legally prescribed by a health care professional in Canada and that has the potential to impair the physical or cognitive abilities of the person using the substance, regardless of whether the substance is or is not used as prescribed.

Marihuana means all parts of the Cannabis plant, its derivatives and compounds that contain the psychoactive cannabinoid chemical “delta-9-tetrahydro-cannabinol” (THC).

Prohibited Substance means any substance which the Registrar has declared prohibited and includes Marihuana.

Safety Sensitive Position means a position, as determined by the Registrar, in which a licensee has a direct role in racing such that Alcohol, Illegal Drug, Impairing Prescription Medication or Prohibited Substance use could result in:

3. An incident affecting the health or safety of employees, licensees, patrons, horses, or the public; or
4. An inadequate response or failure to respond to an emergency or operational situation.

When determining if a position is a Safety Sensitive Position, the factors which the Registrar will consider include, but are not limited, to the following:

3. The type and amount of contact the position has with horses
4. The extent to which the position requires the individual to be on the racetrack at the same time as horses and the circumstances of that presence on the racetrack.

This category includes any and all licensees required to temporarily act in a Safety Sensitive Position.

The following positions are Safety Sensitive Positions:

Standardbred: driver, trainer, groom, starting gate personnel, horse identifier, commission and official veterinarian, outrider and blacksmith, test inspector, TCO2 technician and track maintenance personnel.

Chapter 36

ALCOHOL AND DRUG VIOLATIONS - HUMAN

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

(a) Using an Illegal Drug or a Prohibited Substance at a licenced facility;

(b) Performing activities of the Safety Sensitive Position at a licenced facility while an Illegal Drug or a Prohibited Substance is present in his or her body;

(c) Consuming Alcohol at a licenced facility while performing, or reasonably prior to performing activities, of a Safety Sensitive Position;

(d) Performing activities of the Safety Sensitive Position at a licenced facility while having a BAC of .02 or higher;

(e) Using, at a licenced facility, any Impairing Prescription Medication without a prescription for the licensee’s use of that medication;

(f) Performing activities of the Safety Sensitive Position at a licenced facility while an Impairing Prescription Medication for which the licensee does not have a prescription for use is present in his or her body;

(g) Intentionally using, at a licenced 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;

(h) Performing activities of the Safety Sensitive Position at a licenced facility while,

a. An Impairing Prescription Medication intentionally used in a manner not prescribed to the licensee is present is his or her body, and

b. 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.

(i) 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:

3. Alcohol, an Illegal Drug, a Prohibited Substance or an Impairing Prescription Medication is present in his or her body, and
4. 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:

(a) 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.

(b) 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.

(c) 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 Co-ordinator.

(d) 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.

(e) 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.

(f) 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,

3. 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
4. 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,

3. 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
4. An 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

3. 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 licenced 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 licenced 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.
4. 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:

7. Full cooperation with the Substance Abuse Professional (SAP) assessment process,
8. Adherence to any recommended treatment, monitoring, and aftercare program,
9. Maintenance of sobriety on return to duty,
10. Successful completion of a return to duty alcohol and drug test,
11. Ongoing unannounced testing for a period set out in the agreement, and
12. 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:

4. Possession, distribution, manufacture, offering for sale of Illegal Drugs, Illegal Drug paraphernalia, Prohibited Substances or Prohibited Substances paraphernalia;
5. Manufacture, distribution or offering for sale of drugs for which a prescription is required in Canada; or
6. 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.

Appendix “B”

Rules of Standardbred Racing – previous version

Chapter 2

DEFINITIONS

BAC means Blood Alcohol Content. It is the grams of alcohol in 100 milliliters of blood when referenced as .02 to .039 BAC and the equivalent of 20 to 39 milligrams of alcohol in 100 milliliters of blood.

Drug means any substance, including alcohol, illegal drugs or medications, the use of which has the potential to adversely affect the way a person thinks, feels or acts. Drugs of concern are those that inhibit a person’s ability to perform his or her job safely and productively, including the following:

Alcohol means the intoxicating agent in beverage alcohol, ethyl alcohol, or other low molecular weight alcohols including methyl and isopropyl.

Beverage Alcohol refers to beer, wine and distilled spirits.

Illegal Drug means any drug or substance which is not legally obtainable and whose use, sale, possession, purchase or transfer is restricted or prohibited by law.

Medication means a drug obtained legally, either over-the-counter or through a prescription.

Fit for Work means being able to safely and effectively perform assigned duties without any limitations due to the use or after-effects of alcohol, illegal drugs, medications or other substances that can impact performance.

Safety Sensitive Position means a position in which individuals have a key and direct role in the handling of a horse such that performance is impacted by alcohol or other drug use could result in:

5. An incident affecting the health or safety of employees, licensees, patrons, horses, or the public; or
6. An inadequate response or failure to respond to an emergency or operational situation.

This category includes any and all individuals required to temporarily act in a Safety Sensitive Position.

The following positions are included:

Standardbred: driver, trainer, groom, starting gate personnel, horse identifier, commission and official veterinarian, outrider and blacksmith, test inspector, TCO2 technician and track maintenance personnel.

Chapter 36

ALCOHOL AND DRUG VIOLATIONS - HUMAN

36.01 All Designated Racing Officials and individuals who hold a safety sensitive position are subject to the following Alcohol & Drug Rules.

36.02 Designated Licensees are prohibited from the following:

(a) the use, possession, distribution, manufacture, offering or sale of illegal drugs or illegal drug paraphernalia;

b) reporting for work under the influence of illegal drugs;

c) the presence in the body of illicit drugs or unprescribed drugs for which a prescription is legally required in Canada, as determined through the testing program.

36.03 Designated Licensees are prohibited from the following:

(a) reporting for work under the influence of alcohol from any source;

(b) the use of alcohol within the first eight hours after an accident or until tested or advised by the Commission that a test is not required.

36.04 Designated Licensees are prohibited from the following:

(a) the intentional misuse of medications including using medication not as prescribed, using someone else’s prescription medication, combining medication and alcohol use against direction; and

(b) the unauthorized possession of prescribed medications without a legally obtained prescription, and unauthorized distribution, offering or sale of prescription medications (trafficking).

The onus rests with Designated Licensees to investigate (through their doctor or pharmacist) whether a medication can affect safe operation and take appropriate action to minimize safety risk.

36.05 Designated Licensees called in unexpectedly and requested to perform unscheduled duties associated with the business of racing while under the influence of alcohol, drugs or medications that could impact safety and/or breach the Alcohol and Drug Rules shall decline the request.

36.06 In accordance with the Horse Racing Licence Act, 2015, the Commission may conduct unannounced searches where there are reasonable grounds to believe a prohibited substance is present on Commission li censed premises in violation of the Rules of Racing or specific track rules. Prohibited substances include illegal drugs and prescribed medications possessed without a legally obtained prescription as set out in Rule 36.02.

36.07 Designated Licensees are subject to testing in the following situations:

(a) Reasonable Cause

Designated Licensees are required to submit to testing on request whenever the Commission Representative has reasonable grounds to believe that the actions, appearance or conduct of a Designated Licensee are consistent with, or indicative of the use of drugs or alcohol, or where the Designated Licensees have been involved in an incident or accident and the Commission has reasonable grounds to believe that alcohol or drug use may have been a contributing factor. The decision to test shall be made by a Commission Representative.

(b) Post Incident/Accident

Designated Licensees may be subject to alcohol and drug testing after a significant accident, incident or near miss that occurs at a Commission licensed facility as part of a full investigation into the circumstances. The decision to refer an individual or a group of individuals for a test will be made by the Commission Representative investigating the incident.

(c) Unannounced Drug Testing

Designated Licensees are subject to drug testing which will take place on an unannounced basis throughout the racing season. Selection for testing will be handled through an independent selection system managed by the Commission’s Program Administrator.

(d) Required Alcohol Testing

All Designated Licensees are subject to alcohol testing at any time that they are engaged in the business of racing at a licensed facility.

(e) Return to Duty - Post Violation

Following a violation resulting in a suspension, Designated Licensees will be required to pass a return to duty alcohol and drug test and will be subject to unannounced testing as a condition of continued licensing as set out in an agreement with the Commission and the provisions of 38.08 (f).

(f) Return to Duty - Post Treatment

Following a violation resulting in a Designated Licensee completing primary treatment for an alcohol or drug problem, Designated Licensees may be subject to testing as a monitoring tool as determined on a case by case basis to support the Designated Licensee’s recovery.

(g) Failure to Test

Any Designated Licensee who fails to report directly for a test, re fuses to submit to a test, re fuses to agree to dis closure of a test result to the Program Administrator, or whose test results in a report from the Medical Review Officer stating that the sample has been adulterated or tampered with, violates of the Alcohol and Drug Rules with consequences set out in 38.08 (d).

(h) Dilute Samples

If the laboratory identifies a dilute sample, the designated licensee will be required to complete another test.

36.08 The penalties for Designated Licensees are as follows:

(a) Alcohol: Test Result of .02 to .039 BAC

(i) for a first violation, suspension from per forming the duty or duties for which he/she is licensed for that day, a $100 monetary penalty and reminder of the policy requirements and suggested referral for assistance;

(ii) for a second violation, suspension from per forming the duty or duties for which he/she is li censed for that day, a $300 monetary penalty and suspension of 5 days if committed within 12 months of the first monetary penalty, and the licensee will be referred to a Substance Abuse Professional (SAP) for evaluation to deter mine the need for a structured assistance program and must provide a negative return to duty drug and alcohol test;

(iii) any subsequent violation within 12 months of the second violation shall result in suspension from performing the duty or duties for which they are licensed and they shall be referred to the Commission.

(b) Alcohol: Test result of .04 to .079 BAC

(i) a for a first violation, suspension from per forming the duty or duties for which he/she is licensed for that day, a $300 monetary penalty, a suspension for five (5) days, a reminder of the policy requirements and a suggested referral for assistance and must provide a negative return to duty alcohol test;

(ii) for a second violation, suspension from per forming the duty or duties for which he/she is licensed for that day, a fine 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 deter mine the need for a structured assistance program if they choose to return to duties with the Commission, 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;

(iii) any subsequent violation within 12 months of the second violation shall result in suspension from performing the duty or duties for which they are licensed and they shall be referred to the Registrar.

(c) Illegal Drugs or Alcohol test result of .08 BAC or higher

(i) for a first violation suspension from per forming 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 deter mine the need for a structured assistance program if they choose to return to their duties with the 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;

(ii) any subsequent violation within 12 months of the first offence violation shall result in suspension from per forming the duty or duties for which they are li censed and they shall be referred to the Registrar.

(d) Refusal to Test Situation (including adulterating/tampering with the sample)

A first offence violation shall result in suspension from per forming the duty or duties for which they are licensed and they shall be referred to the Registrar.

(e) Subsequent Offence Violation Situation

The penalty for a second violation will be administered in accordance with the specific penalties for that second violation category.

(f) Post Violation Agreements

Specific conditions will be set out by agreement with the Designated Licensee which will include, at a minimum the following:

(i) full cooperation with the Substance Abuse Professional (SAP) assessment process;

(ii) adherence to any recommended treatment, monitoring, and after care program;

(iii) maintenance of sobriety on return to duty;

(iv) successful completion of a return to duty alcohol and drug test;

(v) ongoing unannounced testing for a period set out in the agreement; and

(vi) no further violations of the policy.

Although the Registrar will refer individuals who test positive to qualified services, the cost of these services is not covered by the Commission. All costs associated with assessment, treatment and after care, will be at the expense of the individual.

(g) Referral to the Registrar

Designated Licensees who have been suspended from performing the duties for which they are licensed and who are referred to the Registrar:

(i) must provide proof that they have a negative result before applying for a hearing to be reinstated;

(ii) will be referred to the Registrar within twenty (20) days of the request for reinstatement;

(iii) will have a continued suspension from all licensed activities, du ties and responsibilities and barred from attendance at all Commission licensed Raceways pending final disposition by the Registrar.

The referral to the Registrar is for the sole purpose of determining the future status of the licensee, which may include a lifetime ban from the sport, and industry of racing, or other specific conditions.

36.09 The Registrar has the authority and discretion to indefinitely suspend any Designated Licensee who:

(a) tests .02 BAC or greater;

(b) has been tested in a reasonable cause or post incident situation pending the results of the test;

(c) has refused to complete the testing process as directed by the Registrar.

36.10 Definitions moved to Chapter 2.

36.11 Whether breath analysis testing equipment is or is not available, and if due to alcohol or drug impairment, a person is unfit to drive, or carry out his or her duties, or whose conduct may reflect adversely on the sport, he/she shall forthwith be suspended for the remainder of that day and may be subject to a further suspension and monetary penalty as the Judges or other officials see fit.

36.12 Any official who fails to report a participant, whom he/she might reason ably deter mine to have been consuming alcoholic beverages or drugs, to the Judges violates these rules and shall be subject to a monetary penalty or suspended, or both.

36.13 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.

Preamble

WHEREAS after consulting with the public and industry with respect to proposed rule changes and consistent with the Alcohol and Gaming Commission of Ontario (AGCO)'s movement towards standards-based rules, there was favorable support in the Standardbred industry to revise the current rules and implement a ban on race day medication, with exception of Furosemide properly administered in accordance with the Ontario Standardbred Exercise Induced Pulmonary Haemorrhage (EIPH) Program;

AND WHEREAS this rule is not intended to prohibit normal, non-medicated feedstuffs (natural feed such as oats, sweet feed, pellets, hay and hay cubes) and water, non­ medicated shampoos and topical applications, hoof oils/dressings;

AND WHEREAS this rule will enhance the health and safety of horses and participants, and the integrity of racing;

TAKE NOTICE that the Registrar hereby orders the Rules of Standardbred Racing be amended as follows effective April 19, 2019:

Chapter 6: Violations, Penalties and Expulsions

...

Standards-Based Race Day Medication Ban

6.53     No person shall administer, attempt to administer, or cause to be administered, any medication or substance by a nasogastric tube to a horse on race day prior to its race, m cept for emergency treatment, which treatment will result in the horse being scratched from the race.

1. Trainers and veterinarians shall ensure that a horse entered to race is not administered any medications, drugs or substances 24 hours prior to post time oJ the first race on the day of racing. Furosemide properly administered in accordance with the Ontario Standardbred Exercise Induced Pulmonary Haemorrhage (EIPH) Program shall not be considered a violation of Rule 6.53.
2. Trainers shall ensure that there is no unauthorized contact between horses and veterinarians 24 hours prior to post time of the first race on the day of racing, with the exceQtion_of Official and Commission Veterinarians.
3. Veterinarians shall not have unauthorized contact with horses 24 hours prior to post-time of the first race on the day of racing. Veterinarians licensed in multiple categories shall be prohibited from acting in the capacity as a veterinarian for a horse entered to race during the 24 hour period.
4. Should a veterinarian be regu_i_red to treat a horse entered to race within 24 hours prior to post time of the first race on the day of racing on an emergency basis, the veterinarian and the trainer shall notify a Judge as soon as reasonable in the circumstances and th horse shall be scratched.
5. If a horse has raced after unauthorize_d contact with a veterinarian. the horse shall be disqualified for the race in question and if any purse money was earned it shall be redistributed.
6. A Judge may order the withdrawal or disqualification of any horse that has been admlnistered ny medication contrary to Rule 6.53.

...

Chapter 8: Commission Veterinarians, Official Veterinarians and Other Veterinarians

...

8.11 A veterinarian may be held wholly or partially responsible if any drug, substance or medication administered or prescribed by him/her results in:

1. the issuance of a certificate of positive analysis under the Pari-Mutuel Betting Supervision Regulations,
2. an excess level of total carbon dioxide for purposes of the Rules, or
3. confirmation of the administration of
4. erythropoietin or any of its synthetic derivatives for purposes of the Rules,
5. a violation of Rule 6.53:

and, if held wholly or partially responsible, may be assessed a monetary penalty and/or suspended by the Judges.

Chapter 26: Trainers and Grooms

...

26.02.03 Notwithstanding 26.02.01, the Commission and all delegated officials shall consider the following to be absolute liability violations:

1. Any trainer whose horse(s) tests positive for any substances determined to be non-therapeutic;
2. Any trainer whose horse(s) tests positive resulting from the out-of-competition program;
3. Any trainer whose horse(s) tests positive resulting from testing in accordance with or under the Pari-Mutuel Betting Supervision Regulations;
4. Any trainer whose horse(s) level of TC02 equals or exceeds the levels set out in Rule 22.38
5. Any trainer whose horse(s) is administered a medication, drug or substance contrary to Rule 6.53.

By the order of the Registrar

Jean Major
Registrar

Preamble

WHEREAS after consulting with the public and industry with respect to proposed rule changes there was favorable support in the Standardbred industry to revise the current rules to expand instances where claims would be invalidated to include when a horse dies on the racetrack, or suffers an injury which requires euthanasia while on the racetrack.

AND WHEREAS this rule will enhance the health and safety of horses and participants, and the integrity of racing;

TAKE NOTICE that the Registrar hereby orders the Rules of Standardbred Racing be amended as follows effective April 20, 2019:

Chapter 15: Claiming Races

15.20.01

The Judges, at the option of the claimant, shall rule a claim invalid:

1. At the option of the claimant, if the Official Chemist reports a positive test on a horse that was claimed, provided such option is exercised within 48 hours following notification to the claimant of the positive test by the Judges;
2. At the option of the claimant, if the horse has been found ineligible to the event from which it was claimed;
3. At the option of the claimant, if approved post race testing procedures discloses that an improper medication or drug was found to be present in the sample of the claimed horse and reported in the analysis report from the lab, provided such option is exercised within 48 hours following notification to the claimant by the Judges;
4. If the horse dies on the racetrack: or
5. If the horse suffers an injury which requires euthanasia while on the racetrack as determined by either a Commission Veterinarian or an Official Veterinarian.

BY THE ORDER OF THE REGISTRAR

Jean Major
Registrar

Preamble

WHEREAS after meeting with industry stakeholders and responding to requests to consider revising the current rules and Directives with respect to urging and specifically that use of the whip be limited to wrist action only;

AND WHEREAS this rule will enhance the health and safety of horses and participants, and the integrity of racing;

AND WHEREAS enforcement of the revisions will commence at Woodbine Mohawk Park, the revisions will be phased in across all Standardbred racetracks in Ontario at dates to be determined;

TAKE NOTICE that the Registrar rescinds Policy Directive No. 5-2009: Penalty Guidelines for Inappropriate Urging of a Horse in Standardbred Racing and hereby orders the Rules of Standardbred Racing be amended commencing June 3, 2019:

Chapter 22
Racing Rules

22.23.03  At any time while on the grounds of an Association, it is a violation of the Rules for a driver, or the person in control of the horse, to use the whip to hit or make contact with the horse as follows:

1. To raise their hand(s) above their head;
2. To cause the whip to move back beyond a 90 degree angle relative to the track use more than acceptable wrist action;
3. To cause any portion of the whip to be outside the confines of the wheels of the race bike;
4. To strike the shaft of the race bike, or the horse below the level of the shaft of the race bike;
5. To cut or severely welt a horse.

PENALTY GUIDELINES RULE 22.23

Any violation of Rule 22.23, to include subsections 22.23.01, 22.23.02, 22.23.03 and 22.23.04 is a violation and covered by this penalty structure.

VIOLATION - Inappropriate urging of the horse

VIOLATION - Cutting or Welting the horse

Application of the Guidelines will take into consideration the following:

1. This penalty structure provides guidance to Judges as to minimum penalties for inappropriate urging of the horse, and for the cutting and welting of a horse.
2. The penalty for any subsequent violation cannot be less than the previous violation, regardless of whether the violation is for inappropriate urging of the horse or for cutting and welting of a horse.
3. Any cut or welt violation shall be counted and considered by the Judges as the next violation for inappropriate urging on a cumulative basis.
4. The penalty structure is progressive in nature, irrespective of which of the encompassed rules are violated.
5. In determining whether a violation of the Rules has occurred or in assessing penalty, Judges may consider mitigating factors in exceptional circumstances. An example of conduct that may be viewed as a mitigating consideration would be striking a horse to prevent inevitable harm to another driver, horse, participant or patron.
6. In assessing penalty, Judges may also consider aggravating factors, such as the licensee's history of violations pertaining to inappropriate urging of the horse (which violation/s occurred more than a year before the subject violation).
7. If the violation is sufficiently egregious, the Judges may depart from the penalty structure and impose higher penalties than those enumerated in the chart above.

DESCRIPTION OF TERMS

This Policy was established to provide more description of what constitutes a violation under the Rules regarding inappropriate urging of the horse in Ontario racing:

Indiscriminate action means unrestrained or careless activity without regard for safety or care.

For the purposes of Rule 22.23.01 (a), the following are examples of indiscriminate action but do not constitute an exhaustive list:

1. Use of the whip in any manner between the hind legs of the horse
2. Loose lining or driving the horse so as to not have control of the horse
3. Kicking the horse
4. Striking the horse with the butt end of the whip;
5. Punching the horse; or
6. Any use other than acceptable wrist action.

Excessive action means unreasonable quantity or degree.

For the purposes of Rule 22.23.01 (b), the following are examples of excessive action with respect to inappropriate urging of the horse but does not constitute an exhaustive list:

1. Use of the whip when a horse is not in contention in a race;
2. Use of the whip without giving the horse time to respond to a previous application of the use of the whip
3. Use of the whip on the horse anywhere below the level of the shaft of the race bike.

Aggressive action means inhumane, severe or brutal activity.

For the purposes of Rule 22.23.01 (c), the following are examples of aggressive action but do not constitute an exhaustive list:

1. Use of the whip on the head or in the area surrounding the head of the horse.
2. Use of any object or stimulating device and/or application; or
3. Leaving any cuts, abrasions or severe welts on the horse caused by the whip;

Loose lining means the indiscriminate action of carelessly lengthening the lines while driving so as to allow the loopy shaking of the lines (i.e. butterfly action).

Meaningful Position (22.23.02) means the horse has a reasonable opportunity to finish in an advantageous position. Examples of meaningful include, but are not limited to, maintaining qualifying times, receiving points towards future races or earning purse monies.

Confines of the wheels (22.23.03c) means that any part of the whip cannot move outside of a line which runs parallel to the horse from a point prescribed by the outside of the race bike wheel.

BACKGROUND

Under a process established by the Executive Director in the fall of 2008 to gather industry input on the appropriate use of the whip in horse racing, it was recognized that the use of the whip is a necessary tool in racing.

The following principles were agreed to and serve as a guide for all decision making on rule development:

1. Ensure the welfare of the horse
   The welfare of the horse is paramount and guides decision making in all matters
2. Promote safety for racing participants (including the horse)
   Where the safety of racing participants has been compromised, appropriate action shall be taken
3. Create simple, clear and consistent rules (and enforcement)
   To be adhered to or enforced correctly, rules must be written and communicated in a straightforward manner.
4. Address customer/public perception and education
   Shifting public sensitivity on the use of the whip in horseracing must be recognized by all industry participants, who must also do their part in educating new fans about the sport.
5. Support growth of the customer base
   Racetrack management has identified use of the whip as a barrier to increased customer growth. Participants must be involved, as our industry builds to creating a more desirable product

The outcome of the industry discussion has led to the formation of rules regarding the appropriate methods for urging a horse in racing and changes to driving styles to require a hand in each line for the entire race.

Loose lining: It was stressed by the participants that this change to driving style should not lead to the practice of "loose lining", which means the indiscriminate action of carelessly lengthening the lines while driving so as to allow the loopy shaking of the lines (butterfly action). It was agreed that these would be the type of actions counter to the intent of the rule changes and would present an undesirable product to the wagering public.

BY THE ORDER OF THE REGISTRAR

Jean Major
Registrar

Preamble

WHEREAS as of January 26, 2010, Terry BROOKS (#7306T0), Jeffrey BROOKS (#6368T7) and Andrew BROOKS (#962K25) were licensed as Owners under the Racing Commission Act, 2000, S.). 2000, c.20 (the "RCA"), and Rules of Standardbred Racing as amended;

AND WHEREAS as of January 26, 2010, Victoria BROOKS (#718K13) had recently applied for and received a stable licence effective January 11, 2010;

AND WHEREAS as of January 26, 2010, BULLETPROOF ENTERPRISES (#862K92), GOLDFINGER ENTERPRISES (#301L09), SEIZE THE DAY INDUSTRIES (#065L81), VAE LLC (#374J40) were stables associated with one or more of Terry BROOKS, Jeffrey BROOKS, Andrew BROOKS and Victoria BROOKS (together, the "Licensees");

AND WHEREAS on January 26, 2010, the Director, Ontario Racing Commission ("Director") found that (a) there were reasonable ground to believe that, while the Licensees carry out the activities for which a licence is required, the Licensees will not act in accordance with the law, or with integrity, honesty, or in the public interest, having regard to the past conduct of the Licensees; (b) the Licensees' conduct has placed the integrity of the horse racing industry in Ontario in question; and (c) the public interest required that the Licensees be suspended immediately (the "Order for Immediate Suspension");

AND WHEREAS on January 26, 2010, the Director issued Standardbred Ruling Number S.B. 14/2010 (the "Freeze Order") whereby he ordered that all Associations hold, freeze and maintain all funds, purse accounts or other monies related to the Licensees and Perfect World Enterprises (#185E79);

AND WHEREAS on or about January 26, 2010, Woodbine Entertainment Group froze funds held on behalf of the Licensees in the amount of $809,566.38 pursuant to the Freeze Order (the "Frozen Purse Monies");

AND WHEREAS on February 2, 2010, the Director issues a Notice of Proposed Order to suspend the Licensees;

AND WHEREAS on February 10, 201o, the Licensees requested a hearing before the Ontario Racing Commission;

AND WHEREAS on or December 20, 2010, Anderson & Goodrow Equine Veterinary Professional Corp. and Doyle Bloodstock Transportation Inc., creditors of the BULLETPROOF ENTERPRISES INC., each filed Notices of Garnishment in the Ontario Superior Court of Justice - Toronto Small Claims Court, listing Woodbine Entertainment Group as Garnishee (Court File No. SC-10-110002-00 and Court File No. SC10-95124-00, respectively);

AND WHEREAS on March 30, 2011, the Ontario Superior Court of Justice - Toronto Small Claims Court ordered that Woodbine Entertainment Group pay $45,511.68 of the Frozen Purse Monies into court pending the resolution of proceedings commenced pursuant to the Notice of Proposed Order and Hearing dated February 2, 2010;

AND WHEREAS on or about April 7, 2011, Woodbine Entertainment Group accordingly paid $45,511.68 of the Frozen Purse Monies into the Ontario Superior Court of Justice - Toronto Small Claims Court pursuant to its Order dated March 30, 2011 (the "Small Claims Monies");

AND WHEREAS on April 30, 2013, the Ontario Racing Commission resolved proceedings arising out of the Notice of Proposed Order dated February 2, 201o as   against   GOLDFINGER   ENTERPRISES   (#301L09),   SEIZE   THE   DAY INDUSTRIES (#065L81), VAE LLC (#374J40), Terry BROOKS, Andrew BROOKS and Victoria BROOKS in exchange for the payments of fines and forfeiture of certain purses that are not subject to the Forfeiture Order (defined below);

AND WHEREAS in Reasons for Decision dated August 29, 2013, a Panel of the Ontario Racing Commission found that Jeffrey Brooks and BULLETPROOF ENTERPRISES had contravened Rules 6.13.01, 3.09, 6.13.01 and 6.20 of the Rules of Standardbred Racing;

AND WHEREAS in Reasons for Decision dated August 29, 2013, a Panel of the Ontario Racing Commission granted an order declaring the ineligibility of the following horses to race and to compete for purse money and disqualifying as ineligible the horses raced by BULLETPROOF ENTERPRISES in Ontario in 2009 and 2010 as follows:

Horses Raced in 2009

1. A Filly to Fear
2. Ala Carte Bill
3. Amazon Art
4. Babylon Sister
5. Betting Terror
6. Big Lead
7. Blind to See
8. Blue Suede Shoes
9. Bouncing Hanover
10. Bridled Terror
11. Bring Home Hinda
12. Brooklyns Best
13. Candy Hall
14. Cannae Camme
15. Change the Locks
16. Cheap Motel
17. China Art
18. Cinderella Guy
19. Cold Chills
20. Comache Hall
21. Coming Late
22. Coming on Time
23. Cuz She Can
24. Dangerous Years
25. Did It Again
26. Doctor Seth
27. Dome on a Rock
28. Don't Give Up
29. Drink Up
30. Electric Energy
31. Everyday
32. Everyone Counts
33. Fashion Week
34. Fast Standing Still
35. Final Curtain
36. Four Starz Credit
37. Front Cover
38. Go Shuffle
39. Gotta Travel On
40. Great Vodka
41. Heard It
42. Higher and Higher
43. lamperfectright
44. Ideal Race
45. If I can Dream
46. In Da Club
47. In Sight
48. In the Studio
49. Island Terror
50. It Hurts Me
51. It Was An Honor
52. Just Coming
53. Kabbala Karen B
54. Kato Not Now
55. Lisdean
56. Little Gold Ring
57. Live Free or Die Hard
58. Lord Terror
59. Marietta Hall
60. Michael Dee Miami
61. Model Magnate
62. Moving In Together
63. Need A Job
64. No Gain
65. Not Enough
66. One More Drink
67. Oscar Oscar
68. Overwhelming Shae
69. Paris the Heiress
70. Penthouse View
71. Political Terror
72. Power Off
73. Private Splendor
74. Professor Jeff
75. PW Love
76. Pw Roma Lover
77. PW Tootsie
78. PW True to You
79. Rescue Plan
80. Revolutionary Foe
81. Riggins
82. Runaway Energy
83. Sandy Annir
84. School Kids
85. Sexy Grin
86. Shacked Up
87. Short Words
88. Showherthemoney
89. Six Pistol
90. Slow Service
91. Straight Shooting
92. Terroronthebeach
93. The Life Boat
94. Thinkingonlyofyou
95. Vertical Horizon
96. Victim of Love
97. Waffles and Cream
98. Western Comedy
99. Western Thorn
100. Whin I call
101. White Sand
102. Withheld Info
103. Yellow Diamond
104. You Don't know Me
105. Youkeepmehangingon

Horses Raced in 2010

106. Amazon Art
107. Big Lead
108. Blue Suede Shoes
109. Cheap Motel
110. Cinderella Guy
111. Ideal Race
112. Marrietta Hall
113. One More Drink
114. . Power Off
115. Revolutionary Foe
116. Riggins
117. Runaway Energy
118. School Kids
119. Waffles and Cream

AND WHEREAS in Reasons for Decision dated August 29, 2013, a Panel of the Ontario Racing Commission ordered that any purse funds by the named horses being held under the Freeze Order be forfeited by the Applicants and redistributed amongst the owners entitled pursuant to the rules of racing (the "Forfeiture Order");

AND WHEREAS Rule 18.08.03 provides for the re-seeding of placement and re­ distribution of purse monies in the event of a disqualification;

Pari-Mutuel Racing Under Saddle Horse Racing shall be governed by the Rules of Standardbred Racing, with the following exceptions:

All references to the word “Driver” shall be deemed to be “Rider”

All references to the word “Sulky” shall be deleted.

Chapter 2: Definitions

Racing Under Saddle (RUS) means a Standardbred trotting race where the horse is ridden, not driven.

Chapter 3: Licenses

3.10.01 Where a licensee is suspended or fined by the Judges during a Standardbred harness race, the penalty shall be reciprocated for Racing Under Saddle races, and where a licensee is suspended or fined by the Judges during a Racing Under Saddle race, the penalty shall be reciprocated for Standardbred harness races.

Chapter 6: Violations, Penalties and Expulsions

6.02 (h) failure to have proper saddle cloth on a horse when racing.

6.39 Delete

6.39.01 Only properly Commission licensed participants shall be mounted on a horse or pony on the Association grounds, and such participant is required to wear properly affixed and secured helmets and safety vests, as prescribed by Rule 6.39.02. The licensee is responsible for ensuring that his/ her helmet and safety vest meets the safety standards.

6.39.02 Where it is required under the rules, only helmets meeting the following standards shall be used:

1. American Society for Testing and Materials (ASTM 1163);
2. UK Standards (EN- 1384 and PAS- 015); or
3. Australian/ New Zealand Standard (AS/ NZ 3838)
4. Snell Memorial Foundations (H2000)

Where it is required under the rules, only safety vests meeting the following standards shall be used:

1. British Equestrian Trade Association (BETA: 2000 Level 1);
2. Euro Norm (EN 13158: 2000 Level 1);
3. American Society for Testing and Materials (ASTM F2681 – 08);
4. Shoe and Allied Trade Research Association (SATRA Jockey Vest Document M6 Issue 3) or
5. Australian Racing Board (ARB Standard 1. 1998).

6.39.03 A rider shall adhere to the following equipment restrictions:

(a) Riding boots shall be worn.

(b) Riding crops shall be no longer than thirty (30) inches in length; and

(c) Spurs shall not be worn.

Chapter 11: Horses Permitted to Race

11.01.02 (d), (e), (f)    Delete.

11.01.2 (g) The horse is at least 3 years of age to race at any meeting but not older than 14 years of age.

11.01.2 (m) the horse has qualified on the trotting gait

11.02.1 Delete.

11.02.2 Delete.

11.09 For the purpose of eligibility to race at extended meetings, past performance lines charted at non-extended meetings or RUS races in Ontario, shall not be considered other than for the purpose of crediting the horses with the number of starts, wins and purse money earned at non-extended meetings or RUS races.

Chapter 12: Qualifying Races

Chapter 12 of the Standardbred Rules of Racing is deleted in its entirety, with the following exceptions:

12.01.01          Qualifying races will only be held for the trotting gait and a horse will be considered qualified for Racing Under Saddle races if it meets the following standards at the track where the horse is qualifying:

1/2 mile track – 2:08

5/8 mile track – 2:06

7/8 mile track – 2:04

12.01.02          A horse must qualify at least once on the trotting gait prior to the start of any Racing Under Saddle races in any given year, and will not need to re-qualify during that season, unless required to do so by the Judges.

12.01.03          A qualifying race scheduled for Racing Under Saddle participants must have at least three (3) horses.

Chapter 14: Overnight Events

14.03               Delete.

14.10 (c)         Delete.

14.12               There shall be no trailing horses.

Chapter 15: Claiming Races

Deleted in its entirety.

Chapter 18: Placing and Money Distribution

18.08.02          If, at a race track which does not have a continuous solid in side hub rail, a horse while on stride leaves the course by going inside the hub rail or other demarcation which constitutes the inside limits of the course, the offending horse shall be placed back where, in the opinion of the judges, the action gave the horse an unfair advantage over other horses in the race, or the action helped the horse improve its position in the race. In addition, when an act of interference causes a horse to cross the inside limits of the course, and the horse is placed by the judges, the offending horse shall be placed behind the horse with which it interfered. Riders, who in the opinion of the judges, leave the racing strip when not forced to do so as a result of the actions of another riders and/or horse may be fined or suspended by the Judges.

Penalties for riders violating provision of Rule 18.08.02 are as follows:

1. For the 1st offence; a fine of $100 shall be assessed
2. For the 2nd offence within a year of the 1st offence and within 750 rides of the 1st offence: a fine of $300 shall be assessed
3. For the 3rd offence within a year of the 1st offence and within 750 rides of the 1st offence: a minimum fine of $500 plus a suspension for 3 days shall be assessed.
4. For the 4th offence within a year of the 1st offence and within 750 rides of the 1st offence a minimum fine of $1,000 and a suspension for 5 days shall be assessed.

Chapter 22: Racing Rules

22.01 (h)         Delete.

22.05.01 A rider shall not commit any of the following acts which are considered violations of riding rules:

1. Change course or position, or swerve in or out, bump, or bear in or out during any part of the race in such a manner as to compel a horse to shorten its stride or cause another rider to change course, take his or her horse back, or pull his or her horse out of its stride;

…

22.17.01 A rider must be mounted on the horse at the finish of the race or the horse must be placed as not finishing.

22.17.02 A horse shall be placed as not finishing where the rider at any time during the running of the race was not mounted on the horse but was mounted at the finish of the race. In such case, the Judges may invoke the provisions of Rule 22.32 if they deem it in the public interest to do so.

22.19               Delete

22.20               Delete

22.21.04          Delete

22.23.03 (c) & (d)        Delete

22.23.03 At any time while on the grounds of an association, it is an offence for a rider, or the person in control of the horse, to use the whip to hit or make contact with the horse as follows:

      f. To urge the horse other than in front of the saddle on the shoulder.
      g. To strike the horse’s head with the riding crop.

22.25 Any trainer who wishes to change bridles on a horse from one race to another shall apply to the Judges for permission to do so, and no change shall be made without such permission. The Judges shall assure themselves of the necessity for any change of bridles before granting permission. Any change of a nature which the Judges are of the opinion that the public should be advised, must be shown on the program or announced to the public before any wagering occurs on that race.

22.25.01          A trainer shall adhere to the following equipment requirements:

1. A horse shall wear a safety girth;
2. A horse shall have a bit in mouth;
3. A horse shall wear a crupper and head check;
4. A horse shall wear a breast collar or buxton; and
5. A horse shall use either Thoroughbred or Ladder reins.

22.25.02          A trainer shall adhere to the following equipment restrictions:

1. No Trotting hopples;
2. No Head or line poles;
3. No 2 ring martingales;
4. No head numbers; and
5. No snaps on reins that attach to a bit.

Chapter 25: Drivers

25.01   A person shall not ride a horse in a Racing Under Saddle race, other than an exhibition or schooling race, without having first obtained a rider licence valid for the current year by meeting the standards as laid down by Standardbred Canada or the United States Trotting Association and being licensed by the Commission.

25.01.01 A rider shall participate and be approved in at least three (3) qualifying races prior to receiving final approval of their initial Commission licence.

25.01.02 All applicants applying for renewal of a Racing Under Saddle license must complete one (1) satisfactory qualifier ride at the beginning of each season and submit to the judges for approval. If the renewal applicant has completed less than ten (10) rides during the previous three (3) years, he/she will be required to participate in at least (3) qualifying races prior to his/her licence being renewed.

25.02.01          Delete

Preamble

WHEREAS after meeting with industry stakeholders and responding to requests to consider revising the current rules and Directives with respect to urging and specifically that use of the whip be limited to wrist action only;

AND WHEREAS this rule will enhance the health and safety of horses and participants, and the integrity of racing;

AND WHEREAS on May 3, 2019 the AGCO released Standardbred Directive No. 3 – 2019 – Revision to Urging Provisions;

TAKE NOTICE the AGCO wishes to clarify that the Penalty Guidelines and assessment of the penalty are intended to have a retrospective effect;

AND FURTHER TAKE NOTICE that the Registrar rescinds Standardbred Directive No. 3

– 2019 – Revision to Urging Provisions and hereby orders the Rules of Standardbred Racing be amended effective immediately:

Chapter 22
Racing Rules

…

22.23.03 At any time while on the grounds of an Association, it is a violation of the Rules for a driver, or the person in control of the horse, to use the whip to hit or make contact with the horse as follows:

1. To raise their hand(s) above their head;
2. To use more than acceptable wrist action;
3. To cause any portion of the whip to be outside the confines of the wheels of the race bike;
4. To strike the shaft of the race bike, or the horse below the level of the shaft of the race bike;
5. To cut or severely welt a horse.

…

22.23.05 Violation of any of the provisions in Rule 22.23.01 to 22.23.04 may result in any of the following penalties: To raise their hand(s) above their head;

1. Monetary penalty;
2. Suspension;
3. Placement;
4. Disqualification; and/or
5. Any other penalty as ordered.

Further particulars in respect to the penalties are provided in Standardbred Directive No. 1 – 2020, which also provides principles which serve as a guide for interpretation. The Directive may be modified from time to time by the Registrar.

PENALTY GUIDELINES RULE 22.23

Any violation of Rule 22.23, to include subsections 22.23.01, 22.23.02, 22.23.03 and

22.23.04 is a violation and covered by this penalty structure.

VIOLATION – Inappropriate urging of the horse

VIOLATION – Cutting or Welting the horse

Application of the Guidelines will take into consideration the following:

1. This penalty structure provides guidance to Judges as to minimum penalties for inappropriate urging of the horse, and for the cutting and welting of a horse.
2. The penalty for any subsequent violation cannot be less than the previous violation, regardless of whether the violation is for inappropriate urging of the horse or for cutting and welting of a horse.
3. Any cut or welt violation shall be counted and considered by the Judges as the next violation for inappropriate urging on a cumulative basis.
4. The penalty structure is progressive in nature, irrespective of which of the encompassed rules are violated.
5. In determining whether a violation of the Rules has occurred or in assessing penalty, Judges may consider mitigating factors in exceptional circumstances. An example of conduct that may be viewed as a mitigating consideration would be striking a horse to prevent inevitable harm to another driver, horse, participant or patron.
6. In assessing penalty, Judges may also consider aggravating factors, such as the licensee’s history of violations pertaining to inappropriate urging of the horse (which violation/s occurred more than a year before the subject violation).
7. If the violation is sufficiently egregious, the Judges may depart from the penalty structure and impose higher penalties than those enumerated in the chart above.
8. Not all first infractions of the encompassed rules that occurred subsequent to the implementation of Standardbred Directive No. 3 – 2019 – Revision to Urging Provisions and Standardbred Directive No. 1 – 2020 – Revision to Urging Provisions will be treated as a first offence for the purposes of setting penalty.

DESCRIPTION OF TERMS

This Policy was established to provide more description of what constitutes a violation under the Rules regarding inappropriate urging of the horse in Ontario racing:

Indiscriminate action means unrestrained or careless activity without regard for safety or care.

For the purposes of Rule 22.23.01 (a), the following are examples of indiscriminate action but do not constitute an exhaustive list:

1. Use of the whip in any manner between the hind legs of the horse
2. Loose lining or driving the horse so as to not have control of the horse
3. Kicking the horse
4. Striking the horse with the butt end of the whip;
5. Punching the horse; or
6. Any use other than acceptable wrist action.

Excessive action means unreasonable quantity or degree.

For the purposes of Rule 22.23.01 (b), the following are examples of excessive action with respect to inappropriate urging of the horse but does not constitute an exhaustive list:

1. Use of the whip when a horse is not in contention in a race;
2. Use of the whip without giving the horse time to respond to a previous application of the use of the whip
3. Use of the whip on the horse anywhere below the level of the shaft of the race bike.

Aggressive action means inhumane, severe or brutal activity.

For the purposes of Rule 22.23.01 (c), the following are examples of aggressive action but do not constitute an exhaustive list:

1. Use of the whip on the head or in the area surrounding the head of the horse.
2. Use of any object or stimulating device and/or application; or
3. Leaving any cuts, abrasions or severe welts on the horse caused by the whip;

Loose lining means the indiscriminate action of carelessly lengthening the lines while driving so as to allow the loopy shaking of the lines (i.e. butterfly action).

Meaningful Position (22.23.02) means the horse has a reasonable opportunity to finish in an advantageous position. Examples of meaningful include, but are not limited to, maintaining qualifying times, receiving points towards future races or earning purse monies.

Confines of the wheels (22.23.03c) means that any part of the whip cannot move outside of a line which runs parallel to the horse from a point prescribed by the outside of the race bike wheel.

BACKGROUND

Under a process established by the Executive Director in the fall of 2008 to gather industry input on the appropriate use of the whip in horse racing, it was recognized that the use of the whip is a necessary tool in racing.

The following principles were agreed to and serve as a guide for all decision making on rule development:

1. Ensure the welfare of the horse
   The welfare of the horse is paramount and guides decision making in all matters
2. Promote safety for racing participants (including the horse)
   Where the safety of racing participants has been compromised, appropriate action shall be taken
3. Create simple, clear and consistent rules (and enforcement)
   To be adhered to or enforced correctly, rules must be written and communicated in a straightforward manner.
4. Address customer/public perception and education
   Shifting public sensitivity on the use of the whip in horseracing must be recognized by all industry participants, who must also do their part in educating new fans about the sport.
5. Support growth of the customer base
   Racetrack management has identified use of the whip as a barrier to increased customer growth. Participants must be involved, as our industry builds to creating a more desirable product

The outcome of the industry discussion has led to the formation of rules regarding the appropriate methods for urging a horse in racing and changes to driving styles to require a hand in each line for the entire race.

Loose lining: It was stressed by the participants that this change to driving style should not lead to the practice of “loose lining”, which means the indiscriminate action of carelessly lengthening the lines while driving so as to allow the loopy shaking of the lines (butterfly action). It was agreed that these would be the type of actions counter to the intent of the rule changes and would present an undesirable product to the wagering public.

BY THE ORDER OF THE REGISTRAR

Jean Major
Registrar

The Ontario Racing Commission at its meeting of Tuesday, January 22, 2008, approved the Penalty Guidelines for Equine Drug, TCO2 and Non-Therapeutic Drug Offences Policy as follows, effective January 31, 2008:

Guidelines

Penalties for Equine Drug, TCO2 and Non-Therapeutic Drug Offences

Application of the Guidelines will take into consideration the following:

1. The Commission and/or its representatives will consider all offences for the purposes of assessing a penalty as a second or subsequent offence under these Guidelines.
2. The suggested penalties (suspension and fines) are guidelines only.
3. The Commission and/or its representatives may take into consideration any mitigating circumstances surrounding a positive test case, and may do any of the following:
   1. Impose a penalty that is lower than suggested in these guidelines.
   2. Subject to due process, find other licensed individuals responsible and impose penalties upon such licensee as deemed appropriate.
4. The Commission and/or its representatives may exercise discretion in interpreting these Guidelines and assessing penalties, and may consider all prior offences, in and outside of Ontario, involving any drug, medication, bicarbonate (TC02) or any other substance prohibited by rule or law. Although all prior offences may be considered in determining the appropriate penalty, the penalties for second and subsequent offences suggested in these Guidelines are based on:
   1. The assumption that the previous offence(s) being considered were in the same class of drug, and
   2. The date of conviction or ruling for the previous offence(s) occurred within 3 years of the first offence.
5. For second or subsequent offences which occurred within 3 years of the first offence but in a different class of drug, the Commission and/or its representative will exercise discretion in assessing the penalty by considering the following:
   1. The number and class(es) of all previous offences;
   2. The time frame between offences; and
   3. Any mitigating circumstances.
6. For the purposes of these Guidelines, a TC02 offence is considered a Class Ill drug.
7. On a first offence, the Commission and/or its representatives may impose a penalty beyond or below the range in appropriate circumstances.
8. Multiple offences occurring on the same race day to different horses of the same trainer may be considered as individual offences in appropriate circumstances.
9. Suspension periods are full suspensions as described in the Rules of Racing.
10. Regardless of the penalty imposed, the horse in question will be disqualified and the purse will be redistributed.
11. Class I through V drugs are based on the Uniform Classification Guidelines for Foreign Substances, published by the Association of Racing Commissioners International.
12. Non-Therapeutic will include any drug, substance or medication that is determined to be in the system of a horse that has no therapeutic value to the horse.

BY ORDER OF THE COMMISSION

John L. Blakney
Executive Director

The Ontario Racing Commission at its meeting of Tuesday, January 22, 2008, approved the Trainer Transfer Guidelines Policy as follows:

The Ontario Racing Commission is committed to improved communication to the horse racing community. It has determined that the industry should have access to information regarding the criteria used and the decisions made surrounding trainer transfers.

The following factors shall be taken into consideration by the Judges and Stewards when making their determination of applications for trainer transfers:

1. The degree of closeness of any relationship, whether it be fiduciary, employee/employer and/or family in nature;
2. The past conduct of the proposed trainer; and
3. The licensing history of the proposed trainer.

Final determination of suitability is the sole discretion of the Judges and Stewards who assess situations on a case by case basis.

Judges or Stewards are required to document in the form of a ruling their decisions on applications for trainer transfers and provide in the ruling their reasons for approving or denying the transfer.

The Ontario Racing Commission at its meeting of Tuesday, January 22, 2008, approved the Licensing Terms Guidelines Policy as follows:

WHEREAS the Director has the authority to issue terms to a licence;

AND WHEREAS the Ontario Racing Commission is committed to ensuring that the integrity of the horse racing industry is maintained throughout the racing season;

TAKE NOTICE that the Director may issue terms to a licence for a two-year period for the following situations:

1. Any Licensee whose horse has tested positive for a Class I, II or III drug and the penalty issued is 60 days or more; or
2. Any Licensee whose horse has tested positive for a Class IV or V drug and the offence is a 2nd offence or more for the Licensee within three (3) years where the penalty issued is 60 days or more; or
3. Any Licensee whose horse was tested and the sample was found to contain Erythropoeitin/ Darbepoeitin-Alfa or the existence of any substance or drug with no therapeutic value to the horse; or
4. Any licensee who has been found in violation of Standardbred Rule 6.46.01 or Thoroughbred Rule 15.31.01.

The following terms may be added to the licence of the Licensee as follows:

1. The Licensee shall keep the peace and be of good behaviour;
2. The Licensee shall allow Commission investigators access to his/her stabling area at any time to conduct unannounced random searches for illegal or non-therapeutic medications or drugs;
3. The Licensee shall allow Commission investigators to seize any illegal or non-therapeutic medications or drugs found at his/her stabling area; and
4. The Licensee shall be subject to the Commission’s Out of Competition Program.
5. The Licensee may be subject to a Notice of Proposed Order in addition to any penalty imposed by the ORC Judges or Stewards for any breach of the terms of their licence.

The Ontario Racing Commission at its meeting of Wednesday, March 25, 2009, resolved that the following directive, effective April 29, 2009, replaces Policy Directive 6 – 2008 governing the Commission’s policy on cancellation fees, and supersedes all prior Commission directives pertaining to cancellation fees. A cancellation fee is defined as an amount paid to the owners of horses not scratched from races, where cancellation of the races has been approved by the Executive Director or the Judges due to weather, or other factors fully outside of the control of racetrack management. Cancellation fees will also be paid where a race has been ruled a “No Contest” under Rule 22.33 and Rule 18.09 has not been applied.

A cancellation fee is not purse, although if approved, it may be distributed from the purse account. A cancellation fee will be issued as follows:

1. In the case of a cancellation due to weather or other issues beyond the control of racetrack management, the purse account manager (usually racetrack management) is required to apply in writing to the Judges for approval to issue cancellation fees for a particular race date, providing full details of the reason for the cancellation. The application is to be accompanied by a letter of support from the local horsepeople’s association. The Judges will provide authorization in writing through the issuance of a ruling.
2. A request to authorize cancellation fees for a particular race date will not be considered if, in the opinion of the Judges, sufficient notice of cancellation of racing was provided to the participants.
3. In the case of a race declared a “No Contest”, the Judges will issue a ruling ordering the payment of the cancellation fee.
4. The cancellation fee is a set amount which is determined by the Executive Director and reviewed on a timely basis.
5. Where an agreement exists between the racetrack and the horsepeople to distribute a percentage share of the purse to the drivers, trainers and grooms, and where that agreement is on file with the ORC, the racetrack may provide similar percentage compensation out of the cancellation fee.

The Ontario Racing Commission at its meeting of Thursday, September 24, 2009, resolved that the following directive be approved, effective immediately.

PENALTY GUIDELINES RULE 9.27

Any violation of Rule 9.27.05, 9.27.06 and 9.27.07 is an offence and covered by this penalty structure.

Races with a purse of under $100,000

OFFENCE – Cutting or Welting the Horse

Application of the Guidelines will take into consideration the following:

1. This penalty structure provides guidance to Stewards as to minimum penalties for inappropriate urging of the horse, and for the cutting and welting of a horse.
2. The penalty for any subsequent offence cannot be less than the previous offence, regardless of whether the offence is for inappropriate urging of the horse or for cutting and welting of a horse.
3. Any cut or welt offence shall be counted and considered by the Stewards as the next offence for inappropriate urging on a cumulative basis.
4. For races under $100,000, the penalty structure is progressive in nature, irrespective of which of the encompassed rules are violated. For races over $100,000 the penalty is aligned with the purse value of the race
5. In determining whether a violation of the Rules has occurred or in assessing penalty, Stewards may consider mitigating factors in exceptional circumstances. An example of conduct that may be viewed as a mitigating consideration would be striking a horse to prevent inevitable harm to another rider, horse, participant or patron.
6. In assessing penalty, Stewards may also consider aggravating factors, such as the licensee’s history of violations pertaining to inappropriate urging of the horse (which offence/s occurred more than a year before the subject offence or under a different category).
7. If the offence is sufficiently egregious, the Stewards may depart from the penalty structure and impose higher penalties than those enumerated in the chart above
8. All first infractions of the encompassed rules that occur subsequent to the implementation of the new rules will be treated as a first offence for the purposes of setting penalty, except as noted above for cutting or severely welting a horse.

DESCRIPTION OF TERMS

This Policy was established to provide more description of what constitutes an offence under the Rules regarding inappropriate urging of the horse in Ontario racing:

Indiscriminate action means unrestrained or careless activity without regard for safety or care.

For the purposes of Rule 9.27.05 (a), the following are examples of indiscriminate action but do not constitute an exhaustive list:

1. Use of the riding crop during the post parade or after the wire, except when necessary to control the horse;
2. Striking the horse with the butt end of the riding crop;
3. Hitting the horse with the riding crop in an area other than the shoulders or hind quarters; or
4. Punching the horse.

Excessive action means unreasonable quantity or degree.

For the purposes of Rule 9.27.05 (b), the following are examples of excessive action with respect to inappropriate urging of the horse but does not constitute an exhaustive list:

1. Use of the riding crop when a horse is not in contention in a race;
2. Use of the riding crop more than 3 times in a row without giving the horse time to respond

Aggressive action means inhumane, severe or brutal activity

For the purposes of Rule 9.27.05 (c), the following are examples of aggressive action but do not constitute an exhaustive list:

1. Use of the riding crop on the head or in the area surrounding the head of the horse
2. Use of any object or stimulating device and/or application; or
3. Leaving any cuts, abrasions or severe welts on the horse caused by the riding crop;

Meaningful Position (9.27.06) means the horse has a reasonable opportunity to finish in an advantageous position. Examples of meaningful include, but are not limited to, maintaining times, receiving points towards future races or earning purse monies.

Giving the horse a chance to respond (9.27.05 Excessive Action) means limiting the number of strikes applied to a horse in succession, in order to give the horse a chance to respond to the application. The rule requires that riding crop use shall not be continued if the horse is unable to respond or does not respond. The skill of the jockey comes in to play in assessing the horse’s ability to continue to respond. The riding crop is one of a number of tools available to the jockey to encourage the horse forward, weight, voice and hand riding being others.

BACKGROUND

Under a process established by the Executive Director in the fall of 2008 to gather industry input on the appropriate use of the riding crop in horse racing, it was recognized that the use of the riding crop is a necessary tool in racing.

The following principles were agreed to and serve as a guide for all decision making on rule development:

1. Ensure the welfare of the horse
   The welfare of the horse is paramount and guides decision making in all matters.
2. Promote safety for racing participants (including the horse)
   Where the safety of racing participants has been compromised, appropriate action shall be taken.
3. Create simple, clear and consistent rules (and enforcement)
   To be adhered to or enforced correctly, rules must be written and communicated in a straightforward manner.
4. Address customer/public perception and education
   Shifting public sensitivity on the use of the whip in horseracing must be recognized by all industry participants, who must also do their part in educating new fans about the sport.
5. Support growth of the customer base
   Racetrack management has identified use of the whip as a barrier to increased customer growth. Participants must be involved, as our industry builds to creating a more desirable product

The outcome of the industry discussion has led to the formation of rules regarding the appropriate methods for urging a horse in racing.

The Ontario Racing Commission at its meeting of Thursday, September 24, 2009, resolved that the following directive be approved, effective immediately.

PENALTY GUIDELINES RULE 22.23

Any violation of Rule 22.23, to include subsections 22.23.01, 22.23.02, 22.23.03 and 22.23.04 is an offence and covered by this penalty structure.

OFFENCE – Inappropriate urging of the horse

OFFENCE – Cutting or Welting the horse

Application of the Guidelines will take into consideration the following:

1. This penalty structure provides guidance to Judges as to minimum penalties for inappropriate urging of the horse, and for the cutting and welting of a horse.
2. The penalty for any subsequent offence cannot be less than the previous offence, regardless of whether the offence is for inappropriate urging of the horse or for cutting and welting of a horse.
3. Any cut or welt offence shall be counted and considered by the Judges as the next offence for inappropriate urging on a cumulative basis.
4. The penalty structure is progressive in nature, irrespective of which of the encompassed rules are violated.
5. In determining whether a violation of the Rules has occurred or in assessing penalty, Judges may consider mitigating factors in exceptional circumstances. An example of conduct that may be viewed as a mitigating consideration would be striking a horse to prevent inevitable harm to another driver, horse, participant or patron.
6. In assessing penalty, Judges may also consider aggravating factors, such as the licensee’s history of violations pertaining to inappropriate urging of the horse (which offence/s occurred more than a year before the subject offence).
7. If the offence is sufficiently egregious, the Judges may depart from the penalty structure and impose higher penalties than those enumerated in the chart above.
8. All first infractions of the encompassed rules that occur subsequent to the implementation of the new rules will be treated as a first offence for the purposes of setting penalty, except as noted above for cutting or severely welting a horse.

DESCRIPTION OF TERMS

This Policy was established to provide more description of what constitutes an offence under the Rules regarding inappropriate urging of the horse in Ontario racing:

Indiscriminate action means unrestrained or careless activity without regard for safety or care.

For the purposes of Rule 22.23.01 (a), the following are examples of indiscriminate action but do not constitute an exhaustive list:

1. Use of the whip in any manner between the hind legs of the horse
2. Loose lining or driving the horse so as to not have control of the horse
3. Kicking the horse
4. Striking the horse with the butt end of the whip; or
5. Punching the horse.

Excessive action means unreasonable quantity or degree.

For the purposes of Rule 22.23.01 (b), the following are examples of excessive action with respect to inappropriate urging of the horse but does not constitute an exhaustive list:

1. Use of the whip when a horse is not in contention in a race;
2. Use of the whip without giving the horse time to respond to a previous application of the use of the whip
3. Use of the whip on the horse anywhere below the level of the shaft of the race bike.

Aggressive action means inhumane, severe or brutal activity.

For the purposes of Rule 22.23.01 (c), the following are examples of aggressive action but do not constitute an exhaustive list:

1. Use of the whip on the head or in the area surrounding the head of the horse.
2. Use of any object or stimulating device and/or application; or
3. Leaving any cuts, abrasions or severe welts on the horse caused by the whip;

Loose lining means the indiscriminate action of carelessly lengthening the lines while driving so as to allow the loopy shaking of the lines (i.e. butterfly action) or to permit the arm to swing past a 90-degree angle to affect a wide arch when using the whip or shaking the lines.

Meaningful Position (22.23.02) means the horse has a reasonable opportunity to finish in an advantageous position. Examples of meaningful include, but are not limited to, maintaining qualifying times, receiving points towards future races or earning purse monies.

Confines of the wheels (22.23.03c) means that any part of the whip cannot move outside of a line which runs parallel to the horse from a point prescribed by the outside of the race bike wheel.

BACKGROUND

Under a process established by the Executive Director in the fall of 2008 to gather industry input on the appropriate use of the whip in horse racing, it was recognized that the use of the whip is a necessary tool in racing.

The following principles were agreed to and serve as a guide for all decision making on rule development:

1. Ensure the welfare of the horse
   The welfare of the horse is paramount and guides decision making in all matters
2. Promote safety for racing participants (including the horse)
   Where the safety of racing participants has been compromised, appropriate action shall be taken
3. Create simple, clear and consistent rules (and enforcement)
   To be adhered to or enforced correctly, rules must be written and communicated in a straightforward manner.
4. Address customer/public perception and education
   Shifting public sensitivity on the use of the whip in horseracing must be recognized by all industry participants, who must also do their part in educating new fans about the sport.
5. Support growth of the customer base
   Racetrack management has identified use of the whip as a barrier to increased customer growth. Participants must be involved, as our industry builds to creating a more desirable product

The outcome of the industry discussion has led to the formation of rules regarding the appropriate methods for urging a horse in racing and changes to driving styles to require a hand in each line for the entire race.

Loose lining: It was stressed by the participants that this change to driving style should not lead to the practice of “loose lining”, which means the indiscriminate action of carelessly lengthening the lines while driving so as to allow the loopy shaking of the lines (butterfly action) or permit the arm to swing past the 90 degree to effect a wide arch when using the whip. It was agreed that these would be the type of actions counter to the intent of the rule changes and would present an undesirable product to the wagering public.

The Ontario Racing Commission at its meeting of Thursday, January 28, 2010, resolved that the following directive be approved, effective immediately.

WHEREAS, the Ontario Racing Commission (ORC) is authorized under the Racing Commission Act 2000 to licence racetrack operations (Associations) for the purposes of conducting racing meets in the Province of Ontario;

AND WHEREAS, the Director under the Act is authorized to make decisions with respect to the licensing of persons associated with the Associations to participate;

TAKE NOTICE that persons wishing to act in the following capacities with respect to all Associations are required to be subject to a due diligence investigation to include but not be limited to the areas of employment, litigation, financial and taxation:

Key Person

(also known as Interested Person as defined in the terms and conditions of a racetrack licence)

A key person is defined as

1. a person who holds equity, controls or directs, in whole or in part, of an entity that is, or is applying to be, licensed to operate a racetrack, and/or
2. a person in a governance position who influences or has decision making authority with respect to the entity that holds the licence to operate a racetrack.

This would include, but not be limited to:

• Sole proprietors, partners and the like
• Shareholders
• Officers and Directors of the incorporated entity
• Board members, governors, directors, and the like of for-profit or non-profit entities
• or any other person identified by the Director, as required.

Key Employee

A key employee is defined as a person employed by the entity that is, or is applying to be, licensed to operate a racetrack, who exercises decision making authority with respect to the operation of the racetrack. This would include the heads of departments responsible for the human resources, accounting, audit, purchasing or compliance with respect to the premises.

• President/General Manager/CEO/COO/other senior executive
• Director or Head of:
  • Racing
  • Security
  • Facilities
  • Finance
• Human Resources
• Race Secretary
• Track Superintendant
• Mutuels Manager
• Teletheatre Network Manager
• or any other person identified by the Director, as required.

All key persons and key employees must hold a valid and current ORC licence as an Association Official.

BY ORDER OF THE COMMISSION

Original Signed

John L. Blakney
Executive Director

The Ontario Racing Commission at its meeting of Thursday, January 28, 2009, resolved that the following directive, effective immediately, replaces General Directive 2 – 2007 governing the Commission’s policy on minimum standards for Standardbred racetrack surfaces, and supersedes all prior Commission directives pertaining to minimum standards for Standardbred racetrack surfaces:

Minimum Standards Program

Standardbred Racetrack Surfaces

The objective of these standards is to improve the overall conditions of the racing surface, making it safer for horses and horsepeople.

1. Staff
   Each racetrack will dedicate a minimum of two staff for the sole purpose of maintaining the racing surface during live racing events.
2. Track Grading
   All racetracks will fully grade the racing surface at least two weeks prior to the commencement of the racing season. In addition to this, racetracks that race 55 days or fewer will fully grade the race surface every 30 days or as necessary.
3. Material
   An adequate supply of surface material must be available throughout the racing season. The minimum standard racetrack surface cushion is to be ½ to 1 inch. The cushion measurement will be from the bottom of a jogging horse toe imprint to the top of the track material.
4. Conditioning
   After every race, weather permitting, maintenance staff must groom the racetrack surface. Grooming will include one or more of the following tasks: watering, screening, harrowing or conditioning.

RESPONSIBILITIES

Ontario Racing Commission

The ORC will oversee the implementation of the proposed standards. The ORC will also schedule annual meetings of horse people and racetrack maintenance staff and support open communication on track issues and general exchange of ideas between the parties.

Racetrack Operators

1. Racetrack Operators will ensure that the minimum standards are maintained. In addition, each racetrack will have available upon request of the ORC Judges or other delegated official reports on the daily maintenance of the track racing surface.
2. Racetrack Operators will make available to the ORC Judges or other delegated officials daily log books which contain the following:
   1. Daily maintenance of track racing surface
   2. Staffing schedules
   3. Dates and times that the racing surface was groomed
   4. Employee assigned to conduct work
   5. Amount of water utilized
   6. Amount of aggregate material utilized, and
   7. Weather conditions.
3. Racetrack Operators will provide equipment and maintenance logs to the ORC Judges or other delegated official at their request.

Horsepeople

Prior to a race card, a horseperson from the Track Committee will communicate with the ORC Judges and Racetrack Maintenance Supervisor regarding the current conditions of the racing surface.

Failure to Comply

Failure to meet the standards laid out in this Directive may result in fines or suspensions or both.

Racetrack Maintenance Plans

Racetrack operators will be required to incorporate these standards into their Racetrack Maintenance Plans and submit a copy of the revised Plan in the next racetrack licensing cycle.

The Ontario Racing Commission (ORC) at its meeting of Wednesday, January 4, 2012, resolved that the following Directive be approved, effective January 9, 2012.

WHEREAS Policy Directive No. 3 – 2011 was released on December 20, 2011 which required the licensing of horsepeople’s organizations;

AND WHEREAS in addition to Policy Directive No.3 – 2011, Standardbred Directive No. 6 – 2011 and Thoroughbred Directive No. 6 – 2011 were issued on December 20, 2011;

TAKE NOTICE that the ORC Board has authorized the use of access agreements between ORC licensed horsepeople and licensed racetracks which will be accepted by the ORC as an alternative method of compliance with the requirements set out by the Canadian Pari-Mutuel Agency through the Pari-Mutuel Betting Supervision Regulations.

The Ontario Racing Commission (ORC) at its meeting of Thursday, April 26, 2012, resolved that the following directive be approved, effective immediately
WHEREAS, the Racing Commission Act, 2000 states that:

Section 11(2) In its rules, the Commission may adopt by reference, in whole or in part, with the changes that the Commission considers necessary, rules and procedures of racing associations or bodies, as amended from time to time, with respect of any matter except hearings held under Part II;

AND WHEREAS Track Rules govern licensees’ conduct on the property of the racing association;

AND WHEREAS, upon application for a racetrack operator’s licence, Track Rules for that association must be submitted;

AND WHEREAS, the Director has authority to approve Track Rules generally, and can additionally authorize the adoption of those Track Rules not covered by Rules of Racing but that require adoption where the ORC will enforce and issue penalty;

To be approved by the Director, Track Rules must conform as follows:

1. A “suspension” in Track Rules can only refer to a suspension of licence as ordered by the ORC and cannot be used to refer to loss of privileges to access the property of the racing association.
2. A Track Rule cannot supersede or change a requirement specified in the Rules of Racing, unless that Track Rule is approved or adopted by the ORC.
3. A Track Rule that varies an ORC rule may be considered for approval and/or adoption where that variation refers to local issues specific to operations.
4. A Track Rule cannot layer an additional penalty on a rule of racing excepting any penalties that may be applied by an association as it relates to the conduct of their employees.
5. A demerit system can be used by the association to manage loss of privilege under the Trespass to Property Act, but cannot compound a penalty issued by the ORC.
6. A Track Rule cannot require membership in a horseperson’s association.
7. Where the Association wishes to highlight an existing ORC rule, the Track Rule must include the specific ORC rule reference (e.g. ORC SB Rule X.XX).
8. Where a Track Rule is determined to be impermissible or redundant by the ORC, it must be removed.
9. Where an approved or adopted Track Rule is enforced by an official of the ORC, the penalty will be issued by the ORC, and any fines will be collected by the ORC.

Upon review and recommendation of ORC Administration, the Director will issue approval of the submitted Track Rules in whole and/or in part. Approval of Track Rules in whole means the Director finds no issue with the rules contained therein, and the rules are permissible. Where the Director determines that ORC officials will enforce a specific track rule, that rule will be adopted by reference.

The Ontario Racing Commission (ORC) at its meeting of Thursday, July 4, 2013, resolved that the following directive be approved, effective immediately.
This policy covers different circumstances that may arise where an added money event (stakes race) needs to be rescheduled and addresses defined protocol. The policy provides guidance as follows:

1. Defines the limitations for “postponing” a race.
2. Details the protocol to be followed when races are rescheduled to a time beyond reasonable limits affecting the eligibility of entered horses.

Added Money Events are defined in the Rules of Standardbred Racing under Chapter 2 – Definitions as meaning stakes, futurities, early closing events and late closing events.
For the purposes of this Policy Directive Added Money Events include any race regardless of breed to which a horse must pay a nomination fee in advance of entry day.

Postponing

A stakes race (including divisions, eliminations, legs, trials or finals) where the entry box has been closed, that cannot be run on the advertised date but can be rescheduled within 7 clear days (Standardbred) or 14 clear days (Thoroughbred) of the original date, is considered postponed and the following will apply:

1. The horses are not required to be re-entered, as all horses are considered to have maintained their eligibility (unless the trainer has done something to make them ineligible, e.g. the horse is on the Stewards’ List).
2. As all originally entered horses are still considered eligible, the stake race will be conducted as drawn and all starting fees remain due and payable.
3. Any horse that was scratched for the original date, remains scratched for the postponed date, and the starting fee is due and payable.
4. To maintain their eligibility to the postponed race, horses entered and eligible to the race cannot enter and race in another race.

Re-scheduling

A stakes race (including divisions, eliminations, legs, trials or finals) where the entry box has been closed, that cannot be run on the advertised dates but cannot be scheduled within 7 clear days (Standardbred) or 14 clear days (Thoroughbred) of the original date, is considered re-scheduled and the following will apply:

1. Eligible horses must be re-entered to the re-scheduled race. Trainers are responsible for declaring horses to the re-scheduled race, and under the Rules of Racing responsible for ensuring entry of an eligible horse. Rules surrounding eligibility continue to apply.
2. Only horses declared to the original event are eligible to be declared to the re-scheduled event.
3. Any horse that was scratched before the decision to cancel was made is ineligible to enter in the re-scheduled event. The starting fee for that horse remains payable.
4. Where the horse’s interests decide not to enter the horse to the re-scheduled event, they are not required to pay the starting fee.
5. There will be a redraw for post positions.
6. Where the re-scheduled race is a Final, all results from any required trials will be carried over.

Cancellation

In the case where the added money event must be cancelled, the nomination and sustaining payments will be returned to the owner of the horse.

The Ontario Racing Commission at its meeting of Friday, December 18, 2015, approved the Revision to Penalty Guidelines for Equine Drug, TCO₂, and Non-Therapeutic Drug Offences as follows:

For the purposes of Policy Directive No. 1-2008 Penalty Guidelines for Equine Drug, TCO₂, and Non-Therapeutic Drug Offences (the Penalty Guidelines), acetylsalicylic acid (Aspirin), will be considered a Class V drug and furosemide and procaine will be considered Class V drugs upon the receipt of a certificate of positive analysis indicating a prohibited quantitative level.

Accordingly, the Revised Penalty Guidelines are as follows:

Guidelines

Penalties for Equine Drug, TCO₂ and Non-Therapeutic Drug Offences

Application of the Guidelines will take into consideration the following:

1. The Commission and/or its representatives will consider all offences for the purposes of assessing a penalty as a second or subsequent offence under these Guidelines. 
2. The suggested penalties (suspension and fines) are guidelines only.
3. The Commission and/or its representatives may take into consideration any mitigating circumstances surrounding a positive test case, and may do any of the following:
   1. Impose a penalty that is lower than suggested in these guidelines.
   2. Subject to due process, find other licensed individuals responsible and impose penalties upon such licensee as deemed appropriate.
4. The Commission and/or its representatives may exercise discretion in interpreting these Guidelines and assessing penalties, and may consider all prior offences, in and outside of Ontario, involving any drug, medication, bicarbonate (TCO₂) or any other substance prohibited by rule or law.  Although all prior offences may be considered in determining the appropriate penalty, the penalties for second and subsequent offences suggested in these Guidelines are based on:
   1. The assumption that the previous offence(s) being considered were in the same        class of drug, and
   2. The date of conviction or ruling for the previous offence(s) occurred within 3 years of the first offence.
5. For second or subsequent offences which occurred within 3 years of the first offence but in a different class of drug, the Commission and/or its representative will exercise discretion in assessing the penalty by considering the following:
   1. The number and class(es) of all previous offences;
   2. The time frame between offences; and
   3. Any mitigating circumstances.
6. For the purposes of these Guidelines, a TCO₂ offence is considered a Class III drug.
7. On a first offence, the Commission and/or its representatives may impose a penalty beyond or below the range in appropriate circumstances.
8. Multiple offences occurring on the same race day to different horses of the same trainer may be considered as individual offences in appropriate circumstances.
9. Suspension periods are full suspensions as described in the Rules of Racing.
10. Regardless of the penalty imposed, the horse in question will be disqualified and the purse will be redistributed.
11. Class I through V drugs are based on the Uniform Classification Guidelines for Foreign Substances, published by the Association of Racing Commissioners International.
12. Non-Therapeutic will include any drug, substance or medication that is determined to be in the system of a horse that has no therapeutic value to the horse. 
13. Acetylsalicylic acid (Aspirin) will be considered a Class V drug and furosemide and procaine will be considered Class V drugs upon the receipt of a certificate of positive analysis indicating a prohibited quantitative level.

BY ORDER OF THE COMMISSION

Jean Major
Executive Director

TAKE NOTICE, effective April 21, 2018, the Registrar rescinds all prior penalty guidelines and subsequent revisions and orders that the following penalty guidelines be applied:

Guidelines
Penalties for Equine Drug, TCO2 and Non-Therapeutic Drug Offences

Application of the Guidelines will take into consideration the following:

1. The suggested penalties (suspensions and monetary penalties) are guidelines only.
2. The Commission and/or its representatives may exercise discretion in interpreting these Guidelines and assessing penalties, and may consider all previous violations, in and outside of Ontario, involving any drug, medication, bicarbonate (TCO2) or any other substance prohibited by rule or law.  Although all previous violations may be considered in determining the appropriate penalty, the penalties for second and subsequent violations suggested in these Guidelines are based on:
   1. The assumption that the previous violation(s) being considered were in the same class of drug;
   2. Class I and II drugs will be considered the same for the purposes of considering a previous violation(s); and
   3. The date of conviction or ruling for the previous violation(s) occurred within 3 years of the first offence.
3. The Commission and/or its representatives may take into consideration any mitigating or aggravating circumstances surrounding a positive test case, and may do any of the following:
   1. Impose a penalty that is higher or lower than suggested in these guidelines.
   2. Require completion of an educational component in addition to, or in lieu of, a suggested guideline penalty.  
   3. Subject to due process, find other licensed individuals responsible and impose penalties upon such licensee as deemed appropriate.
4. For second or subsequent violations which occurred within 3 years of the first violation but in a different class of drug, with the exception that Class I and II drugs will be considered the same for the purposes of considering subsequent violation(s), the Commission and/or its representative will exercise discretion in assessing the penalty by considering the following:
   1. The number and class(es) of all previous violations;
   2. The time frame between violations; and
   3. Any mitigating circumstances.
5. Multiple violations occurring on the same race day to different horses of the same trainer may be considered as individual violations in appropriate circumstances.
6. Suspension periods are full suspensions as described in the Rules of Racing.
7. Regardless of the penalty imposed, the horse in question will be disqualified and there will be a loss of purse.
8. Class I through V drugs are based on the Uniform Classification Guidelines for Foreign Substances, published by the Association of Racing Commissioners International.
9. “Non-Therapeutic” will include any drug, substance or medication that is determined to be in the system of a horse that has no therapeutic value to the horse.  
10. Acetylsalicylic acid (Aspirin) will be considered a Class V drug and furosemide and procaine will be considered Class V drugs upon the receipt of a certificate of positive analysis indicating a prohibited quantitative level.

WHEREAS the Ontario Racing Commission is committed to working with Industry stakeholders to expand the medication control program beyond existing pre-race, post-race testing and retention requirements;  

AND WHEREAS concerns were brought forward by the Quarter Horse Racing Owners of Ontario Inc. (QROOI) and other participants in the Quarter Horse Racing community regarding alleged misuse of the therapeutic drug clenbuterol;

AND WHEREAS the Ontario Racing Commission (ORC) responded to this concern by working with the Canadian Pari-Mutuel Agency (CPMA) to develop an agreement to allow for enhanced testing of samples;

TAKE NOTICE THAT effective May 13, 2012 all horses competing in Quarter Horse races in Ontario, where those horses have been selected to provide an Official Sample as defined by the CPMA and its regulations, may have their samples subjected to enhanced testing by the ORC for the presence of the drug clenbuterol. 

AND FURTHER TAKE NOTICE THAT any sample where clenbuterol is detected at a level of 200pg/ml or more in urine, and/or 1 – 2 pg/ml or more in blood, will be deemed to be a violation of the Rules of Thoroughbred Racing 2009 and the Racing Commission Act, 2000 and the following regulatory action against the owner and/or trainer of the horse will result:

1. Disqualification of the horse from the race;
2. Return and redistribution of all earnings from that race;
3. The horse will be ineligible to race until:
   1. The owner of the horse produces a negative test result; and
   2. The ORC investigation is complete
4. Any other penalties that the Director or his designate deems appropriate;

AND FURTHER TAKE NOTICE THAT if clenbuterol is detected in a horse that has been claimed, the regulatory action will be imposed against the original owner and/or trainer of record and the claimant has the option to return the horse to the original owner and the claiming price will be returned to the claimant.  The request to return the horse shall be made in accordance with the procedure outlined in Rule 12.32 of the Rules of Thoroughbred Racing.  If the horse is not returned, the new owner will be required to provide the negative test result prior to entering the horse to race.

BY ORDER OF THE COMMISSION

John L. Blakney
Executive Director

The Ontario Racing Commission at its meeting of Thursday, April 26, 2012, resolved that the Quarter Horse Appendix to the Rules of Thoroughbred Racing 2009 be amended by the promulgation of the changes to the following Rules, effective immediately:

Chapter 9

JOCKEYS

Rule 9.15.01  A Quarter Horse Jockey shall not:

(a)  be an owner or trainer of any quarter horse race horse,
(b)  compete in any race against a horse owned or trained by his or her spouse, or
(c)  compete in any race against a horse owned by his or her mother, father, brother or sister.

Chapter 12

CLAIMING RACES

Rule 12.01.01  Delete (Thoroughbred Rule 12.01.01 will apply)

Rule 12.08  If a horse is claimed, it shall not be sold or transferred to anyone in whole or in part, except in a claiming race, for a period of thirty (30) clear days from the date of claim. It shall not, unless reclaimed, remain in the same stable or under control or management of its former owner or trainer for the same thirty (30) clear days.

Rule 12.29  Delete (Thoroughbred Rule 12.29 will apply)

BY ORDER OF THE COMMISSION

John L. Blakney
Executive Director

The Ontario Racing Commission at its meeting of Tuesday, June 26, 2012 resolved that the Rules of Thoroughbred Racing 2009 be amended by the promulgation of the following Rules, effective immediately.

Chapter 3

RACING ASSOCIATIONS AND ASSOCIATION OFFICIALS

3.04.5  Delete, Refer to Thoroughbred Rule version

Chapter 29

TRAINERS, ASSISTANT TRAINERS, AND SUBSTITUTE TRAINERS

29.09  Delete, Refer to Thoroughbred Rule version

BY ORDER OF THE COMMISSION

John L. Blakney
Executive Director

Preamble

WHEREAS the Ontario Racing Commission is committed to working with Industry stakeholders to expand the medication control program beyond existing pre-race, post-race testing and retention requirements;

AND WHEREAS concerns were brought forward by the Quarter Horse Racing Owners of Ontario Inc. (QROOI) and other participants in the Quarter Horse Racing community regarding alleged misuse of the therapeutic drug Clenbuterol;

AND WHEREAS the Ontario Racing Commission (ORC) responded to this concern by working with the Canadian Pari-Mutuel Agency (CPMA) to develop an agreement to allow for enhanced testing of samples;

TAKE NOTICE THAT effective May 10, 2015 all horses competing in Quarter Horse races in Ontario, where those horses have been selected to provide an Official Sample as defined by the CPMA and its regulations, may have their samples subjected to enhanced testing by the ORC for the presence of the drug Clenbuterol.

AND FURTHER TAKE NOTICE THAT any sample where Clenbuterol is detected at any level in either urine or blood, will be deemed to be a violation of the Rules of Thoroughbred Racing 2012 and the Racing Commission Act, 2000 and the following regulatory action against the owner and/or trainer of the horse will result:

1. Disqualification of the horse from the race;
2. Return and redistribution of all earnings from that race;
3. The horse will be ineligible to race until:
   1. The owner provides a negative test result from the horse; and
   2. The ORC investigation is complete.
4. Any other penalties that the Director or his designate deems appropriate;

AND FURTHER TAKE NOTICE THAT clenbuterol testing will be occurring on a more frequent basis;

AND FURTHER TAKE NOTICE THAT if clenbuterol is detected in a horse that has been claimed, the regulatory action will be imposed against the original owner and/or trainer of record and the claimant has the option to return the horse to the original owner and the claiming price will be returned to the claimant. The request to return the horse shall be made in accordance with the procedure outlined in Rule 12.32 of the Rules of Thoroughbred Racing. If the horse is not returned, the new owner will be required to provide the negative test result prior to entering the horse to race.

The Ontario Racing Commission at its meeting of Wednesday, January 4, 2012 resolved that the Rules of Thoroughbred Racing 2009 be amended by the promulgation of the following Rule, effective January 9, 2012.

Chapter 4
LICENSING

Rule 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:

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 fines or suspension.  

BY ORDER OF THE COMMISSION

John L. Blakney
Executive Director

WHEREAS the use of 3rd party staking services has increased over the last number of years;

AND WHEREAS the ORC wishes to ensure that staking payments made to 3rd parties are processed and notification made in a timely way;

TAKE NOTICE that Standardbred Rule 16.18 is hereby immediately amended to ensure that all staking payments made are properly accounted;

AND FURTHER TAKE NOTICE that the ratification of the amended Rule 16.18 by the Board of the Ontario Racing Commission shall occur on Thursday, February 23, 2012;

Chapter 1

PRELIMINARY

Standardbred

1.01  The following rules have been enacted and declared to be the official rules of the Ontario Racing Commission (hereinafter referred to as the Commission) and these rules shall apply to all Standardbred raceways and participants under the Commission jurisdiction

1.02  Standardbred racing shall be conducted in accordance with the rules, Commission directives, conditions of licences granted by the Director or the Commission, track rules approved by the Director, AND any other applicable laws and regulations.

Vs.

Thoroughbred

1.01.01.1  These rules apply to all thoroughbred tracks under the Commission jurisdiction.

1.01.01.2  For the purposes of quarter horse racing, the Rules of Thoroughbred Racing shall apply with the exception that they shall be superseded by the Quarter Horse appendage if a conflict exist.

1.01.2              The laws of the Province of Ontario and the Rules of Thoroughbred Racing including the Quarter Horse appendage shall supersede the conditions of a horse race and the regulations of the Association.

Suggested Change:

Thoroughbred

1.01.01.1  The following rules have been enacted and declared to be the official rules of the Ontario Racing Commission (hereinafter referred to as the Commission) and these rules shall apply to all Thoroughbred racetracks and participants under the Commission jurisdiction

1.01.2 Thoroughbred racing shall be conducted in accordance with the rules, Commission directives, conditions of licences granted by the Director or the Commission, track rules approved by the Director, AND any other applicable laws and regulations. The Rules of Thoroughbred Racing including the Quarter Horse appendage shall supersede the conditions of a horse race and the regulations of the Association.

Chapter 13

PROTESTS, OBJECTIONS AND APPEALS

Standardbred

23.07  Rulings on protests which affect purse money or order of finish after the race was declared official shall have no effect on the distribution of pari-mutuel pools.

Vs.

Thoroughbred

13.14  When, after the posting of the “Official” sign immediately after a race has been run, a horse is disqualified as a result of a protest, or by reason of a positive urine or blood test, such disqualification shall in no way affect the wagering on the race.

Suggested Change:

Thoroughbred

13.14  Rulings on protests which affect purse money or order of finish after the race was declared official shall have no effect on the distribution of pari-mutuel pools.

Chapter 15

ILLEGAL AND CORRUPT PRACTICES

15.12   The Commission, all persons operating race tracks or conducting race meetings, the Director, the Stewards and the Security Chief shall have the right to permit a person or persons authorized by any of them to enter in or upon the buildings, rooms, vehicles or other places within the grounds of any racing Association to examine, search and inspect them and the personal property and effects of any persons in or upon such places.

And

15.34   The Director or those persons authorized by the Director shall have the right to enter upon the buildings, stables, rooms, vehicles or other places within the grounds of any Association for the purpose of examining, searching, inspecting and seizing the personal property and effects of any person in or upon such place.

Suggested Change:

15.12   Delete. Replaced by Rule 15.34

Chapter 16

STEWARDS

16.13 The Stewards may impose any or all of the following penalties for conduct prejudicial to the best interests of racing, or for a violation of the Rules:

(a)Refuse an offender admission to the grounds of an Association.

(b)Expel an offender from the grounds of an Association.

(c)Suspend any Commission licensee for any length of time or indefinitely.

(d)Impose whatever fine they feel is suitable and justifiable.

(e)Prohibit any Commission licensee from driving a motor vehicle in the stable area.

(f)Revoke the licence of any Commission licensee when the said licence was obtained fraudulently or under false pretences.

(g)Set limitations for a conditional licence for any licensee or applicant for a new licence

Suggested Change:

16.13   The Stewards may impose any or all of the following penalties for conduct prejudicial to the best interests of racing, or for a violation of the Rules:

(a)Refuse an offender admission to the grounds of an Association.

(b)Expel an offender from the grounds of an Association.

(c)Suspend any Commission licensee for any length of time or indefinitely.

(d)Impose whatever fine they feel is suitable and justifiable.

(e)Prohibit any Commission licensee from driving a motor vehicle in the stable area.

(f) Delete.

(g)Set limitations for a conditional licence for any licensee or applicant for a new licence

Chapter 27

COMMISSION VETERINARIANS, OFFICIAL VETERINARIANS AND OTHER VETERINARIANS

27.08  Commission Veterinarians  or Official Veterinarians shall keep a list to be called the Commission Veterinarians’ or Official Veterinarians’ List (colloquially “the Vets’ List”) upon which shall be entered the name of any horse which any Commission Veterinarian or Official Veterinarian considers unfit, unsound or not ready for racing. When the Stewards order a horse scratched for reasons having to do with the physical condition of the horse, it shall be placed on the Vets’ List. During the time a horse’s name is on such list, it shall not race in Ontario, nor shall it be entered in any race, with the exception of Rule 27.03 (a), except that it may be nominated in a stakes race. Only a Commission Veterinarian or Official Veterinarian shall remove a horse’s name from the Vets’ List and shall do so only when, in their opinion, the horse is fit, sound and ready for racing.

Suggested Change:

27.08   Commission Veterinarians  or Official Veterinarians shall keep a list to be called the Commission Veterinarians’ or Official Veterinarians’ List (colloquially “the Vets’ List”) upon which shall be entered the name of any horse which any Commission Veterinarian or Official Veterinarian considers unfit, unsound or not ready for racing. When the Stewards order a horse scratched for reasons having to do with the physical condition of the horse, it shall be placed on the Vets’ List. During the time a horse’s name is on such list, it shall not race in Ontario, nor shall it be entered in any race, except that it may be nominated in a stakes race. Only a Commission Veterinarian or Official Veterinarian shall remove a horse’s name from the Vets’ List and shall do so only when, in their opinion, the horse is fit, sound and ready for racing.

BY ORDER OF THE COMMISSION

John L. Blakney
Executive Director

The Ontario Racing Commission at its meeting of Tuesday, June 26, 2012 resolved that the Rules of Thoroughbred Racing 2009 be amended by the promulgation of the following Rules, effective immediately.

Chapter 3

RACING ASSOCIATIONS AND ASSOCIATION OFFICIALS

3.04.5  Associations or their delegate shall keep on file, race patrol film or video of each race for reference or reproduction upon request of the Commission for one year after the last racing day of the previous year.

Chapter 9

JOCKEYS

9.27.02  Riding crops shall meet the following specifications and/or requirements:

a)  Be a humane or cushion riding crop, unaltered from original manufacture;

b)  Be no more than 30 inches in length;

c)  Have affixed to the end a padded “popper” which is no shorter than 6.5 inches in              length and not less than 7/8 of an inch in width.   The popper shall consist of two layers sewn down each side with no sewing at the top 1/2 inch of the popper. 

d)  Have a popper with an outer covering consisting of a material approved by the stewards that does not harden over time.  Material such as Vinyl, Naugahyde, or Leather will not be allowed. 

e) ; Have a popper with an inner layer consisting of memory foam or closed cell foam .15 -.25 of an inch in thickness, folded over and sewn down each side, with the outer covering to form a hollow channel. 

f)  Be subject to inspection and approval by the Stewards.

Use of a riding crop in a race where the type of riding crop has not been approved by the Stewards or does not meet the requirements of the rule will lead to disqualification of the horse.

Chapter 18

PLACING JUDGES AND PHOTOFINISH CAMERA

Rule 18.03.02  Delete

Chapter 37

TCO2 TESTING PROGRAM

37.02  Approved TCO2 Laboratory

In any part of Chapter 37, approved TCO2 laboratory means a laboratory approved by the Commission under Rule 37.03, to conduct the testing of thoroughbred horses in accordance with Rule 37.06.

37.03  Laboratory Approval Process

The Commission may approve a laboratory under Rule 37.02, if:

<continued>…..

37.06  Replace (RAHT) - Registered Animal Health Technician with Registered Veterinarian Technician                

BY ORDER OF THE COMMISSION

John L. Blakney
Executive Director

The Ontario Racing Commission at its meeting of Thursday, December 20, 2012 resolved that the Rules of Thoroughbred Racing 2012 be amended by the promulgation of the following Rules, effective immediately.

CHAPTER 12

CLAIMING RACES

New Rule 12.13.01  Transfer of possession of a claimed horse to the successful claimant or their representative shall take place in the paddock immediately after the running of the race. The horse’s halter must accompany the horse. Altering or removing the horse’s shoes prior to transfer is not permitted.

New Rule 12.13.02  Notwithstanding the requirements under 12.13.01, in the case where a claimed horse must submit for post race testing, physical custody of the claimed horse shall transfer from the original owner to the successful claimant outside the retention barn following completion of the test and after the sample tags have been signed by the original owner or their representative.

CHAPTER 15

OFFICIAL SAMPLES AND POSITIVE TESTS

Revised Rule 15.03.01 (d)  Only the owner, trainer or designated representative of the trainer, to a maximum of two persons having a valid Commission licence on their person, are permitted to have care, custody or control of a horse in the retention area when any specimen/s are taken from or examination made to a horse under his/her care, and shall remain until the sample tag attached to the specimen shall be signed by him/her as witness to the taking of specimen or the examination is completed. Failure to present the licence may result in a fine and/or suspension

BY ORDER OF THE COMMISSION

Steve Lehman
Executive Director

The Ontario Racing Commission at its meeting of Thursday, April 24, 2014 resolved that the Rules of Thoroughbred Racing 2012 be amended by the promulgation of the following Rules, effective immediately.

Chapter 2

DEFINITIONS

Safety Sensitive Position  means …<continued>

Delete sections defining positions for Standardbred and Quarter Horse

Chapter  6
ENTRIES AND SUBSCRIPTIONS

Rule 6.20 (d)  Entry dates are valid and generic, until a turf, dirt or Ontario Sired dates are established.  (Run dates will be separated between turf, dirt and Ontario Sired, with one not affecting the other)

Rule 6.44.02  Notwithstanding the provisions of rule 6.01(a) and 6.44.01 a horse from outside Ontario, upon application to the Stewards and upon their being satisfied that the horse is fully and properly identified may start in Ontario without having been tattooed or registered with and approval by the registry office of The Jockey Club (Kentucky).  Horses racing on documentation that is not papers issued by The Jockey Club will not be allowed to enter or start in a claiming race. 

Chapter  27
COMMISSION VETERINARIANS, OFFICIAL VETERINARIANS
AND OTHER VETERINARIANS

Rule 27.03  Any horse scratched by the Commission Veterinarian or Official Veterinarian or a licensed Veterinarian may be placed on a seven (7) day list.  Any horse that has been placed on the Veterinarian’s List may be required to work one (1/2) mile at the discretion of the Commission Official Veterinarian.  On the eighth day, the horse shall be eligible to be removed from the Veterinarian’s List and entered.  Where entries are taken more than 72 hours in advance, a horse with the permission of the Commission Veterinarian may be entered.  Any horse that has been on the Veterinarian’s List twice in a 30 day span shall be placed on the Veterinarian’s List and it shall be mandatory for the horse to work one half (1/2) mile to the satisfaction of the Commission or Official Veterinarian, no matter how long the horse has been on the Veterinarian’s List or turned out. 

BY ORDER OF THE COMMISSION

Steve Lehman
Executive Director

See a copy of this Directive in PDF format below:
THOROUGHBRED DIRECTIVE NUMBER 1 – 2017 Revisions to the Human Alcohol and Drug Rules

RULES OF THOROUGHBRED RACING 2016

On February 23, 2017 the Registrar approved revisions to Chapter 38 Alcohol and Drug Violations – Human and related Chapter 2 Definitions, as outlined below. The revisions will come into effect on April 1, 2017. A clean copy of the revisions is attached hereto at Appendix “A”. A copy of the previous version is attached hereto at Appendix “B”

Chapter 2

DEFINITIONS

Alcohol means the intoxicating agent in Beverage Alcohol, ethyl alcohol, or other low molecular weight alcohols including methyl and isopropyl.

BAC means Blood Alcohol Content Concentration. It is the grams of alcohol in 100 milliliters of blood when referenced as .02 to .039 BAC and the equivalent of 20 to 39 milligrams of alcohol in 100 milliliters of blood.

Beverage Alcohol means beer, wine and distilled spirits.

Drug means any substance, including alcohol, illegal drugs or medications, the use of which has the potential to adversely affect the way a person thinks, feels or acts. Drugs of concern are those that inhibit a person’s ability to perform his or her job safely and productively, including the following:

Alcohol means the intoxicating agent in beverage alcohol, ethyl alcohol, or other low molecular weight alcohols including methyl and isopropyl.

Beverage Alcohol refers to beer, wine and distilled spirits.

Illegal Drug means any drug or substance which is not legally obtainable and whose use, sale, possession, purchase or transfer is restricted or prohibited by law.

Medication means a drug obtained legally, either over-the-counter or through a prescription.

Fit for Work means being able to safely and effectively perform assigned duties without any limitations due to the use or after-effects of alcohol, illegal drugs, medications or other substances that can impact performance.

Illegal Drug means any drug or substance which is not legally obtainable and whose use, sale, possession, purchase or transfer is restricted or prohibited by law.

[NEW] Impairing Prescription Medication means a substance, other than Marihuana, that may be legally prescribed by a health care professional in Canada and that has the potential to impair the physical or cognitive abilities of the person using the substance, regardless of whether the substance is or is not used as prescribed.

[NEW] Marihuana means all parts of the Cannabis plant, its derivatives and compounds that contain the psychoactive cannabinoid chemical “delta-9-tetrahydro-cannabinol” (THC).

[NEW] Prohibited Substance means any substance which the Registrar has declared prohibited and includes Marihuana.

Safety Sensitive Position means a position, as determined by the Registrar, in which individuals have a key and direct role in the handling of a horse such that performance is impacted by alcohol or other drug use could result in a licensee has a direct role in racing such that Alcohol, Illegal Drug, Impairing Prescription Medication or Prohibited Substance use could result in:

1. An incident affecting the health or safety of employees, licensees, patrons, horses, or the public; or
2. An inadequate response or failure to respond to an emergency or operational situation.

When determining if a position is a Safety Sensitive Position, the factors which the Registrar will consider include, but are not limited, to the following:

1. The type and amount of contact the position has with horses
2. The extent to which the position requires the individual to be on the racetrack at the same time as horses and the circumstances of that presence on the racetrack.

This category includes any and all individuals licensees required to temporarily act in a Safety Sensitive Position.

The following positions are Safety Sensitive Positions:

Thoroughbred: apprentice jockey, exercise person, jockey, pony person, starting gate personnel, horse identifier, commission and official veterinarian, jockey valet, trainer, groom, hot walker and blacksmith, test inspector, and TCO2 technician.

Quarter Horse: apprentice jockey, exercise person, jockey, pony person, starting gate personnel, horse identifier, commission and official veterinarian, jockey valet, trainer, groom, hot walker and blacksmith, test inspector, and TCO2 technician.

Chapter 38

ALCOHOL AND DRUG VIOLATIONS - HUMAN

38.01 All Designated Racing Officials and individuals who hold a safety sensitive position are subject to the following Alcohol & Drug Rules.

38.02 Designated Licensees are prohibited from the following:

1. the use, possession, distribution, manufacture, offering or sale of illegal drugs or illegal drug paraphernalia;
2. reporting for work under the influence of illegal drugs;
3. the presence in the body of illicit drugs or unprescribed drugs for which a prescription is legally required in Canada, as determined through the testing program.

38.03 Designated Licensees are prohibited from the following:

1. reporting for work under the influence of alcohol from any source;
2. the use of alcohol within the first eight hours after an accident or until tested or advised by the Commission that a test is not required.

38.04 Designated Licensees are prohibited from the following:

1. the intentional misuse of medications including using medication not as prescribed, using someone else’s prescription medication, combining medication and alcohol use against direction; and
2. the unauthorized possession of prescribed medications without a legally obtained prescription, and unauthorized distribution, offering or sale of prescription medications (trafficking).

The onus rests with Designated Licensees to investigate (through their doctor or pharmacist) whether a medication can affect safe operation and take appropriate action to minimize safety risk.

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

(a) Using an Illegal Drug or a Prohibited Substance at a licenced facility;

(b) Performing activities of the Safety Sensitive Position at a licenced facility while an Illegal Drug or a Prohibited Substance is present in his or her body;

(c) Consuming Alcohol at a licenced facility while performing, or reasonably prior to performing activities, of a Safety Sensitive Position;

(d) Performing activities of the Safety Sensitive Position at a licenced facility while having a BAC of .02 or higher;

(e) Using, at a licenced facility, any Impairing Prescription Medication without a prescription for the licensee’s use of that medication;

(f) Performing activities of the Safety Sensitive Position at a licenced facility while an Impairing Prescription Medication for which the licensee does not have a prescription for use is present in his or her body;

(g) Intentionally using, at a licenced 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;

(h) Performing activities of the Safety Sensitive Position at a licenced 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.

(i) Within the first eight hours of an event described in 38.03(a) or until tested or advised by a Commission Representative under 38.03(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.

38.02 A licensee in a Safety Sensitive Position called in unexpectedly activities of a Safety Sensitive Position in a manner that would violate 38.01(b), (d), (f) or (h) shall decline the request.

38.03 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.

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

(a) 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.

(b) 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.

(c) 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 Co-ordinator.

(d) 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 38.01, 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 38.13 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.

(e) 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.

(f) 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.

38.05 Designated Licensees called in unexpectedly and requested to perform unscheduled duties associated with the business of racing while under the influence of alcohol, drugs or medications that could impact safety and/or breach the Alcohol and Drug Rules shall decline the request.

38.05 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.

38.06 Subject to the Horse Racing Licence Act, 2015, the Commission Representatives may conduct unannounced searches where there are reasonable grounds to believe a prohibited substance is present on Commission li censed premises in violation of the Rules of Racing or specific track rules. Prohibited substances include illegal drugs and prescribed medications possessed without a legally obtained prescription as set out in Rule 38.02.

38.06 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.

38.07 Designated Licensees are subject to testing in the following situations:

(a) Reasonable Cause

Designated Licensees are required to submit to testing on request whenever the Commission Representative has reasonable grounds to believe that the actions, appearance or conduct of a Designated Licensee are consistent with, or indicative of the use of drugs or alcohol, or where the Designated Licensees have been involved in an incident or accident and the Commission has reasonable grounds to believe that alcohol or drug use may have been a contributing factor. The decision to test shall be made by a Commission Representative.

(b) Post Incident/Accident

Designated Licensees may be subject to alcohol and drug testing after a significant accident, incident or near miss that occurs at a Commission licensed facility as part of a full investigation into the circumstances. The decision to refer an individual or a group of individuals for a test will be made by the Commission Representative investigating the incident.

(c) Unannounced Drug Testing

Designated Licensees are subject to drug testing which will take place on an unannounced basis throughout the racing season. Selection for testing will be handled through an independent selection system managed by the Commission’s Program Administrator.

(d) Required Alcohol Testing

All Designated Licensees are subject to alcohol testing at any time that they are engaged in the business of racing at a licensed facility.

(e) Return to Duty - Post Violation

Following a violation resulting in a suspension, Designated Licensees will be required to pass a return to duty alcohol and drug test and will be subject to unannounced testing as a condition of continued licensing as set out in an agreement with the Commission and the provisions of 38.08 (f).

(f) Return to Duty - Post Treatment

Following a violation resulting in a Designated Licensee completing primary treatment for an alcohol or drug problem, Designated Licensees may be subject to testing as a monitoring tool as determined on a case by case basis to support the Designated Licensee’s recovery.

(g) Failure to Test

Any Designated Licensee who fails to report directly for a test, re fuses to submit to a test, re fuses to agree to dis closure of a test result to the Program Administrator, or whose test results in a report from the Medical Review Officer stating that the sample has been adulterated or tampered with, violates of the Alcohol and Drug Rules with consequences set out in 38.08 (d).

(h) Dilute Samples

If the laboratory identifies a dilute sample, the designated licensee will be required to complete another test.

38.07 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.

38.08 The penalties for Designated Licensees are as follows:

(a) Alcohol: Test Result of .02 to .039 BAC

(i) for a first violation, suspension from per forming the duty or duties for which he/she is licensed for that day, a $100 monetary penalty and reminder of the policy requirements and suggested referral for assistance;

(ii) for a second violation, suspension from per forming the duty or duties for which he/she is li censed for that day, a $300 monetary penalty and suspension of 5 days if committed within 12 months of the first monetary penalty, and the licensee will be referred to a Substance Abuse Professional (SAP) for evaluation to deter mine the need for a structured assistance program and must provide a negative return to duty drug and alcohol test;

(iii) any subsequent violation within 12 months of the second violation shall result in suspension from performing the duty or duties for which they are licensed and they shall be referred to the Commission.

(b) Alcohol: Test result of .04 to .079 BAC

(i) a for a first violation, suspension from per forming the duty or duties for which he/she is licensed for that day, a $300 monetary penalty, a suspension for five (5) days, a reminder of the policy requirements and a suggested referral for assistance and must provide a negative return to duty alcohol test;

(ii) for a second violation, suspension from per forming the duty or duties for which he/she is licensed for that day, a fine 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 deter mine the need for a structured assistance program if they choose to return to duties with the Commission, 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;

(iii) any subsequent violation within 12 months of the second violation shall result in suspension from performing the duty or duties for which they are licensed and they shall be referred to the Registrar.

(c) Illegal Drugs or Alcohol test result of .08 BAC or higher

(i) for a first violation suspension from per forming 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 deter mine the need for a structured assistance program if they choose to return to their duties with the 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;

(ii) any subsequent violation within 12 months of the first offence violation shall result in suspension from per forming the duty or duties for which they are li censed and they shall be referred to the Registrar.

(d) Refusal to Test Situation (including adulterating/tampering with the sample)

A first offence violation shall result in suspension from per forming the duty or duties for which they are licensed and they shall be referred to the Registrar.

(e) Subsequent Offence Violation Situation

The penalty for a second violation will be administered in accordance with the specific penalties for that second violation category.

(f) Post Violation Agreements

Specific conditions will be set out by agreement with the Designated Licensee which will include, at a minimum the following:

(i) full cooperation with the Substance Abuse Professional (SAP) assessment process;

(ii) adherence to any recommended treatment, monitoring, and after care program; (iii) maintenance of sobriety on return to duty;

(iv) successful completion of a return to duty alcohol and drug test;

(v) ongoing unannounced testing for a period set out in the agreement; and

(vi) no further violations of the policy.

Although the Registrar will refer individuals who test positive to qualified services, the cost of these services is not covered by the Commission. All costs associated with assessment, treatment and after care, will be at the expense of the individual.

(g) Referral to the Registrar

Designated Licensees who have been suspended from performing the duties for which they are licensed and who are referred to the Registrar:

(i) must provide proof that they have a negative result before applying for a hearing to be reinstated;

(ii) will be referred to the Registrar within twenty (20) days of the request for reinstatement;

(iii) will have a continued suspension from all licensed activities, du ties and responsibilities and barred from attendance at all Commission licensed Raceways pending final disposition by the Registrar.

The referral to the Registrar is for the sole purpose of determining the future status of the licensee, which may include a lifetime ban from the sport, and industry of racing, or other specific conditions.

38.08 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.

38.09 The Registrar has the authority and discretion to indefinitely suspend any Designated Licensee who:

(a) tests .02 BAC or greater;

(b) has been tested in a reasonable cause or post incident situation pending the results of the test;

(c) has refused to complete the testing process as directed by the Registrar.

38.09 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.

38.10 Definitions moved to Chapter 2.

38.10 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.

38.11 Whether breath analysis testing equipment is or is not available, and if due to alcohol or drug impairment, a person is unfit to drive, or carry out his or her duties, or whose conduct may reflect adversely on the sport, he/she shall forthwith be suspended for the remainder of that day and may be subject to a further suspension and monetary penalty as the Stewards or other officials see fit.

38.11 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 38.05, 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. An 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.

38.12 Any official who fails to report a participant, whom he/she might reason ably deter mine to have been consuming alcoholic beverages or drugs, to the Stewards violates these rules and shall be subject to a monetary penalty or suspended, or both.

38.12 Penalties for Violations of 38.01 – Safety Sensitive Positions

1. The penalties for a violation of 38.01(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 licenced 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 licenced 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.
4. Violations of 38.01, other than 38.01(d), and 38.02 and 38.03 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.

38.13 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.

38.13 Post Violation Agreements

A licensee or Designated Racing Official who has violated any of 38.01, 38.02, or 38.03 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.

38.14 Immediate Suspension and Referral – Refusal to Test, Adulterating or Tampering with Sample

Where a licensee refuses to undergo testing as required by this Rule 38 or adulterates or tampers with, or attempts to adulterate or tamper with, a sample provided under this Rule 38, 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.

38.15 Nothing in this Rule 38 restricts a Steward’s authority to impose a penalty under 16.13, or the Registrar’s authority under 16.14, for 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.

38.16 Nothing in this Rule 38 restricts a Steward’s authority under 16.13 or the Registrar’s authority under 16.14 to impose a penalty under that rule in circumstances where the Steward 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.

38.17 Any official 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 Stewards violates these rules and shall be subject to a monetary penalty or suspension, or both.

38.18 Additional Penalties