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purposes of quarter horse racing, the Rules of Thoroughbred Racing shall apply with the exception that they shall be superseded by the Quarter Horse appendage if a conflict exist.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

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 Thoroughbred 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 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.

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:

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 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 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 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 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 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 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 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 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 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 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 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 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 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

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 Thoroughbred Racing 2016 – 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.

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;

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:

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.

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

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:

(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.

38.03 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.

38.04 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.

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.

38.06 Subject to the Horse Racing Licence Act, 2015, 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.

38.07 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.

38.08 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.

38.09 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.

38.10 Definitions moved to Chapter 2.

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.

38.12 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.

38.13 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 the Alcohol and Gaming Commission of Ontario has spent the past year undertaking extensive stakeholder engagement, including consultations with the Officiating Working Group, the Equine Drug Working Group and the Health and Safety Working Group;

AND WHEREAS the consultations resulted in recommendations and favorable support in the Thoroughbred industry for numerous rule revisions;

AND WHEAREAS the Alcohol and Gaming Commission of Ontario has also taken this opportunity to reflect the current state of industry practice by removing rules which are no longer in use;

TAKE NOTICE that the Registrar hereby orders the Rules of Thoroughbred Racing 2016 be amended as follows effective April 21, 2018:

Chapter 1
PRELIMINARY

...

1.02.2 The Daily Raoing Form shall be the offioial poriodioal for announoemonts and publioations of the Commission. Deleted.

1.02.3 Any ruling of the Registrar, the Stewards or other racing officials may be published in the Daily Racing Form as soon as the person or persons affected by such ruling have been notified either directly or by mail.

...

Chapter 2
DEFINITIONS

...

Claiming race is a race in which permits any horses starting may to be claimed (purchased for a designated amount) in conformance with the Rules.

...

Chapter 4
LICENSING

...

4.01.06 Unless an owner has a horse's registration papers on file with the Association, their licence shall be invalid and he/she shall on demand forfeit their licence to the Stewards and he/she shall not apply for another owner's licence or for the return of the forfeited owner's licence until he/she has a horse registered with the Association. Deleted.

...

Chapter 6
ENTRIES AND SUBSCRIPTIONS

...

6.11.03 No horse shall be allowed to enter or start in any race if the owner does not maintain a credit balance in his or her horseperson's account satisfactory to the Association.

...

6.36 Any horses running in the same race for owners or trainers who have a direct or indirect association in the racing of thoroughbreds, which in the opinion of the Stewards could be construed as a conflict of interest, shall be coupled as an entry. Deleted.

...

Chapter 9
JOCKEYS

...

9.22 Signed copies of all contracts or first calls between owners and joclrnys or bet\veen trainers and jockeys (including apprentice jockeys) shall be filed by the owners or the trainers, as the case may be, with the Stewards forthwith. The Stewards, after they have
recorded the details of the contracts, shall at once forward the signed copies to the Registrar. Likewise, -.•,hen such contracts are terminated, signed copies of the agreements of termination shall be filed with the Stewards forthwith and the Stewards, after they have
recorded the details of the agreements of termination shall at once forward the signed copies to the Registrar. Deleted.

...

Chapter 11
FROM PADDOCK TO FINISH

...

11.09.05 Any jockey against whom a foul is claimed shall be given the opportunity to appear before the Stewards at the reviewing of the video replays film and/or video tapes of the race in question, or at any other time agreeable to the Stewards, before any penalty
is imposed by them.

...

Chapter 15
MISCONDUCT, NEEDLES, SYRINGES AND SEARCHES

...

15.04.01 Should the Official Chemist's report on urine, blood or other samples taken from a horse be positive, he/she shall immediately notify the Stewards or Registrar and this notification shall be taken as prima facie evidence of a positive test. He/she shall confirm
such findings with the Commission. by special delivery prepaid mail to the Registrar and presiding Steward.

15.04.02.1 When the Registrar or the Stewards receive notification from the Official Chemist that an official sample has been found positive, he/she or they shall, as soon as may be possible, summon the trainer and sush security officers of the Racing Association
as they may choose to assist and inform them that a positive test has occurred.

15.04.02.1 Upon being advised of the positive test the Commission shall notify the trainer or his or her responsible representative as expeditiously as possible.

15.04.02.2 After the Stewards have informed the trainer, or his or her responsible representative of such positive test, a Commission Representative or the Stewards shall direct the security officers and a Commission Veterinarian or Official Veterinarian to accompany the trainer or his or her responsible representative, to the stable and, subject to the Horse Racing Licence Act, 2015, conduct a thorough inspection of the trainer's barn, automobile or any other vehicles associated with the trainer or that he or she may have in his or her possession or under his or her control. Security Officers shall ensure that such vehicles and personal property as they may deem necessary, remain on the baskstrech until the barn inspection is complete. The Stewards or other delegate shall continue the review and/or collecting of information from all persons concerned.

15.04.02.2 Once the Commission has notified the trainer or his or her responsible representative pursuant to Rule 15.04.02.1, the Stewards or Administration may:

1. inform the trainer that he/she will be permitted to continue with his or her business as trainer,
2. inform the trainer that he/she has been suspended and that none of the horses in his or her custody or under his or her care and control shall be allowed to start until the matter is considered and disposed of or until the horses have been turned over to another trainer or trainers approved by the Stewards,
3. place conditions on the trainer's license,
4. determine the eligibility of the horse.

15.04.02.3 In addition to conducting the above review into a positive test, the Stewards will inform the trainer of the horse having the positive test that pursuant to Rule 15.06.01:

1. he/she is responsible for the condition of the horse, and
2. either that:
   1. the stewards are still reviewing the matter or
   2. are now prepared to hear the evidence relating to the positive test.

In the event that either the Stewards or trainer are not prepared to prooeed forthwith, the Stewards shall then:

1. fix a date and a plaoe when the allegation will be oonsidered and disposed of;
2. inform the trainer that until that time,
   1. he/she will be permitted to oontinue with his or her business as trainer, or
   2. that he/she has been suspended and that none of the horses in his or her custody or under his or her care and control shall be allowed to start until the matter is considered and disposed of or until the horses have been turned over to another trainer or trainers approved by the Stewards. Deleted.

15.04.02.4 For the purposes of rule 15.04.02.1, 15.04.02.2 and 15.04.02.3, in the absence of the trainer or if said trainer refuses to cooperate he or she may be represented by his or her authorized representative or other qualified employee or an offioer, director or
employee of the HBPA as requested by the Stewards. Notwithstanding the lack of availability of any or all of the above noted persons, the barn search shall continue in their absence. Deleted.

...

15.04.02.6 The Commission shall inform the owner and the Racing Association concerned, as expeditiously as possible, of their actions regarding the matter positive test.

...

15.04.04 Any horse that tests positive in Ontario for any of the following shall be ineligible to race for a period of 90 days from the date of the identification of the horse with the positive test and will be placed on the Stewards' List in accordance with Rule 16.11.01:

1. Class I;
2. Class 11;
3. Class Ill;
4. TCO2;
5. Substance determined to be non therapeutic.

Any person who violates this rule shall be subject to a monetary penalty and/or suspension. Deleted.

15.04.05 Any horse that obtains a positive test from a jurisdiction outside Ontario for any of the following shall be ineligible to race in Ontario for a period of 90 days from the date of the identifioation of the horse with the positive test:

1. Class I;
2. Class 11;
3. Class Ill;
4. TCO2;
5. Substance determined to be non therapeutic. Deleted.

15.04.06 Rule 15.04.04 and Rule 15.04.05 shall be absolute liability violations. Deleted.

...

15.37 The use of Extracorporeal Shock Wave Therapy or Radial Pulse Wave Therapy shall not be permitted on any racehorse unless the following conditions are met:

1. the treatment took place a minimum of 4 days (96 hours) prior to competing in a race;
2. the treatment using the Extracorporeal Shook Wave Therapy or Radial Pulse Wave Therapy machine was conduoted by a veterinarian licensed by the Commission as a veterinarian;
3. any treatment received while on the grounds of the Association was through the use of an Extracorporeal Shock Wave Therapy or Radial Pulse Wave Therapy machine owned and operated by a veterinarian licensed by the Registrar; and
4. a record of treatment, inoluding the date and time, is maintained as part of the record of the horse.

15.37 No person, other than a veterinarian licensed by the Commission, shall have or use of Extracorporeal Shock Wave Therapy, Radial Pulse Wave Therapy on any racehorse and the following conditions of use must be met:

1. be used only for a valid diagnostic or therapeutic treatment or procedure:
2. no treatment or procedure is allowed within 4 days (96 hours) prior to competing in a race: and
3. any treatment or procedure must be recorded, including the date and time, and maintained as part of the record of the horse.

...

15.39 No person, other than a veterinarian licensed by the Commission, shall have or use a Blood Gas Machine on any racehorse and the following conditions of use must be met:

1. be used only for a valid diagnostic procedure: and
2. any treatment or procedure must be recorded, including the date and time, and maintained as part of the record of the horse.

Chapter 16
STEWARDS

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16.11 The Stewards or Administration may place the name of any horse on the Stewards' List for any reason they may deem to be proper. During the time a horse's name is on such list, it shall not race, nor shall it be entered in any race, except that it may be
nominated in a stakes race. Only the Stewards or Administration shall remove a horse's name from the Stewards' List.

16.11.01 Any horse that tests positive for any of the following shall be remain on the Stewards' List for a period of 90 days from the date of the identifioation of the horse with the positive test:

1. Glass I;
2. Glass II;
3. Glass Ill;
4. TGO2;
5. Substanoe determined to be non therapeutic. Deleted.

...

CHAPTER 37 - TCO2 TESTING PROGRAM

37.01 An excess level of total carbon dioxide (TCO2) in a race horse is deemed to be adverse to the best interests of horse racing, and adverse to the best interests of the horse in that such condition alters its normal physiological state. Accordingly, a person designated by an approved TCO2 laboratory may, subject to the Horse Racing Licence Act, 2015, obtain venous blood samples from the jugular vein of a horse for the purpose of the testing of said samples by that laboratory for TCO2 levels as outlined in Rule 37.06.
Where the TCO2 level, based upon such testing, equals or exceeds the following levels, the Stewards or Administration shall order the relief authorized pursuant to Rule 37.07:

1. Thirty-seven (37) or more millimoles per litre of blood for horses not competing on furosemide; or
2. Thirty-nine (39) or more millimoles per litre for those horses competing on furosemide at a track where the El PH Program is offered.

...

37.06 Testing Procedures
All horses that race are eligible to be selected by the Stewards for blood gas testing. The entry of a horse shall constitute permission for a person designated by the approved TCO2 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 Stewards or Administration. Such refusal shall be deemed an admission of a violation of Rule 37.01 empowering the Stewards or Administration to take any necessary action in accordance with the Rules. to review the matter 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 Stewards will select the horses to be tested and advise the approved TCO2 laboratory personnel accordingly. Commission Stewards may also instruct the approved TCO2 laboratory personnel to collect samples from every horse in selected races.
The approved TCO2 laboratory is responsible for:

1. collecting blood samples, by an authorized person (veterinarian or RVT - Registered Veterinary Technician, or other person approved by the Registrar) 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 a Commission Judge. The Commission Stewards 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 Stewards;
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 TCO2 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.

37.07 Penalties
Where the TCO2 level in a horse is determined to equal or exceed the levels set forth in Rule 37.01 above, the Stewards or Administration shall assess penalties in accordance with Policy Directive: Guidelines - Penalties for Equine Drug, TCO2 and Non-Therapeutic
Drug Violations.

...

BY ORDER OF THE REGISTRAR

Jean Major
Registrar

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 Thoroughbred 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 Thoroughbred 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 Thoroughbred Racing be amended as follows effective April 19, 2019:

Chapter 15: Misconduct, Needles, Syringes And Searches

15.02.08

Subject to Rule§. 15.02.01 above and 15.38, if in an emergency and in the absence of all practicing or Commission Veterinarians or Official Veterinarians from the grounds of the Association conducting racing, it becomes necessary for any reason for the owner, trainer or attendant who has the care and control of a horse, to administer or cause to be administered orally any drug to such horse and, if at the time of such administration the horse has been entered in a race, the said owner, trainer or attendant shall report the matter fully to the Commission Veterinarian or the Official Veterinarian as soon as he/she returns to the grounds, who shall immediately report the incident in writing to the Stewards or any of them as soon as one or more of them comes upon such grounds and the Stewards shall scratch such horse or permit it to run as they may deem proper.

Standards-Based Race Da Medication Ban

15.38 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 •.viii 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 of the first race on the day of racing. Furosemide properly administered in accordance with the Ontario Thoroughbred Exercise Induced Pulmonary Haemorrhage (EIPH) Program shall not be considered a violation of Rule 15.38.
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 exception 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 required 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 Steward as soon as reasonable in the circumstances and the_horse shall be scratched.
5. If a horse has raced after unauthorized 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 Steward may order the withdrawal or disqualification of any horse that has been administered any medication contrary to Rule 15.38.

15.06.03 Notwithstanding 15.06.01, 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 37.01;
5. Any trainer whose horse(s) is administered a medication, drug or substance contrary to Rule 15.38.

Chapter 27: Commission Veterinarians, Official Veterinarians and Other Veterinarians

27.17 A veterinarian may be held wholly or partially responsible if any drug, substance or medication administered or prescribed by him or her is a cause for:

1. The issuance of a certificate of positive analysis under the Pari-Mutuel Betting Supervision Regulations under the Criminal Code (Canada),
2. An excess level of total carbon dioxide for purposes of the Rules, or
3. The detection of the antibodies of erythropoietin or darbepoetin for purposes of the Rules, or
4. A violation of Rule 15.38,

and, if held wholly or partially responsible, may be subject to a monetary penalty and/or suspended by the Stewards.

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 Thoroughbred 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 Thoroughbred Racing be amended as follows effective April 20, 2019:

Chapter 12: Claiming Races

12.32.01

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

1. At the option of the claimant, approved post-race testing procedures discloses that an improper medication or drug was found to be present in the sample of the claimed horse which is reported in the analysis report from the lab. Once the claim has been declared invalid by the Stewards the claimant must request within 72 hours that the horse be returned to the original owner;
2. The horse dies on the racetrack: or
3. 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 crop be limited to:

• underhand use only, and
• no contact with the horse with the crop in the cocked position;

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 Racetrack on October 18, 2019 and be evaluated throughout the remainder of the 2019 racing season with the aim of the revisions being implemented across all Ontario Thoroughbred racetracks in 2020;

TAKE NOTICE that the revisions shall not apply to Quarter Horse Racing;

AND FURTHER TAKE NOTICE that the Registrar rescinds Policy Directive No. 4-2009 Penalty Guidelines for Inappropriate Urging of a Horse in Thoroughbred Racing and hereby orders the Rules of Thoroughbred Racing be amended commencing October 18 2019:

Rules of Thoroughbred Racing 2018

Chapter 9
Jockeys

...

9.27.07  At any time while on the grounds of an Association, it is a violation for a jockey, or rider, or the person in control of the horse, to use the riding crop to hit or make contact with the horse as follows:

1. To raise their hand(s) above their shoulder; or
2. To hit another horse; or
3. To cut or severely welt a horse; or
4. To hit the horse overhanded; or
5. To hit the horse with the crop in the cocked position.

9.27.08  Violation of any of the provisions in Rule to 9.27.07 may result in any of the following penalties:

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 Policy Directive 4 2009 Thoroughbred Directive 4-2019, which also provides principles which serve as a guide for interpretation. The Directive may be modified from time to time by the Registrar.

...

Quarter Horse Appendix

Pari-mutuel Quarter Horse Racing shall be governed by the Rules of Thoroughbred Racing 2018, with the following exceptions:

...

Thoroughbred Directive No. 4 - 2019 - Revision to Urging Provisions, shall not apply to Quarter Horse Racing.

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

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
   To be adhered to, 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 riding crop 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 riding crop 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 revision of rules regarding the appropriate methods for urging a horse in racing.

BY THE ORDER OF THE REGISTRAR

Jean Major
Registrar

Preamble

WHEREAS on September 18, 2019 the AGCO released Thoroughbred Directive No. 4 - 2019 – Revision to Urging Provisions which revised the rules and Directives with respect to urging and specifically that use of the crop be limited to:

• underhand use only, and
• no contact with the horse with the crop in the cocked position;

AND WHEREAS enforcement of the revisions applied at Woodbine Racetrack only commencing October 18, 2019 until the remainder of the 2019 racing season;

AND WHEREAS the AGCO has now had an opportunity to evaluate the enforcement of the revisions and has determined that the revisions enhance the health and safety of horses and participants, and the integrity of racing;

TAKE NOTICE that the revisions prescribed pursuant to Thoroughbred Directive No. 4 - 2019 – Revision to Urging Provisions shall now apply to all Thoroughbred and Quarter Horse racing in Ontario;

AND FURTHER 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 Thoroughbred Directive No. 4

- 2019 Revision to Urging Provisions and hereby orders the Rules of Thoroughbred Racing be amended effectively immediately, as follows:

Rules of Thoroughbred Racing

Chapter 9
Jockeys

…

9.27.07  At any time while on the grounds of an Association, it is a violation for a jockey, or rider, or the person in control of the horse, to use the riding crop to hit or make contact with the horse as follows:

1. To raise their hand(s) above their shoulder;
2. To hit another horse;
3. To cut or severely welt a horse;
4. To hit the horse overhanded; or
5. To hit the horse with the crop in the cocked position.

9.27.08  Violation of any of the provisions in Rule to 9.27.07 may result in any of the following penalties:

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 Thoroughbred Directive 1 - 2020 – Revision to Urging Provisions, which also provides principles which serve as a guide for interpretation. The Directive may be modified from time to time by the Registrar.

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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

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
   To be adhered to, 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 riding crop 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 riding crop 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 revision of rules regarding the appropriate methods for urging a horse in racing.

BY ORDER OF THE REGISTRAR

Jean Major
Registrar