Chapter 3: Licences

3.01.01  Deleted.

3.01.02  Deleted.

3.01.03  Deleted.

3.02  A person shall not participate in the affairs of an Association as director, general manager, officer, pari-mutuel manager, agent, or employee of such Association without first receiving a licence from the Commission, nor shall any person participate in racing as an official, owner, driver, trainer, groom, tradesperson, registered Ontario Sires Stakes stallion owner, veterinarian, or authorized agent nor shall anyone practice his or her profession, trade, occupation, or calling, including concessionaire or pari-mutuel employee, unless such person has applied for and been issued a Commission licence classified in the appropriate category. An Association may admit to its grounds the holder of a licence to enable the licensee to have access to the area where the licensee is obliged to perform his/her duties. With permission of the Registrar, a licence will not be required for an employee of a company, partnership or person with whom the Association has an agreement to supply goods or services. The Registrar’s granting or refusal of permission is not subject to appeal.

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

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

1. A horsepersons’ organization licensed pursuant to Rule 3.02.01; or
2. Individuals licensed in good standing by the Commission and racing at that Association. Failure to comply with this rule may result in a monetary penalty or suspension.

3.03.01    An applicant for a licence shall complete an application, pay required fee, submit satisfactory evidence of identity, evidence of financial responsibility and further information and documentation as required. Every person licensed by the Commission is deemed to have agreed to abide by the conditions set out in the application for the licence, the licence itself, the Act, the Rules and regulations thereunder.

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

3.03.03  Notwithstanding rule 3.02, the Registrar will recognize for non-residents participating in racing in Ontario, valid licences from recognized racing jurisdictions that have an agreement with the Commission or the National Racing Compact. In order to be recognized the licensee must be in good standing in all jurisdictions and have provided the Commission with a reciprocal licensing form or other form approved by the Registrar, outlining name, address and licensing particulars prior to racing. For the purpose of this rule, a non-resident of Ontario shall have the definition attributed to a non-resident of Canada in the Income Tax Act (Canada). Non-residents of Ontario who have provided a reciprocal licensing form shall be deemed to be licensees of the Commission and subject to the Commission Rules and Registrar’s Directives.

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

3.05.01  The licence fees to be paid to the Commission by personnel concerned in racing are in such amounts currently established by the Board and approved by the Minister. An applicant for a licence will not be considered as a renewal owner if his/her licence has been in a state of lapse for five racing seasons prior to the season of application.

3.05.02  Deleted.

3.06  An employee or licensee of the Commission or employee of any Association shall not give to anyone, directly or indirectly, for reward or any other consideration, any information or advice pertaining to a race for the purpose of influencing any person, or that would tend to do so, in the making of a wager on any horse in any race. In the case of Association employees, this shall not apply to selections which appear in the official program, the media, or other approved publication.

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

3.07.01  Each licensee:

1. Shall have in his or her possession a valid licence issued to the licensee whenever the licensee is:
   1. in the restricted area of the Association, or
   2. acting in a capacity for which a licence is required; and
2. Shall produce his or her licence upon request by an authorized representative of the Association, a racing official or a representative or member of the Commission.

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

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

3.07.03  Any person who fails or refuses to produce upon request by an authorized representative of the Association, a racing official or a representative or member of the Commission his or her valid licence or a guest pass issued to him or her pursuant to Rule 3.07.2 may be subject to a monetary penalty and/or suspension by the Judges in the case of a licensee or to removal from the premises by the Association in the case of a guest. The licensee shall be responsible for the conduct of their guest(s).

3.08  Deleted.

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

3.09.01  Any act or omission in business practices related to Standardbred horse racing in any or all of its forms, which, when measured against generally accepted standards of good conduct would be regarded as dishonest, unfair or unsportsmanlike or contrary to the public interest, shall be deemed to be a violation of these Rules and shall be dealt with accordingly at the discretion of the Judges. The ruling and subsequent publication regarding penalty shall include the specific part of the Rule which the licensee violated. In determining whether any act or omission offends this Rule, regard may be had to any Code of Ethical and Professional Business Conduct that may have been adopted by a horsemen’s association.
The following subparagraphs of this Rule provide particulars of conduct contemplated by this Rule but are not meant to be exhaustive.

1. Without limiting the generality of the foregoing, the relationship between an owner and trainer shall be based on integrity, disclosure, maintaining the health and welfare of the horse and acting in the best interests of racing. Conduct unbecoming an industry participant also refers to conduct that occurs outside of the business of horse racing but which brings the industry into disrepute;
2. Any person who may gain a benefit, financial or otherwise, directly or indirectly, in connection with the sale, purchase, lease or claiming of a race horse shall disclose in writing to all affected parties involved in the transaction the details of such benefit or the existence of any arrangement that would lead to such a benefit;
3. All of the terms of a trainer’s engagement should be set out in a written contract between the owner and trainer. At a minimum, a trainer shall advise an owner in writing as to the services to be provided by the trainer for which the owner is to be financially responsible, the trainer’s rate schedule including day rate and commissions on purses earned by the horses and the terms of payment;
4. A trainer shall ensure that an owner is advised as soon as it is practical to do so of any material problems affecting an owner’s race horse in his/her care that could affect its racing potential or ability to be trained on a continuous basis;
5. If an oral offer is presented to a trainer to purchase or lease any interest in an owner’s horse, the trainer shall request that such offer be reduced to writing. A trainer shall immediately notify the owner of any written offer received;
6. A trainer shall maintain records relating to the particulars of any medications administered to horses in his/her care. For the purposes of this Rule, the term medication shall mean a medication that could result in a positive test;
7. A trainer shall not put his/her interest above the interests of his/her owner;
8. An owner who wishes to cease using the services of a trainer and transfer some or all of his/her race horses to another trainer, shall pay prior to the time of transfer the outstanding account of the said trainer to the date of the transfer with respect to the horses being transferred;
9. The Registrar and/or the Judges may require a licensee to provide documentary evidence of any transaction or record referred to or contemplated by this Rule. Refusal or failure to comply may result in a suspension of the licence;
10. Any act or omission which contravenes this Rule shall be dealt with at the discretion of the Registrar and/or the Judges and may include monetary penalty and/or suspension.

3.10  Where the licensee is suspended by the Registrar, or by the pari-mutuel regulatory agency of another province or state recognized by the Commission, or Standardbred Canada or the United States Trotting Association, the suspended licensee shall be prohibited from participating in any activity regulated by the Commission. The suspension shall, in addition, render ineligible for declaration or starting, every horse in which the suspended licensee has any ownership interest or trainer responsibility. Eligibility for affected horses in such cases may be restored by transfer of the suspended licensee’s interest or responsibilities to another licensed person, if approved by the Judges of the meeting.

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

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

3.12  No licence shall be granted to any applicant who, at the time of such application was not licensed in the Province of Ontario and, in addition, was under suspension by any commission, Judges, Stewards or any pari-mutuel regulatory agency of another Province or State recognized by the Commission. The foregoing prohibition shall apply to any applicant so affected irrespective of any appeal that may be pending in the jurisdiction or jurisdictions other than the Province of Ontario that have imposed a suspension.

3.13  Any person making any false, untrue or misleading statement on an application for a licence or registration, or on any other document or examination required for licensing or pursuant to the Rules, may be denied such a licence or registration or may be subject to a monetary penalty or suspended.