IN THE MATTER OF THE RACING COMMISSION ACT, S.O. 2000, c.20;
AND IN THE MATTER OF THE APPEAL OF
STANDARDBRED OWNER/TRAINER STEPHEN SAUMURE
Standardbred licensee Stephen Saumure appealed from Standardbred Ruling SB 36110 dated October 22, 2006, in which Mr. Saumure was suspended 30 days and fined $500.00 for a violation of Rules 1.09 and 6.20(a) and (b) of the Rules of Standardbred Racing for failing to comply with the conditions of the trainer transfer of “Lexus Tommy” by refusing access to ORC investigators.
On May 31, 2007, a panel of the Ontario Racing Commission consisting of Chair Rod Seiling, Vice Chair Hon. James Donnelly and Commissioner Kelly convened to hear the appeal.
Patricia Latimer appeared at the hearing for the Administration and Gerry White appeared on behalf of Mr. Saumure.
On hearing the evidence of John McEachern, Judge Pat Webb, and Mr. Saumure and on reading and reviewing the exhibits filed, and on hearing the submissions of counsel, the Commission DISMISSED the appeal, and upheld the Judges’ order imposing the $500.00 fine and 30-day suspension.
The Panel’s written Reasons for Decision are attached to this Ruling.
DATED at Toronto this 11th day of June 2007.
BY ORDER OF THE COMMISSION
John L. Blakney
Executive Director
REASONS FOR DECISION
Overview
Standardbred owner/trainer Stephen Saumure appealed Judges’ Ruling SB 36110 wherein the Judges imposed a suspension of 30 days and a fine of $500.00 for a violation of Rules # 1.09 and 6.20 (a) and (b) of the Rules of Standardbred Racing with regard to failing to comply with the conditions of the trainer transfer of “Lexus Tommy” as the trainer of record with preference to condition 2a.
Mr. Saumure’s penalty was stayed by the Executive Director as per Ruling S.B. 206/2006 issued on October 22, 2006.
Background
Gerry White, legal counsel for the appellant, Stephen Saumure, told the Panel that he was requesting it to grant his client’s appeal of the Judges’ Ruling SB 36110 dated October 22, 2006.
We were told that Mr. Saumure was suspended by the Judges following a hearing conducted at Rideau Carleton Raceway on October 22, 2006, for failing to comply with the conditions of the trainer transfer of the horse “Lexus Tommy” with preference to condition 2a of the form that Mr. Saumure confirmed in his testimony that he signed,
Patti Latimer, legal counsel for the ORC Administration told us that the trainer transfer form is very important with respect to the rules of standardbred racing as it is the official process by which the ORC regulates the transfer of the trainer of record from a suspended trainer to a new proposed trainer of record. Its importance is such that we were told that the Judges require both the owner of the horse and the proposed trainer to read the trainer transfer form and sign. This is done in the presence of the Judges who then sign as witness to it.
Ms. Latimer told us the reason it is so important is that this process allows the horse to continue to race but it protects the public interest as it ensures the new trainer has complete care, custody and control of the horse and that the suspended trainer has no influence or contact with the horse or the new trainer.
An important component of this process, we were told, is the right for the ORC officials to have unimpeded access to the horse at the farm and or stabling facility of the horse. This process, which is usually done via spot checks, is to confirm the horse is located where the owner and new trainer stated it was on the trainer transfer form and that the suspended trainer has no influence or contact, Ms. Latimer told us.
The Panel was referenced to tab 5 of Exhibit 1, the Standardbred Declaration for transfer of trainer form that was executed by the parties on September 7, 2006. Under Part A of it, we were shown that is the part where the suspended trainer Sheri Korniski was named, the name of the horse, “Lexus Tommy” to be transferred was recorded and the name of the owner, Genevieve Saumure (wife of Stephen Saumure).
Part B of the form, we were shown, is the declaration of certification and consent section for the owner which contained Ms. Saumure’s signature along with Standardbred Judge Neil McCoag’s signature as witness.
We were referenced to 1 a and e of the form which reads as follows: “a” states “ the horses identified in Part A shall be stabled and trained only on the premises to which the Commission officials and investigators have unimpeded access to carry out any inspection or investigation that is provided for under the Rules of Standardbred Racing or the Racing Commission Act, 2000 including any inspection or investigation that may be necessary to monitor compliance to the Judges’ approval of the transfer”, “e” states that ”the horses identified in part A will be ineligible to race in Ontario if, (i) a Commission official or investigator is unable to conduct any inspection or investigation where a horse is stabled or trained, (ii) any person whose license is suspended or who is not licensed to provide goods or services for which a licence is required with respect to a horse identified in Part A, (iv) a horse is transferred or trained by another trainer, (v) the conditions of the Judges’ approval are not complied with. Part B #2 of the form is the proposed trainer of record section that requires, and Mr. Saumure testified, that he did sign. We noted it also had Judge McCoag’s signature as witness. That section also contained the same clauses as were in the owner section of the form.
ORC investigator, John McEachern, testified that on September 30, 2006, he commenced his spot investigation with respect to checking that the conditions of the transfer of “Lexus Tommy” were being complied with, and that he would require directions as all he had was the address of Chemin de Rive Maison Anger which he thought was somewhere in Gatineau. He told us, this started with a call around 9:30 a.m. to the number he was given as the contact for Mr. Saumure. A woman answered, we were told, and he said that she gave him another phone number to reach Mr. Saumure. He told us that he then called Mr. Saumure on that number and that he answered and asked him to call back as he was busy jogging a horse. Subsequent calls were made and around 9:35 a.m. Mr. Saumure called him back telling him that he had spoken with a lawyer and that he had no right to harass him in Quebec.
Mr. McEachern also told us that Mr. Saumure informed him that he was racing 5 horses that afternoon at Connaught Park which is located in Aylmer Quebec and that due to the time required for him to arrive in the required 2 hours before post time (11:00 a.m.) he would have to leave before he could meet him at the farm given the time it would take him to travel to Aylmer. He told us that he offered to meet Mr. Saumure at Connaught and that by watching him unload the horse ”Lexus Tommy”, which was one of the 5 horses into race, he could complete part of the check but that he would still need to visit the farm.
Mr. McEachern testified that at 9:45 a.m. Mr. Saumure called him again stating that he talked to a lawyer and that he had no right to check up on or harass him in Quebec. He told us that he then took these statements by Mr. Saumure as a refusal and informed him that he would be making a report to the Judges, and as a consequence he did not go to meet Mr. Saumure at 11:00 a.m. at the track as he had offered.
Pat Webb told us that she is a Senior Judge with the ORC and she confirmed to us that it was her signature on the ruling contained in tab 6 of Exhibit 1, SB 36110 dated October 22, 2006 suspending Mr. Saumure for 30 days and fining him $500. This ruling, we were told, followed from a hearing with the Judges at Rideau Carleton that same day concerning his alleged refusal to comply with the trainer transfer conditions with respect to the horse “Lexus Tommy”.
Ms. Webb explained to us the sequence of the 4 ORC Rulings as contained in tab1 of Exhibit 1. She testified that SB Ruling 27572 dated October 1, 2006 suspended the horse “Lexus Tommy” re. the violation of SB Rule 26.08. As the trainer of the horse, Mr. Saumure, refused access to the ORC investigator as per the conditions of the trainer transfer form as submitted to the Judges on September 7, 2006. Ruling SB 27580 dated October 12, 2006, she told us, suspended Mr. Saumure because he did not appear before the Judges for his hearing and it remained in effect until a hearing with the Judges at Rideau Carleton was to take place. That hearing took place on October 22, 2006 we were told, and as a result, SB Ruling 35605 was issued lifting the suspension and following the hearing with the Judges that same day, SB Ruling 27580 was issued suspending Mr. Saumure for 30 days and fining him $500. SB Ruling 27580 was amended, we were told without any explanation after its issuance, to make the suspension Ontario only from a full suspension.
Ms. Webb testified that a trainer transfer would not be approved by the Judges if it was not signed by both the Owner and the proposed trainer. She told us that this process is important as they need to know where the horse is stabled and that the suspended trainer has no control or influence over the horse. Mr. Saumure, we were told, was familiar with both the process and the conditions of the trainer transfer process as he had been a party to a number previously as prior executed transfer forms presented proved. This is all done, she testified, to protect the public.
Ms. Webb told us that on checking the ORC records she was unable to find any precedent as it relates to refusing to provide access under the conditions of the trainer transfer. This fact was included in determining the penalty the Judges assessed on Mr. Saumure she told us, as they wanted it to represent a serious deterrent.
Ms. Webb, on answering questions with respect to the Judges’ hearing with Mr. Saumure, utilized her notes from that hearing. She told us that at the hearing Mr. Saumure agreed with report filed by ORC investigator Mr. McEachern, as it related to the events of September 30, 2006. The Panel provided Mr. White a 10-minute recess during this portion of the hearing to acquire another copy of them and refresh his memory as he told us that they had become misplaced.
Mr. Saumure told us that he has been licensed by both Ontario and Quebec racing commissions and that with him being stabled in Quebec, he is racing in Quebec as of now. He confirmed to the Panel that on September 30, 2006, he held a valid ORC license.
With reference to the events of October 1, 2006, he confirmed to us the testimony of Mr. McEachern as it related to the series of phone calls and his comments that Mr. McEachern had no right to harass him or check up on him in Quebec based on advice from a lawyer. He told us that he told Mr. McEachern that he was prepared to meet him another day at the farm as well as at Connaught Park that day.
Mr. Saumure told us that he had been fined by the Quebec racing officials for being late to the paddock as required by Quebec racing regulations and it was this fact, that made him realize that he could not meet Mr. McEachern that morning of the 30th when he called. He told us that given it was close to a 2-hour drive to the track for him with the 5 horses it did not leave enough time for Mr. McEachern to come from Ottawa as it would have taken him about an hour or so which would have made him late. The Panel was referenced to tab 6 of Exhibit 1, which confirmed the fine by the Judges at Hippodrome Blue Bonnets for being late to the paddock.
He told us that it was on the basis of talking to a lawyer that he made the comments to Mr. McEachern about no rights to harass or check up on him in Quebec. He confirmed to us that he told the Judges at his hearing at Rideau Carleton the same thing and that he still believes it.
Mr. Saumure told us that he had a business relationship with the suspended trainer, Sheri Korniski, for over 3 years prior to the transfer of “Lexus Tommy” and that she lived about 2 hours from the farm where he was stabled. We were told that another horse was also transferred to him from Ms. Korniski at the same time as “Lexus Tommy”.
Issue
- Did standardbred licensee, Stephen Saumure, fail to comply with the conditions of the trainer transfer of “Lexus Tommy” as the trainer of record with preference to condition 2a and thereby violate the conditions of the ORC trainer transfer rule? Was ORC Investigator, John McEachern, correct to interpret Mr. Saumure’s comments as you have no rights to harass or check on me in Quebec as a refusal to provide unimpeded access to the horse listed in the trainer transfer form signed by Mr. Saumure on September 7, 2006, as it relates to the horse “Lexus Tommy”?
Analysis
There is no doubt in the view of the Panel that this is a serious matter. It impacts directly on the public interest and the Commission rightly has the responsibility to protect that interest under its powers to “govern, control and direct”.
The trainer transfer form and the conditions attached to it are reasonable means to protect the public interest as the objective of it is that in allowing the horse to continue racing it ensures the suspended trainer does not have any influence or relationship with either the new trainer or the horse. Care, custody and control must be seen to be in the hands of the new trainer.
The requirement to provide unimpeded access to the horse is fundamental to this process. Integral to this access is the ability to have the ORC do spot checks to ensure the terms of the transfer are being met.
Mr. Saumure confirmed that he did sign the trainer transfer form and no evidence was presented that he did not understand what his commitment was in terms of the conditions. Evidence was provided that Mr. Saumure had previous experience with this process.
ORC investigator, John McEachern, acted in an appropriate manner in terms of conducting his spot check. No evidence or allegation was made to the contrary. Given the past business relationship between Mr. Saumure and Ms. Korniski and that they lived within 2 hours of each other, it is reasonable to assume Mr. McEachern had to make a visit to the farm to complete the spot check.
Mr. McEachern attempted to accommodate Mr. Saumure by offering to meet him at Connaught Park and then visit the farm at another time. He was reasonable to interpret Mr. Saumure’s comments made in the 9:35 a.m. telephone call and repeated in the 9:45 a.m. telephone call stating that a lawyer told him he had no right to harass or check on him in Quebec as failing to comply with the terms of the trainer transfer as he refused to provide unimpeded access to the horse “Lexus Tommy”.
To interpret the totality of Mr. Saumure’s conduct as a refusal:
he claimed contact with a lawyer (whether actual or fictional)
his repeated characterization of Mr. McEachern’s function as harassment
His initial assertion that Mr. McEachern had no jurisdiction at his farm
His second assertion that Mr. McEachern had no jurisdiction at the Quebec Raceway
His ultimate failure to agree to accommodate Mr. McEachern’s requests which simply amounted to his contractual obligations under the Rules of Racing as an Ontario licensee
Mr. Saumure still had the opportunity to accept the accommodation offered to him to provide access when he was informed by Mr. McEachern that he would be filing a report with the Judges based on his comments to him.
The Panel does not accept Mr. Saumure’s testimony that he would have allowed Mr. McEachern access on another day. His statements to the Judges served to reinforce his position of Ontario not having any rights to check in Quebec.
The Panel does not accept Mr. White’s position that by allowing an ORC Investigator to check on one of its licensees in Quebec it would be creating a dangerous precedent. Protecting the public interest required Mr. McEachern to complete his check given he was dealing with Ontario licensee matters.
Decision
- After reviewing the evidence, reading the exhibits and hearing the submissions, the Panel denies Mr. Saumure’s appeal. His penalty becomes effective with the publishing of this ruling.
DATED this 11th day of June 2007.
__________________________
Rod Seiling
Chair