Sport Integrity Commission Te Kahu Raunui

Article 14 - Confidentiality and Reporting

    14.1 Information Concerning Adverse Analytical Findings,

    The principles of coordination of anti-doping results, public transparency and accountability and respect for the privacy of all Athletes or other Persons are as follows:

    14.1    Information Concerning Adverse Analytical Findings, Atypical Findings, and Other Asserted Anti-Doping Rule Violations or Violations of Article 10.14.1

    14.1.1     Notice of Anti-Doping Rule Violations or Violations of Article 10.14.1 to National Anti-Doping Organisations, International Federations and WADA

    Notice of the assertion of an anti-doping rule violation or violation of Article 10.14.1 to the Athlete’s or other Person’s National Anti-Doping Organisation, if different from the Commission, International Federation, any other Anti-Doping Organisation with a right to appeal under Article 13.2.3, and WADA shall occur as provided under Articles 7 and 14, simultaneously with the notice to the Athlete or other Person; provided, however, the Commission may, upon WADA’s written approval which it may grant or deny at its discretion, delay or withhold the notice required by this Article 14.1.1.101  

    If at any point during Results Management up until the anti-doping rule violation or violation of Article 10.14.1 charge, the Commission decides not to move forward with a matter, it shall give notice (with reasons) to the Anti-Doping Organisations with a right of appeal under Article 13.2.3, at the same time it gives notice to the Athlete or other Person.

    14.1.2     Content of an Anti-Doping Rule Violation Notice

    Notification shall include: the Athlete's or other Person’s name, country, sport and discipline within the sport, the Athlete’s competitive level, whether the test was In-Competition or Out-of-Competition, the date of Sample collection, the analytical result reported by the laboratory and other information as required by the International Standard for Results Management, or, for anti-doping rule violations other than under Article 2.1 or violation of Article 10.14.1, the rule violated and the basis of the asserted violation.

    14.1.3     Status Reports

    Except with respect to investigations which have not resulted in a notice of an anti-doping rule violation pursuant to Article 7.2, the Anti-Doping Organisations referenced in Article 14.1.1 shall be regularly updated on the status and findings of any review or proceedings conducted pursuant to Articles 7, 8 or 13 and shall be provided with a prompt written reasoned explanation or decision explaining the resolution of the matter.

    14.1.4     Confidentiality

    The recipient organisations shall not disclose this information beyond those Persons with a need to know (which would include the appropriate personnel at the applicable National Olympic Committee, National Sporting Organisation, and team in a Team Sport) until the Commission has made Public Disclosure as permitted by Article 14.3.

    14.1.6     Protection of Confidential Information by an Employee or Agent of the Commission
    The Commission shall ensure that information concerning Adverse Analytical Findings, Atypical Findings, other asserted anti-doping rule violations or violations of Article 10.14.1, remains confidential until such information is Publicly Disclosed in accordance with Article 14.3. The Commission shall ensure that its employees (whether permanent or otherwise), contractors, agents, consultants, and Delegated Third Parties are subject to a fully enforceable contractual duty of confidentiality. and to fully enforceable procedures for the investigation and disciplining of improper and/or unauthorized disclosure of such confidential information.

  1. 14.2 Notice of Decision of Anti-Doping Rule Violations or Violations of Article 10.14.1 and Request for Files

      2. 14.2    Notice of Decision of Anti-Doping Rule Violations or Violations of Article 10.14.1 and Request for Files

      14.2.1     Decisions that are subject to appeal, (whether under Article 13.2 or otherwise) and including, without limitation any anti-doping rule violation decisions, decisions related to Article 10.14.1 and decisions related to whereabouts failures shall include the full reasons for the decision, including, if applicable, a justification for why the maximum potential sanction was not imposed. 

      14.2.2     An Anti-Doping Organisation having a right to appeal a decision received pursuant to Article 14.2.1 may, within fifteen (15) days of receipt, request a copy of the full case file pertaining to the decision. The case file shall be produced in machine readable form and, to the greatest extent practicable, in electronic, digital, and word-searchable format. 

      14.2.3    For purposes of Articles 13.6.1 and 13.6.2, the complete file shall not be considered to have been received by WADA or other parties with a right to appeal until the complete file has been produced in accordance with Article 14.2.2.

  2. 14.3 Public Disclosure

      3. 14.3    Public Disclosure

      14.3.1     After notice has been provided to the Athlete or other Person in accordance with the International Standard for Results Management, and to the applicable Anti-Doping Organisations in accordance with Article 14.1.1, the identity of any Athlete or other Person who is notified of a potential anti-doping rule violation or violation of Article 10.14.1, the Prohibited Substance or Prohibited Method and the nature of the violation involved, and whether the Athlete or other Person is subject to a Provisional Suspension may be Publicly Disclosed by the Commission. The Commission may Publicly Disclose the outcome of any substantive decision of the Sports Tribunal. 

      14.3.2     Subject to Article 14.3.3, no later than twenty (20) days after a decision or determination finding an anti-doping rule violation or violation of Article 10.14.1 has become final and is not subject to further appeal provided for under the Code, the Commission: 

      (i)    shall Publicly Disclose the determination of the anti-doping matter including the sport, the anti-doping rule violated, the name of the Athlete or other Person committing the violation, the Prohibited Substance or Prohibited Method involved (if any) and the Consequences imposed. 

      (ii)    may make public such decision or determination and may comment publicly on the matter. 

      14.3.3     In any case where it is determined, after a hearing or appeal, that the Athlete or other Person did not commit an anti-doping rule violation or violation of Article 10.14.1 or has established that they bear No Fault or Negligence for the anti-doping rule violation, no Public Disclosure shall be made concerning the determination or the case except with the consent of the Athlete or other Person who is the subject of the decision. The Commission shall use reasonable efforts to obtain such consent, and if consent is obtained, shall Publicly Disclose the decision in its entirety or in such redacted form as the Athlete or other Person may approve. As exceptions, and subject to applicable laws in New Zealand, if the identity of the Athlete or the other Person is already public or Consequences have been or are being imposed, or there are other compelling circumstances supporting Public Disclosure, then the Commission may, without consent, Publicly Disclose the matter to the extent necessary to explain the outcome of the case.

      14.3.5    Public Disclosure shall be accomplished at a minimum by placing the required information on the Commission’s website and leaving the information up for the longer of one (1) month or the duration of any period of Ineligibility. 

      14.3.6    Except as provided in Articles 14.3.1 and 14.3.3, no Anti-Doping Organisation, National Sporting Organisation or WADA-accredited laboratory, or any official of any such body, shall publicly comment on the specific facts of any pending case (as opposed to general description of process and science) except in response to public comments attributed to, or based on information provided by the Athlete, other Person or their entourage or other representatives.

      14.3.7     The mandatory Public Disclosure required in Article 14.3.2 shall not be required where the Athlete or other Person who has been found to have committed an anti-doping rule violation or violation of Article 10.14.1 is a Minor, Protected Person or Recreational Athlete. 

      14.3.8    Any optional Public Disclosure, under any provision of Article 14, in a case involving a Minor, Protected Person or Recreational Athlete shall be proportionate to the facts and circumstances of the case and shall take into consideration the best interests of the individual. In exceptional cases, the importance of transparency to the credibility to the anti-doping system may also be subsidiarily considered.

    14.4    Statistical Reporting

    14.4    Statistical Reporting

    The Commission shall, at least annually, publish on its website a general statistical report of its Doping Control activities, with a copy provided to WADA. The report shall include, without limitation, a separate listing (which shall maintain the anonymity of the Athlete or other Person involved) of each anti-doping decision finding No Fault or Negligence under Article 10.5, and for each such decision, provide: the year the decision was made; the sport involved; the Code article violated; the Prohibited Substance or Prohibited Method involved; and whether the decision has been appealed. The Commission may also publish reports showing the name of each Athlete tested and the date of each Testing. 

    14.5    Doping Control Information Database and Monitoring of Compliance

    14.5    Doping Control Information Database and Monitoring of Compliance

    To enable WADA to perform its compliance monitoring role and to ensure the effective use of resources and sharing of applicable Doping Control information among Anti-Doping Organisations, the Commission shall report to WADA through ADAMS Doping Control-related information, including, in particular:

    (a)    Athlete Biological Passport data for International-Level Athletes and National-Level Athletes,

    (b)    Whereabouts information for Athletes in accordance with the International Standard for Testing,

    (c)    Therapeutic Use Exemption decisions, and

    (d)    Results Management decisions,

    and any other information as required under the applicable International Standard(s).

    14.5.1     To facilitate coordinated test distribution planning, avoid unnecessary duplication in Testing by various Anti-Doping Organisations, and to ensure that Athlete Biological Passport profiles are updated, the Commission shall report all In-Competition and Out-of-Competition tests to WADA by entering the Doping Control forms into ADAMS in accordance with the requirements and timelines contained in the International Standard for Testing.
     
    14.5.2     To facilitate WADA’s oversight and appeal rights for Therapeutic Use Exemptions, the Commission shall report all Therapeutic Use Exemption applications, decisions and supporting documentation using ADAMS in accordance with the requirements and timelines contained in the International Standard for Therapeutic Use Exemptions.

    14.5.3     To facilitate WADA’s oversight and appeal rights for Results Management, the Commission shall report the following information into ADAMS in accordance with the requirements and timelines outlined in the International Standard for Results Management: (a) notifications of anti-doping rule violations and related decisions for Adverse Analytical Findings; (b) notifications and related decisions for other anti-doping rule violations that are not Adverse Analytical Findings; (c) whereabouts failures; (d) violations of Article 10.14.1; and (e) any decision imposing, lifting or reimposing a Provisional Suspension.

    14.5.4     The information described in this Article will be made accessible, where appropriate and in accordance with the applicable rules, to the Athlete, the Athlete’s National Anti-Doping Organisation and International Federation, and any other Anti-Doping Organisations with Testing authority over the Athlete.102 

    14.6    Data Privacy

    14.6    Data Privacy

    14.6.1     The Commission may collect, store, process or disclose personal information relating to Athletes and other Persons where necessary and appropriate to conduct its Anti-Doping Activities under the Code, the International Standards (including specifically the International Standard for Data Protection, the Rules, and in compliance with applicable law, including the Privacy Act 2020.

    14.6.2     The Commission shall not use personal information in ADAMS for purposes other than anti-doping.

    14.7  Confidentiality and Public Disclosure

    14.7  Confidentiality and Public Disclosure

    The Commission may, notwithstanding anything in these Rules, publicise information relating to an alleged anti-doping rule violation or investigation under the Rules where an Athlete or other Person, who it is alleged has committed an anti-doping rule violation under the Rules, or is the subject of an investigation under these Rules, or any party notified under the Rules, has made public comment or comment to any third party concerning the allegation or investigation which, in the Commission’s view, requires that it publicly comments on matters concerning the alleged violation or the investigation under the Rules.

     

    Footnotes

    101                      [Comment to Article 14.1.1: By way of example, WADA could decide to approve the Commission’s  request to delay notice where a highly confidential investigation is ongoing which might implicate a party who would otherwise receive notice of the asserted anti-doping rule violation.]

    102                     [Comment to Article 14.5: ADAMS is operated, administered and managed by WADA, and is designed to be consistent with data privacy laws and norms applicable to WADA and other organizations using such system. Personal information regarding Athletes or other Persons maintained in ADAMS is and will be treated in strict confidence and in accordance with the International Standard for Data Protection.]