13. Results Management: Appeals

13. Results Management: Appeals⁶⁹ 

13.1 Decisions Subject to Appeal

Decisions made under the Code or under these Rules may be appealed as set forth in Rules 13.2 to 13.4 or as otherwise provided in the Code or International Standards. Such decisions shall remain in effect while under appeal unless the appellate body orders otherwise.

13.1.1 Scope of Review Not Limited

The scope of review on appeal includes all issues relevant to the matter and is expressly not limited to the issues or scope of review before the initial decision maker. Any party to the appeal may submit evidence, legal arguments and claims that were not raised in the first instance hearing so long as they arise from the same cause of action or same general facts or circumstances raised or addressed in the first instance hearing.⁷⁰ 

13.1.2 CAS Shall Not Defer to the Findings Being Appealed

In making its decision, CAS shall not give deference to the discretion exercised by the body whose decision is being appealed.⁷¹ 

13.1.3 WADA Not Required to Exhaust Internal Remedies

Where WADA has a right to appeal under Rule 13 and no other party has appealed a final decision within the Commission’s process, WADA may appeal such decision directly to CAS without having to exhaust other remedies in the Commission’s process.⁷² 

13.2 Appeals from Decisions Regarding Anti-Doping Rule Violations, Consequences, Provisional Suspensions, Implementation of Decisions and Authority

A decision that an anti-doping rule violation was committed, a decision imposing Consequences or not imposing Consequences for an anti-doping rule violation, a decision that no anti-doping rule violation was committed; a decision that an anti-doping rule violation proceeding cannot go forward for procedural reasons (including, for example, prescription); a decision by WADA not to grant an exception to the six months’ notice requirement for a retired Athlete to return to Competition under Rule 5.6.1; a decision by WADA assigning Results Management under Rule 7.1; a decision by the Commission not to bring forward an Adverse Analytical Finding or an Atypical Finding as an anti-doping rule violation, or a decision not to go forward with an anti-doping rule violation after an investigation under in accordance with the International Standard for Results Management; a decision to impose, or lift, a Provisional Suspension as a result of a Provisional Hearing; the Commission’s failure to comply with Rule 7.4; a decision that the Commission lacks authority to rule on an alleged anti-doping rule violation or its Consequences; a decision to suspend, or not suspend, Consequences or to reinstate, or not reinstate, Consequences under Rule 10.7.1; failure to comply with Rules 7.1.4 and 7.1.5; failure to comply with Rule 10.8.1; a decision under Rule 10.14.3; a decision by the Commission not to implement another Anti-Doping Organisation’s decision under Rule 15; and a decision under Article 27.3 of the Code may be appealed exclusively as provided in this Rule 13.2.

13.2.1 Appeals Involving International-Level Athletes or International Events

In cases arising from participation in an International Event or in cases involving International-Level Athletes, the decision may be appealed exclusively to CAS.⁷³ 

13.2.2 Appeals Involving Other Athletes or Other Persons

In cases where Rule 13.2.1 is not applicable, the decision of the Sports Tribunal may be appealed exclusively to CAS in accordance with the applicable procedural rules.

13.2.3 Persons Entitled to Appeal⁷⁴ 

13.2.3.1 Appeals Involving International-Level Athletes or International Events

In cases under Rule 13.2.1, the following parties shall have the right to appeal to CAS: (a) the Athlete or other Person who is the subject of the decision being appealed; (b) the other party or parties to the case in which the decision was rendered; (c) the relevant International Federation; (d) the Commission and the National Anti-Doping Organisation of the Person’s country of residence or countries where the Person is a national or license holder; (e) the International Olympic Committee or International Paralympic Committee, as applicable, where the decision may have an effect in relation to the Olympic Games or Paralympic Games, including decisions affecting eligibility for the Olympic Games or Paralympic Games; and (f) WADA.

13.2.3.2 Appeals Involving Other Athletes or Other Persons

In cases under Rule 13.2.2, the following parties shall have the right to appeal: (a) the Athlete or other Person who is the subject of the decision being appealed; (b) the other party to the case in which the decision was rendered; (c) the relevant International Federation; (d) the National Anti-Doping Organisation of the Person’s country of residence or countries where the Person is a national or license holder; (e) the International Olympic Committee or International Paralympic Committee, as applicable, where the decision may have an effect in relation to the Olympic Games or Paralympic Games, including decisions affecting eligibility for the Olympic Games or Paralympic Games, and (f) WADA. Any party filing an appeal shall be entitled to assistance from CAS to obtain all relevant information from the Commission and the Sports Tribunal and the information shall be provided if CAS so directs.

13.2.3.3 Duty to Notify

All parties to any CAS appeal must ensure that WADA and all other parties with a right to appeal must have been given timely notice of the appeal.

13.2.3.4 Appeal Deadline for Parties Other than WADA

The time for parties other than WADA to file an appeal shall be as provided for in these Rules.

13.2.3.5 Appeals to CAS

The time to file an appeal to CAS shall be twenty-one days from the date of receipt of the decision by the appealing party. The above notwithstanding, the following shall apply in connection with appeals filed by a party entitled to appeal but which was not a party to the proceedings that led to the decision being appealed:

(i) Within fifteen days from notice of the decision, such party/ies shall have the right to request a copy of the full case file from the body that issued the decision;

(ii) If such a request is made within the fifteen-day period, then the party making such request shall have twenty-one days from receipt of the file to file an appeal to CAS.

13.2.3.5 Appeal Deadline for WADA

The above notwithstanding, the filing deadline for an appeal filed by WADA shall be the later of:

(a) Twenty-one days after the last day on which any other party having a right to appeal could have appealed, or

(b) Twenty-one days after WADA’s receipt of the complete file relating to the decision.⁷⁵ 

13.2.3.6 Appeal from Imposition of Provisional Suspension

Notwithstanding any other provision herein, the only Person who may appeal from the imposition of a Provisional Suspension is the Athlete or other Person upon whom the Provisional Suspension is imposed.

13.2.4 Cross Appeals and other Subsequent Appeals Allowed

Cross appeals and other subsequent appeals by any respondent named in cases brought to CAS under the Code are specifically permitted. Any party with a right to appeal under this Rule 13 must file a cross appeal or subsequent appeal at the latest with the party’s answer.⁷⁶ 

13.3 Failure to Render a Timely Decision by Sports Tribunal

Where, in a particular case, the Sports Tribunal fails to render a decision with respect to whether an anti-doping rule violation was committed within a reasonable deadline set by WADA, WADA may elect to appeal directly to CAS as if the Sports Tribunal had rendered a decision finding no anti-doping rule violation. If the CAS hearing panel determines that an anti-doping rule violation was committed and that WADA acted reasonably in electing to appeal directly to CAS, then WADA’s costs and attorney fees in prosecuting the appeal shall be reimbursed to WADA by the Sports Tribunal.⁷⁷ 

13.4 Appeals from Decisions relating to TUEs

TUE decisions may be appealed exclusively as provided in Rule 4.4.

13.5 Notification of Appeal Decisions

Any Anti-Doping Organisation that is a party to an appeal shall promptly provide the appeal decision to the Athlete or other Person and to the other Anti-Doping Organisations that would have been entitled to appeal under Rule 13.2.3 as provided under Rule 14.

13.6 Appeals from decisions under Code Article 24.1.

A notice that is not disputed and so becomes a final decision under Code Article 24.1, finding a Signatory non-compliant with the Code and imposing consequences for such non-compliance, as well as conditions for Reinstatement of the Signatory, may be appealed to CAS as provided in the International Standard for Code Compliance by Signatories.

Footnotes

^{69 [Comment to Rule 13: The object of the Code is to have anti-doping matters resolved through fair and transparent internal processes with a final appeal. Anti-doping decisions by Anti-Doping Organisations are made transparent in Rule 14. Specified Persons and organisations, including WADA, are then given the opportunity to appeal those decisions. Note that the definition of interested Persons and organisations with a right to appeal under this Rule does not include Athletes, or their National Federations, who might benefit from having another competitor Disqualified.]}

^{70 [Comment to Rule 13.1.1: The revised language is not intended to make a substantive change to the 2015 Code, but rather for clarification. For example, where an Athlete was charged in the first instance hearing only with Tampering but the same conduct could also constitute Complicity, an appealing party could pursue both Tampering and Complicity charges against the Athlete in the appeal.]}

^{71 [Comment to Rule 13.1.2: CAS proceedings are de novo. Prior proceedings do not limit the evidence or carry weight in the hearing before CAS.]}

^{72 [Comment to Rule 13.1.3: Where a decision has been rendered before the final stage of the Commission’s process (for example, a first hearing) and no party elects to appeal that decision to the next level of the Commission ’s process, then WADA may bypass the remaining steps in the Commission’s internal process and appeal directly to CAS.]}

^{73 [Comment to Rule 13.2.1: CAS decisions are final and binding except for any review required by law applicable to the annulment or enforcement of arbitral awards.]}

^{74 [Comments to Rule 13.2.3: Whether governed by CAS rules or Rule 13.2.3, a party’s deadline to appeal does not begin running until receipt of the decision. For that reason, there can be no expiration of a party's right to appeal if the party has not received the decision.]}

^{75 [Comments to Rule 13.2.3: Whether governed by CAS rules or this Rule, a party’s deadline to appeal does not begin running until receipt of the decision. For that reason, there can be no expiration of a party's right to appeal if the party has not received the decision.]}

^{76 [Comment to Rule 13.2.4: This provision is necessary because since 2011, CAS rules no longer permit an Athlete the right to cross appeal when an Anti-Doping Organisation appeals a decision after the Athlete’s time for appeal has expired. This provision permits a full hearing for all parties.]}

^{77 [Comment to Rule 13.3: Given the different circumstances of each anti-doping rule violation investigation and Results Management and hearing process, it is not feasible to establish a fixed time period for the Sports Tribunal to render a decision before WADA may intervene by appealing directly to CAS. Before taking such action, however, WADA will consult with the Sports Tribunal and give the Sports Tribunal an opportunity to explain why it has not yet rendered a decision. Nothing in this Rule prohibits an International Federation from also having Rules which authorise it to assume authority for matters in which the Results Management performed by one of its National Federations has been inappropriately delayed.]}