Sport Integrity Commission Te Kahu Raunui

7. Results Management: Responsibility, Initial Review, Notice And Provisional Suspensions

    7. Results Management: Responsibility, Initial Review, Notice And Provisional Suspensions

    7. Results Management: Responsibility, Initial Review, Notice And Provisional Suspensions

    Results Management under the Code (as set forth in Rules 7, 8 and 13) establishes a process designed to resolve anti-doping rule violation matters in a fair, expeditious and efficient manner. The Commission shall establish a process for the pre-hearing administration of potential anti-doping rule violations that respects the principles set forth in this Rule. the Commission is permitted to adopt and implement its own Results Management process that meets the minimum requirements set forth in the International Standard for Results Management. 

    7.1 Responsibility for Conducting Results Management

    Except as otherwise provided in Rules 6.6 and 6.8 and 7.1.3 through 7.1.5 below, Results Management shall be the responsibility of the Commission, and shall be governed by these Rules (or if no Sample collection is involved, the Commission which first provides notice to an Athlete or other Person of a potential anti-doping rule violation and then diligently pursues that anti-doping rule violation). In conducting the Results Management, regardless of which organisation conducts Results Management, it shall respect the Results Management principles as set out in Rule 8 and Rule 13 the principles of natural justice shall be respected and the provisions identified in Article 23.2.2 of the Code without substantive change.

    7.1.1 If a dispute over which Anti-Doping Organisation has Results Management responsibility arises between the Commission and another Anti-Doping Organisation, WADA shall decide which organisation has such responsibility. WADA’s decision may be appealed to CAS within seven days of notification of the WADA decision by any of the Anti-Doping Organisations involved in the dispute. The appeal shall be dealt with by CAS in an expedited manner and shall be heard before a single arbitrator. Any Anti-Doping Organisation seeking to conduct Results Management outside of the authority provided in Rule 7.1 may seek approval to do so from WADA.

    7.1.2 Where the Commission elects to collect additional Samples pursuant to Rule 5.2.6, then it shall be considered the Anti-Doping Organisation that initiated and directed Sample collection. However, where the Commission only directs the laboratory to perform additional types of analysis at the Commission ‘s expense, then the International Federation or Major Event Organisation shall be considered the Anti-Doping Organisation that initiated and directed Sample collection.

    7.1.3 In circumstances where these Rules do not give the Commission authority over an Athlete or other Person who is not a national, resident, license holder, or member of a sport organisation of New Zealand, or the Commission declines to exercise such authority, Results Management shall be conducted by the applicable International Federation or by a third party with authority over the Athlete or other Person as directed by the rules of the International Federation. For Results Management and the conduct of hearings for a test or a further analysis conducted by WADA on its own initiative, or an anti-doping rule violation discovered by WADA, WADA shall designate an Anti-Doping Organisation with authority over the Athlete or other Person. 

    7.1.4 For Results Management relating to a Sample initiated and taken during an Event conducted by a Major Event Organisation, or an anti-doping rule violation occurring during such Event, the Major Event Organisation for that Event shall assume Results Management responsibility to at least the limited extent of conducting a hearing to determine whether an anti-doping rule violation was committed and, if so, the applicable Disqualifications under Rule 9 and Rule 10.1, any forfeiture of any medals, points, or prizes from that Event, and any recovery of costs applicable to the anti-doping rule violation. In the event the Major Event Organisation assumes only limited Results Management responsibility, the case shall be referred by the Major Event Organisation to the applicable International Federation for completion of Results Management.

    7.1.5 WADA may direct the Commission to conduct Results Management in a particular case. If the Commission refuses to conduct Results Management within a reasonable deadline set by WADA, such refusal shall be considered an act of non-compliance, and WADA may direct another Anti-Doping Organisation with authority over the Athlete or other Person, that is willing to do so, to take Results Management responsibility in place of the refusing Anti-Doping Organisation or, if there is no such Anti-Doping Organisation, any other Anti-Doping Organisation that is willing to do so. In such case, the refusing Anti-Doping Organisation shall reimburse the costs and attorney's fees of conducting Results Management to the other Anti-Doping Organisation designated by WADA, and a failure to reimburse costs and attorney's fees shall be considered an act of non- compliance. 

    7.1.6 Results management in relation to a potential whereabouts failure (a filing failure or a missed test) shall be administered by the International Federation or the National Anti-Doping Organisation with whom the Athlete in question files whereabouts information, as provided in the International Standard for Result Management. Where the Commission determines a filing failure or a missed test it shall submit that information to WADA through ADAMS where it will be made available to other relevant Anti-Doping Organisations.

    7.2 Review and Notification Regarding Potential Anti-Doping Rule Violations

    Review and notification with respect to a potential anti-doping rule violation shall be carried out in accordance with the International Standard for Results Management.

    7.3 Identification of Prior Anti-Doping Rule Violations

    Before giving an Athlete or other Person notice of a potential anti-doping rule violation as provided above, the Commission shall refer to ADAMS and contact WADA and other relevant Anti- Doping Organisations to determine whether any prior anti-doping rule violation exists.

    7.4 Provisional Hearings and Provisional Suspensions 

    (a) Where the Commission has provided notice under Rule 7.2 or has provided notice of an alleged anti-doping rule violation under the rules against a Person who is subject to the Rules, the Commission shall refer the question whether to impose a Provisional Suspension under the Rules to the Sports Tribunal, and the Commission and the National Sporting Organisation will provide the Sports Tribunal with the information relevant to the alleged anti-doping rule violation.

    (b) Where a National Sporting Organisation has established an NSO Anti- Doping Tribunal, the Commission shall refer the question of whether to impose a Provisional Suspension to that Tribunal for consideration in accordance with the rules of the NSO Anti-Doping Tribunal. Every reference to the Sports Tribunal in Rule 7.4 shall apply to any NSO Anti-Doping Tribunal dealing with the question whether to impose a Provisional Suspension.

    (c) Where the Commission has referred the question whether to impose a Provisional Suspension to the Sports Tribunal, the Sports Tribunal will either notify the Person who may be subject to a Provisional Suspension that it will hold an urgent Provisional Hearing before deciding whether to impose a Provisional Suspension, or will decide whether to impose a Provisional Suspension on the material before it, without hearing from the Person upon whom a Provisional Suspension may be imposed. The Sports Tribunal will, wherever possible, seek to hold an urgent Provisional Hearing before imposing a Provisional Suspension, but the choice of procedure to be followed will be a matter for the Sports Tribunal in the particular circumstances.

    (d) Where the Sports Tribunal decides to proceed without holding an urgent Provisional Hearing, it will, in the event that it decides to impose a Provisional Suspension, either hold an expedited hearing on whether the Provisional Suspension should be maintained, or hold an expedited hearing in relation to the anti-doping rule violation, as soon as possible after the imposition of the Provisional Suspension. The Person who is subject to the Provisional Suspension will be notified of the date and timing of the hearing which is to be held. It will be for the Sports Tribunal to decide which form of hearing it will adopt. It may, in reaching a decision on the form of hearing, hear representations on the appropriate process.

    (e) The Sports Tribunal will adopt such procedures for any hearing in relation to a Provisional Suspension (whether held before or after the imposition of a Provisional Suspension under the Rules) as the Sports Tribunal considers will provide the parties with a fair hearing in the matter in accordance with the principles of set out in Articles 7.4 and 8 of the Code.

    (f) In considering whether to impose a Provisional Suspension, the Sports Tribunal may request further information or material from the Commission, the National Sporting Organisation or the Person who may be subject to the Provisional Suspension. The Commission, the National Sporting Organisation and the Person who may be the subject of the Provisional Suspension will take all reasonable steps to comply with any request for information or material.

    (g) A decision by the Sports Tribunal in relation to a Provisional Suspension will be notified to the Participants or Persons who have been notified of the alleged anti-doping rule violation under these Rules, but will otherwise remain confidential until publication of the final decision on the anti-doping rule violation, unless the Sports Tribunal considers that it is in the interests of the National Sporting Organisation and its members that the decision in relation to the Provisional Suspension be Publicly Reported.

    (h) The imposition of a Provisional Suspension, or the decision not to impose a Provisional Suspension, may be appealed in an expedited process in accordance with Rule 13. The National Sporting Organisation shall take all necessary steps to have the Provisional Suspension recognised by other Anti-Doping Organisations, International Federations, Major Event Organisers, National Olympic and/or Paralympic Committees and any relevant Signatory to the Code.

    (i) Where the Athlete or the Athlete’s team has been removed from a Competition or Event following a Provisional Suspension and the Provisional Suspension is then rescinded, and it is still possible for the Athlete or team to be reinstated without otherwise affecting the Competition or Event, the Athlete or team shall be allowed to continue to take part in the Competition or Event.

    (j) If the Commission declares that there has been no anti-doping rule violation, at a time when a Provisional Suspension is in effect, it shall immediately inform the Athlete’s or other Person’s International Federation, the Athlete’s or other Person’s National Anti-Doping Organisation (if different from the Commission), National Sporting Organisation, any relevant Signatory to the Code, the Sports Tribunal or any NSO Anti-Doping Tribunal (where appropriate) and WADA.

    (k) When the Sports Tribunal or NSO Anti-Doping Tribunal receives notification from the Commission of a declaration under Rule 7.4(j) that there has been no anti-doping rule violation, the Sports Tribunal or NSO Anti-Doping Tribunal shall immediately rescind any Provisional Suspension.

    7.4.1 Mandatory Provisional Suspension after an Adverse Analytical Finding or Adverse Passport Finding

    When an Adverse Analytical Finding or Adverse Passport Finding (upon completion of the Adverse Passport Finding review process) is received for a Prohibited Substance or a Prohibited Method, other than for a Specified Substance or Specified Method, a Provisional Suspension shall be imposed promptly upon or after the review an notification required by Rule 7.2.

    A mandatory Provisional Suspension may be eliminated if:

    (i) the Athlete demonstrates to the Sports Tribunal that the violation is likely to have involved a Contaminated Product, or

    (ii) the violation involves a Substance of Abuse and the Athlete establishes entitlement to a reduced period of Ineligibility under Rule 10.2.4.1.

    The Sports Tribunal’s decision not to eliminate a mandatory Provisional Suspension on account of the Athlete’s assertion regarding a Contaminated Product shall not be appealable.

    7.4.2 Optional Provisional Suspension Based on an Adverse Analytical Finding for Specified Substances, Specified Methods, Contaminated Products, or Other Anti-Doping Rule Violations

    7.4.2.1 Where there has been an Adverse Analytical Finding for a Specified Substance or notice has been given of another Anti-Doping Rule Violation under Rules 2.2 to 2.11, a Provisional Suspension shall be imposed except where the Athlete demonstrates that there is a real likelihood that no period of Ineligibility will be imposed.

    7.4.2.2 Where a Provisional Suspension has been imposed after an Adverse Analytical Finding, the Athlete has requested that the B Sample analysis be conducted and the B Sample analysis does not confirm the A Sample analysis, then the Provisional Suspension shall be rescinded by the Sports Tribunal or NSO Anti-Doping Tribunal immediately upon receiving notice from the Commission that the B Sample analysis does not confirm the A Sample analysis.

    7.4.3 Voluntary Acceptance of Provisional Suspension

    Athletes on their own initiative may voluntarily accept a Provisional Suspension if done so prior to the later of: (i) the expiration of ten days from the report of the B Sample (or waiver of the B Sample) or ten days from the notice of any other anti-doping rule violation, or (ii) the date on which the Athlete first competes after such report or notice.

    Other Persons on their own initiative may voluntarily accept a Provisional Suspension if done so within 10 days from the notice of the anti-doping rule violation.

    Upon such voluntary acceptance, the Provisional Suspension shall have the full effect and be treated in the same manner as if the Provisional Suspension had been imposed under Rule 7.4.1 or Rule 7.4.2; provided, however, at any time after voluntarily accepting a Provisional Suspension, the Athlete or other Person may withdraw such acceptance, in which event the Athlete or other Person shall not receive any credit for time previously served during the Provisional Suspension.

    7.4.4 If a Provisional Suspension is imposed based on an A Sample Adverse Analytical Finding and a subsequent B Sample analysis (if requested by the Athlete or the Commission) does not confirm the A Sample analysis, then the Athlete shall not be subject to any further Provisional Suspension on account of a violation of Rule 2.1. In circumstances where the Athlete (or the Athlete’s team) has been removed from an Event based on a violation of Rule 2.1 and the subsequent B Sample analysis does not confirm the A Sample finding, if, without otherwise affecting the Event, it is still possible for the Athlete or team to be reinserted, the Athlete or team may continue to take part in the Event.

    7.5 Result Management Decisions

    7.5.1 Results Management decisions or adjudications by the Commission will not be limited to a particular geographical area or sport and shall address and will determine without limitation the following issues: (i) whether an anti-doping rule violation was committed or a Provisional Suspension should be imposed, the factual basis for such determination, and the specific Rules violated, and (ii) all Consequences flowing from the anti-doping rule violation(s), including applicable Disqualifications under Rule 9 and Rule 10.10, any forfeiture or medals or prizes, any period of Ineligibility (and the date it begins to run) and any Financial Consequences. 

    7.5.2 A Results Management decision or adjudication by a Major Event Organisation in connection with one of its Events may be limited in its scope, including that they are not required to determine Ineligibility or Financial Consequences beyond the scope of their Event, but shall address and determine, at a minimum, the following issues: (i) whether an anti-doping rule violation was committed, the factual basis for such determination, and the specific Rules violated, and (ii) the applicable Disqualifications under Rule 9 and Rule 10.1, with any resulting forfeiture of medals, points and prizes. In the event a Major Event Organisation accepts only limited responsibility for Results Management decisions, it must comply with Rule 7.1.4. 

    7.6 Notification of Results Management Decisions

    Athletes, other Persons, Signatories and WADA shall be notified of Results Management Decisions as provided in Rule 14 and the International Standard for Results Management.

    7.7 Retirement from Sport

    If an Athlete or other Person retires while a Results Management process of the Commission is underway, the Commission continues to have authority under these Rules to complete the Results Management process. If an Athlete or other Person retires before any Results Management process has begun, and the Commission would have had Results Management authority over the Athlete or other Person at the time the Athlete or other Person committed an anti-doping rule violation, the Commission shall continue to have authority to conduct Results Management under these Rules. 

    7.8 Laboratory results and possible refusal or failure to submit to Sample collection reports

    7.8.1 The Commission will undertake Testing for anti-doping rule violations under Rule 2.1 according to the International Standard for Testing and Investigations.

    7.8.2 The Commission shall receive the analytical results of Doping Control Samples from the laboratory. The Commission shall receive any Doping Control Officer Reports indicating a possible refusal or failure to submit to Sample collection under Rule 2.3 or other information relating to any possible anti-doping rule violation from the relevant Doping Control Officer along with other documentation from the Sample collection.

    7.9 Review and investigations relating to Other Anti-Doping Rule Violations

    7.9.1 In addition to carrying out Testing under the International Standard for Testing and Investigations in relation to Violations under Rule 2.1, the Commission will carry out such investigations as it sees fit (whether arising from Sample collection or otherwise) into all matters which may be relevant to the commission of any possible anti-doping rule violation under Rules 2.2 to 2.11.

    7.9.2 Where the Commission has obtained documentation or information from Sample collection carried out under the Rules or from any other investigation which it has carried out, or from any other source, which may support an allegation that a Violation under Rules 2.2 to 2.11 has occurred, the Commission will review that information and carry out any such further investigation as it sees fit, to decide whether, in its view, an anti-doping rule violation has occurred.

    7.9.3 At any time during the course of an investigation the Commission may, by notice in writing served on any Participant or National Sporting Organisation, require that Participant or National Sporting Organisation to furnish to the Commission within the time and in the manner specified in the notice, any information or class of information specified in the notice; or produce to the Commission any document or class of documents specified in the notice; or (in the case of a Participant) to attend an interview before the Commission or any person authorised by the Commission at a time and place specified in the notice to answer any questions asked at the interview.

    7.9.4 National Sporting Organisations and Participants shall promptly report any information, documentation or materials suggesting or relating to a potential anti-doping violation to the Commission and shall take all reasonable steps to assist and co-operate with any investigation conducted by the Commission into the commission of any anti-doping rule violation. National Sporting Organisations shall take all reasonable steps to ensure that all Participants under their authority co-operate with and assist the Commission in any investigation which it carries out under the Rules. In particular, and without limiting the foregoing, National Sporting Organisations must report any information suggesting or relating to an anti-doping rule violation to the Commission and co-operate with investigations conducted by the Commission and any other Anti-Doping Organisations.

    7.9.5 Where the Commission is conducting an investigation into a possible anti-doping rule violation under Rules 2.2 to 2.11, the Commission may notify the National Sporting Organisation, International Federation, Major Event Organisation or other relevant Signatory to the Code of the investigation and the information which it has obtained and the identity of the Participant or any other Person under investigation at any time before it has reached a decision on whether to bring anti-doping rule Violation Proceedings, where the Commission considers that such notification is necessary to allow for the consideration of the imposition of a Provisional Suspension, required in order to carry out the investigation effectively or to otherwise implement these Rules.

    7.9.6 In the course of an investigation, the Commission may inform any other third party of the investigation where it considers that this is required in order to carry out the investigation effectively. Where the Commission informs such a third party of any aspect of an investigation, it will give notice to the third party of the confidential nature of the investigation as set out in Rule 14.

    7.9.7 At any stage in an investigation the Commission may decide that it will bring anti-doping rule Violation Proceedings. Where the Commission so decides, it will proceed to notify its decision and bring the anti-doping rule Violation Proceedings as set out in Rule 8.

    Footnotes

    36 [Comment to Rule 7: Various Signatories have created their own approaches to Results Management. While the various approaches have not been entirely uniform, many have proven to be fair and effective systems for Results Management. The Code does not supplant each of the Signatories' Results Management systems. This Rule and the International Standard for Results Management do, however, specify basic principles in order to ensure the fundamental fairness of the Results Management process which must be observed by each Signatory. The specific anti-doping rules of each Signatory shall be consistent with these basic principles. Not all anti-doping proceedings which have been initiated by an Anti-Doping Organisation need to go to hearing. There may be cases where the Athlete or other Person agrees to the sanction which is either mandated by the Code or which the Anti-Doping Organisation considers appropriate where flexibility in sanctioning is permitted. In all cases, a sanction imposed on the basis of such an agreement will be reported to parties with a right to appeal under Rule 13.2.3 as provided in Rule 14 and published as provided in Rule 14.3]

    37 [Comment to Rule 7.1.3: The Athlete’s or other Person’s International Federation has been made the Anti-Doping Organisation of last resort for results management to avoid the possibility that no Anti-Doping Organisation would have authority to conduct results management. An International Federation is free to provide in its own anti-doping rules that the Athlete’s or other Person’s National Anti- Doping Organisation shall conduct results management.]

    38 [Comment to Rule 7.1.5: Where WADA directs another Anti-Doping Organisation to conduct Results Management or other Doping Control activities, this is not considered a “delegation” of such activities by WADA.]

    39 [Comment to Rule 7.4: Before a Provisional Suspension can be unilaterally imposed by an Anti-Doping Organisation, the internal review specified in the Code must first be completed. In addition, the Signatory imposing a Provisional Suspension shall ensure that the Athlete is given an opportunity for a Provisional Hearing either before or promptly after the imposition of the Provisional Suspension, or an expedited final hearing under Article 8 promptly after imposition of the Provisional Suspension. The Athlete has a right to appeal under Rule 13.2.3. In the rare circumstance where the B Sample analysis does not confirm the A Sample finding, the Athlete who had been Provisionally Suspended will be allowed, where circumstances permit, to participate in subsequent Competitions during the Event. Similarly, depending upon the relevant rules of the International Federation in a Team Sport, if the team is still in Competition, the Athlete may be able to take part in future Competitions. Athletes and other Persons shall receive credit for a Provisional Suspension against any period of Ineligibility which is ultimately imposed or accepted as provided in Rule 10.13.2.]

    40 [Comment to Rule 7.5.1 Results Management decisions include Provisional Suspensions.]

    41 [Comment to Rule 7.5.2: With the exception of Results Management decisions by Major Event Organisations, each decision by an Anti- Doping Organisation should address whether an anti-doping rule violation was committed and all Consequences flowing from the violation, including any Disqualifications other than Disqualification under Rule 10.1 (which is left to the ruling body for an Event). Pursuant to Rule 15, such decision and its imposition of Consequences shall have automatic effect in every sport in every country. For example, for a determination that an Athlete committed an anti-doping rule violation based on an Adverse Analytical Finding for a Sample taken In- Competition, the Athlete’s results obtained in the Competition would be Disqualified under Rule 9 and all other competitive results obtained by the Athlete from the date the Sample was collected through the duration of the period of Ineligibility are also Disqualified under Rule 10.10; if the Adverse Analytical Finding resulted from Testing at an Event, it would be the Major Event Organisation’s responsibility to decide whether the Athlete’s other individual results in the Event prior to Sample collection are also Disqualified under Rule 10.1.]

    42 [Comment to Rule 7.7: Conduct by an Athlete or other Person before the Athlete or other Person was subject to the authority of any Anti-Doping Organisation would not constitute an anti-doping rule violation but could be a legitimate basis for denying the Athlete or other Person membership in a sports organisation.]