WADA - 2021 Code Implementation Support Program

2021 Code Implementation Support Program Guidelines for the International Standard for Results Management2

Dec 2020 GUIDELINES FOR RESULTS MANAGEMENT Contents Welcome to the Guidelines for Results Management ..................................................................................5

SECTION 1: RESULTS MANAGEMENT BASICS .............................................................. 8

CHAPTER 1: Who is in charge of results management and how ................................... 9

1. Responsible ADO ........................................................................................................................... 10

2. Governing rules .............................................................................................................................. 11

3. Clarification on specific authority issues ......................................................................................... 11

4. Disputes .......................................................................................................................................... 15

5. Results Management as directed by WADA .................................................................................. 15

CHAPTER 2: Initial Considerations ................................................................................ 16

1. Ensuring confidentiality ................................................................................................................... 16

2. Ensuring timeliness ........................................................................................................................ 17

3. Applying the statute of limitations ................................................................................................... 17

SECTION 2: PRE-HEARING PHASE ............................................................................... 19

CHAPTER 3 : How to review cases ................................................................................. 20

1. Reviewing Adverse Analytical Findings .......................................................................................... 20

2. Reviewing Atypical Findings ........................................................................................................... 37

3. Reviewing Athlete Biological Passport Findings ............................................................................ 40

4. Reviewing Whereabouts Failures and Whereabouts Violations .................................................... 45

5. Reviewing other Anti-Doping Rule Violations ................................................................................. 50

CHAPTER 4 : How to impose provisional suspensions ................................................ 56

1. Imposing mandatory Provisional Suspensions............................................................................... 57

2. Imposing optional Provisional Suspensions ................................................................................... 58

3. Dealing with voluntary Provisional Suspensions ........................................................................... 603

Dec 2020

4. Dealing with Provisional Suspensions and Contaminated Products .............................................. 61

5. Dealing with other Provisional Suspension formalities and implications ........................................ 62

CHAPTER 5: What is the charge letter ........................................................................... 65

1. Drafting a charge letter ................................................................................................................... 66

2. Considering the procedural options ................................................................................................ 68

5. Dealing with other Provisional Suspension formalities and implications ........................................ 62

CHAPTER 5: What is the charge letter ........................................................................... 65

1. Drafting a charge letter ................................................................................................................... 66

2. Considering the procedural options ................................................................................................ 68

SECTION 3: ADJUDICATION PROCESS ........................................................................ 70

CHAPTER 6 : How to enter into results management agreements ............................... 71

1. One-year reduction and acceptance of sanction ............................................................................ 71

2. Case Resolution Agreements ......................................................................................................... 72

CHAPTER 7: How to prepare for hearings ..................................................................... 74

1. Understanding pre-hearing matters and the hearing process ........................................................ 74

2. Conducting fair hearings ................................................................................................................. 77

3. Event hearings ................................................................................................................................ 85

4. Waiver of hearing ........................................................................................................................... 86

CHAPTER 8: What to include in a decision ................................................................... 88

1. Respecting the timing ..................................................................................................................... 88

2. Drafting the decisions ..................................................................................................................... 89

3. Notifying decisions to relevant parties ............................................................................................ 91

4. Publicly disclosing the decisions .................................................................................................... 92

5. Following the decisions – the RMA’s responsibilities ..................................................................... 95

CHAPTER 9 : What to know about appeals .................................................................. 100

1. Understanding the basics ............................................................................................................. 100

2. Respecting deadlines ................................................................................................................... 102

3. Notifying relevant parties .............................................................................................................. 102

4. Appealing to the Court of Arbitration for Sport ............................................................................. 103

5. Appealing to the Swiss Federal Tribunal ...................................................................................... 1044

Dec 2020

SECTION 4: SUBSTANTIAL ASSISTANCE .................................................................... 105

1. Understanding the basics ............................................................................................................. 106

2. Evaluating cases .......................................................................................................................... 108

3. Understanding WADA’s role – WADA’s discretionary powers ..................................................... 113

4. Reinstating full consequences ...................................................................................................... 113

ANNEX A: Checklist for Adverse Analytical Findings Report ..................................... 115

2. Evaluating cases .......................................................................................................................... 108

3. Understanding WADA’s role – WADA’s discretionary powers ..................................................... 113

4. Reinstating full consequences ...................................................................................................... 113

ANNEX A: Checklist for Adverse Analytical Findings Report ..................................... 115

ANNEX B: Investigation of Atypical Findings ............................................................... 121

ANNEX C: Chart: Results Management Process - Adverse Analytical Findings (AAF) .............................................................................................................................................. 126

ANNEX D: Chart: Athlete Passport Process ................................................................. 127

ANNEX E: Chart: Results Management Process – Whereabouts (WF) ....................... 1285

Dec 2020 Welcome to the Guidelines for Results Management Introduction Welcome to the Guidelines for Results Management (Guidelines), a third-level, non-mandatory document that supports the International Standard for Results Management (ISRM). These Guidelines aim to better equip Anti-Doping Organizations (ADOs) in conducting results management as described in the ISRM. Where the ISRM sets forth a minimum of what to do, these Guidelines aim to help you understand how to do it and giving you examples and suggestions. Context The Signatories to the World Anti -Doping Code (Code) recognize that efficient and effective Results Management is key to the fight against doping in sport. They also recog nize that this process shall be conducted in accordance with the principles set out in the Code and the International Standards (IS). Previously, and in the absence of a specific International Standard applicable to Results Management, the World Anti-Doping Agency (WADA) had prepared, in conjunction with several key stakeholders, a Results Management, Hearing and Decisions Guidelines document, which was intended to harmonize the practice of Anti-Doping Organizations (ADOs) in Results Management. However, within the context of the review process of the 2021 Code, WADA developed the International Standard for Results Management (ISRM), which, from 1 January 2021 onwards, will be the document that addresses the technical and operational aspects of Results Management and must be adhered to by

However, within the context of the review process of the 2021 Code, WADA developed the International Standard for Results Management (ISRM), which, from 1 January 2021 onwards, will be the document that addresses the technical and operational aspects of Results Management and must be adhered to by all Signatories in order to ensure their compliance with the Code. Nevertheless, in order to assist Signatories and other stakeholders in the area of Results Management, WADA has updated the previous version of the Results Management, Hearing and Decisions Guidelines in accordance with the 2021 Code and ISRM so that continued guidance and models remain available. The term Results Management, as defined in the Code, is the process encompassing the timeframe between notification as per ISRM Article 5, or, in certain cases, (e.g., Atypical Finding, Athlete Biological Passport, whereabouts failures), such prenotification steps expressly provided for in ISRM Article 5, through the charge until final resolution of the matter, including the end of the hearing process at first instance or on appeal (if an appeal was lodged).6

Dec 2020 How to use the Guidelines These Guidelines provide guidance regarding the steps of the Results Management process, but also guidance with respect to Substantial Assistance, Results Management and Case Resolution Agreements, and recommendations regarding the hearing process and the resultant decision. These Guidelines are not designed to assist in the assessment and/or review of the merits of a potential Anti-Doping Rule Violation (ADRV) or of the applicable or appropriate Consequences under the Code. However, given the complexity of dealing with cases where an Athlete or other Person provides Substantial Assistance, a specific section is included to address this issue. These Guidelines are a model for best practice developed as part of the World Anti-Doping Program. They have been drafted to provide ADOs with Results Management responsibilities with a document detailing, in a stepby-step fashion, the phases of t he Results Management process, hearing, and decision processes, and execution. These Guidelines build on existing anti -doping practices to promote harmonization in the administration of potential ADRVs.

in a stepby-step fashion, the phases of t he Results Management process, hearing, and decision processes, and execution. These Guidelines build on existing anti -doping practices to promote harmonization in the administration of potential ADRVs. Except where they incorporate provisions of the Code, ISRM and other Standards, these Guidelines are not mandatory 1; they are intended to provide clarity to ADOs regarding the most efficient, effective and responsible way of discharging their Results Management responsibilities 2. Consequently, Signatories who have already created their own approaches to Results Management that have proven to be fair and effective and in compliance with the Code and applicable Standards may continue to follow their own processes. As with all Guidelines under the Code, this document is subject to ongoing review and assessment to ensure it continues to reflect best practice moving forward. WADA encourages feedback on this document and recommends stakeholders consult WADA’s website, http://www.wada-ama.org for the latest version. As per Code Article 26.5, where the term “days” is used in the Code, an International Standard, or these guidelines, it shall mean calendar days unless otherwise specified. For deadlines 3, the day of the act is not included (i.e. the date on which the decision is received). A deadline starts to run on the following day and expires on the last day of the period. If the end date is a Saturday, a Sunday or a legal holiday4, the period runs until the next day that is not a Saturday, a Sunday or a legal holiday;

1 See, for instance, CAS 2018/A/5885 & 5936. 2 In the event of any conflict between provisions of the Code or an International Standard and provisions of these Guidelines, provisions of the Code or of the applicable International Standard shall prevail. 3 As opposed to the day on which the period of I neligibility starts to run, which is the day where the hearing decision providing for ineligibility or ineligibility is otherwise imposed (see Code Article 10.13), unless one of the exceptions described in Code Articles

3 As opposed to the day on which the period of I neligibility starts to run, which is the day where the hearing decision providing for ineligibility or ineligibility is otherwise imposed (see Code Article 10.13), unless one of the exceptions described in Code Articles 10.13.1 and 10.13.2 applies. 4 In the jurisdiction where the person subject to the deadline is resident.7

Dec 2020 For instance, if an Athlete received a decision on Thursday 10 December 2020, the 21day deadline to appeal against this decision will start to run on Friday 11 December 2020 and expire on Friday 1 January 2021. However, as 1 January 2021 is a public holiday, 2 January 2021 a Saturday and 3 January 2021 a Sunday, the deadline to appeal will expire at midnight on Monday 4 January 2021. Remember that in addition to these Guidelines, you can find a suite of ISRM resources to help you achieve your goals on ADeL, including useful templates.8

Dec 2020

SECTION 1

Results management basics This section includes Chapters 1 and 2. This section will provide support for Code Article 7.1 and ISRM Article 4 by helping you understand who is responsible for managing a potential doping case and under which legal framework as well as some basic key elements relating to results management.9

Dec 2020 CHAPTER 1 : Who is in charge of results management and how

Overview ADOs are required by Code Article 20 to vigorously pursue all potential ADRVs within their authority 5. When a case arises, the first issue to address is authority, i.e. which ADO has Results Management Authority (RMA) for a case. Athletes, Athlete Support Personnel and other Persons must cooperate with ADOs investigating ADRVs 6. This is particularly important in case of non-analytical ADRVs. Also, as contemplated in Code Article 3.2.5,

Authority (RMA) for a case. Athletes, Athlete Support Personnel and other Persons must cooperate with ADOs investigating ADRVs 6. This is particularly important in case of non-analytical ADRVs. Also, as contemplated in Code Article 3.2.5, the hearing panel may draw an inference adverse to the Athlete or other Person from the latter’s lack of cooperation.

5 Code Articles 20.1.9, 20.2.10, 20.3.12, 20.4.13, 20.5.7 and 20.6.7. 6 Code Articles 21.1.6, 21.2.5 and 21.3.3.10

Dec 2020 WADA shall monitor compliance with the Code, i.e. whether ADOs conduct Results Management (including hearings) in a Code and ISRMcompliant manner. WADA shall ensure that the mandatory provisions of the Code and ISRM are duly implemented and respected, that cases are dealt with in a timely fashion to protect the rights of both the anti-doping community and Athletes or other Persons. WADA has the right to appeal any decision if it believes that it is not compliant with the Code. This is essential in ensuring a harmonized application of the rules.

1. Responsible ADO Analytical ADRVs For Adverse Analytical Findings (AAFs), the RMA is the ADO that initiated and directed Sample collection, except in the following situations: Where an ADO with authority to test the Athlete conducted further analysis on a stored Sample with the permission of the ADO that initiated and directed Sample collection, the former will be responsible for any follow-up Results Management (Code Article 6.6); Where another ADO with authority to test the Athlete is directed by WADA to assume Results Management responsibility for a potential ADRV discovered following a seizure by WADA of a Sample or data (Code Article 6.8); Where Results Management shall be conducted by the applicable International Federation

Where another ADO with authority to test the Athlete is directed by WADA to assume Results Management responsibility for a potential ADRV discovered following a seizure by WADA of a Sample or data (Code Article 6.8); Where Results Management shall be conducted by the applicable International Federation (IF) or by a third party with authority over the Athlete or other Person because domestic rules do not give a NADO authority over an Athlete or other Person or where the NADO declines to exercise such authority (Code Article 7.1.3); Where a Major Event Organization assumes only limited Results Management responsibility and the case is referred to the applicable IF (Code Article 7.1.4); Where WADA directs an ADO with Results Management authority to conduct Results Management in a particular case (Code Article 7.1.5). Non-Analytical ADRV If no Sample collection is involved, the RMA will be the ADO which first provides notice to an Athlete or other Person of a potential ADRV and then diligently pursues that ADRV. Delegation of Results Management Responsibilities As per the Introduction of the Code and Code Article 20, ADOs may delegat e Results Management for which it is responsible to a Delegated Third Party but remains fully responsible for ensuring that any aspect of Results Management it delegates is performed in compliance with the Code. Further, the ADOs retain the title and responsibilities of a Results Management Authority. If a Delegated Third Party conducts Results Management in a manner non-compliant with the Code or ISRM, the ADO will be the organization subject to a potential compliance procedure under the ISCCS.11

Dec 2020 If the Delegated Third Party is not a Signatory, the agreement with the Delegated Third Party shall require its compliance with the Code and International Standards. However, in case of non-compliance, the ADO will remain liable towards WADA.

2. Governing rules The Results Management process will be governed by the RMA’s anti-doping rules7.

3. Clarification on specific authority issues

non-compliance, the ADO will remain liable towards WADA.

2. Governing rules The Results Management process will be governed by the RMA’s anti-doping rules7.

3. Clarification on specific authority issues As a general rule, the default RMA is the Athlete’s or other Person’s IF (or a Delegated Third Party with authority over the Athlete or other Person as directed by the IF’s rules) in cases where: i) A NADO’s rules do not give it authority over an Athlete or other Person who is not a national, resident, license holder or member of a sport organization of that country, or

7 Or, where appropriate, by the rules of the Delegated Third Party. 8 See Code Introduction (page 18) and Article 20, which allow an ADO to delegate any aspect of Doping Control to a Delegated Third Party, whilst also specifying that the delegating ADO “shall remain fully responsible for ensuring that any delegated aspects are performed in compliance with the Code”. 9 See CAS 2007/A/1370; CAS 2013/A/3241; CAS 2017/A/5144. GUIDANCE  Although not specifically prohibited by the Code 8, ADOs are strongly encouraged not to delegate Results Management of their cases to their Continental or National Federations given the importance of independence in this process and the required skills sets to handle Results Management.

 If delegation does occur, the delegating ADO: • Should pay particular attention to the requirement that the case must be heard by a fair, impartial and Operationally Independent hearing panel at first instance and that appeals are heard by a fair, impartial and Operationally and Institutionally Independent hearing panel; • Should use a specialized Delegated Third Party (e.g. the International Testing Agency – ITA) or another ADO; • Shall require the Delegated Third Party’s compliance with the Code and International Standards in a signed written agreement.

panel; • Should use a specialized Delegated Third Party (e.g. the International Testing Agency – ITA) or another ADO; • Shall require the Delegated Third Party’s compliance with the Code and International Standards in a signed written agreement. Should provide in its anti-doping rules for a set of provisions intended to guarantee that its anti-doping regulations will always prevail over any other anti-doping regime9.12

Dec 2020 ii) The NADO declines to exercise such authority. The NADO should inform the IF of the referral of the case without delay and share the entire case file with the IF. The NADO should also inform WADA of the referral at the same time. Moreover, as provided in Code Article 7.1.5, WADA may direct an ADO with Results Management authority to conduct Results Management in a particular case: For instance, where the ADO that d iscovered the potential ADRV declines to exercise its responsibility, does not have jurisdiction over the Athlete or other Person anymore, is compromised or potentially involved in the commission of one of the ADRV and/or a sport integrity violation other than doping. In such case, WADA will discuss the matter first with the potential ADO(s) and provide any assistance it may need. 3.1. Additional Testing When a NADO conducts additional Testing pursuant to Code Article 5.2.6, it shall be considered as the RMA (Code Article 7.1.2). However, if the NADO only directs the Laboratory to perform additional types of analysis at the NADO’s expense, the IF or the MEO retains Results Management authority. 3.2. WADA-conducted Testing If a test or Further Analysis is conducted by WADA on its own initiative as per Code Articles 5.2.4 or 6.8, or an ADRV is discovered by WADA, WADA will designate an ADO with authority over the Athlete or other Person as the RMA. 3.3. Major Events

on its own initiative as per Code Articles 5.2.4 or 6.8, or an ADRV is discovered by WADA, WADA will designate an ADO with authority over the Athlete or other Person as the RMA. 3.3. Major Events For AAFs arising from MEO tests or other ADRVs that occur at MEO Events, the MEO for the Event shall assume Results Management responsibility to at least 10 the limited extent of conducting a hearing to determine the following matters: i) Whether an ADRV was committed;

10 See Code Article 7.1.4 and ISRM Article 9.1.2.

REMINDER

The NADO must provide the applicable IF or MEO with any assistance they may require in the implementation of any subsequent Results Management procedure (e.g. contact details of the Athlete, collection and translation of documents).13

Dec 2020 ii) If so, the applicable Disqualifications under Code Articles 9 and 10.1, any forfeiture of any medals, points or prizes from that Event, and any recovery of costs applicable to the ADRV. If the MEO only assumes limited Results Management responsibility, it shall promptly refer the case to the applicable IF for completion of Results Management and provide any reasonable assistance the latter may require. The MEO should also invite the applicable IF to attend the hearing as an observer and should keep the IF abreast of the progress of the case under the MEO’s Results Management responsibility. 3.4. Whereabouts Failures (Filing Failures or Missed Tests) The RMA in relation to potential Whereabouts Failure (Missed Test or Filing Failure) will be the IF or the NADO with whom the Athlete files his or her whereabouts information. The IF and NADO should clearly indicate in ADAMS that the Athlete is included in its respective Registered Testing Pool and should make sure the information is updated and accurate at all times. The identity of the whereabouts custodi an shall be clearly reported in ADAMS as well.

indicate in ADAMS that the Athlete is included in its respective Registered Testing Pool and should make sure the information is updated and accurate at all times. The identity of the whereabouts custodi an shall be clearly reported in ADAMS as well. It is important (and required as per Code Article 7.1.6) that the ADO records and submits a Whereabouts Failure into the Anti-Doping Administration and Management System (ADAMS) so that it is available to WADA and other relevant ADOs.

Any Delegated Third Party and/or ADO involved in the uncovering of a potential Whereabouts Failure shall assist the RMA as necessary by providing the relevant information to the RMA at the earliest convenience with a view of complying with the time frame of ISRM Article B.3.2(d). 3.5. Results Management for Athlete Biological Passport cases The pre-adjudication phase of Results Management for Atypical Passport Findings (ATPFs) or Adverse Passport Findings (APFs) shall be administered and managed by an Athlete Passport Management Unit GUIDANCE Any Whereabouts Failure found either (i) by an ADO that previously received the Athlete’s Whereabouts Filing (see ISRM Article B.3.1) or (ii) by an ADO with Testing Authority with whom the Athlete does not file his or her whereabouts information (see ISRM Article B.3.2), shall be promptly referred to the RMA, and may be taken into account for a potential Code violation of Article 2.4.14

Dec 2020 (APMU) on behalf of the Passport Custodian, regardless of whether another ADO was the Testing Authority of the test(s) that ultimately prompted the ATPF or APF. If the APMU declares an APF in ADAMS, the Passport Custodian shall notify the Athlete in accordance with ISRM Article 5.3.2 and C.5.2. However, and in any event, the Passport Custodian shall always inform any Anti-Doping Organization with

If the APMU declares an APF in ADAMS, the Passport Custodian shall notify the Athlete in accordance with ISRM Article 5.3.2 and C.5.2. However, and in any event, the Passport Custodian shall always inform any Anti-Doping Organization with a right of appeal under Code Article 13.2.3 of a decision not to move forward with a matter, as required by ISRM Article 5.4. Such notification shall include reasons. If the Athlete has already been notified of ongoing Results Management, they shall also be notified by the Passport Custodian of a decision not to move forward with a matter. In circumstances where an Athlete is tested by two or more ADOs in the context of the ABP, it is important that all ABP tests recorded by one ADO be visible/accessible to the other(s) via ADAMS to allow an overview of the Athlete’s Passport. 3.6. Retired Athlete11 In accordance with Code Article 7.7, an ADO has or retains authority to either conduct or complete Results Management in the two following situations: i) When an Athlete or other Person retires before any Results Management process has begun. In such case, the RMA is the ADO that would have had authority at the time the ADRV was committed. ii) When an Athlete or other Person retires while Results Management is underway.

11 RMAs should require retiring Athletes to complete, sign and return a form informing them of their duties under Code Article 5.6.1 relating to Internationalor National-Level Athletes who were in a Registered Testing Pool at the time of their retirement and then wish to return to active participation in sport (i.e. to make themselves available for Testing by giv ing 6 months prior written notice, providing that an exemption to this rule may be granted for fairness reasons by WADA, in consultation with the relevant International Federation and NADO). GUIDANCE In both situations, RMAs are strongly encouraged to conduct and/or complete Results

providing that an exemption to this rule may be granted for fairness reasons by WADA, in consultation with the relevant International Federation and NADO). GUIDANCE In both situations, RMAs are strongly encouraged to conduct and/or complete Results Management