Book D1.2

SAFEGUARDING RULES(Approved by Council on 14 August 2023, effective immediately)Book D1.2

Specific Definitions
The words and phrases used in these Rules that are defined terms (denoted by initial capitalletters) shall have the meanings specified in the Constitution and the General Definitions, or(in respect of the following words and phrases) the following meanings:“Abuse, Harassment and Exploitation” means abuse, harassment and exploitation as
defined in World Athletics’ Safeguarding Policy available here.
“Adult” means any person aged 18 years and over.
“Case Management Group” means the group appointed pursuant to Rule 5 below andresponsible for the matters set out in Rule 5.8 below.
“Child(ren)” means any person aged 17 years and under.
“Prohibited Conduct” means conduct described in Rule 3.1 below.
“Safeguarding” means the measures taken to protect individuals from Abuse, Harassment
or Exploitation.
“Safeguarding Concern” means any Prohibited Conduct or any concern, incident, suspicion,action, behaviour or failure to act in a way which has caused or which causes or which may
cause Abuse, Harassment or Exploitation of an Adult or Child.
“Safeguarding Order” means measures to safeguard, limit and/or restrict (including but notlimited to a suspension) an individual’s from all or any specific Athletics activity for such period
and on such terms and conditions as considered appropriate as determined by the CaseManagement Group in accordance with these Safeguarding Rules.
“Secretariat” means the independent body or organisation appointed by the Executive Boardin accordance with Rule 4 below to provide secretariat services to the Case Management
Group.

World Athletics Safeguarding Rules Approved by Council on 14 August 2023, effective immediately

1Book D1.2

Preamble
World Athletics takes its responsibilities for creating safe and positive environments for all in,
and involved with, the Athletics community seriously. World Athletics’ Safeguarding Policy has
been developed to guide stakeholders on how to guard against Abuse, Harassment andExploitation in order to inspire and grow the sport.
These Safeguarding Rules give World Athletics the power to make orders imposing
safeguards, limitations and/or restrictions on individuals enabling World Athletics to fulfil thiscommitment, ensuring that safe, happy and positive environments are created for individuals
to participate in Athletics and everyone is able to achieve their full athletic potential whilst being
treated with dignity and respect.
An independent Case Management Group will be appointed to make decisions in relation to
Safeguarding Concerns which are investigated by the Integrity Unit. The Secretariat to theCase Management Group will be provided by an independent body appointed by World
Athletics. The Secretariat is also directly responsible for recruiting and appointing themembers of the Case Management Group.
The role of the Case Management Group is to review investigations by the Integrity Unit,
assess risk and make orders relating to safeguards, limitations and/or restrictions, sanctions
and other matters. The Secretariat will decide which individual member(s) of the CaseManagement Group will be involved in which cases. The Case Management Group may
impose interim orders. Members of the Case Management Group may sit as an Exceptional
Material Panel from time to time in order to decide whether exceptional material which has notbeen sent to the individual who is the subject of a Safeguarding Concern is nevertheless sent
to other members of the Case Management Group who will be responsible for reviewing thematter and deciding on the appropriate Safeguarding Order.
Decisions of the Case Management Group may be appealed to an Appeal Panel constituted
under the Disciplinary and Appeals Tribunal Rules.

2

World Athletics Safeguarding Rules Approved by Council on 14 August 2023, effective immediately

Book D1.2

1.

General1.1

These Safeguarding Rules are established to deal with Safeguarding Concerns inrelation to the people identified in Rule 2.1 below.

1.2

Safeguarding Concerns may arise from conduct that took place at any time in thepast or present and shall be dealt with pursuant to these Safeguarding Rules
whenever that conduct occurred.

1.3

Member Federations and Area Associations must comply with World Athletics’
Safeguarding Policy.

1.4

Save for the application of these Safeguarding Rules:
1.4.1 Member Federations are responsible for managing reports of Abuse,
Harassment and Exploitation in their Country or Territory and for dealing
with Safeguarding Concerns relating to Member Federation Officials,
athletes and athlete support personnel in their jurisdiction under their own
Safeguarding policies and procedures. World Athletics’ Safeguarding
Policy requires Member Federations to adopt and implement proceduresfor the investigation and prosecution of reported Safeguarding Concerns
in their territories; and1.4.2 Area Associations are responsible for managing reports of Abuse,
Harassment and Exploitation relating to their staff or volunteers, accredited
persons at Area Association events and competitions and participants inactivities hosted at Area Development Centres and for dealing with
Safeguarding Concerns relating to Area Association officials under theterms of their own Safeguarding policies and procedures. World Athletics’
Safeguarding Policy requires Area Associations to adopt and implement
procedures for the investigation and prosecution of reported Safeguarding
Concerns under their jurisdiction and, in the absence of jurisdiction, to refermatters for investigation and prosecution by the relevant Member
Federation.

2.

Application of these Safeguarding Rules
2.1

These Safeguarding Rules shall apply to, and are binding on, the following:
Officials;
Persons participating in or accredited at a World Athletics Series Event, theOlympic Games or a Congress;
Member Federation and Area Association Officials where the responsible
Member Federation or Area Association (as the case may be) is unwillingor unable to investigate and/or prosecute a Safeguarding Concern under
the applicable Member Federation or Area Association procedures inplace; andany person(s) who is or has been the subject of a decision in relation to a
Safeguarding Concern by a Member Federation or Area Association orother competent authority which may make decisions in relation to
Safeguarding athletes in the relevant jurisdiction and who (a) is believedby the Integrity Unit to be seeking to move to the Country or Territory ofWorld Athletics Safeguarding Rules Approved by Council on 14 August 2023, effective immediately

3Book D1.2

another Member Federation or Area Association to evade any ban,suspension or restriction from working in Athletics; or (b) is considered by
the Integrity Unit to present a risk of harm to those involved in Athletics in
the Country or Territory of another Member Federation or Area Association.
2.2

3.

The Integrity Unit Board shall decide in its absolute discretion whether to pursue
a matter in accordance with Rule 2.1.3 taking into account the seriousness of the
conduct in question and the other circumstances of the case. The Integrity Unit
Board’s decision will be without prejudice to the Council’s right to take any action
against the Area Association or Member Federation concerned in accordance with
the Constitution. The Council’s powers may be exercised in addition to or insteadof any matter pursued under Rule 2.1.3.

Prohibited Conduct
3.1

The following conduct shall be considered to be behaviours that are subject tothese Safeguarding Rules:
Abuse, Harassment or Exploitation;
any criminal offence or breach of any other applicable laws or regulations
which would give rise to a Safeguarding Concern;a breach of World Athletics’ Safeguarding Policy;
a breach of the appropriate/relevant Member Federation or Area
Association’s Safeguarding policy or code of conduct;
failure to report any Safeguarding Concern, suspicion or allegation inaccordance with Rule 7;
knowingly making or encouraging someone else to make, a false or
misleading report of possible Prohibited Conduct is a breach of these
Safeguarding Rules and will be dealt with in the same way as any otherProhibited Conduct;abuse of process and or breach of confidentiality in relation to a
Safeguarding Concern;
failing to comply with any Safeguarding Order; and/or
assisting, aiding, abetting, conspiring, covering up or engaging in any
behaviour which might involve a breach or attempted breach of these
Safeguarding Rules whether or not such attempt in fact results in a breach.

3.2

Prohibited Conduct which may constitute a breach of these Safeguarding Rules
may amount to:a criminal offence and/or a breach of other applicable laws. These
Safeguarding Rules are intended to supplement such laws and regulations
with further rules of conduct for those involved in the sport of Athletics.
These Safeguarding Rules are not intended and should not be interpreted
to prejudice or undermine in any way the application of such laws andregulations which must be complied with at all times;.

4

World Athletics Safeguarding Rules Approved by Council on 14 August 2023, effective immediately

Book D1.2

a breach of the rules of a Member Federation, Area Association or otherorganisation or agency in relation to Safeguarding athletes in the relevant
jurisdiction. These Safeguarding Rules are not intended to limit the
responsibilities of persons under Rule 2.1 under such rules, but nothing insuch rules will be effective to limit the application of these Safeguarding
Rules or to remove, supersede or amend in any way the jurisdiction of theIntegrity Unit and the Case Management Group under these Safeguarding
Rules.
3.3

The following conduct may also amount to a breach of the Integrity Standards ofthe Integrity Code and nothing in these Safeguarding Rules limits or prejudicesthe right of the Integrity Unit to take action against Applicable Persons pursuant to
the Integrity Code:a failure to report in accordance with the appropriate procedure any
incident, fact or matter which may indicate (on its own or with otherinformation) a Safeguarding Concern;
knowingly making, or encouraging someone else to make, a false or
misleading report of possible Prohibited Conduct;
assisting, aiding, abetting, conspiring, covering up or engaging in any
behaviour which might involve a breach or attempted breach of these
Safeguarding Rules whether or not such attempt in fact results in a breach;any act which threatens or seeks to intimidate another person with theintent of discouraging that person from the good faith or obligatory reportingof information that relates to possible Prohibited Conduct to the relevant
body or authority;
retaliation against a person who, in good faith or under an obligation, hasprovided evidence or information that relates to possible Prohibited
Conduct to the relevant body or authority.

4.

Secretariat
4.1

World Athletics will appoint the Secretariat to establish the Case Management
Group and to assist the Case Management Group with management of
Safeguarding Concerns under these Safeguarding Rules.

4.2

The role of the Secretariat is to:recruit and appoint suitable persons to be members of the CaseManagement Group;
manage all cases referred to the Case Management Group;
appoint individual members of the Case Management Group to eachspecific case;liaise with individual members of the Case Management Group as
appropriate in relation to cases referred to the Case Management Group;
take any other steps as are necessary to ensure the efficient managementof the Case Management Group.

World Athletics Safeguarding Rules Approved by Council on 14 August 2023, effective immediately

5Book D1.2

4.3

5.

The Secretariat shall be appointed by the Executive Board on the recommendationof the Head of the Integrity Unit and Chief Executive Officer of World Athletics onsuch terms and conditions as decided by the Executive Board.

Appointment and role of the Case Management Group
5.1

The Secretariat will appoint a minimum of six (6) and a maximum of ten (10)individuals to the Case Management Group including one (1) Chairperson. The
members of the Case Management Group appointed by the Secretariat must
between them have a range of suitable skills and cultural backgrounds.

5.2

Individuals will be appointed for a specified term of three years and may serve fora maximum of three terms of three years.

5.3

All those appointed to the Case Management Group must be Eligible inaccordance with the Vetting Rules and must be Independent.

5.4

The Case Management Group will meet as often as necessary to consider any
Safeguarding Concerns which arise under these Safeguarding Rules.

5.5

The Secretariat will decide how many and which members of the CaseManagement Group shall be appointed to review a case referred to the CaseManagement Group and make decisions on specific cases as the CaseManagement Group under these Safeguarding Rules. The Chairperson (or theirdesignee) may sit as a single member of the Case Management Group in
appropriate cases.

5.6

No member of the Case Management Group may be appointed to review any casereferred to the Case Management Group if they:
are no longer Eligible in accordance with the Vetting Rules;
have any personal connection or interest (whether directly or indirectly)with any of the parties or witnesses; orhave had any prior involvement with any fact or aspect of the case; orare of the same nationality as a person being investigated for or that is thevictim of a Safeguarding Concern; orare someone whose impartiality or independence could reasonably bequestioned (as determined by the Secretariat).

5.7

If a member of the Case Management Group is, for whatever reason, unable,
unwilling or unfit to continue to review a case, the Secretariat may in their absolute
discretion:
appoint another member of the Case Management Group to replace thatmember in that case, or,authorise the remaining members of the Case Management Groupappointed to review a particular case to continue to review the case.

5.8

The role of the Case Management Group is to:impose interim Safeguarding Orders pursuant to Rule 8 below;

6

World Athletics Safeguarding Rules Approved by Council on 14 August 2023, effective immediately

Book D1.2

review and ratify interim Safeguarding Orders which remain in place for six
months pursuant to Rule 8.7 below;
review investigations by and recommendations from the Integrity Unit andrepresentations from the individual who is the subject of an investigation
pursuant to Rule 9.7 below;
request further information to be provided or further investigations to bemade by the Integrity Unit pursuant to Rule 10.1 below;
determine all procedural matters for the conduct of any case it isconsidering pursuant to Rule 10.2 below;
decide whether to allow the individual to address it in person pursuant toRule 10.3 below;
make decisions in relation to exceptional material pursuant to Rule 11
below;
consider recommendations of the Integrity Unit and make final
Safeguarding Orders, other orders and/or sanctions pursuant to Rule 12
below.
6.

Confidentiality
6.1

The members of the Case Management Group must ensure that everything
disclosed to them during the course of their duties remains confidential, including
the facts of any case and any deliberations or decisions that are taken.

6.2

The members of the Case Management Group must not disclose the existence of,or make any statements relating to:
any case that is before the Case Management Group; orany case that has been decided by the Case Management Group.

7.

6.3

Subject to Rules 6.4, 7.8 and 14 below, all cases dealt with under these
Safeguarding Rules must be kept confidential, and neither the Integrity Unit, nor
any Member Federation or Area Association, nor any person involved with any
case may publicly comment on any facts of a case. Any witnesses must keep
confidential any document or information which they receive as a result of their
participation in any such proceedings.

6.4

At any stage, the Head of the Integrity Unit may, in their absolute discretion, decidethat information should be shared in order to ensure the proper effective dischargeof the Integrity Unit’s legal responsibilities, functions and/or to protect the integrity
and reputation of World Athletics or Athletics.

Reporting and Investigation of a Safeguarding Concern
7.1

Any alleged Safeguarding Concern relating to a person identified in Rule 2.1
above must be reported to the Head of the Integrity Unit as soon as reasonably
possible.

World Athletics Safeguarding Rules Approved by Council on 14 August 2023, effective immediately

7Book D1.2

7.2

In addition to any reported Safeguarding Concern, the Head of the Integrity Unit
may consider any information that has come to their attention by whatever meansthat indicates (on its own or with other information) a possible Safeguarding
Concern.

7.3

The Head of the Integrity Unit will carry out an initial assessment of the information
promptly in order to determine if the alleged Safeguarding Concern falls withinthese Safeguarding Rules.

7.4

Following the initial assessment, the Head of the Integrity Unit will:
review if the information should be referred to relevant police or other law
enforcement agency of the Country or Territory in which the Safeguarding
Concern arose in accordance with Rule 7.9 below; andreview if there is any other mandatory reporting requirements relating to
the Safeguarding Concern in accordance with Rule 7.10 below; andreview if an interim Safeguarding Order should be imposed in accordancewith Rule 8 below; andreview if the matter should be dealt with by a Member Federation or Area
Association in accordance with Rule 7.12 below rather than by the Integrity
Unit and the Case Management Group; orconduct an investigation of the Safeguarding Concern.

87.5

Grounds do not need to be given for the initiation of an investigation into a
Safeguarding Concern and the decision may not be contested.

7.6

The Integrity Unit shall have the same powers in relation to an investigation of a
Safeguarding Concern as are set out in Rule 4 of the Athletics Integrity Unit
Reporting, Investigation and Prosecution Rules – Non-Doping in relation toinvestigations of Non-Doping Violations. The Integrity Unit shall take allreasonable steps to commence and carry out the investigation promptly andwithout any undue delay.

7.7

As soon as reasonably practical following commencement if any investigation by
the Integrity Unit, the Integrity Unit shall take reasonable steps to inform thealleged victim of the processes under these Safeguarding Rules, including theroles of the Integrity Unit, the Case Management Group and the role of any Appeal
Panel appointed to hear appeals from its decisions. In addition the Integrity Unit
shall take reasonable steps to keep the alleged victim appraised from time to timeof the progress of the matter and the outcomes of it. The Integrity Unit shall also
take reasonable steps to inform the alleged victim of the requirements of these
Safeguarding Rules relating to confidentiality and the sharing of information andother matters.

7.8

Investigations into Safeguarding Concerns by the Integrity Unit may be conductedin conjunction with, and/or information obtained in such investigations, may beshared with other relevant authorities or bodies.

7.9

If at any point following a report of a Safeguarding Concern, or during an
investigation of a Safeguarding Concern, the Head of the Integrity Unit considers
that the matter should be referred to the police or other law enforcement agency

World Athletics Safeguarding Rules Approved by Council on 14 August 2023, effective immediately

Book D1.2

then this must be done in accordance with the local legislation and in thejurisdiction within which the Safeguarding Concern arose.

8.

7.10

If there is a requirement for a Safeguarding Concern to be reported to any otheragency because of legal requirements in the jurisdiction within which the
Safeguarding Concern arose, then the Head of the Integrity Unit will report the
Safeguarding Concern accordingly and record the fact that the mandatory
reporting requirements have been followed.

7.11

Whilst the Integrity Unit will have discretion where it deems it appropriate to stayits investigation pending the outcome of any investigation(s) being conducted byother relevant authorities or bodies, it is entitled to continue its investigation andrefer the matter to the Case Management Group in accordance with these
Safeguarding Rules notwithstanding that a Safeguarding Concern is being
investigated by the police or law enforcement agency in accordance with Rule 7.9
or is being investigated by an agency in accordance with Rule 7.10.

7.12

If at any point during an investigation the Head of the Integrity Unit considers thata Safeguarding Concern would be more appropriately investigated and dealt withby a Member Federation or an Area Association, the Integrity Unit’s investigation
will be stayed and the Head of the Integrity Unit will refer the matter to the relevant
Member Federation or Area Association (as the case may be) to investigate further
and deal with the matter appropriately. The Head of Integrity Unit when referring
the matter will also state if the matter has been reported in accordance with Rules
7.9 to 7.11 above. The Member Federation or Area Association (as the case maybe) must keep the Head of the Integrity Unit fully informed as to progress of theinvestigation and its proposals as to how the case should be resolved in a mannerand at times required by the Integrity Unit. The Head of the Integrity Unit may
decide at any time that the matter should be referred back to the Integrity Unit tocontinue to be dealt with pursuant to these Safeguarding Rules.

7.13

In relation to a decision in respect of a Safeguarding Concern pursuant to Rule2.1.4 above, the Head of the Integrity Unit may decide that no investigation by the
Integrity Unit is necessary and may refer the matter to the Case Management
Group after the initial assessment in order to seek a Safeguarding Order in relation
to the individual. Only the Case Management Group has the power to issue a
Safeguarding Order or other orders as it considers appropriate.

Interim Safeguarding Orders and Immediate Provisional Safeguarding Measures
8.1

If the Head of the Integrity Unit believes that a person who is the subject of a
Safeguarding Concern under these Safeguarding Rules poses, or may pose, animmediate risk of harm to an individual or individuals, the Head of the Integrity Unit
may apply ex parte to the Case Management Group to impose an interim
Safeguarding Order or other orders.

8.2

In determining whether an interim Safeguarding Order under Rule 8.1 should be
made, the Case Management Group shall give consideration, inter alia, to thefollowing factors:
whether an individual or individuals are or may be at an immediate risk of
harm;whether the matters are of a serious nature; and/orWorld Athletics Safeguarding Rules Approved by Council on 14 August 2023, effective immediately

9Book D1.2

whether a Safeguarding Order is or other orders are necessary or desirable
to allow the conduct of any investigation by the Integrity Unit or any otherauthority or body to proceed unimpeded having regard to the need for any
Safeguarding Order or other order to be proportionate.
8.3

If the Head of the Integrity Unit subsequently becomes aware of further information
which needs to be assessed prior to, or whilst, the matter being considered by theCase Management Group, they may amend or remove the application for any
interim Safeguarding Order or other orders.

8.4

The Secretariat will appoint one or more members of the Case Management
Group to consider the application. The Case Management Group will determine
all procedural matters for the conduct of the matter. Only written material anddocumentary evidence such as photographs, videos and audio recordings will beconsidered unless the Case Management Group decides to exceptionally allow
the person the subject of the Safeguarding Concern to address the CaseManagement Group in person.

8.5

The Head of the Integrity Unit will promptly notify the person in writing of the termsof any interim Safeguarding Order or other order imposed by the CaseManagement Group.

8.6

The person may lodge an appeal against any interim Safeguarding Order or otherorder within fourteen (14) days of receipt of it to an Appeal Panel in accordancewith Rule 13 below. The necessary information about how to appeal the interim
Safeguarding Order or other order will be outlined in the written notice of the order
sent to the person at the time of its imposition.

8.7

If an interim Safeguarding Order or other order remains in place for six months, it
must be considered by the Case Management Group and reviewed and ratified
accordingly. The review must be done as soon as reasonably possible after thesix month period from the date of the original imposition of the order.

8.8

The Head of the Integrity Unit will promptly notify the person in writing of theoutcome of the review and the person shall have the same rights of appeal
following a decision to ratify the interim Safeguarding Order as the person had
following the original imposition of the interim Safeguarding Order.

8.9

In addition to the powers of the Case Management Group to impose an interim
Safeguarding Order, if it is considered necessary to impose immediate provisional
Safeguarding measures because of an immediate risk of harm to others at a World
Athletics Series Event, the World Athletics’ Safeguarding officer appointed for that
World Athletics Series Event may put in place immediate provisional Safeguarding
measures at or before that World Athletics Series Event and notify the individual
and the Head of the Integrity Unit accordingly. There shall be no right of appeal
from any immediate provisional Safeguarding measures imposed. The World
Athletics’ Safeguarding officer appointed for that World Athletics Series Event may
lift any or all of the immediate provisional Safeguarding measures at any time.
These immediate provisional Safeguarding measures may include:
cancellation of, removal of or denial of accreditation for that World Athletics
Series Event and all associated rights, privileges and benefits;

10

World Athletics Safeguarding Rules Approved by Council on 14 August 2023, effective immediately

Book D1.2

removal from that World Athletics Series Event (including immediatecancellation of accreditation or withdrawal of access to official venues(including reservations at official hotels and flight tickets);any other Safeguarding measure considered to be appropriate to thesituation.
9.

Referral to the Case Management Group
9.1

On completion of the investigation by the Integrity Unit and prior to referring thematter to the Case Management Group, the Head of the Integrity Unit must provide
the investigation findings to the individual who is the subject of the investigationand give the individual the opportunity to provide their written representations in
response to such findings. If they provide representations which require further
investigation, then this must be done before the matter is referred to the CaseManagement Group.

9.2

The Integrity Unit will conduct a risk assessment of an individual’s continued
participation in Athletics following the completion of an investigation. This risk
assessment may be in such form and prepared by any person as the Head of theIntegrity Unit, in their discretion, considers appropriate.

9.3

Before the matter is referred to the Case Management Group, the Integrity Unit
must use reasonable endeavours to notify the individual in writing. Such written
notification must explain the order being sought, the reason for it, and include a
copy of all written material that the Integrity Unit intends to rely upon in seeking
any order, save for any exceptional material dealt with under Rule 11 below.

9.4

The individual shall have fourteen (14) days (or such longer period as the CaseManagement Group may agree) to reply to this notification and to provide any
written material that he/she wishes the Case Management Group to take into
account in considering whether or not to impose, ratify or remove any order.

9.5

Following the receipt of the reply and/or other written material from the individual,or the expiry of the fourteen (14) day period (or other period if agreed) if no reply
is received, the Integrity Unit may:
decide that no further action is currently required as there are no longer
grounds for a Safeguarding Order or other order and/or sanction;
make any such further inquiries as the Integrity Unit considers appropriate
in the light of any matters raised by the individual in response to the written
notification; orrefer the case to the Case Management Group.

9.6

Where further inquiries are made by the Integrity Unit, any written material arisingfrom those inquiries may only be relied on by the Integrity Unit if the written material
has been sent to the individual and he/she has had fourteen (14) days (or otherperiod if agreed) to reply to it, save for any exceptional material dealt with under
Rule 11 below. If the written material is relied upon, any response by the individual
must also be considered by the Case Management Group.

9.7

The Integrity Unit will make a recommendation to the Case Management Group,
based on the information resulting from the investigation. The Case Management

World Athletics Safeguarding Rules Approved by Council on 14 August 2023, effective immediately

11Book D1.2

Group will review all the information provided, the recommendation made and any
representations from the individual concerned.
10. Case Management Group Procedures
10.1

The Case Management Group may ask for further information to be provided or
further investigations to be conducted where they do not consider the information
to be sufficient to enable them to make a decision as to the risk a person poses
and/or the extent of Safeguarding Order or other orders and/or sanctions that
could be imposed and/or how any risk could be mitigated. This may not extend toinvestigating matters outside of the jurisdiction of either World Athletics or the
Integrity Unit.

10.2

The Case Management Group shall determine all procedural matters for the
conduct of a case it is considering. Unless the Case Management Group in its
discretion exceptionally allows the individual and a representative of the Integrity
Unit and/or any victim or witness to address it in person, the case shall beconsidered on the basis of the following written material and documentary
evidence only:
the written notification and all written material and documentary evidence
provided with it by the Integrity Unit to the individual;
the reply, if any, and all other written material and documentary evidence
submitted by the individual in response to the written notification;
any further written material and documentary evidence provided by the
Integrity Unit to the individual subsequent to the written notification; andany response from the individual to such further written material anddocumentary evidence and all other written material and documentary
evidence submitted with that response.

10.3

In exercising its discretion as to whether exceptionally to allow the individual anda representative of the Integrity Unit to address it in person, whether that be as aresult of an application made by either party or otherwise, or to hear from a witness
or victim, the Case Management Group shall give consideration, inter alia, to thefollowing factors:
whether the Safeguarding Order or other order and/or sanction underconsideration would affect the individual’s paid employment or
engagement within Athletics, in which case the individual and therepresentative of the Integrity Unit shall be entitled to address the CaseManagement Group in person;
whether any protective measures need to be put in place should the CaseManagement Group decide to hear from a victim or witness who is willingto address it in person;
whether exceptional material is to be put before the Case Management
Group; and/or
whether (in relation to an individual identified in Rule 2.1.4 above), an oral
hearing had previously been conducted in relation to the same matter.

12

World Athletics Safeguarding Rules Approved by Council on 14 August 2023, effective immediately

Book D1.2

10.4

If the Case Management Group allows an individual and a representative of theIntegrity Unit to address it in person in accordance with Rules 10.2 and 10.3 above,
those involved with the case are entitled to be represented by legal counsel and/or
any other representative(s) before the Case Management Group, at their own
expense.

11. Exceptional Material
11.1

As a general rule the Case Management Group may not consider any material(written, photographic, video, electronic or audio evidence) which is provided
either by the Integrity Unit as a result of its investigation or by the individual which
the other party has not seen and had a reasonable opportunity to respond to.

11.2

In exceptional circumstances, the Integrity Unit may make an application for
permission to submit material to the Case Management Group that has not been
sent to the individual (“exceptional material”) where the Integrity Unit considers
that the exceptional material should not be sent to the individual for any one ormore of the following reasons:revealing it to the individual may create a risk of harm to any person(s);and/orrevealing it to the individual may amount to a criminal offence or otherwise
be unlawful.

11.3

The Head of the Integrity Unit must give the individual fourteen (14) days’ noticeof an application by the Integrity Unit pursuant to Rule 11.2 above unless doing somay:create a risk of harm to any person(s); and/or
amount to a criminal offence or otherwise be unlawful.

11.4

On receipt of an application relating to exceptional material from the Integrity Unit,
the Secretariat will appoint one or more members of the Case Management Groupto sit as an exceptional material panel (“Exceptional Material Panel”) to decide toallow or reject the application in whole or in part.

11.5

If the application is allowed then the Exceptional Material Panel must consider
whether the material should be redacted (in whole or in part) and whether asummary of the material should be provided as an alternative or in addition to theredacted version.

11.6

A person who sits on an Exceptional Material Panel determining an application
under Rule 11.2 above, may not be a member of the Case Management Group
that will have conduct of the case referred under Rule 10 above or an application
relating to the case pursuant to Rule 8 above that is heard subsequently to theapplication to the Exceptional Material Panel.

12. Final Safeguarding Orders, other order and/or Sanctions
12.1

Following the completion of an investigation by the Integrity Unit and review of all
written material before it, the Case Management Group will consider therecommendation of the Integrity Unit (including if it recommends a final

World Athletics Safeguarding Rules Approved by Council on 14 August 2023, effective immediately

13

Book D1.2

Safeguarding Order or other orders and/or sanction be imposed) and reach adecision accordingly.
12.2

The Case Management Group may decide to accept the Integrity Unit’s
recommendation, vary or reject it. The Case Management Group may also refer
the matter back to the Integrity Unit for further investigation. The CaseManagement Group may increase, decrease or remove any existing interim
Safeguarding Order or other order and/or sanction imposed or vary any of theterms or conditions related to an existing interim Safeguarding Order or other order
and/or sanction.

12.3

The Case Management Group may decide to impose a final Safeguarding Orderor other order and/or sanction for a specific period of time or for an indefinite periodof time. If the final Safeguarding Order or other order and/or sanction is for anindefinite period of time, a condition may be imposed prescribing how long (if ever)before the individual may apply for the final Safeguarding Order or other order
and/or sanction be reviewed and potentially lifted.

12.4

The Case Management Group may decide to impose conditions in a final
Safeguarding Order or other order and/or sanction in relation to an individual’s
continuing participation in certain Athletics activities including specifying in relation
to which types of athlete or other person the participation may be allowed. The
Case Management Group may also impose a requirement to attend a training
course relevant to any Safeguarding Concern raised and/or any Safeguarding
Order made within a specified period of time before returning to Athletics activity.
The Case Management Group has the remit to impose any final Safeguarding
Order or other order and/or sanction they consider appropriate in thecircumstances and is not limited in its choices.

13. Appeals

14

13.1

The individual who is the subject of a Safeguarding Order (whether interim or final)
or other order and/or sanction by the Case Management Group may appeal suchdecision to the Disciplinary and Appeal Tribunal. To bring an appeal under theseRules, the individual must give notice in writing to the [Disciplinary and Appeals
Tribunal within fourteen (14) days of notification of the Safeguarding Order or otherorder and/or sanction. The notice must include the grounds for the appeal together
with any supporting documentation.

13.2

On lodging an appeal an individual will have fourteen (14) days to provide any
additional information to be considered by the Appeal Panel (“submission period”).
The Integrity Unit may then submit any information it wishes to rely on within
fourteen (14) days after the end of the individual’s submission period.

13.3

Any sanctions imposed by the Case Management Group will remain in force until
the matter is considered and a decision issued by the Appeal Panel constituted
under the Disciplinary and Appeal Tribunal Rules.

13.4

World Athletics may appeal any decision of the Case Management Group to theDisciplinary and Appeals Tribunal within fourteen (14) days of the decision and will
have a further fourteen (14) days to provide any additional information to beconsidered by the Appeal Panel (“submission period”). The individual may thensubmit any information they wish to rely on within fourteen (14) days after the endof World Athletics’ submission period.

World Athletics Safeguarding Rules Approved by Council on 14 August 2023, effective immediately

Book D1.2

13.5

Where an appeal is lodged within the fourteen (14) day deadline, an Appeal Panelshall be set up and the appeal process and hearing shall be conducted inaccordance with the Disciplinary and Appeal Tribunal Rules.

13.6

The chair of the Appeal Panel may make any directions concerning the conduct of
the appeal hearing including with regard to the provision of evidence by the victim
of a Safeguarding Concern as they consider appropriate.

13.7

The appeal shall be limited to consideration of whether the decision by the CaseManagement Group to impose a Safeguarding Order or other order and/or
sanction is one that has no reasonable basis in all of the circumstances.

13.8

The Appeal Panel shall have the powers in relation to Safeguarding Orders set
out in the Disciplinary and Appeals Tribunal Rules.

13.9

In the event that an appeal is partially or wholly successful, the Disciplinary andAppeal Tribunal shall communicate the amended Safeguarding Order or otherorder and/or sanction to the appellant. Should the Disciplinary and Appeal Tribunal
decide to remit the matter back to the Case Management Group for further
consideration, the Head of the Integrity Unit will consider the next steps andcommunicate these to the individual.

13.10 The decision of the Appeal Panel will be final and binding and no further appeal
will be allowed.
14. Decisions
14.1

Decisions of the Case Management Group and of any Appeal Panel must be madepromptly and will be made in writing and sent to all parties involved.

14.2

Where a sanction is imposed, the decision will give the reasons for its imposition,
details of the terms and conditions imposed, including the date it will take effectand the end date (if one has been prescribed), and information as to any right ofappeal and the time within which any appeal must be lodged.

14.3

Decisions may be made public if it is considered appropriate to do so and following
consultation with the individual(s) harmed by the Prohibited Conduct and the otheragencies or organisations involved. If a matter is dismissed or an individualexonerated this may be made public only if the individual exonerated agrees tothe disclosure.

14.4

If the decision is not made public, any agencies or organisations who need to be,will be informed of the outcome of the matter, with clear rules regarding theconfidentiality and disclosure of any of the information.

14.5

If local legislation requires the decision to be shared with other authorities oragencies then this must be made clear to all parties that this will be done following
the written decision of the Case Management Group or the Appeal Panelaccordingly.

14.6

World Athletics will inform the appropriate Member Federation(s) and/or Area
Association(s) of decisions of the Case Management Group or Appeal Panelaccordingly. The Member Federation and/or Area Association will be advised
about informing any clubs, associations or other organisations as appropriate.

World Athletics Safeguarding Rules Approved by Council on 14 August 2023, effective immediately

15