Book D – D5.1

DISCIPLINARY AND APPEALS TRIBUNAL RULES(Approved by Council on 14 August 2023, effective immediately)Book D – D5.1

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 Generally Applicable
Definitions, or (in respect of the following words and phrases) the following meanings:“Appeals Panel” means an appeals panel of the Disciplinary and Appeals Tribunal
established in accordance with Rule 17 to hear appeals following submission of a
Notice of Appeal.
“Applicable Person” has the meaning given to it in the Integrity Code of Conduct and for
Ethics Board Proceedings transferred to the Integrity Unit in accordance with the Integrity Unit
Rules, shall also include the persons who are or will be subject to, alleged violations in those
Ethics Board Proceedings.
“Business Day” means, for the purposes of Rule 9 below, unless otherwise stated, abusiness day in the jurisdiction where the recipient of any communication resides or is based.
"Demand" has the meaning given to it in Rule 4.5 of the Reporting, Investigation andProsecution Rules – Non-Doping.
“Disciplinary Panel” means a disciplinary panel of the Disciplinary and Appeals Tribunal
established in accordance with Rule 10 to hear first instance decisions following a request fora hearing by an Applicable Person who is subject to a Notice of Charge.
“Disciplinary and Appeals Tribunals Website” means the website of the Disciplinary andAppeals Tribunal.
“Doping” and “Doping Violation” means a violation of Rule 3.3.3 of the Integrity Code of
Conduct, including an anti-doping rule violation and other violations under the Anti-Doping
Rules.
“Former Integrity Rules” means the former versions of the Integrity Code of Conduct andany former code of ethics of World Athletics in force at the time.
"Hearing" includes, as appropriate to the context, oral or written hearings.
“World Athletics Website” means the website of World Athletics.
“Integrity Unit Website” means the website of the Integrity Unit (www.athleticsintegrity.org)
which shall be separate from the World Athletics website.
“Minor” means a natural person who has not reached the age of eighteen years.
‘’Non-Doping matter’’ means a matter that is not a Doping matter.
“Non-Doping Violation” means a violation of the Integrity Code of Conduct (or the Former
Integrity Rules) which is not a Doping Violation.
“Notice of Appeal” means a notice of an appeal as described in Rule 18 below.
“Notice of Charge” means the written notice sent by the Head of the Integrity Unit to theApplicable Person subject to the charge (and copied to their relevant Area Association andWorld Athletics Disciplinary and Appeals Tribunal Rules. Approved by Council 14 August 2023, effective immediately

1Book D – D5.1

Member Federation), as described in the Reporting, Investigation and Prosecution Rules –Non-Doping.
"Preliminary Proceeding" means a proceeding concerned with the imposition, confirmation
or removal of a Provisional Suspension or the review of a Demand.
“Proceeding” means the process undertaken by the Disciplinary and Appeals Tribunal fromreceipt of the Notice of Charge or Notice of Appeal (as the case may be) by the Disciplinary
and Appeals Tribunal until the final determination of the charge, unless specified otherwise ormeans the process for hearing an appeal.
“Procedural Rules of the Integrity Code of Conduct” means the rules setting out theprocedures for dealing with alleged violations of the Integrity Code of Conduct (and the Former
Integrity Rules) including reporting, investigating, prosecuting and deciding such violations
and includes the Athletics Integrity Unit Rules, the Reporting, Investigations and Prosecution
Rules – Non-Doping, the Disciplinary and Appeals Tribunal Rules and the Anti-Doping Rules.
“Provisional Suspension” means that the person is suspended temporarily fromparticipating in any competition or activity (or such lesser restriction as may be specified in theProvisional Suspension order).
“Publicly Disclosed” means disclosure of the decision to the public via the Disciplinary andAppeals Tribunal Website, the World Athletics website and the Integrity Unit Website, andsuch other public notification as decided by the Integrity Unit.
“Safeguarding Appeals” means appeals made in accordance with the Safeguarding Rules.
“Substantial Assistance” means the person providing substantial assistance has (i) fully
disclosed in a signed written statement all information they possess in relation to the alleged
violation/s including those involving themselves and (ii) fully co-operated with the investigation
and adjudication of any case related to that information, including, for example, presenting
testimony for or at a hearing if requested to do so by the prosecuting authority or hearing
panel. Further, the information provided must be credible and must comprise an important partof any case which is initiated or, if no case is initiated, must have provided a sufficient basis
on which a case could have been brought.

2 World Athletics Disciplinary and Appeals Tribunal Rules. Approved by Council 14 August 2023, effective immediately

Book D – D5.1

PART I – GENERAL

1.

Composition and Appointment of Disciplinary and Appeals Tribunal

1.1

In accordance with Article 76.2 of the Constitution, the members of the Disciplinary
and Appeals Tribunal shall be approved by Congress on the recommendation ofCouncil for a four- year term.

1.2

Members of the Disciplinary and Appeals Tribunal may be appointed for a maximumof two terms of office or eight (8) consecutive years, whichever is the greater. A
member may continue to sit on the Disciplinary and Appeals Tribunal until a final
decision in the Proceeding in any case in respect of which the member serves as partof a panel constituted prior to the expiration of the member's term.

1.3

The Disciplinary and Appeals Tribunal shall be comprised of at least twenty (20)members:
1.3.1

1.3.2

each of whom must be either:a.

a qualified practising lawyer or former judicial office holder with
substantial experience in legal issues affecting sport; or,b.

a person with substantial involvement in sport and/or ethics in some
capacity; and,at least three (3) of whom shall have expertise in Doping matters.

1.4

A chairperson of the Disciplinary and Appeals Tribunal shall be appointed by
Congress. The chairperson must be a qualified lawyer who is senior (ten years or more
professional legal experience) who practises or has practised in litigation or arbitration
and who has prior involvement in sport, preferably in Athletics. The term of office forthe chairperson shall be the same as for the other members of the Disciplinary andAppeals Tribunal.

1.5

The chairperson of the Disciplinary and Appeals Tribunal may appoint a deputy
chairperson from amongst the members of the Disciplinary and Appeals Tribunal, fromtime to time who shall act on their behalf where both agree, in particular, where any
challenge is made in connection with any disciplinary matter to the chairperson's
impartiality or independence.

1.6

Each member of the Disciplinary and Appeals Tribunal must therefore at all times be
Eligible and subject to Vetting in accordance with the Constitution and the Vetting
Rules and, for that purpose, is a World Athletics Official. Notwithstanding this, theDisciplinary and Appeals Tribunal is a body whose members shall act independentlyof World Athletics and its management.

1.7

In addition to Rule 1.6, no member of the Disciplinary and Appeals Tribunal during theirterm of office may hold any other role, position or office within World Athletics, or any
Area Association or any Member Federation or act for or advise World Athletics, an
Area Association, a Member Federation or any Applicable Person under the Code..

1.8

The Disciplinary and Appeals Tribunal is established to hear (i) the prosecution of
Doping Violations and Non-Doping Violations at first instance and (ii) Appeals.

World Athletics Disciplinary and Appeals Tribunal Rules. Approved by Council 14 August 2023, effective immediately

3Book D – D5.1

Members of the Disciplinary and Appeals Tribunal may be appointed to Disciplinary
Panels and/or to Appeal Panels.
1.9

A member of the Disciplinary and Appeals Tribunal may, as appropriate, be suspended
or removed from office prior to the expiry of their term of office, subject to Rule 1.10,
as follows:
1.9.1 by the chairperson of the Disciplinary and Appeals Tribunal, adopting whateverprocedure to reach a determination they consider in their discretion to be fair
and appropriate in the circumstances, if:a.

the member is under investigation for or is charged with any of thecircumstances described in Article 65.4(b) to (k) of the Constitution
inclusive (Ineligibility);b.

the member is declared not Eligible by the Vetting Panel;c.

the member is alleged to have, or has, breached the Constitution or any
Rules of World Athletics including the Integrity Code of Conduct;d.

the member is unable or unwilling to perform the duties of office, has
neglected their duties, or has engaged in any material misconduct;

1.9.2

by Council, adopting whatever procedure the Council considers in its discretion
to be fair and appropriate in the circumstances, if any of the circumstances set
out in Rule 1.9.1 apply to the chairperson;

1.9.3

by Congress, adopting whatever procedure the Congress considers in theirdiscretion to be fair and appropriate in the circumstances, if:a.

Council considers that any decision under Rule 1.9.2 should be taken
by Congress in place of the Council or that the chairperson’s decision
under Rule 1.9.1 should be reviewed;b.

Council has not acted under Rule 1.9.2, or Congress considers that any
decision of Council under Rule 1.9.2 should be reviewed.

1.10

Before making any decision to remove a member of the Disciplinary and Appeals
Tribunal, the member concerned shall be given reasonable notice in writing by therelevant decision maker in Rule 1.9 of the proposal to remove them as a member ofthe Disciplinary and Appeals Tribunal, the grounds for such proposal and the facts
supporting the grounds for such proposal. The member of the Disciplinary and Appeals
Tribunal concerned shall be entitled to respond to that proposal in person or in writing
within 7 days of being notified in writing of the proposal and the response must be
taken into account by such decision maker.

2.

Indemnity

2.1

No member of the Disciplinary and Appeals Tribunal will be personally liable for any
act done or omitted to be done by the Disciplinary and Appeals Tribunal or any memberof the Disciplinary and Appeals Tribunal in good faith in pursuance or intended
pursuance of the functions, duties, powers and authorities of the Disciplinary andAppeals Tribunal. World Athletics will indemnify such member for any costs, expenses
or damages if they are made the subject of a claim or complaint by a third party arisingout of any such act.

4 World Athletics Disciplinary and Appeals Tribunal Rules. Approved by Council 14 August 2023, effective immediately

Book D – D5.1

3.

Remuneration and Expenses

3.1

World Athletics will provide reasonable compensation and reimbursement of expenses
to the members of the Disciplinary and Appeals Tribunal for their time spent on
Disciplinary and Appeals Tribunal matters in accordance with the applicable World
Athletics’ remuneration and expenses policies, and such payments will not be deemed
to compromise their independence.

4.

Secretariat

4.1

The Disciplinary and Appeals Tribunal shall have a secretariat which is independent ofWorld Athletics. The role of the secretariat is to:
manage all Proceedings or Preliminary Proceedings filed with it by the Integrity
Unit;liaise with all members of the Disciplinary and Appeals Tribunal as appropriate
in relation to Proceedings or Preliminary Proceedings in which they areappointed members of the Disciplinary Panel or the Appeals Panel; andtake any such other steps as are necessary to ensure the efficient managementof the Disciplinary and Appeals Tribunal as specified in the contract with World
Athletics as described in Rule 4.3.

4.2

The secretariat may be a person or an entity.

4.3

In accordance with Article 76.2(c) of the Constitution, the secretariat shall be appointed
by the Executive Board, on the recommendation of the Integrity Unit Board on suchterms and conditions as decided the Executive Board (on the recommendation of theIntegrity Unit Board). The terms and conditions shall be agreed and recorded in acontract between World Athletics and the secretariat. The Executive Board shall be
responsible (on the recommendation of the Integrity Unit Board) for enforcing,renewing or terminating any such contract.

4.4

The secretariat and the Disciplinary and Appeals Tribunal shall, subject only toreasonable budgetary limitations imposed by Council, be allocated the necessaryfinancial resources to fulfil its functions.

5.

Confidentiality

5.1

Subject to Rule 5.2 below, the members of the Disciplinary and Appeals Tribunal shallensure that everything disclosed to them during the course of their duties remains
confidential, including the facts of any case or issue and any deliberations or decisions
that are taken.

5.2

The members of the Disciplinary and Appeals Tribunal shall not disclose the existenceof, or make any statements relating to:
any matter that is before the Disciplinary and Appeals Tribunal; or
any matter that has been decided by the Disciplinary and Appeals Tribunal,
except to the extent stated in any Provisional Suspension decision and the final
decision of the Proceedings by the Disciplinary and Appeals Tribunal.

World Athletics Disciplinary and Appeals Tribunal Rules. Approved by Council 14 August 2023, effective immediately

5Book D – D5.1

5.3

Subject to Rule 5.4, all Proceedings and Preliminary Proceedings under these Rules
will be confidential, and neither the Integrity Unit, nor any Member Federation or Area
Association, nor the Applicable Person(s) who are party to the Proceedings, nor any
witnesses in any Proceedings or Preliminary Proceedings, will publicly comment on
the specific facts of the case (as opposed to a general description of the process)except in response to public comments attributed to that person or entity (or theirrepresentatives) made other than as a result of a breach by them of this Rule.
Witnesses are expected to keep confidential any document or information which theyreceive from their participation in such proceedings.

5.4

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 discharge of
the Integrity Unit and/or the Disciplinary and Appeals Tribunal’s functions and/or toprotect the integrity and reputation of World Athletics or Athletics.

5.5

No member of the Disciplinary and Appeals Tribunal may be on a Disciplinary Panelor an Appeal Panel in any Proceeding if they:
have any personal connection or interest (whether directly or indirectly) withany of the parties or witnesses; or,have had any prior involvement with any matter or any facts arising in theProceedings (save as provided for in the Integrity Code of Conduct or theseRules including a decision to impose a Provisional Suspension or another
Proceeding in which some or all of the same facts are relevant); or,are of the same nationality as the Applicable Person involved in a Proceedingor the appellant to an Appeal (unless their appointment is agreed by theparties); or,are someone whose impartiality or independence could reasonably bequestioned (as determined by the chairperson).

5.6

Upon being appointed to a Disciplinary Panel or an Appeal Panel, each member must
provide a declaration to the parties, disclosing any facts or circumstances known tothem that might reasonably call into question their impartiality or independence in thematter in the eyes of any of the parties. If any such facts or circumstances arise
thereafter, the member must provide an updated declaration to the parties.

5.7

Any objection to a member of a Disciplinary Panel or an Appeal Panel must be madeto the chairperson of the Disciplinary and Appeals Tribunal without delay, and in any
event within 7 days of:receipt of the written declaration referred to in Rule 5.6, or
learning by any other means of the facts or circumstances giving rise to theobjection.
Failure to do so will constitute a waiver of that objection. The chairperson (or deputy
chairperson as applicable) will rule on any objection made, and such ruling will be final
and not subject to any appeal.

5.8

If a member of a Disciplinary Panel or an Appeal Panel is, for whatever reason, unable,
unwilling or unfit to hear or continue to hear, and decide a Proceeding, the chairperson

6 World Athletics Disciplinary and Appeals Tribunal Rules. Approved by Council 14 August 2023, effective immediately

Book D – D5.1of the Disciplinary and Appeals Tribunal (or deputy chairperson as applicable) may, intheir absolute discretion:
appoint another member of the Disciplinary and Appeals Tribunal to replacethat member in that Proceeding, or,authorise the remaining member(s) of the Disciplinary Panel or the Appeal
Panel (as the case may be) to hear and decide the Proceeding alone, in whichcase, if the decision cannot be reached unanimously or by majority, then thechairperson of the Panel (or a substitute chairperson named by the chairpersonof the Disciplinary and Appeals Tribunal) shall have a casting vote.
5.9

The seat of the Disciplinary and Appeals Tribunal and of all Proceedings andPreliminary Proceedings before it is Monaco. However the chairperson of theDisciplinary and Appeals Tribunal may decide to hold hearings elsewhere should thecircumstances so warrant.

5.10

The parties are entitled to be represented by legal counsel and/or any otherrepresentative(s) in all proceedings before the Disciplinary and Appeals Tribunal, attheir own expense.

6.

Recognition of Decisions

6.1

Provisional Suspensions, hearing results or other final decisions of the Disciplinary andAppeals Tribunal will be applicable worldwide and will be recognised and respected byWorld Athletics, its Members and Area Associations automatically upon receipt ofnotice of the same, without the need for any further formality.

7.

Statute of Limitations

7.1

There is no statute of limitations to the commencement of Proceedings or Preliminary
Proceedings except to the extent required under the law of Monaco.

8.

Miscellaneous

8.1

Any notice or other communication required to be given by a party pursuant to theseRules must be given in writing and must be sent by registered post or transmitted byemail. If sent by registered post, the notice or other communication will be deemed tohave been given on the Business Day following the day it is sent. If transmitted byemail before 5pm (Monaco time) on a Business Day, the notice or other communication
will be deemed to have been given on that day. If transmitted by email on a nonBusiness Day, or at or after 5pm (Monaco time) on a Business Day, the notice or othercommunication will be deemed to have been given on the next Business Day.

8.2

A party's last-known residence, place of business or email will be a valid address forthe purpose of any notice or other communication unless notification of a change tosuch address has been communicated to all parties and to the chairperson of theDisciplinary and Appeals Tribunal. Notice to a person who is a member of or affiliatedto a Member Federation may be accomplished by delivery of the notice to the Member
Federation.

8.3

Any period of time specified in these Rules will begin to run on the day following the
day when a notice or other communication is given. Non-Business Days occurring
during the period are included in calculating the running of that period, save that if theWorld Athletics Disciplinary and Appeals Tribunal Rules. Approved by Council 14 August 2023, effective immediately

7Book D – D5.1

period, so calculated, ends on a non-Business Day, then it will be deemed to end on
the next Business Day.
8.4

Where a matter arises that is not otherwise provided for in these Rules, the chairpersonof the Disciplinary and Appeals Tribunal (or the deputy chairperson) will resolve it as
they see fit.

8.5

Any deviation from any provision of the Integrity Code of Conduct, these Rules or anyof the Procedural Rules of the Code and/or any irregularity, omission, technicality orother defect in the procedures will not invalidate any finding, procedure or decision
unless it is shown to render the proceedings unreliable or to have caused a miscarriageof justice.

8 World Athletics Disciplinary and Appeals Tribunal Rules. Approved by Council 14 August 2023, effective immediately

Book D – D5.1

PART II – NON-DOPING VIOLATIONSThis Part II shall only apply to Non-Doping matters before the Disciplinary Panel and not toAppeals which fall within Part III.
9.

Jurisdiction of the Disciplinary Panel

9.1

The Disciplinary and Appeals Tribunal and Disciplinary Panel shall have jurisdiction
to hear and decide any alleged Non-Doping Violations over which jurisdiction isconferred on it by the Integrity Code of Conduct and the Integrity Unit Rules and any
Preliminary Proceeding under the Reporting, Investigation and Prosecution Rules –Non-Doping.

10.

Proceedings before the Disciplinary Panel

10.1

On receipt of each Notice of Charge from the Integrity Unit for alleged Non-Doping
Violations, the chairperson shall, (subject to Rule 5.5), appoint either one (1) or three(3) members of the Disciplinary and Appeals Tribunal to hear and decide the alleged
violations set out in the Notice of Charge as a Disciplinary Panel. Subject always toconsideration of the most efficient and expeditious despatch of its business, one of themembers will ordinarily be the chairperson or the deputy chairperson of the Disciplinary
and Appeals Tribunal.

11.

Conduct of the Proceedings

11.1

The Disciplinary and Appeals Tribunal, and any Disciplinary Panel , will have all powers
necessary for, and incidental to, the discharge of their responsibilities, including(without limitation) the power, whether on the application of a party or of its own motion:
to rule on its own jurisdiction;
to determine whether any hearing or any part thereof should be oral or inwriting;
to appoint an independent expert to assist or advise it on specific issues, withthe costs of such expert to be borne as directed by the Disciplinary and Appeals
Tribunal;
to expedite or to adjourn, postpone or suspend its proceedings, upon suchterms as it will determine;
to extend or abbreviate any time limit specified in any Rules or by the
Disciplinary and Appeals Tribunal itself, save for any limitations period orappeal deadline;
to order any party to make any property, document or other thing in its
possession or under its control available for inspection by the Disciplinary andAppeals Tribunal and/or any other party;
to allow one or more third parties to intervene or be joined in the proceedings,
to make all appropriate procedural directions in relation to such intervention orjoinder, and thereafter to make a single final decision or separate decisions in
respect of all parties;

World Athletics Disciplinary and Appeals Tribunal Rules. Approved by Council 14 August 2023, effective immediately

9Book D – D5.1

to order that certain preliminary and/or potentially dispositive questions (e.g. as
to jurisdiction, or as to whether a condition precedent has been met) be heardand determined in advance of any other issues in the matter;to award interim relief or other conservatory measures on a provisional basis
and subject to final determination;
to determine upon the manner in which it shall deliberate with a view to making
any determination in or connected with the proceeding;to make any other procedural direction or take any other procedural steps
which the Disciplinary and Appeals Tribunal considers to be appropriate inpursuit of the efficient and proportionate management of any Proceeding or
matter pending before it; andto impose costs orders.
In making any of the above orders or directions, the Disciplinary and Appeals Tribunal
shall be guided by considerations of fairness.
11.2

Any procedural rulings may be made by the chairperson or deputy chairperson of theDisciplinary and Appeals Tribunal or the chairperson of a Disciplinary Panel alone.

11.3

The chairperson of the Disciplinary and Appeals Tribunal (or the deputy chairperson)
has the power, whether on the application of a party or of their own motion:
to order consolidation before the Disciplinary Panel of two or more separate
Proceedings, and/or to order that concurrent hearings be held in relation to such
Proceedings; and,to exercise any of the powers of the Disciplinary and Appeals Tribunal in
relation to urgent matters that require a decision before a Disciplinary Panelhas been convened.

11.4

As soon as practicable after a Disciplinary Panel has been convened in a particularmatter, the chair of the Disciplinary Panel will issue directions to the parties in relation
to the procedure and timetable to be followed in the proceedings. Where they deem it
appropriate, they may hear from the parties (in person, by telephone or videoconference, or otherwise) prior to issuing such directions. In particular, the directions
will:
fix the date, time and venue of the hearing;
establish a schedule for the exchange of one or more rounds of written
submissions and evidence in advance of the hearing, so that each party
understands in advance of the hearing the case that it has to meet; and,make any appropriate order in relation to the disclosure of relevant documents
and/or other materials in the possession or control of any party.

12.

Hearings

12.1

Unless a Disciplinary Panel orders otherwise for good cause shown by any party, allhearings will be conducted on a private and confidential basis, attended only by theparties to the proceedings and their representatives, witnesses and experts, as well as

10 World Athletics Disciplinary and Appeals Tribunal Rules. Approved by Council 14 August 2023, effective immediately

Book D – D5.1

the representatives of any third party/parties permitted under the applicable rules toattend in order to participate in and/or to observe the Proceedings.
12.2

Unless the Disciplinary Panel orders otherwise for good cause shown by any party,
the hearing will be conducted in English. Any party wishing to rely on documents
written in another language must provide certified English translations at their own
cost. Any party who wishes (or whose witness wishes) to give oral evidence in anotherlanguage must bring an independent interpreter to translate that evidence into English,
at their own cost, unless the Disciplinary and Appeals Tribunal orders otherwise.

12.3

The procedure to be followed at the hearing will be at the discretion of the chair of theDisciplinary Panel, provided always that the hearing must be conducted in a fairmanner, with a reasonable opportunity provided for each party to present evidence(including the right to call and to question witnesses/experts), and to present their caseto the Disciplinary Panel. The Disciplinary Panel will have discretion as to whether toreceive evidence from witnesses/experts in person, by telephone, by videoconference, or in writing, and may question a witness/expert and control thequestioning of a witness/expert by a party.

12.4

No formal rules as to admissibility of evidence will apply. Facts may be established byany reliable means.

12.5

A Disciplinary Panel may treat facts established by a decision of a court or tribunal ofcompetent jurisdiction that is not the subject of a pending appeal as binding, where it
considers it appropriate to do so.

12.6

Unless the Disciplinary Panel orders that parties may make submissions in writing only,
all parties should attend hearings in person, along with any representative(s). The nonattendance of any party and/or their representative(s) at the hearing, after due notice
has been given, will not prevent the Disciplinary Panel from proceeding with thehearing in their absence, whether or not written submissions have been made by oron behalf of that party.

12.7

Where a party:
refuses or fails to respond to a Demand or other questions put to them as partof an investigation;refuses or fails to appear at a hearing to answer questions; or,appears but refuses or fails to answer questions;then the Disciplinary Panel may infer that the answer(s) would be adverse to that party.

12.8

Once the parties have completed their respective submissions, whether orally or inwriting, the Disciplinary Panel will deliberate in private. The Disciplinary Panel will
make its decision unanimously or by majority. No member of the Disciplinary Panel
may abstain.

13.

Burden and Standard of Proof

13.1

The Integrity Unit will have the burden of establishing that a Non-Doping Violation has
been committed. The standard of proof will be whether the Integrity Unit hasestablished the commission of the alleged violation to the comfortable satisfaction ofWorld Athletics Disciplinary and Appeals Tribunal Rules. Approved by Council 14 August 2023, effective immediately

11Book D – D5.1

the Disciplinary Panel. This standard of proof in all cases is greater than a merebalance of probability but less than proof beyond a reasonable doubt.
13.2

Where the Integrity Code of Conduct places the burden of proof upon the Applicable
Person alleged to have committed a violation to rebut a presumption or establish
specified facts or circumstances, the standard of proof will be by a balance of
probability.

14.

Consequences, Sanctions and Costs

14.1

Where it is decided by a Disciplinary Panel that a Non-Doping Violation has beencommitted, subject to Rule 14.3, below, the Disciplinary Panel will impose suchconsequences and sanction(s) as it deems appropriate including, without limitation,
any one or more of the following (any of which may, where appropriate, be suspended):a caution, reprimand and/or warning as to future conduct;a fine of any amount (which, unless otherwise specified, will be payable within
30 days);a compensation payment;
reparation to any victim or victims of the violation;community service within Athletics;
suspension or removal from office;removal of any award or other honour bestowed by World Athletics;
disqualification of results, with all resulting consequences, including forfeitureof any related medals, titles, points and/or prizes;
disqualification/expulsion from competitions or events; and,a specified period of ineligibility, or life ban, from participating in any capacity
in any aspect of Athletics and/or in any activities authorised, organised,
controlled, recognised, sanctioned and/or supported in any way by World
Athletics, Area Association or any Member Federation (other than authorised
education or rehabilitation programs).

14.2

In order to determine the appropriate sanction(s) to be imposed in each case, theDisciplinary Panel must first determine the relative seriousness of the violation,
including identifying all relevant factors that it deems to:aggravate the nature of the violation, including (without limitation):a.

a lack of remorse on the part of the Applicable Person;b.

whether the Applicable Person has previously been found guilty of any
similar violation under the Integrity Code of Conduct or any predecessor
codes of ethics;c.

where the violation substantially damaged (or had the potential tosubstantially damage) the commercial value and/or public interest in therelevant International Competition and/or the sport of Athletics;

12 World Athletics Disciplinary and Appeals Tribunal Rules. Approved by Council 14 August 2023, effective immediately

Book D – D5.1

d.

where the violation affected (or had the potential to affect) the result of
the relevant competition or event;e.

where the welfare of a person has been endangered as a result of theviolation;f.

where the violation involved more than one person or entity; andg.

where the Applicable Person failed to cooperate with any investigation
or requests for information from the Integrity Unit.

mitigate the nature of the violation, including (without limitation):a.

a timely admission of a violation by the Applicable Person;b.

the Applicable Person’s clean disciplinary record;c.

the youth and/or inexperience of the Applicable Person;d.

where the violation did not substantially damage (or have the potential
to substantially damage) the commercial value and/or public interest in
the relevant International Competition and/or the sport of Athletics;e.

where the violation did not affect (or have the potential to affect) thecourse or result of the relevant competition or event;f.

where the Applicable Person has cooperated with the Integrity Unit andany investigation or requests for information;g.

where the person or entity has provided Substantial Assistance to theIntegrity Unit, a criminal authority or a professional disciplinary body that
results in the Integrity Unit discovering or bringing forward a Doping
Violation or Non-Doping Violation by another person or entity, or that
results in a criminal authority or a professional disciplinary body
discovering or bringing forward a criminal offence or the breach ofprofessional rules by another person or entity;h.

where the Applicable Person has displayed remorse; andi.

where the Applicable Person has already suffered penalties under otherlaws and/or regulations for the same offence.

14.3

Having considered the factors in Rule 14.2, the Disciplinary Panel will then determine
the appropriate consequences and sanction(s).

14.4

Any period of ineligibility will commence on the date the decision of the Disciplinary
Panel is published and will end on the date stated in the decision. The Disciplinary
Panel may at its sole discretion reduce the period of ineligibility imposed by any periodof provisional suspension already served prior to the decision being reached. Any
Applicable Person subject to a period of ineligibility will remain subject to the Integrity
Code of Conduct during that period. If such Applicable Person commits a violation of
the Integrity Code of Conduct during a period of ineligibility, that will be treated as aseparate violation under the Integrity Code of Conduct.

World Athletics Disciplinary and Appeals Tribunal Rules. Approved by Council 14 August 2023, effective immediately

13

Book D – D5.1

14.5

The Disciplinary and Appeals Tribunal will have discretion to order any party subject
to the Proceedings to pay some or all of the costs of the proceedings, including:the costs of holding the hearing(s);the legal/travel/accommodation costs and/or fees or charges of the membersof the Disciplinary and Appeals Tribunal; and/or
the legal/travel/accommodation costs of any party subject to, or witness
involved in, the Proceedings.
No costs order will be considered a basis for reducing the sanction(s) that would
otherwise be applicable.

14.6

The Disciplinary Panel will also have discretion to order some or all of the costs of theproceedings to be paid by some other person(s) or entity/ies that is considered to haveacted frivolously and/or in bad faith in the matter, provided that such other person(s)or entity/ies will first be given an opportunity to make submissions (which may belimited to written submissions) as to why such an order should not be made.

14.7

Once any period of ineligibility imposed by the Disciplinary Panel has expired, theApplicable Person will automatically become re-eligible provided they have first:
completed any official integrity education session as may be deemed
appropriate by the Integrity Unit to the reasonable satisfaction of the Integrity
Unit;
if a World Athletics Official, is Eligible in accordance with the Constitution andthe Vetting Rules;
paid in full any fine, amounts forfeited and/or award of costs made against them(although the Integrity Unit will consider any request, on the grounds of financial
hardship, to make such payments over a prolonged period of time by way of an
instalment plan); andagreed to be subject to any reasonable and proportionate monitoring of their
future activities in connection with Athletics as the Integrity Unit may consider
necessary given the nature and scope of the violation(s) committed.

15.

Decisions

15.1

The Disciplinary Panel will announce its decision on the charges to the parties in a
written, reasoned decision, dated and signed by at least the Disciplinary Panel chair,as soon as reasonably practicable and ordinarily no later than 30 days after the dateof the oral hearing or the conclusion of the hearing where conducted in writing only. A
copy of the decision will also be sent to the relevant Member Federation(s) and, Area
Association (if applicable) and any other party that has a right of appeal against thedecision (and any such party may, within 15 days of receipt, request a copy of the fullcase file pertaining to the decision). The Disciplinary Panel may, if it considers it
appropriate, announce its decision in advance of the reasons for it.

15.2

If the decision is that a Non-Doping Violation has been committed:
the decision will be Publicly Disclosed in full (after giving the parties prior noticeof the decision), and in any event no later than 20 days after its issue; and14 World Athletics Disciplinary and Appeals Tribunal Rules. Approved by Council 14 August 2023, effective immediately

Book D – D5.1

the Integrity Unit may also publish such other parts of the proceedings before
the Disciplinary Panel as it thinks fit.
Public Disclosure will not, however, be required where the person found to havecommitted a violation is a Minor. Any optional Public Disclosure in a case involving a
Minor will be proportionate to the facts and circumstances of the case.
15.3

If the person or entity is exonerated of all charges, then the decision may only be
Publicly Disclosed with the consent of the person or entity who is the subject of thedecision, however the Disciplinary Panel may Publicly Disclose the fact that the charge
has been dismissed.

15.4

Decisions of Disciplinary Panels will be final and binding on all parties, and may not bechallenged or appealed other than strictly as set out in Rule 16 of these Rules. All
parties waive irrevocably any right to any other form of appeal, review or recourse by
or in any court or judicial authority, insofar as such waiver may validly be made.

16.

Appeals from Decisions of the Disciplinary Panel

16.1

A ruling by the Disciplinary Panel in a Preliminary Proceeding may not be appealed
unless Rule 17 applies or the applicable Rules or Regulations so expressly provide.

16.2

Subject to Rule 16.1, a decision of the Disciplinary Panel under these Rules may be
appealed to CAS by a party to the proceedings before the Disciplinary Panel, in
accordance with this Rule 16.

16.3

In any such appeal, World Athletics (by the Integrity Unit) will be the appellant or the
respondent to an appeal by the Applicable Person.

16.4

The deadline for filing an appeal to CAS will be 21 days from the date of receipt of thewritten decision in question by the appealing party. Where the appellant is a party otherthan World Athletics, to be a valid filing under this Rule a copy of the appeal must also
be filed on the same day with the Integrity Unit. The decision being appealed willremain in full force and effect pending determination of the appeal unless CAS orders
otherwise.

16.5

The decision as to whether:(a)World Athletics should appeal a decision of the Disciplinary Panel to CAS;(b)World Athletics should participate in any appeal or other proceeding before
CAS, or before any other tribunal, to which World Athletics is not a party;(c)World Athletics shall suspend the Athlete or other Person pending the CAS
decision or the decision of the other tribunal

shall be taken by the Head of the Integrity Unit subject to the prior approval of theIntegrity Unit Board.
16.6

Cross appeals and other subsequent appeals by any respondent named in cases
brought before the CAS under these Rules are specifically permitted. Any party with aright to appeal under this Rule 16 must file a cross appeal or subsequent appeal at thelatest with its answer.

World Athletics Disciplinary and Appeals Tribunal Rules. Approved by Council 14 August 2023, effective immediately

15

Book D – D5.1

16.7

The CAS Code of Sports-related Arbitration will apply to the proceedings, as modified
or supplemented herein. The governing law will be Monegasque law, and the languageof the proceedings will be English unless the parties agree otherwise.

16.8

If the CAS decision is that a Non-Doping Violation has been committed:
the decision will be Publicly Disclosed in full without delay, and in any event nolater than 20 days after its issue, andthe Integrity Unit may also publish such other parts of the proceedings before
CAS as it thinks fit.
Public Disclosure will not, however, be required where the person found to havecommitted a violation is a Minor. Any optional Public Disclosure in a caseinvolving a Minor will be proportionate to the facts and circumstances of thecase. If the person or entity is exonerated of all charges, then the decision may
only be Publicly Disclosed with the consent of the person or entity who is the
subject of the decision.

16.9

The decision of CAS will be final and binding on all parties, and all parties waive
irrevocably any rights they might otherwise have to any form of appeal, review or otherchallenge in respect of that decision, except as set out in Chapter 12 of Switzerland’s
Federal Code on Private International Law.

16 World Athletics Disciplinary and Appeals Tribunal Rules. Approved by Council 14 August 2023, effective immediately

Book D – D5.1

PART III – SAFEGUARDING APPEALS AND APPEALS PURSUANT TO THE DISPUTESAND DISCIPLINARY PROCEEDINGS RULES AND OTHER RULES AND REGULATIONS

17.

Jurisdiction of Appeals Panel

17.1

The Disciplinary and Appeals Tribunal and any Appeals Panel shall have jurisdiction
to hear and decide:17.1.1 Safeguarding Appeals;
17.1.2 any appeals pursuant to the Disputes and Disciplinary Proceedings Rules; and17.1.3 any appeals pursuant to any other Rules or Regulations that prescribe forappeals to be heard by the Disciplinary and Appeals Tribunal.

17.2

An individual subject to a suspension or a sanction under the Safeguarding Rules only
has the right to appeal to an Appeals Panel on the grounds that the decision by theCase Management Group established under the Safeguarding Rules was a decisionthat has no reasonable basis in all the circumstances.

17.3

An individual subject to a sanction under the Disputes and Disciplinary Procedures
Rules or under any other Rule or Regulation which prescribes for an appeal underthese Disciplinary and Appeals Tribunal Rules, only has the right to appeal a decisionof the Chief Executive Officer or the Disciplinary Officer (as the case may be) on the
grounds that:
17.3.1 the decision was one which has no reasonable basis in all the circumstances:or
17.3.2 the sanction imposed was so excessive to be unreasonable.

18.

Notice of Appeal

18.1

The appellant must serve a Notice of Appeal on the Disciplinary and Appeals Tribunal
within fourteen (14) days beginning on the date the decision being appealed was sent
to the appellant. The appellant must also at the same time send a copy of their Noticeof Appeal to the Chief Executive Officer and the Disciplinary Officer.

18.2

The Notice of Appeal must include:
18.2.1 the grounds for the appeal;
18.2.2 a statement of facts upon which the appeal is based, specifying whether theappeal is against finding and/or sanction and include any supporting
documentation upon which the appellant wishes to rely;
18.2.3 for appeals other than a Safeguarding Appeal, a statement as to whether theappellant wishes to seek a de novo hearing and, if so, the grounds for thatrequest.

19.

Procedure

19.1

On receipt of a Notice of Appeal properly made in accordance with the Safeguarding
Rules, the Disputes and Disciplinary Proceedings Rules or any other Rules orWorld Athletics Disciplinary and Appeals Tribunal Rules. Approved by Council 14 August 2023, effective immediately

17

Book D – D5.1

Regulations which prescribe appeals to be heard by the Disciplinary and Appeals
Tribunal, the chairperson of the Disciplinary and Appeals Tribunal shall (subject to Rule
5.5 above) appoint either one (1) or three (3) members of the Disciplinary and Appeals
Tribunal to hear and decide the appeal as an Appeal Panel.
19.2

The Appeal Panel shall have all the powers in relation to the conduct of the appeal as
are applicable to a Disciplinary Panel in accordance with Rule 11 above. 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.

19.3

Appeal Panel hearings shall be conducted on the basis of the principles applicable tohearings before a Disciplinary Panel as set out in Rule 12 above.

19.4

An appeal may be withdrawn at any time.
The standard of proof in all appeals is to the comfortable satisfaction of the Appeal
Panel. This standard of proof in all appeals is greater than a mere balance of probability
but less than proof beyond a reasonable doubt. For the avoidance of doubt, there isno sliding scale.

20.

Safeguarding Appeals

20.1

When dealing with appeals made in relation to Safeguarding Orders under the
Safeguarding Rules, the Appeal Panel shall have the power to:

20.1.1 allow or dismiss the appeal; and/or
20.1.2 increase, decrease or remove any risk management provisions or other terms of the
Safeguarding Order or other order and/or sanction; and/or
20.1.3 lift the Safeguarding Order or other order and/or sanction; and/or
20.1.4 remit the matter, with such directions as it thinks fit, for further consideration by theCase Management Group.

21.

Other Appeals

21.1This Rule 21 does not apply to Safeguarding Appeals.

21.2

Any sanctions imposed by the Disciplinary Officer or the Chief Executive (as the casemay be) will remain in force until the matter is considered and a decision issued by the
Appeal Panel.

21.3

A de novo hearing shall only be permitted if the Appeal Panel considers it to be in theinterests of justice.

21.4

The Appeal Panel has the power to:
21.4.1 dismiss the appeal;
21.4.2 quash a finding and any sanction imposed;
21.4.3 remit the matter back to the Disciplinary Officer or the Chief Executive (as thecase may be) to reconsider;21.4.4 substitute an alternative finding and/or sanction;

18 World Athletics Disciplinary and Appeals Tribunal Rules. Approved by Council 14 August 2023, effective immediately

Book D – D5.1

21.4.5 reduce or increase the original sanction; and/or
21.4.6 make such further orders as it considers appropriate.
22.

Decisions22.1

Decisions of the Appeal Panel shall be provided promptly and (subject to any
provisions of the Safeguarding Rules) are made and published on the basis of theprinciples applicable to decisions of a Disciplinary Panel in accordance with Rule 15
above.

22.2

The decision of the Appeal Panel shall be final and binding on all the parties and there
shall be no further right of appeal.

World Athletics Disciplinary and Appeals Tribunal Rules. Approved by Council 14 August 2023, effective immediately

19