DC 4 THE PROHIBITED LIST

Doping Control Rules 2009-2013

DC 4.1 These Anti-Doping Rules incorporate the Prohibited List which is published and revised by WADA as described in Article 4.1 of the Code. FINA will make the current Prohibited List available to each Member Federation, and each Member Federation shall ensure that the current Prohibited List is available to its members and constituents.

DC 4.2 Unless provided otherwise in the Prohibited List and/or a revision, the Prohibited List and revisions shall go into effect under these Anti-Doping Rules three months after publication of the Prohibited List by WADA without requiring any further action by FINA. The FINA Bureau may upon recommendation of the Doping Control Review Board (DCRB) recommend expansion of the Prohibited List by WADA particularly for the aquatic sports.

DC 4.2.1 All Prohibited Substances, except substances in the classes of anabolic agents and hormones and those stimulants and hormone antagonists and modulators so identified on the Prohibited List, shall be “Specified Substances” for purposes of the application of DC 10 (Sanctions on Individuals). Prohibited Methods shall not be Specified Substances.

[Comment to DC 4.2.1: In drafting the Code there was considerable debate among stakeholders over the appropriate balance between inflexible sanctions which promote harmonization in the application of the rules and more flexible sanctions which better take into consideration the circumstances of each individual case. This balance continued to be discussed in various CAS decisions interpreting the Code. After three years experience with the Code, the strong consensus of stakeholders is that while the occurrence of an anti-doping rule violation under DC 2.1 (Presence of a Prohibited Substance or its Metabolites or Markers) and 2.2 (Use of a Prohibited Substance or Prohibited Method) should still be based on the principle of strict liability, the Code sanctions should be made more flexible where the Athlete or other Person can clearly demonstrate that he or she did not intend to enhance sport performance. The change to DC 4.2.1 and related changes to DC 10 provide this additional flexibility for violations involving many Prohibited Substances. The rules set forth in DC 10.5 (Elimination or Reduction of Period of Ineligibility Based on Exceptional Circumstances) would remain the only basis for eliminating or reducing a sanction involving anabolic steroids and hormones, as well as the stimulants and the hormone antagonists and modulators so identified on the Prohibited List, or Prohibited Methods.]

DC 4.2.2 In the event WADA expands the Prohibited List by adding a new class of Prohibited Substances in accordance with Article 4.1 of the Code, WADA’s Executive Committee shall determine whether any or all Prohibited Substances within the new class of Prohibited Substances shall be considered Specified Substances under DC 4.2.1.

DC 4.3 WADA’s determination of the Prohibited Substances and Prohibited Methods that will be included on the Prohibited List and the classification of substances into categories on the Prohibited List is final and shall not be subject to challenge by a Competitor or other Person based on an argument that the substance or method was not a masking agent or did not have the potential to enhance performance, represent a health risk, or violate the spirit of sport.

[Comment to DC 4.3: The question of whether a substance meets the criteria in Article 4.3 (Criteria for Including Substances and Methods on the Prohibited List) in a particular case cannot be raised as a defense to an anti-doping rule violation. For example, it cannot be argued that the Prohibited Substance detected would not have been performance enhancing in that particular sport. Rather, doping occurs when a substance on the Prohibited List is found in an Athlete’s Sample. Similarly, it cannot be argued that a substance listed in the class of anabolic agents does not belong in that class.]

DC 4.4 Therapeutic Use

DC 4.4.1 Competitors with a documented medical condition requiring the use of a Prohibited Substance or a Prohibited Method must first obtain a Therapeutic Use Exemption (“TUE”). Presence of a Prohibited Substance or its Metabolites or Markers (DC 2.1), Use or Attempted Use of a Prohibited Substance and or a Prohibited Method (DC 2.2), Possession of Prohibited Substances and Prohibited Methods (DC 2.6) or Administration of a Prohibited Substance or Prohibited Methods (DC 2.8) consistent with the provisions of an applicable TUE and issued pursuant to the International Standard for Therapeutic Use Exemptions shall not be considered an anti-doping rule violation.

DC 4.4.2 Competitors included by FINA in its Registered Testing Pool and other Competitors prior to their participation in any International Competition must obtain a TUE from FINA (regardless of whether the Competitor previously has received a TUE at the national level). TUE’s granted by FINA shall be reported to the Competitor’s Member Federation and to WADA. Other Competitors subject to Testing must obtain a TUE from their National Anti-Doping Organization or other body designated by their Member Federation. Member Federations shall promptly report any such TUE to FINA and WADA. Except in emergency situations, a Competitor should apply for a TUE at least 21 days before the Competitor’s participation in a Competition.

DC 4.4.3 The FINA Executive, upon recommendation of the DCRB, may grant a Competitor a TUE. Before such exemption can be granted, the Competitor must convince the DCRB and the Executive that the exemption is medically justified and will not create a competitive advantage. Requests for TUE’s shall be evaluated in accordance with the International Standard for Therapeutic Use Exemptions. The Executive may grant an exemption under such conditions as it deems appropriate to assure that no competitive advantage can be gained.

DC 4.4.4 WADA, at the request of a Competitor or on its own initiation, may review the granting or denial of any TUE to an International Level Competitor or a national level Competitor that is included in a Registered Testing Pool. If WADA determines that the granting or denial of a TUE did not comply with the International Standard for Therapeutic Use Exemptions in force at the time then WADA may reverse that decision. Decisions on TUE’s are subject to further appeal as provided in DC 13.

DC 4.5 FINA, upon the recommendation of the DCRB, may recommend to WADA the inclusion of substances in the monitoring program established in Article 4.5 of the Code.