DC 7 RESULTS MANAGEMENT

Doping Control Rules 2009-2013

DC 7.1 Results Management for Tests initiated by FINA

DC 7.1.1 The results from all analyses must be sent to FINA in encoded form, in a report signed by an authorised representative of the laboratory. All communication must be arranged in such a way that the results of the analyses are confidential.

DC 7.1.2 Upon receipt of an A Sample Adverse Analytical Finding, the DCRB or its designee shall conduct a review to determine whether: (a) an applicable therapeutic use exemption has been granted or will be granted as provided in the International Standard for Therapeutic Use Exemptions, or (b) based on the documentation submitted to FINA there is any apparent departure from the International Standard for Testing or International Standard for Laboratories that caused the Adverse Analytical Finding.

DC 7.1.3 If the initial review of an Adverse Analytical Finding under DC 7.1.2 does not reveal an applicable therapeutic use exemption or entitlement to a therapeutic use exemption as provided in the International Standard for Therapeutic Use Exemptions, or departure that caused the Adverse Analytical Finding, FINA shall promptly notify the Competitor of: (a) the Adverse Analytical Finding; (b) the anti-doping rule violated; (c) the Competitor's right to promptly request the analysis of the B Sample or, failing such request, that the B Sample analysis may be deemed waived; (d) the scheduled date, time and place for the B Sample analysis if the Competitor or FINA chooses to request an analysis of the B Sample; (e) the right of the Competitor and/or the Competitor's representative to attend the B Sample opening and analysis within the time period specified in the International Standard for Laboratories if such analysis is requested; and (f) the Competitor's right to request copies of the A and B Sample laboratory documentation package which includes information as required by the International Standard for Laboratories. FINA shall also notify the Competitor’s National Anti-Doping Organization and WADA. If FINA decides not to bring forward the Adverse Analytical Finding as an anti-doping rule violation, it shall so notify the Competitor, the Competitor’s National Anti-Doping Organization and WADA.

DC 7.1.4 Arrangements should be made for Testing the B Sample within ten days of the notification described in DC 7.1.3. A Competitor may accept the A Sample analytical results by waiving the requirement for B Sample analysis. FINA may nonetheless elect to proceed with the B Sample analysis.

DC 7.1.5 The Competitor and/or his representative shall be allowed to be present at the analysis of the B Sample within the time period specified in the International Standard for Laboratories. If the Competitor cannot be present for the B Sample analysis at the scheduled date and time, the FINA Executive may appoint a surrogate representative to be present. Also a representative of the Competitor's Member Federation as well as a representative of FINA shall be allowed to be present.

DC 7.1.6 If the B Sample proves negative, FINA, the Competitor, his or her Member Federation, and WADA shall be so informed.

DC 7.1.7 If a Prohibited Substance or the Use of a Prohibited Method is identified, the findings shall be reported to FINA, the Competitor, his or her Member Federation, and WADA.

DC 7.1.8 Review of Atypical Findings

As provided in the International Standards, in some circumstances laboratories are directed to report the presence of Prohibited Substances, which may also be produced endogenously, as Atypical Findings subject to further investigation. Upon receipt of an A Sample Atypical Finding, FINA shall conduct a review to determine whether: (a) an applicable therapeutic use exemption has been granted, or (b) there is any apparent departure from the International Standard for Testing or International Standard for Laboratories that caused the Atypical Finding. If that review does not reveal an applicable therapeutic use exemption or departure that caused the Atypical Finding, FINA shall conduct the required investigation. After the investigation is completed, the Competitor and other Anti-Doping Organizations identified in DC 14.6 shall be notified whether or not the Atypical Finding will be brought forward as an Adverse Analytical Finding. The Competitor shall be notified as provided in DC 7.1.3.

DC 7.1.8.1 FINA will not provide notice of an Atypical Finding until it has completed its investigation and decided whether it will bring the Atypical Finding forward as an Adverse Analytical Finding unless one of the following circumstances exist:

(a) If the FINA Executive determines the B Sample should be analyzed prior to the conclusion of its investigation under DC 7.1.8, FINA may conduct the B Sample analysis after notifying the Competitor, with such notice to include a description of the Atypical Finding and the information described in DC 7.1.3 (b)-(f).

(b) If FINA or a Member Federation with results management responsibility receives a request, either from a Major Event Organization shortly before one of its International Competitions or a request from a sport organization responsible for meeting an imminent deadline for selecting team members for an International Competition, to disclose whether any Competitor identified on a list provided by the Major Event Organization or sport organization has a pending Atypical Finding, FINA or the Member Federation shall so identify any such Competitor after first providing notice of the Atypical Finding to the Competitor.

[Comment to DC 7.1.8.1(b): Under the circumstance described in DC 7.1.8.1(b), the option to take action would be left to the Major Event Organization or sport organization consistent with its rules.]

DC 7.1.9 For apparent anti-doping rule violations that do not involve Adverse Analytical Findings or Atypical Findings, the DCRB or its designee shall conduct any necessary follow-up investigation and at such time as it is satisfied that an anti-doping rule violation has occurred, FINA shall then promptly notify the Competitor of the anti-doping rule violated, and the basis of the violation.

DC 7.1.10 The FINA Executive, upon the recommendation of the DCRB, may determine at any point after an Adverse Analytical Finding on an A Sample and before the final decision in a Doping Control Case that there is not sufficient scientific or factual basis to proceed further with the case against the Competitor involved.

DC 7.1.11 The FINA Executive or Member Federation with results management responsibility shall impose a Provisional Suspension promptly after the review and notification described in DC 7.1.2 and 7.1.3 have been completed for an Adverse Analytical Finding involving a Prohibited Substance other than a Specified Substance. The FINA Executive, after consultation with the DCRB, also may Provisionally Suspend a Competitor prior to the opportunity for a full hearing based on an alleged anti-doping rule violation other than an Adverse Analytical Finding, or after the review and notification described in DC 7.1.2. and 7.1.3 for Specified Substances but prior to the analysis of the Competitor’s B Sample or a full hearing. The FINA Executive may also provisionally suspend a Competitor in connection with a FINA International Competition where the circumstances satisfy the requirements herein but the Member Federation with results management responsibility has not imposed a Provisional Suspension. If a Provisional Suspension is imposed, the Competitor shall be given an opportunity for a Provisional Hearing before imposition of the Provisional Suspension or on a timely basis after imposition of the Provisional Suspension, or an opportunity for an expedited hearing in accordance with DC 8 on a timely basis after imposition of the Provisional Suspension.

DC 7.1.12 If a Provisional Suspension is imposed based on an A Sample Adverse Analytical Finding and a subsequent B Sample analysis (if requested by the Competitor or Anti-Doping Organization) does not confirm the A Sample analysis, then the Competitor shall not be subject to any further Provisional Suspension on account of a violation of DC 2.1 (Presence of a Prohibited Substance or its Metabolites or Markers).

DC 7.2 Results Management for Tests initiated by Member Federations

DC 7.2.1 Results management conducted by Member Federations shall be consistent with the general principles for effective and fair results management which underlie the detailed provisions set forth in DC 7.1.

DC 7.2.2 Results of Doping Controls shall be reported to FINA and WADA as provided in DC 14.6.

DC 7.2.3 Any apparent anti-doping rule violation by a Competitor who is a member of that Member Federation shall be promptly referred to an appropriate hearing panel established pursuant to the rules of the Member Federation or national law. Apparent anti-doping rule violations by Competitors who are members of another Member Federation shall be referred to that Member Federation for hearing.

DC 7.2.4 If the FINA Executive determines a Member Federation with results management responsibility is not carrying out its results management responsibilities with respect to an apparent anti-doping rule violation in a sufficiently expeditious manner, the FINA Executive may, after conferring with and providing a warning to the Member Federation, transfer results management responsibilities for the apparent anti-doping rule violation to the DCRB. In any case where the FINA Executive transfers such results management responsibilities to the DCRB, the Member Federation shall cooperate fully and shall reimburse FINA for its costs in carrying out results management responsibilities. In any such case where the DCRB has conducted results management, any resulting hearing shall take place before the FINA Doping Panel.

DC 7.2.5 In any case where WADA appeals directly to CAS under Article 13.3 based upon a Member Federation’s failure to render a decision within a reasonable deadline set by WADA, FINA shall have the right to join in that appeal.

DC 7.2.6 Where a Member Federation has results management responsibility for an Atypical Finding, the FINA Executive may demand that the investigation under DC 7.1.8 be completed prior to a FINA International Competition. If the Member Federation does not comply with such demand, the FINA Executive may declare the Competitor Ineligible for the International Competition as a result of the pending Atypical Finding and/or may transfer results management responsibilities to the DRCB. In any such case where the DCRB has conducted results management, any resulting hearing shall take place before the FINA Doping Panel.

DC 7.3 FINA reserves the right to exercise jurisdiction over results management and hearings with respect to any apparent anti-doping rule violation by any member of a Member Federation unless the Code specifically gives such jurisdiction to another Signatory.