APPENDIX 1

Doping Control Rules 2009-2013

DEFINITIONS APPLICABLE TO DOPING CONTROL RULES

Adverse Analytical Finding: A report from a laboratory or other approved Testing entity that identifies in a Sample the presence of a Prohibited Substance or its Metabolites or Markers (including elevated quantities of endogenous substances) or evidence of the Use of a Prohibited Method.

Anti-Doping Organization: A Signatory to the Code that is responsible for adopting rules for initiating, implementing or enforcing any part of the Doping Control process.

Attempt: Purposely engaging in conduct that constitutes a substantial step in a course of conduct planned to culminate in the commission of an anti-doping rule violation. Provided, however, there shall be no anti-doping rule violation based solely on an Attempt to commit a violation if the Person renunciates the Attempt prior to it being discovered by a third party not involved in the Attempt.

Atypical Finding: A report from a laboratory or other WADA-approved entity which requires further investigation as provided by the International Standard for Laboratories or related Technical Documents prior to the determination of an Adverse Analytical Finding.

Competitor: Any Person who participates in sport at the international level (as defined by each International Federation), the national level (as defined by each National Anti-Doping Organization, including but not limited to those Persons in its Registered Testing Pool), and any other athlete in sport who is otherwise subject to the jurisdiction of any Signatory or other sports organization accepting the Code. All provisions of the Code, including, for example, Testing, and therapeutic use exemptions must be applied to international and national-level athletes. Some National Anti-Doping Organizations may elect to test and apply anti-doping rules to recreational-level or masters athletes who are not current or potential national caliber athletes. National Anti-Doping Organizations are not required, however, to apply all aspects of the Code to such Persons. Specific national rules may be established for Doping Control for non-international-level or national-level athletes without being in conflict with the Code. Thus, a country could elect to test recreational-level athletes but not require therapeutic use exemptions or whereabouts information. In the same manner, a Major Event Organization holding an Event only for masters-level athletes could elect to test the athletes but not require advance therapeutic use exemptions or whereabouts information. For purposes of DC 2.8 (Administration or Attempted Administration) and for purposes of anti-doping information and education, any Person who participates in sport under the authority of any Signatory, government, or other sports organization accepting the Code is a Competitor.

[Comment: This definition makes it clear that all international and national-caliber Competitors are subject to the anti-doping rules of the Code, with the precise definitions of international and national level sport to be set forth in the anti-doping rules of the International Federations and National Anti-Doping Organizations, respectively. At the national level, anti-doping rules adopted pursuant to the Code shall apply, at a minimum, to all persons on national teams and all persons qualified to compete in any national championship in any sport. That does not mean, however, that all such Competitors must be included in a National Anti-Doping Organization’s Registered Testing Pool. The definition also allows each National Anti-Doping Organization, if it chooses to do so, to expand its anti-doping program beyond national-caliber athletes to competitors at lower levels of competition. Competitors at all levels of competition should receive the benefit of anti-doping information and education.]

Competitor Support Personnel: Any coach, trainer, manager, agent, team staff, official, medical or paramedical Personnel working with or treating Competitors participating in or preparing for sports Competition.

CAS: The Court of Arbitration for Sport.

Code: The World Anti-Doping Code.

Competition: A series of individual Events conducted together under one ruling body. Also, the act of participating in an Event.

Competition Period: The time between the beginning of the opening ceremonies and the end of the closing ceremonies for a Competition.

Consequences of Anti-Doping Rules Violations: A Competitor’s or other Person’s violation of an anti-doping rule may result in one or more of the following: (a) Disqualification means the Competitor’s results in a particular Competition or Event are invalidated, with all resulting consequences including forfeiture of any medals, points and prizes; (b) Ineligibility means the Competitor or other Person is barred for a specified period of time from participating in any Competition or other activity or funding as provided in Article DC 10.10; and (c) Provisional Suspension means the Competitor or other Person is barred temporarily from participating in any Competition prior to the final decision at a hearing conducted under Article DC 8 (Right to a Fair Hearing).

Disqualification: See Consequences of Anti-Doping Rules Violations above.

Doping Control: All steps and processes from test distribution planning through to ultimate disposition of any appeal including all steps and processes in between such as provision of whereabouts information, Sample collection and handling, laboratory analysis, therapeutic use exemptions, results management, and hearings.

DCRB: Doping Control Review Board.

Event: A single race, match, game or singular athletic contest.

In-Competition: For purposes of differentiating between In-Competition and Out-of-Competition Testing, an In-Competition test is a test where a Competitor is selected for Testing in connection with a specific Competition, which shall start with the beginning of opening ceremonies and conclude with the end of the closing ceremonies. Where a Competitor is not competing in the context of a Competition, In-Competition means the period commencing twelve hours before an Event in which the athlete is scheduled to participate through the end of such Event and the sample collection process related to such Event.

Independent Observer Program: A team of observers, under the supervision of WADA, who observe and may provide guidance on the Doping Control process at certain competitions and report on their observations.

Ineligibility: See Consequences of Anti-Doping Rules Violations above.

International Competition: A Competition where the International Olympic Committee, the International Paralympic Committee, FINA, a Major Event Organization, or another international sport organization is the ruling body for the Competition or appoints the technical officials for the Competition.

International-Level Competitor: Competitors designated by the FINA as being within its Registered Testing Pool.

International Standard: A standard adopted by WADA in support of the Code. Compliance with an International Standard (as opposed to another alternative standard, practice or procedure) shall be sufficient to conclude that the procedures addressed by the International Standard were performed properly. International Standards shall include any Technical Documents issued pursuant to the International Standard.

Major Event Organizations: This term refers to the continental Associations of National Olympic Committees and other international multi-sport organizations that function as the ruling body for any continental, regional or other International Competition.

Marker: A compound, group of compounds or biological parameters that indicates the Use of a Prohibited Substance or Prohibited Method.

Member Federation: A national or regional entity recognized by the FINA as the entity governing the FINA’s sport in that nation or region.

Metabolite: Any substance produced by a biotransformation process.

Minor: A natural Person who has not reached the age of majority as established by the applicable laws of his or her country of residence.

National Anti-Doping Organization: The entity(ies) designated by each country as possessing the primary authority and responsibility to adopt and implement anti-doping rules, direct the collection of Samples, the management of test results, and the conduct of hearings, all at the national level. This includes an entity which may be designated by multiple countries to serve as regional Anti-Doping Organization for such countries. If this designation has not been made by the competent public authority(ies), the entity shall be the country's National Olympic Committee or its designee.

National Competition: A sport Competition involving international or national-level Competitors that is not an International Competition.

National Olympic Committee: The organization recognized by the International Olympic Committee. The term National Olympic Committee shall also include the National Sport Confederation in those countries where the National Sport Confederation assumes typical National Olympic Committee responsibilities in the anti-doping area.

No Advance Notice: A Doping Control which takes place with no advance warning to the Competitor and where the Competitor is continuously chaperoned from the moment of notification through Sample provision.

No Fault or Negligence: The Competitor’s establishing that he or she did not know or suspect, and could not reasonably have known or suspected even with the exercise of utmost caution, that he or she had Used or been administered the Prohibited Substance or Prohibited Method.

No Significant Fault or Negligence: The Competitor’s establishing that his or her fault or negligence, when viewed in the totality of the circumstances and taking into account the criteria for No Fault or Negligence, was not significant in relationship to the anti-doping rule violation.

Out-of-Competition: Any Doping Control which is not In-Competition.

Participant: Any Competitor or Competitor Support Personnel.

Person: A natural Person or an organization or other entity.

Possession: The actual, physical Possession, or the constructive Possession (which shall be found only if the Person has exclusive control over the Prohibited Substance/Method or the premises in which a Prohibited Substance/Method exists); provided, however, that if the Person does not have exclusive control over the Prohibited Substance/Method or the premises in which a Prohibited Substance/Method exists, constructive Possession shall only be found if the Person knew about the presence of the Prohibited Substance/Method and intended to exercise control over it. Provided, however, there shall be no anti-doping rule violation based solely on Possession if, prior to receiving notification of any kind that the Person has committed an anti-doping rule violation, the Person has taken concrete action demonstrating that the Person never intended to have Possession and has renounced Possession by explicitly declaring it to an Anti-Doping Organization. Notwithstanding anything to the contrary in this definition, the purchase (including by any electronic or other means) of a Prohibited Substance or Prohibited Method constitutes Possession by the Person who makes the purchase.

[Comment: Under this definition, steroids found in a Competitor's car would constitute a violation unless the Competitor establishes that someone else used the car; in that event, the Anti-Doping Organization must establish that, even though the Competitor did not have exclusive control over the car, the Competitor knew about the steroids and intended to have control over the steroids. Similarly, in the example of steroids found in a home medicine cabinet under the joint control of a Competitor and spouse, the Anti-Doping Organization must establish that the Competitor knew the steroids were in the cabinet and that the Competitor intended to exercise control over the steroids.]

Prohibited List: The List identifying the Prohibited Substances and Prohibited Methods.

Prohibited Method: Any method so described on the Prohibited List.

Prohibited Substance: Any substance so described on the Prohibited List.

Provisional Hearing: For purposes of DC 7.1.11, an expedited abbreviated hearing occurring prior to a hearing under DC 8 (Right to a Fair Hearing) that provides the Competitor with notice and an opportunity to be heard in either written or oral form.

Provisional Suspension: See Consequences above.

Publicly disclose or Publicly Report: To disseminate or distribute information to the general public or persons beyond those persons entitled to earlier notification in accordance with DC 14.

Registered Testing Pool: The pool of Competitors, established by FINA, that is subject to both In-Competition and Out-of-Competition Testing.

Sample/Specimen: Any biological material collected for the purposes of Doping Control.
[Comment: It has sometimes been claimed that the collection of blood Samples violates the tenets of certain religious or cultural groups. It has been determined that there is no basis for any such claim.]

Signatories: Those entities signing the Code and agreeing to comply with the Code, including the International Olympic Committee, International Federations, International Paralympic Committee, National Olympic Committees, National Paralympic Committees, Major Event Organizations, National Anti-Doping Organizations, and WADA.

Substantial Assistance: For purposes of Article 10.5.3, a Person providing Substantial Assistance must: (1) fully disclose in a signed written statement all information he or she possesses in relation to anti-doping rule violations, and (2) fully cooperate with the investigation and adjudication of any case related to that information, including, for example, presenting testimony at a hearing if requested to do so by an Anti-Doping Organization or hearing panel. Further, the information provided must be credible and must comprise an important part of 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.

Tampering: Altering for an improper purpose or in an improper way; bringing improper influence to bear; interfering improperly; obstructing, misleading or engaging in any fraudulent conduct to alter results or prevent normal procedures from occurring; or providing fraudulent information to an Anti-Doping Organization.

Target Testing: Selection of Competitors for Testing where specific Competitors or groups of Competitors are selected on a non-random basis for Testing at a specified time.

Testing: The parts of the Doping Control process involving test distribution planning, Sample collection, Sample handling, and Sample transport to the laboratory.

Trafficking: Selling, giving, transporting, sending, delivering or distributing a Prohibited Substance or Prohibited Method (either physically or by any electronic or other means) by a Competitor, Competitor Support Personnel or any other Person subject to the jurisdiction of an Anti-Doping Organization to any third party; provided, however, this definition shall not include the actions of bona fide medical Personnel involving a Prohibited Substance used for genuine and legal therapeutic purposes or other acceptable justification, and shall not include actions involving Prohibited Substances which are not prohibited in Out-of-Competition Testing unless the circumstances as a whole demonstrate such Prohibited Substances are not intended for genuine and legal therapeutic purposes.

UNESCO Convention: The International Convention against Doping in Sport adopted by the 33rd session of the UNESCO General Conference on 19 October 2005 including any and all amendments adopted by the States Parties to the Convention and the Conference of Parties to the International Convention against Doping in Sport.

Use: The utilisation, application, ingestion, injection or consumption by any means whatsoever of any Prohibited Substance or Prohibited Method.

WADA: The World Anti-Doping Agency.