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ISCCS – January 2021 Page 16 of 61 PART TWO: STANDARDS FOR WADA’S MONITORING AND ENFORCEMENT OF CODE COMPLIANCE BY SIGNATORIES 4.0 Objective 4.1 The objective of Part Two of the International Standard for Code Compliance by Signatories is to ensure that Signatories deliver Anti-Doping Programs within their respective spheres of responsibility that meet the requirements of the Code and the International Standards , so that there is a level playing field wherever sport is played. |
4.2 To emphasize, the desire is always to have Signatories address any compliance issues voluntarily. |
Having a Signatory declared non -compliant and Signatory Consequences imposed is the last resort, to be pursued only where the Signatory has failed, despite every encouragement, to take the necessary corrective actions within the required timeframes . |
4.3 Therefore, the focus of WADA’s compliance monitoring program is on dialogue and communication with Signatories , assisting them in their efforts to ensure full Code Compliance and providing them with guidance for the continuous improvement of their Anti-Doping Programs . |
Where instances of Non -Conformity are identified, the International Standard for Code Compliance by Signatories establishes objective, pre -determined, and transparent procedures and standards that give the Signatory the opportunity to correct those Non -Conformities , and that lead (if the Non -Conformities are not corrected) to a determination of non-compliance and the imposition of predictable, graded and proportionate Signatory Consequences . |
The International Standard for Code Compliance by Signatories also sets out a clear pathway to Reinstatement . |
ISCCS – January 2021 Page 17 of 61 5.0 Roles, Responsibilities and Procedures of the Different Bodies Involved in WADA’s Compliance Monitoring Function Figure One: Flow chart depicting the process from the identification of Non -Conformity to an allegation of non -compliance (Articles 5.1 to 5.3) ISCCS – January 2021 Page 18 of 61 5.1 Operational Oversight of Code Compliance 5.1.1 Operational oversight of Code Compliance is provided by WADA Management through an internal WADA Compliance Taskforce consisting of staff from different WADA departments. |
5.1.2 WADA Management is responsible for coordinating and directing the development of all activities related to WADA’s compliance monitoring program in coordination with the Compliance Review Committee ( CRC) , and in accordance with any prioritization of effort approved by the CRC further to Article 7.2. |
This includes: 5.1.2.1 coordinating the provision of ongoing support and assistance by WADA to Signatories in meeting their obligations under the Code and the Interna tional Standards (see Article 6 ); 5.1.2.2 using all tools at WADA ’s disposal to monitor Code Compliance by Signatories , including but not limited to ADAMS, Code Compliance Questionnaires , Mandatory Information Requests , Compliance Audits , information obtained by continuous compliance monitoring, and any other relevant information received or collected by WADA (see Article 7 ); 5.1.2.3 where Non-Conformities are identified, opening a dialogue with the Signatory , identifying corrective actions to be taken by the Signatory to correct the Non-Conformities , and providing guidance to help the Signatory to complete the corrective actions within the set timeframes (see Article 8 ); 5.1.2.4 assessing whether the Signatory ’s corrective actions have corrected the Non-Conformities in full, referring cases to the CRC where the Non-Conformities have not been corrected in full, providing reports with relevant supporting information to facilitate CRC discussions, and implementing an d following up on CRC recommendations (see Articles 8 and 9); 5.1.2.5 where a Signatory fails to correct the Non -Conformities within the required timeframe, and following the recommendation of the CRC , obtaining the approval of WADA's Executive Committee to notify the Signatory formally of the alleged non- compliance, with such notice also specifying the Signatory Consequences that it is contended should apply for such non -compliance and the conditions that it is proposed the Signatory should have to satisfy in order to be Reinstated (see Articles 8, 9, 10 and 1 1); and 5.1.2.6 monitoring the Signatory’s efforts to satisfy the Reinstatement conditions imposed on it, in order to report to the CRC on whether and when to recommend that the Signatory be Reinstated (see Article 1 1). |
5.2 Independent Review and Recommendations 5.2.1 The Compliance Review Committee is an independent, non -political WADA Standing Committee that oversees WADA’s Code Compliance monitoring efforts and ISCCS – January 2021 Page 19 of 61 enforcement activities, and provides advice and recommendations on such matters to WADA’s Executive Committee. |
5.2.1.1 The CRC is governed by Terms of Reference designed to ensure the independence, political neutrality and specialization of its members that underpin the credibility of its work. |
The Terms of Reference include strict conflict of interest provisions that require CRC members to declare any potential conflicts of interest and to exclude themselves from all CRC deliberations in any matter in which they may have a conflict of interest. |
5.2.2 The CRC follows standardized procedures encompassing review, assessment, communication, and the making of recommendations to WADA’s Executive Committee on matters relating to Code Compliance , correction of Non -Conformities , and Reinstatement . |
These procedures (see Articles 8, 9 and 11 ) are designed to support a transparent, objective, and consistent approach to the assessment and enforcement of Code Compliance . |
5.2.2.1 Where WADA Management reports apparent Non -Conformities to the CRC , a procedure is followed that gives the Signatory in quest ion the time and opportunity to explain and correct the Non-Conformities within a specified timeframe as to achieve full Code Compliance (see Article 8 ). |
5.2.2.2 If the Signatory does not correct the Non-Conformities within the framework of that procedure, the CRC will review the case in detail and decide whether to recommend to WADA’s Executive Committee that a formal notice be issued to the Signatory alleging non- compliance (see Article 5.3). |
5.2.3 In addition to reviewing and assessing compliance- related issues raised by WADA Management, at any time the CRC may identify compliance- related issues of its own accord to be addressed by WADA Management. |
5.3 Independent Determination of Non- Compliance and Signatory Consequences 5.3.1 In accordance with Code Article 24.1.4, upon the recommendation of the CRC , WADA’s Executive Committee may approve the sending to a Signatory of a formal notice of its alleged non- compliance with the Code and/or the International Standards , with such notice also specifying the Signatory Consequences that it is contended should apply for such non- compliance, and the conditions that it is proposed the Signatory should have to satisfy in order to be Reinstated . |
5.3.2 In accordance with Code Article 24.1.5, i f the Signatory accepts or does not dispute the contents of that notice within twenty -one (21) days of its receipt, the allegation of non-compliance will be deemed admitted and the Signatory Consequences and Reinstatement conditions will be deemed accepted, and (unless appealed in accordance with Code Article 13.6) the notice will automatically become a final decision enforceable with immediate effect in accordance with Code Article 24.1.9. |
If the Signatory disputes any part of the notice, the dispute will be resolved by CAS in accordance with Code Article 24.1.6. |
ISCCS – January 2021 Page 20 of 61 5.3.3 Once the notice is accepted as a final decision by the Signatory , or (if disputed) once a final decision is issued by CAS , then, in accordance wit h Code Article 24.1.9, that decision shall be applicable worldwide and shall be recognized, respected and given full effect by all other Signatories in accordance with their authority and within their respective spheres of responsibility (see Figure Two below). |
5.4 The Principle of L ast Resort 5.4.1 Consistent with the principle of ‘last resort’, in any case (including not only ordinary but also fast track cases), if a Signatory does not meet the required timeframes for correcting Non-Conformities and so the case is referred to the CRC and beyond, provided that the Signatory corrects the Non-Conformities at any time before Signatory Consequences are imposed by CAS , then no Signatory Consequences shall be imposed, save to the extent that (a) costs have been incurred in pursuing the case before CAS (in which case the Signatory must cover those costs); and/or (b) the failure to correct a Non -Conformity within the requir ed timeframe has resulted in irreparable prejudice to the fight against doping in sport (in which case Signatory Consequences may be imposed to reflect that prejudice). |
ISCCS – January 2021 Page 21 of 61 Figure Two: Flow chart depicting the process following a formal allegation of non- compliance (Articles 5.3.1, 5.3.2 and 5.3.3) ISCCS – January 2021 Page 22 of 61 5.5 Reinstatement Procedures 5.5.1 Where applicable, WADA Management will report to the CRC on the Signatory’s implementation of the Reinstatement conditions, and the CRC will then make recommendations to WADA’s Executive Committee as to whether or not the Signatory has satisfied those conditions and should be Reinstated . |
5.5.2 Where WADA ’s Executive Committee alleges that a Signatory has not yet satisfied its Reinstatement conditions and so should not yet be Reinstated , if the Signatory disputes that allegation, the dispute will be resolved by CAS in accordance with Code Article 24.1.10. |
In accordance with Code Article 24.1.9, the CAS decision shall be applicable worldwide and s hall be recognized, respected and given full effect by all other Signatories in accordance with their authority and within their respective spheres of responsibility . |
6.0 WADA’s Support for Signatories’ Efforts to Achieve/Maintain Code Compliance 6.1 Objective 6.1.1 WADA’s priority is to support Signatories in strengthening their Anti -Doping Programs , thereby increasing the protection that they provide to clean Athletes . |
It shall remain at all times the Signatory’s obligation to achieve full Code Compliance , and it shall not be a defense or excuse that others did not help the Signatory to comply. |
However, WADA will use all reasonable endeavors to provide support and assistance to Signatories seeking to ac hieve, maintain or return to full Code Compliance . |
6.2 Operational and Technical Support 6.2.1 WADA will provide operational and technical support to Signatories to assist them to achieve, maintain, or (where applicable) return to full Code Compliance , including by providing advice and information, by developing resources, guidelines, training materials, and training programs, and by facilitating partnerships with other Anti-Doping Organizations where possible. |
Where the WADA budget allows, this support shall be provided without cost to Signatories . |
6.2.2 By way of illustration, WADA has developed a number of documents and tools to assist Signatories to understand their responsibilities under the Code and the International Standards , and to achieve and maintain full compliance with those responsibilities, including: 6.2.2.1 model rules for the implementation of the Code and the International Standards within the Signatory’s area of competence; 6.2.2.2 guideline documents covering the implementation of various components of a Code- compliant Anti-Doping Program , including (without limitation) Testing, TUEs , Results Management , Education, and intelligence and investigati ons; 6.2.2.3 template documents and forms; and ISCCS – January 2021 Page 23 of 61 6.2.2.4 online Educational tools. |
6.2.3 WADA has also developed the Code Compliance Questionnaire and the Compliance Audit program, which are designed to help Signatories to identify Non -Conformities in their Anti-Doping Programs and to devise and implement plans to correct those Non-Conformities . |
WADA has provided and will continue to provide various forms of support and assistance to Signatories in understanding its Code Compliance Questionnaire , its Complia nce Audit program, and all other aspects of its compliance monitoring program, including information sessions; a dedicated section of its website where materials relevant to the compliance monitoring program have been posted and will continue to be posted, including answers to Frequently Asked Questions; and other support resources. |
6.2.4 A Signatory may seek assistance from another Signatory to help it achieve full Code Compliance . |
WADA will seek to assist Signatories in setting up such partnerships, including providing on its website further information and guidelines on partnership agreements . |
A Signatory may also appoint a Delegated Third Party to carry out Anti-Doping Activities on its behalf. |
In accordance with Code Article 20 and Article 8.4.3 of this International Standard for Code Compliance by Signatories , however, the Signatory shall always remain fully liable for any Non -Conformities arising as a result. |
The Signatory shall ensure that it is able to require the Delegated Third Party to cooperate in full with (and to enable the Signatory to cooperate in full with) all of WADA’s compliance monitoring efforts, including (without limitation) properly addressing Code Compliance Questionnaires , Mandatory Information Requests , Compliance Audits , and all continuous compliance monitoring requirements (as to which, see Article 7 .8). |
6.2.5 As set out in Article 8, when Non-Conformities are identified, whether in a completed Code Compliance Questionnaire or in a Compliance Audit or otherwise, the focus of WADA Management will be on assisting the Signatory in question through dialogue and support to achieve full Code Compliance . |
The Signatory will be given an adequate opportunity to dispute or to correct the Non -Conformities , including (if necessary) by WADA providing a Corrective Action Report that sets out which corrective actions are required, and specifies the timeframes for their completion. |
The Corrective Action Report may also include recommendations as to best practice, and may refer , where appropriate , to resources and materials posted on WADA's website that may assist the Signatory in responding to the report and strengthening its Anti-Doping Program . |
In addition, WADA will review any Corrective Action Plan (including any requested and relevant document) provided by a Signatory and provide comments as necessary to ensure that it is fit for purpose. |
7.0 Monitoring Signatories’ Code Compliance Efforts 7.1 Objective 7.1.1 In accordance with its obligation under Code Article s 20.7.3 and 24.1.1 to monitor Code Compliance by Signatories , WADA reviews Signatories’ rules and regulations (and/or legislation, if that is how the Code has been implemented in a particular country) to ensure that they are compliant with the Code and the International ISCCS – January 2021 Page 24 of 61 Standards . |
It also assesses whether Signatories are implementing their rules, regulations and legislation through Anti-Doping Programs that meet all of the requirements of the Code and the International Standards . |
The purpose o f Article 7 is to set out the standards that will govern these monitoring activities. |
The objective will always be to make the monitoring process as efficient and cost -effective as possible. |
7.2 Prioritization Between Different Signatories 7.2.1 The following parties are all Signatories to the Code : 7.2.1.1 the International Olympic Committee and the International Paralympic Committee; 7.2.1.2 other Major Event Organizations ; 7.2.1.3 International Federations; 7.2.1.4 National Olympic Committees and National Paralympic Committees; 7.2.1.5 National Anti -Doping Organizations ; and 7.2.1.6 various other organizations listed on WADA’s website, including but not limited to associations of National Olympic Committees , associations of International Federations, organi zations for Athletes with an impairment that are not International Federations, and national Commonwealth Games Associations. |
7.2.2 Given the large number of Signatories and WADA ’s limited resources, the CRC may approve proposals by WADA Management to prioritize the monitoring for Code Compliance (a) of certain categories of Signatories , based on the scope of the Anti -Doping Activities required of such categories of Signatories under the Code; and/or (b) of certain specific Signatories , based on an objective Risk Assessment . |
The following is a non- exhaustive list of factors that may be considered in such an assessment: 7.2.2.1 (where the Signatory is an International Federation) the physiological ris k of doping in a particular sport/discipline; 7.2.2.2 (where the Signatory is an International Federation) participation of the Signatory in the Olympic and/or Paralympic Games; 7.2.2.3 (where the Signatory is a Major Event Organization) the level of Athletes participating in the Event ; 7.2.2.4 performances by Athletes from a particular country in International Events ; 7.2.2.5 a history of doping in a particular country or a particular sport/discipline; ISCCS – January 2021 Page 25 of 61 7.2.2.6 a Signatory ’s response to a Mandatory Information Request or a Code Compl iance Questionnaire ; 7.2.2.7 receipt of credible intelligence or the results of an investigation suggesting there may be significant Non-Conformities in the Signatory’s Anti-Doping Program ; 7.2.2.8 a Signatory’s breach of Critical or High Priority requirements under the Code or an International Standard; 7.2.2.9 a Signatory’s failure to implement recommendations following collaboration programs in which WADA acted as a facilitator or a party; 7.2.2.10 a Signatory’s failure to implement measures (e.g., Target Testing) following a recommendation made or endorsed by WADA (e.g., in relation to Testing in the lead- up to the Olympic Games or Paralympic Games or other Event ); 7.2.2.11 (where the Signatory is a NADO or a National Ol ympic Committee acting as a NADO ) the fact that the Signatory ’s country hosts a WADA -accredited laboratory and/or is bidding to host or has won the right to host a major sporting event; 7.2.2.12 where a Signatory that has been found to be non -compliant is seeking to be Reinstated; and/or 7.2.2.13 a request by WADA’s Executive Committee and/or WADA’s Foundation Board. |
7.2.3 Code Article 20 requires International Federations, National Olympic Committees and National Paralympic Committees to enforce Code Compliance by their members/recognized bodies. |
If , in the course of its monitoring activities , WADA learns of apparent non- compliance with the Code by a member/recognized body of such Signatory , it will notify the Signatory for appropriate follow -up and action in accordance with the Signatory ’s obligations under the Code. |
7.2.4 In addition, again given the large number of Signatories and WADA ’s limited resources, the CRC may approve proposals by WADA Management to prioritize enforcement of Critical and (in certain circumstances) High Priority requirements of the Code and/or the International Standards (including, where necessary, by alleging non-compliance and proposing i mposition of Signatory Consequences ), while giving Signatories additional opportunity to take any corrective action(s) necessary to ensure compliance with other requirements of the Code and/or the International Standards . |
The greatest priority will be giv en to pursuing the imposition of appropriate Signatory Consequences in cases involving non -compliance with Critical requirements and Aggravating Factors . |
7.2.5 WADA may also enlist the support of other bodies to assist it in its monitoring tasks. |
7.2.6 For the avoidance of doubt, a Signatory shall be required to comply in full at all times ISCCS – January 2021 Page 26 of 61 with its obligations under the Code and the International Standards , whether or not it is prioritized for monitoring by WADA . |
7.3 Cooperation with Other Bodies 7.3.1 WADA may cooperate as appropriate with other relevant bodies in promoting full Code Compliance by Signatories , including (without limitation) with UNESCO in its efforts to promote governments’ compliance with the UNESCO Convention , with the Council of Europe in its efforts to promote governments’ compliance with its Anti -Doping Convention, and/or with any other i ntergovernmental organization or initiative. |
The purpose of such cooperation will be to facilitate and maximize the efficacy of WADA’s own efforts in monitoring Code Compliance by Signatories . |
Such cooperation shall be conducted in a manner that respects all applicable data protection laws. |
7.3.2 Such cooperation may include (without limitation) coordinating with the other body ’s compliance monitoring activities in relation to a specific country (e.g., joint site visits, coordinated questionnaires), exchange of r elevant information that may be of assistance in such activities, and coordinating actions aimed at assisting and encouraging compliance by relevant parties. |
7.4 WADA’ s Monitoring Tools 7.4.1 WADA may make use of all legal means at its disposal to monitor Code Compliance by Signatories , including (without limitation): 7.4.1.1 requiring each Signatory , in accordance with Code Article 24.1.2, to complete and submit Code Compliance Questionnaires and/or other reports on its Code Compliance within reasonable and clearly communicated timeframes. |
Such reports shall provide all information requested by WADA accurately and completely, explain the reasons for any Non -Conformities identified, and describe the efforts the Signatory has made and/or proposes to make to correct such Non-Conformities ; 7.4.1.2 conducting Compliance Audits of Signatories ’ ongoing Anti-Doping Programs , in accordance with Article 7 .7, in order to assess their Code Compliance , to identify and categorize Non -Conformities , and to identify corrective actions required to correct the Non-Conformities and so achieve full Code Compliance ; 7.4.1.3 conducting Independent Observer Programs (a) at the Olympic Games and the Paralympic Games, and (b) at other selected Events ; 7.4.1.4 reviewing the adequacy of Signatories’ responses to requests made or endorsed by WADA to implement Target Testing and/or other measures in the lead- up to the Olympic Games or Paralympic Games or other Event ; 7.4.1.5 reviewing the following key documents: ISCCS – January 2021 Page 27 of 61 (a) Signatories ’ rules and regulations (and/or relevant legislation, if that is how the Code has been implemented in a particular country); (b) Signatories ’ Risk Assessments and Test Distribution Plans provided in accordance with Code Article 5.4 and Article 4.1.3 of the International Standard for Testing and Investigations ; (c) Signatories ’ annual statistical reports of their respective Doping Control activities provided in accordance with Code Article 14.4; (d) Doping Control forms, TUE decisions, and other data filed in ADAMS (including assessing compliance with requirements to file such information in ADAMS within specified timeframes, and reviewing TUE decisions for compliance with the International Standard for Therapeutic Use Exemptions ); (e) reports compiled by other relevant bodies (e.g., reports from country visits conducted by the Monitoring Group of the Anti -Doping Convention of the Council of Europe); and (f) any other documents or data requested by WADA Management from the Signatory in order to assess the Signatory ’s Code Compliance ; 7.4.1.6 conducting other continuous compliance monitoring activities in accordance with Article 7 .8; 7.4.1.7 reviewing Results Management decisions made by Signatories and communicated to WADA in accordance with Code Articles 7.6 and 14.1.4 , and the International Standard for Results Management , including (without limitation) decisions by Signatories : (a) not to bring an Atypical Fin ding forward as an Adverse Analytical Finding; (b) not to bring an Adverse Analytical Finding or an Adverse Passport Finding forward as an anti -doping rule violation; (c) not to bring Whereabouts Failures or other apparent violations forward as anti -doping rule violations; (d) to withdraw the allegation of an anti -doping rule violation; and (e) to agree on the outcome of proceedings alleging an anti -doping rule violation without first holding a hearing; provided that, save in exceptional cases, WADA will not allege that a Signatory is non- compliant based solely on a single non- compliant Results Management decision. |
Instead, WADA will notify the Signatory within a reasonable period following receipt of a material number of Results ISCCS – January 2021 Page 28 of 61 Management decisions that WADA Management considers to be non-compliant. |
Thereafter, WADA will take further action against the Signatory for non- compliance (by issuing a Corrective Action Report in accordance with Article 8.2.2) if, notwithstanding such notification, (1) the Signatory fails to put in place measures reasonably designed to avoid any further non- compliant Results Management decisions; or (2) WADA receives a further non-compliant Results Management decision for which the Signatory is responsible; 7.4.1.8 assessing and processing intelligence about potential Non -Conformities obtained from reliable sources, including but not limited to WADA’s Intelligence and Investigations Department, Signatories and other stakeholders, WADA -accredited laboratories and other laboratories approved by WADA , Sample Collection Authorities and/or Sample Collection Personnel , law enforcement and other relevant authorities (including other regulatory and/or disciplinary bodies), Athletes and other P ersons , whistle -blowers, the media, and members of the public; 7.4.1.9 using the powers given to WADA under Code Article 10.7.1 to encourage Athletes and other Persons to provide information in relation to non-compliance by Signatories ; 7.4.1.10 asking WADA’s Intelligence and Investigations Department to follow up on intelligence regarding, and/or to investigate potential instances of, non-compliance by Signatories ; and 7.4.1.11 using any other relevant and reliable information or data available to it. |
7.4.2 Where a Signatory is required to provide compliance information to WADA (e.g., in response to a Code Compliance Questionnaire or a Mandatory Information Request ) that is the Signatory's proprietary and confidential information, WADA will treat that information confidentially, and will use it only to monitor Code Compliance and not for any other purpose. |
7.5 Code Compliance Questionnaires 7.5.1 Code Article 24.1.2 requires Signatories to report to WADA on their Code Compliance when requested by WADA . |
7.5.2 As and when determined by WADA ’s Executive Committee on the recommendation of the CRC (but no more than once every three (3) years, unless exceptional circumstances arise), WADA will send Code Compliance Questionnaires to Signatories to enable them to self -assess and self -report on their Code Compliance and any potential Non-Conformities . |
The Code Compliance Questionnaire may r equire the Signatory to provide documentation to support and supplement its responses to the questions in the Code Compliance Questionnaire . |
ISCCS – January 2021 Page 29 of 61 7.5.3 WADA will specify a reasonable date for return of the completed Code Compliance Questionnaire , including any accom panying documentation. |
It will send reminders to Signatories as the date approaches. |
7.5.4 Further to Code Article 24.1.3, a failure by a Signatory to return an accurate and complete Code Compliance Questionnaire to WADA by the specified date is itself a failure to comply with Code Article 24.1.2 that will trigger the process outlined in Article 8.3.1. |
7.5.5 WADA will review the information provided in a completed Code Compliance Questionnaire to assess the Signatory ’s degree of Code Compliance . |
WADA shall seek to verify a Signatory ’s responses to specific questions in the Code Compliance Questionnaire by reference to information obtained from other, reliable sources, such as data filed in ADAMS, and independent investi gation reports. |
WADA will discuss any apparent discrepancies between the Signatory ’s responses and such data with the Signatory prior to drawing any conclusions . |
7.5.6 Where WADA determines that the Code Compliance Questionnaire does not reveal any Non-Conformities , the Signatory will be duly notified in writing. |
If, in fact , there are (and were at the time) Non-Conformities that WADA was not able to identify in its review of the Signatory ’s completed Code Compliance Questionnaire , but instead identified as part of its other compliance monitoring activities, WADA ’s original conclusion shall not constrain in any way its ability to take the steps specified in this International Standard for Code Compliance by Signatories to have the Non-Conformities corrected by the Signatory . |
7.5.7 Where WADA identifies Non-Conformities based on the Signatory ’s completed Code Compliance Questionnaire , it will issue a Corrective Action Report in accordance with Article 8.2.2. |
7.6 Mandatory Information Requests 7.6.1 Independently of any other monitoring activity, where WADA receives or collects information indicating that a Signatory may not be complying with Critical or High Priority requirements, WADA Management may send the Signatory a Mandatory Information Request requiring it to provide information that enables WADA to confirm the actual position. |
WADA shall only request information that is necessary for WADA to assess the Signat ory’s Code Compliance effectively, and that is not already available to WADA through other sources (such as ADAMS). |
The request will explain why WADA Management is asking for the information and will specify the date for the Signatory to provide it (which date shall be no less than twenty -one (21) days later). |
7.6.2 WADA Management will assign a WADA Auditor to review the response received from the Signatory and to provide an assessment and recommendation, including (where appropriate) a recommendation to issue a Corrective Action Report in accordance with Article 8.2.2. |
ISCCS – January 2021 Page 30 of 61 7.6.3 If the Signatory fails to provide the required response to a Mandatory Information Request by the date that WADA has specified for receipt of such response, that will trigger the process outlined in Article 8 .3.1. |
7.7 The Compliance Audit Program 7.7.1 WADA Management will decide (subject to CRC oversight) which Signatories shall undergo a Compliance Audit . |
The factors listed at Article 7 .2.2 may trigger a Compliance Audit . |
Signatories may also be selected for a Compliance Audit based on any other relevant reason or credible intelligence collected or received by WADA . |
7.7.2 The Compliance Audit will be conducted by WADA Auditor s. The Compliance Audit may be conducted in person (i.e., where the audit team visits the Signatory and conducts the assessment of the Signatory’s Anti-Doping Program in the presence of relevant members of the Signatory ’s team) or via an exchange of written information initiated by a request from WADA , such as a Mandatory Information Request . |
7.7.3 In each case, the Signatory shall cooperate with WADA and the WADA audit team in all aspects of the Compliance Audit . |
A lack of cooperation may be referred by WADA Management to the CRC for consideration as a potential Non -Conformity . |
7.7.4 Arranging an in- person Compliance Audit : 7.7.4.1 WADA will send the Signatory a notice of its selection for a Compliance Audit , the names of the lead auditor and the other members of the audit team, and the dates on which the audit team proposes to visit the Signatory’s offices to conduct the audit (which is usually two to three (2 – 3) days in duration). |
The dates identified should give the Signatory at least one (1) month to prepare for the audit visit. |
7.7.4.2 The Signatory has fourteen (14) days to respond to the notice with confirmation that the dates proposed for the audit are convenient, or explaining why those dates are not convenient and proposing alternative dates that are as close as possible to the dates proposed by WADA . |
If a Signatory refuses to be audited or frustrates the process by failing to cooperate in finding appropriate dates for an audit, that will be considered a Non-Conformity with Code Article 24.1.2 and will trigger the process set out in Article 8 .3.1. |
7.7.4.3 Once the dates are c onfirmed, WADA will send the Signatory an audit plan providing guidance on the scope of the audit to be conducted and on how to prepare for the audit visit. |
7.7.4.4 At least fourteen (14) days prior to the audit visit, the lead auditor should communicate directl y (e.g., by telephone call or by in- person meeting) with the Signatory ’s main contact for compliance matters, in order to confirm all necessary arrangements, answer any questions on the audit, and discuss how information should be prepared and presented by the Signatory to the audit team. |
ISCCS – January 2021 Page 31 of 61 7.7.5 In all cases, the Signatory shall facilitate the visit of the WADA audit team, including arranging for appropriate staff to be present during the audit visit, and providing the necessary meeting and related facilities for the WADA audit team to carry out the Compliance Audit . |
If the Signatory delegates any part of its Anti-Doping Program to a Delegated Third Party , the Signatory must ensure that r epresentatives of the Delegated Third Party are available to answer questions from the WADA audit team and provide any requested documentation or information during the audit. |
7.7.6 At the opening meeting of the audit, the audit team will explain the approach it will take for the Compliance Audit , confirm the scope of the audit, and what it expects from the Signatory in terms of cooperation and support for the audit. |
It will give the Signatory the opportunity to ask any questions in relation to the audit. |
7.7.7 During the Compliance Audit , the audit team will assess the Signatory ’s Anti-Doping Program using information hel d on file from different sources, including the Signatory ’s completed Code Compliance Questionnaire , data filed in ADAMS, independent investigation reports, intelligence collected or received, media reports that WADA considers reliable, and any other reliable information available to it. |
The audit team will seek out representative examples and evidence of the work conducted by the Signatory as part of its Anti-Doping Program , noting any discrepancies between such examples and evidence and the information that the Signatory has provided (e.g., in its Code Compliance Questionnaire ). |
The Signatory shall cooperate in providing the audit team with full access to all information, procedures , and systems required to complete the Compliance Audit . |
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