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7.7.8 At the closing meeting, the audit team will verbally present its preliminary findings to the Signatory , including identifying any apparent Non -Conformities (focusing on Critical and High Priority requirements).
The audit team may also outline any findings and/or best practice recommendations in respect of General requirements.
The Signatory will be given an opportunity to note any disagreement with the audit team ’s preliminary findings during the closing meeting.
The audit team will also outline the likely follow- up process and timeframes in terms of corrective actions, so that the Signatory may start addressing the findings immediately, i.e., without waiting for the Corrective Action Report .
Follo wing completion of the audit, the lead auditor will present the final audit findings in a draft Corrective Action Report to WADA Management (which, following further consideration, may be more extensive than the preliminary findings presented verbally at t he closing meeting) .
As soon as practicable thereafter, a final Corrective Action Report will be issued to the Signatory in accordance with Article 8 .2.2.
7.7.9 WADA will pay the costs of the Compliance Audit , subject to potential reimbursement by the Signatory in accordance with Article 11 .2.1.4.
7.7.10 WADA will publish on its website a list of Signatories that have undergone a Compliance Audit .
Once an audit is complete, and the Signatory in question has received the final Corrective Action Report , WADA may publish a summary of the audit outcomes.
ISCCS – January 2021 Page 32 of 61 7.8 Continuous Compliance M onitoring 7.8.1 WADA Management will identify a number of requirements (in consultation with the CRC ) for which Signatories will be subject to continuous compliance monitoring, using means that are complementary to the Code Compliance Questionnaire and Compliance Audits .
7.8.2 The relevant department within WADA will be responsible for continuously monitoring each Signatory’s compli ance with the requirement(s) in question.
Appropriate timeframes and reminders will be established and communicated to the Signatories with sufficient time afforded to correct any Non -Conformity .
7.8.3 If the Signatory does not correct a Non-Conformity within th e timeframe set by the relevant WADA department, then the department will report the Non-Conformity to WADA Management, which will issue a Corrective Action Report in accordance with Article 8.2.2.
7.8.4 In addition to the above continuous compliance monitoring, Signatories that have been subject to a Compliance Audit may have any Non -Conformities with Critical or High Priority requirements that were identified at the time of the audit reviewed after the completion of the post -audit Corrective Action Report .
A WADA Auditor will assess whether the Critical and High Priority requirements are still being met by reference to any inf ormation to which WADA has access, including via a Mandatory Information Request .
Should the WADA Auditor identify any Non -Conformities with Critical or High Priority requirements, WADA will issue a Corrective Action Report in accordance with Article 8.2.2.
7.9 Special Provisions Applicable to Major Event Organizations 7.9.1 Major Event Organizations are subject to the same Code Compliance monitoring and enforcement rules and procedures set out in this International Standard for Code Compliance by Signatories as all other Signatories .
However, Major Event Organizations may also be made the subject of an Independent Observer Program ; and the normal procedures for identification and correction of Non -Conformities may have to be fast-tracked for them, in the manner set out in this Article 7 .9, due to the timing of their Events .
For the avoidance of doubt, unless otherwise stated in thi s Article 7.9, the normal rules, procedures and timeframes set out in this International Standard for Code Compliance by Signatories shall apply to Major Event Organizations .
7.9.2 WADA may send to a Major Event Organization a Code Compliance Questionnaire tailored for Major Event Organizations within one (1) year of its Event , to be completed and returned to WADA within a reasonable timeframe as specified by WADA , describing the Anti-Doping Program that the Major Event Organization proposes to put in place for the Event , so that any Non -Conformities can be identified and corrected in advance.
ISCCS – January 2021 Page 33 of 61 7.9.3 Where WADA identifies Non-Conformities based on the Major Event Organization’ s completed Code Compliance Questionnaire , it will issue a Corrective Action Report in accordance with Article 8 .2.2, save that where the Corrective Action Report : 7.9.3.1 identifies Non-Conformities with requirements that are considered to be Critical, the Signatory must correct them within a timeframe specified by WADA of no more than two (2) months; and/or 7.9.3.2 identifies Non-Conformities with requirements that are considered to be High Priority , the Signatory must correct them within a timeframe specified by WADA of no more than four (4) months; and/or 7.9.3.3 identifies Non-Conformities with requirements that are considered to be General , the Signatory must correct them within a timeframe specified by WADA of no more than six (6) months.
7.9.4 Where a Major Event Organization fails to correct Non-Conformities within the timeframe specified by WADA , WADA Management shall follow the standard corrective procedures and timeframes set out in Articles 8.1 to 8.3, save that where the urgency of the matter/the timing of the Event means that such standard procedures and timeframes are not appropriate, WADA Management may impose shorter timeframes (provided it informs the Major Event Organization of the shortened timeframes and of the consequences of failing to meet them) and/or may refer the case to the CRC for urgent consideration without following all of the steps set out in Articles 8.1 to 8.3.
7.9.4.1 In such cases, WADA Management shall give the Major Event Organization an opportunity to explain the apparent Non-Conformities by a specified date and shall communicate any explanation provided by the Signatory within that date to the CRC .
7.9.5 When WADA Management refers a case to the CRC in accordance with this Article 7.9: 7.9.5.1 The CRC will convene (either in person or otherwise) as soon as possible to consider the matter.
It will consider WADA Management ’s assessment , and any explanation or comments provided by the Major Event Organization in accordance with Article 7 .9.4.1.
7.9.5.2 Following such review, if the CRC considers that a fast track procedure is not required, it may recommend: (a) that a mission in the framework of the Independent Observer Program be conducted at the Major Event Organization’s Event (if not planned already) ; and/or (b) that a Corrective Action Report be issued to the Signatory , to be followed up in accordance with fast-track procedures that ensure the ISCCS – January 2021 Page 34 of 61 Non-Conformities are corrected well in advance of the next edition of the Event in question; and/or (c) that the Major Event Organization contract with a Delegated Third Party to support its Anti -Doping Activities at the Event .
7.9.6 If, however, the CRC considers that a fast -track procedure is required, then Articles 8.5.4.3 and 8 .5.4.4 shall apply.
7.9.7 Whether or not Article 7 .9.5.2(a) applies: 7.9.7.1 In accordance with Article 7.4.1.3, as an additional means of monitoring Code Compliance by Major Event Organizations , WADA may conduct Independent Observer Programs (a) at the Olympic Games and the Paralympic Games, (b) at continental Games (e.g., African Games, Asian Games, European Games, Pan American Games), as well as the Commonwealth Games and World Games; and (c) at othe r Events , selected based on objective criteria agreed with the CRC .
7.9.7.2 Where WADA has issued a Corrective Action Report for a Major Event Organization in accordance with Article 7 .9.3, one of the tasks of the Independent Observer Program sent to that Major Event Organization’s next Event will be to determine whether the International Olympic Committee or International Paralympic Committee or other Major Event Organization (as applicable) has implemented the cor rective actions identified in that Corrective Action Report .
If the corrective actions have not been properly implemented, they will be referenced in the report issued by the Independent Observer Program and published by WADA after the Event in question, a long with any other Non -Conformities identified by the Independent Observer Program during the Event .
7.9.7.3 When the report issued by the Independent Observer Program is completed, all Non-Conformities will also be included in a new Corrective Action Report , requiring (as WADA sees fit) either (a) the implementation of the corrective actions within specified timeframes (which may or may not be the same timeframes as are set out in Article 7 .9.3), or (b) a commitment to implement the corrective actions before the next edition of the Major Event Organization’s Event .
ISCCS – January 2021 Page 35 of 61 8.0 Giving Signatories the Opportunity to Correct Non -Conformities 8.1 Objective 8.1.1 When Non-Conformities are identified, the objective will be to assist the Signatory through dialogue and support to correct the Non-Conformities and so achieve and maintain full Code Compliance .
8.1.2 Article 8 sets out the procedures that WADA will follow in giving the Signatory adequate opportunity to correct the Non -Conformities identified.
The various steps in the process are presented in flow chart format in Figure One (Article 5 above).
8.2 Corrective Action Reports and Corrective Action Plans 8.2.1 Where the Signatory’s rules or regulations (or applicable legislation, if that is how the Code has been implemented in a particular country ) are not compliant with the Code, WADA Management will give the Signatory written notice of the Non -Conformities and a three (3) month timeframe to correct them or to provide draft corrections and a confirmed timeframe for their adoption.
8.2.2 Where WADA identifies Non-Conformities in any other aspects of a Signatory’s Anti-Doping P rogram (whether as a result of a Code Compliance Questionnaire or a Compliance Audit , or as a result of information provided in response to a Mandatory Information Request , or otherwise), WADA Management will send the Signatory a Corrective Action Report that: 8.2.2.1 identifies Non-Conformities with requirements that are considered to be Critical, which the Signatory must correct within a timeframe specified by WADA of no more than three (3) months; and/or 8.2.2.2 identifies Non-Conformities with requirements that are considered to be High Priority , which the Signatory must correct within a timeframe specified by WADA of no more than six (6) months; and/or 8.2.2.3 identifies Non-Conformities with requirements that are considered to be General , which the Signatory must correct within a timeframe specified by WADA of no more than nine (9) months; save that if the Signatory is a Major Event Organization, then the above timeframes will not apply.
Instead the matter will be addressed in accordance with the pr ocedures set out at Article 7.9.
8.2.3 Having sent the Corrective Action Report , WADA Management will establish a dialogue with the Signatory to ensure that the Signatory has received the Corrective Action Report , and that the Signatory understands what it needs to do to implement the required corrective actions within the specified timeframes.
8.2.4 If the Signatory disputes the Non -Conformities identified in the Corrective Action Report , and/or their classification as Critical or High Priority , WADA Management will ISCCS – January 2021 Page 36 of 61 review the position.
If the position is maintained following that review, the Signatory may request that the dispute be referred to the CRC in accordance with Article 8.4.1.
If the CRC agrees with the view of WADA Management, and the matter proceeds to an allegation of non- compliance, the Signatory may continue to dispute the Non -Conformities and/or their classification in the CAS proceedings .
If the CRC does not agree with the view of WADA Management, WADA Management may take the issue to WADA’s Executive Committee for decision.
8.2.5 Subject to Article 8.2.4, the Signatory shall correct the Non -Conformities within the timeframes specified in the Corrective Action Report .
The Corrective Action Report will include within it a Corrective Action Plan section for the Signatory to complete to assist the Signatory in planning who within its organization will implement each of the corrective actions, how, and by when.
It is not mandatory for the Signatory to provide a Corrective Action Plan to WADA but it is strongly recommended.
If the Signatory provides a Corrective Action Plan , WADA will review that plan to confirm it is fit for purpose, and , if it is not fit for purpose , then WADA will provide comments to assist the Signatory to make it fit for purpose.
8.2.6 WADA Management will monitor the Signatory ’s progress in correcting the Non -Conformities identified in the Corrective Action Report .
8.2.7 If any further Non-Conformities are discovered after a Corrective Action Report has been sent to the Signatory but before the matter has been referred to the CRC , or if there is a repeat of a Non -Conformity that was supposedly corrected before the matter has been referred to the CRC , WADA Management may send the Signatory an updated Corrective Action Report that adds the new Non-Conformities and that provides a new timeframe or timeframes for correction of al l the Non -Conformities identified in the updated Corrective Action Report .
8.3 Final Opportunity to Correct before Referral to the CRC 8.3.1 If a Signatory does not correct all Non-Conformities within the timeframe set in the Corrective Action Report , or if a Signatory fails to provide the required response within the specified timeframe to a Code Compliance Questionnaire , a notice of a Compliance Audit , a request made as part of continuous compliance monitoring, or a Mandatory Information Request , WADA Management will give the Signatory written notice of that failure and a new timeframe (of up to three (3) months) to correct it.
That new timeframe will not be extended again, save in exceptional cases, where the Signatory establishes that an Event of Force Majeure will make it impossible to correct the position by that timeframe.
8.3.2 If any further Non -Conformities are discovered, or there is a repeat of a Non -Conformity that was supposedly corrected, after the Signatory has been given a new timeframe to correct the original Non-Conformities pursuant to Article 8.3.1 but before the matter has been referred to the CRC , WADA Management may send the Signatory notice of the new Non -Conformities and give it a new timeframe to c orrect all of the original Non-Conformities and the new Non-Conformities .
ISCCS – January 2021 Page 37 of 61 8.4 Referral to the CRC 8.4.1 If a Signatory (a) continues to dispute the Non-Conformity after an exchange of views with WADA Management and requests referral of the matter to the CRC ; or (b) does not correct a Non -Conformity by the timeframe set in accordance with Article 8 .3.1; or (c) does not provide the required response to a Mandatory Information Request or Code Compliance Questionnaire by the timeframe set in accordance with Arti cle 8.3.1, WADA Management will refer the matter to the CRC for consideration in accordance with Articles 8.4.2 to 8.4.6.
8.4.2 WADA Management will advise the Signatory of the decision to refer the matter to the CRC , and that the Signatory may submit any explanations or other comments that the Signatory wishes the CRC to consider.
WADA Management will communicate to the CRC any explanation or comments received from the Signatory .
8.4.3 In all cases, the CRC shall review and determine for itself whether it agrees with WADA Management’s classification of the Non -Conformities as Critical, High Priority , or General .
If not, they shall be re- classified (and the timeframes for corrective action shall be amended accordingly) (unless WADA Management maintains its position, in which case WADA’s Executive Committee shall decide).
The CRC shall also consider fully and fairly any explanations or comments received from the Signatory in respect of those Non-Conformities .
In particular, any Event of Force Majeure that may explain the Signatory ’s Non -Conformities or inability to correct them as required by the Corrective Action Report shall be fully and fairly considered.
In extraordinary situations, the CRC may recommend to WADA ’s Executive Committee that the Non -Conformities should be provisionally excused while the Event of Force Majeure continues to prevent the Signatory ’s correcti on of the Non -Conformities .
In no circumstances, however, shall it be an acceptable excuse, or a mitigating factor: 8.4.3.1 that the Signatory ’s Non-Conformity has been caused by a lack of resources, changes in elected officials or personnel, or any interference by and/or a failure to provide support or other act or omission by any governmental or other public authorities.
Each Signatory has voluntarily accepted the obligation to comply with its obligations under the Code and the International Standards , which in cludes an obligation under Code Article 23.3 to devote sufficient resources and, where applicable, an obligation to secure the support of governmental and other public authorities required to achieve and maintain Code Compliance ; or 8.4.3.2 that the Signatory assigned the task of complying with some or all of its obligations under the Code and/or the International Standards to a Delegated Third Party (such as a Sample Collection Authority to whom the Signatory has assigned the task of collecting Sampl es; or a local organizing committee to which a Major Event Organization has assigned the task of running its Anti-Doping Program at the Event in question).
[Comment to Article 8.4.3.2: As CAS ruled in RPC v IPC , CAS 2016/A/4745, (a) a body with an obli gation to enforce the Code within its sphere of authority remains fully liable for any violations even if they are due to the actions of ISCCS – January 2021 Page 38 of 61 other bodies that it relies on but that it does not control; and (b) just as an Athlete cannot escape the Consequences of an anti -doping rule violation by delegating his or her responsibility to comply with his or her anti -doping obligations to others, so too a Signatory has an absolute and non -delegable obligation to comply with the requirements of the Code and the International Standards.
The Signatory has the right to decide how to meet that obligation, including the right to assign certain tasks to appropriate third parties, should it see fit, but it remains fully responsible for complying with the Code and the International Standards, and is fully liable for any non- compliance caused by any failures of such third party.]
8.4.4 Where the CRC considers that the Signatory has failed without valid reason to correct the Non-Conformity/ies in question or to respond to a Mandatory Information Request or Code Compliance Questionnaire satisfactorily within the specified timeframe, the CRC will provide to WADA ’s Executive Committee a report of the relevant facts and an explanation of why, based on those facts, the CRC recommends that the Signatory be sent a formal notice alleging that it is non- compliant with the requirements of the Code and/or the International Standards .
The report will also categoriz e the requirements in question as Critical, High Priority , or Gener al, identify any Aggravating Factors , recommend in accordance with Article 10 that particular Signatory Consequences be proposed in the formal notice for such non- compliance, and recommend in accordance with Article 11 the conditions that the formal notice should propose the Signatory be required to satisfy in order to be Reinstated .
8.4.5 Alternatively, if the Signatory has provided a Corrective Action Plan that explains to the satisfaction of the CRC how the Signatory will correct the Non-Conformities within four (4) months, then the CRC may recommend to WADA ’s Executive Committee that it decide (a) to give the Signatory that period (starting to run from the date of the Executive Committee’s decision) to correct the Non-Conformities , and (b) that the formal notice described in Article 8 .4.4 shall be sent to the Signatory upon expiry of that timeframe (without the need for a further decision by WADA’s Executive Committee) if the CRC considers that the Non-Conformities have not been corrected in full by then.
8.4.6 In either case, in applying the principles set out in Article 10 , the CRC will assess and consider in making its recommendation the potential impact on third parties, including in particular Athletes , of any Signatory Consequences proposed .
WADA Management will be responsible for ensuring that the CRC is fully informed of this potential impact.
8.5 Fast Track Procedure 8.5.1 Unless otherwise specified, this Article 8 .5 applies to cases where (a) there is Non -Conformity by a Signatory with one or more Critical requirements of the Code and/or the International Standards ; and (b) urgent intervention is required in order to maintain confidence in the integrity of a sport or sports and/or of a particular Event or Events .
8.5.2 WADA Management may refer a case that falls within Article 8 .5.1 to the CRC for urgent consideration without following all of the steps set out in the preceding Articles of this International Standard for Code Compliance by Signatories .
Alternatively, ISCCS – January 2021 Page 39 of 61 WADA Management may follow some or all of those steps but with shortened timeframes, according to the urgency of the matter, and refer the case to the CRC if the Signatory has not corrected the Non -Conformities within the shortened timeframes.
8.5.3 In such cases, WADA Management shall give the Signatory an opportunity to explain the apparent Non -Conformities within a specified timeframe, and shall communicate any explanation provided by the Signatory within that timeframe to the CRC .
8.5.4 When WADA Management refers a case to the CRC in accordance with this Article 8.5: 8.5.4.1 The CRC will convene (in person or other wise) as soon as possible to consider the matter.
It will consider WADA Management ’s assessment , and any explanation or comments provided by the Signatory in accordance with Article 8.5.3.
8.5.4.2 Following such review, if the CRC considers that a fast -track procedure is not required, it may recommend: (a) that the Signatory undergo a Compliance Audit ; and/or (b) that a Corrective Action Report be issued to the Signatory , to be followed up in accordance with the normal procedures set out in Articles 8.3 and/or 8 .4.
8.5.4.3 If, however, the CRC considers that a fast -track procedure is required , the CRC may recommend to WADA ’s Executive Committee that the Signatory be sent a form al notice alleging that it is non- compliant with Critical requirements of the Code and/or the International Standards , identifying any Aggravating Factors alleged by WADA , specifying the Signatory Consequences that it is contended should apply for such non -compliance (in accordance with Article 10 ) (including any such Signatory Consequences that the CRC considers should be imposed urgently to protect the rights of clean Athletes and/or to maintain confidence in the integrity of sport and/or of a particular Event or Events ), and specifying the conditions that it is proposed the Signatory should have to satisfy in order to be Reinstated (in accordance with Article 1 1).
8.5.4.4 If WADA ’s Executive Committee accepts that recommendation (by vote taken at an in- person meeting or, if necessary to avoid delay, by teleconference or by circular email communication), that formal notice shall be sent to the Signatory in accordance with Article 9 .2.3.
At the same time or any time thereafter, WADA may refer the case to the CAS Ordinary Arbitration Division and may apply to CAS for appropriate interim relief in accordance with Article 9.4.4, and/or for an expedited hearing on the merits.
ISCCS – January 2021 Page 40 of 61 9.0 Confirming Non- Compliance and Imposing Signatory Consequences 9.1 CRC Recommendation 9.1.1 Articles 8.4 and 8 .5 identify the circumstances in which the CRC may recommend that the Signatory be sent a formal notice alleging non-compliance with the requirements of the Code and/or the International Standards , categorizing the requirements in question as Critical, High Priority , or General , identifying any Aggravating Factors alleged by WADA (in cases involving non- compliance with Critical requirements), specifying the Signatory Consequences that it is contended should apply for such non -compliance (in accordance with Article 10 ), and specifying the conditions that it is proposed the Signatory should have to satisfy in order to be Reinstated (in accordance with Article 1 1).
9.2 Consideration by WADA’s Executive Committee 9.2.1 At its next meeting in person, or else (if the CRC so recommends) by teleconference or by circular email communication, WADA’s Executive Committee will decide whether to accept the CRC’ s recommendation.
The CRC ’s recommendation and the decision of WADA ’s Executive Committee in respect of that recommendation shall be made public (e.g., by publication of the minutes of WADA ’s Executive Committee’ s deliberations on the matter) no more than fourteen (14) days after WADA ’s Executive Committee makes its decision.
9.2.2 If WADA’s Executive Committee does not accept all or any part of the CRC ’s recommendation, it shall not substitute its own decision but instead shall remit the matter back to the CRC so that the CRC may consider the matter further and decide how to proceed (e.g., by making a revised recommendation to WADA ’s Executive Committee).
If WADA ’s Executive Committee also does not accept the CRC ’s second recommendation on the matter, it may either refer the matter back to the CRC again or else take its own decision on the matter, as it sees fit.
9.2.3 Where WADA’s Executive Committee decides to accept the CRC ’s recommendation to issue a formal notice of non- compliance to a Signatory (whether immediately, or automatically upon expiry of the timeframe specified in accordance with Article 8.4.5, if the CRC concludes that the Non -Conformities have still not been corrected by then), WADA shall issue such formal notice to the Signatory , setting out the matters referenced at Article 9.1.1.
The process thereafter is set out in flow chart format in Figure Two (Article 5 above) .
9.2.4 Where the Signatory Consequences proposed in the formal notice may affect attendance at/participation in the Olympic Games or Paralympic Games, WADA shall copy the notice formally to the International Olympic Committee and/or the International Paralympic Committee (as applicable).
The formal notice sent to the Signatory (or a summary thereof) shall also be publicly reported on WADA ’s website and sent to WADA ’s stakeholders once that notice has been received by the Signatory .
WADA ’s stakeholders may assist in the publicizing of the notice , such as by publicly reporting it on their own websites.
ISCCS – January 2021 Page 41 of 61 9.3 Acceptance by the Signatory 9.3.1 The Signatory will have twenty -one (21) days from the date of receipt of the formal notice to dispute WADA’s allegation of non- compliance and/or the Signatory Consequences and/or the Reinstatement conditions proposed by WADA in the notice.
Further to Code Article 24.1.5, if the Signatory does not communicate such dispute in writing to WADA within twenty -one (21) days (or such extended timeframe as WADA may agree ), the allegation will be deemed admitted, the Signatory Consequences and/or the Reinstatement conditions proposed by WADA in the notice will be deemed accepted, and the notice will automatically become a final decision enforceable (subject to Article 9 .3.2) with immediate effect in accordance with Code Article 24.1.9.
This outcome will be publicly reported by WADA .
9.3.1.1 If, alternatively, the Signatory purports to correct the non -compliance in full within twenty -one (21) days of receipt of the formal notice, WADA Management will refer the matter to the CRC.
If the CRC is satisfied that the non-compliance has been corrected in full, it will recommend to W ADA’s Executive Committee that the formal notice be withdrawn.
If the CRC is not satisfied that the non -compliance has been corrected in full, WADA will re -send the formal notice (amended if necessary, at the direction of the CRC ) to the Signatory , giving it another twenty -one (21) days from the date of receipt of the notice either to dispute or to accept the contents of the notice.
9.3.2 WADA will publicly report the decision referred to in Article 9 .3.1 by posting it on its website.
A ny party that would have been entitled as of right under Code Article 24.1.7 to intervene in the CAS proceedings that would have taken place if the Signatory had disputed any aspect of WADA ’s notice shall have the right to appeal that decision by filing an appeal with CAS within twenty -one (21) days of WADA posting that decision on its website.
The appeal shall be resolved by the CAS Appeals Arbitration Division in accordance with the CAS Code of Sports -related Arbitration and Mediation Rules and this International Standard for Code Compliance by Signatories (and in the case of conflict between them, the latter shall prevail).
Swiss law will govern the proceedings.
The seat of the arbitration, and the venue of any hearings, shall be Lausanne, Switzerland.
U nless the parties agree otherwise, the proceedings will be conducted in English and the CAS Panel that hears and determines the dispute will be composed of three (3) arbitrators.