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The Orders and Rules of Racing

General Manual (A)


SCHEDULES

Schedule 6 - Disciplinary Panels

1. The provisions of this Schedule apply to any enquiry before a Disciplinary Panel but they are subject to any specific requirements set out in these Rules.

Selection

2.1 The members of any Disciplinary Panel empanelled to conduct an enquiry will be selected from the Disciplinary and Licensing Panel Pool by the Judicial Panel Chairman in accordance with the Terms of Reference for the Disciplinary Panel.
2.2 The Judicial Panel Chairman shall provide to any Person provisionally selected sufficient details of the matter in question and the individuals concerned so as to enable any Person provisionally selected to declare any interest and to disqualify himself or to seek any waivers of objection as appropriate prior to final selection.
2.3 The Judicial Panel Chairman may delegate his function to the Deputy Judicial Panel Chairman.

Role of the Disciplinary Panel Chairman

3.1 Each Disciplinary Panel shall have a Disciplinary Panel Chairman who shall be selected by the Judicial Panel Chairman in accordance with the Terms of Reference for the Disciplinary Panel.
3.2 Unless either the Judicial Panel Chairman so directs, or all parties otherwise agree, the Disciplinary Panel Chairman shall be a legally qualified person of sufficient qualification and experience.
3.3 Where the notification of charges includes a statement to the effect that the Authority considers the matter suitable for a preliminary hearing

3.3.1 such a hearing will be held unless the Disciplinary Panel Chairman decides otherwise, and
3.3.2 it will normally be held on the first Thursday after the expiry of 28 days from notification of the charges.

3.4 The Disciplinary Panel Chairman shall give such directions as he considers appropriate for the purpose of ensuring a fair and expeditious conduct of the proceedings.

Conduct of enquiry

4. So far as reasonably practical in the circumstances of any particular case and subject to Paragraph 6 of this Schedule, the Disciplinary Panel Chairman must ensure that

4.1 in respect of any matter said to give rise to a contravention of any provision of these Rules, short particulars are provided in writing to any Person who is at risk of Disciplinary Action being taken against him, sufficient for him to understand the matters to be addressed in the enquiry;
4.2 the Rules in question are identified to that Person;
4.3 that Person understands those Rules;
4.4 statements and documents to be relied upon by the Authority are provided to that Person;
4.5 that Person is allowed a reasonable time to enable him to deal fairly with the matters raised in the statements and documents;
4.6 that Person is permitted legal representation and oral evidence is heard only in the presence of that Person or his representative who shall be given a fair opportunity to question any witness;
4.7 subject to Paragraph 5.1, the proceedings are conducted in private;
4.8 having decided that Person is in contravention of any provision of these Rules, but before deciding what Disciplinary Action to take, both that Person and the Authority (or their respective representatives) are given an opportunity to address the Disciplinary Panel regarding both the nature and extent of any Disciplinary Action to be taken;
4.9 subject to Paragraphs 5.2 and 5.3, the Disciplinary Panel must provide written reasons sufficient to allow the Authority and any Person against whom Disciplinary Action has been taken to understand the Disciplinary Panel's decision and which material facts have been relied upon; and
4.10 any Person who wishes the implementation of a decision to be stayed may apply for this when the decision is announced and before the Disciplinary Panel Chairman brings the hearing to a close.

5.1 The Authority may decide that, in relation to such types of matters as it may specify, an enquiry may be conducted in the presence of representatives of the media and, where such representatives are to be present

5.1.1 there will be a presumption that the proceedings will be open to representatives of the media unless any Person involved in a relevant enquiry satisfies the Disciplinary Panel Chairman, on written request, that there are exceptional reasons why that enquiry should be held in private, and
5.1.2 any request under Paragraph 5.1.1 for a private hearing must be submitted

5.1.2.1 in the case of an enquiry on an appeal made to the Authority under Rules 76 to 82 (appeal to Authority against Stewards' decision), at the time of the appeal or
5.1.2.2 otherwise, within 3 days of receipt of the letter requiring attendance at an enquiry.

5.2 A Disciplinary Panel shall provide written reasons, save for in exceptional circumstances:

5.2.1 in the case of an appeal from a racecourse in accordance with Rule 76, within 48 hours following the conclusion of the hearing; or
5.2.2 where the Disciplinary Panel sits as a tribunal of first instance in accordance with Rule 83, within 20 working days of the conclusion of the hearing.

5.3 A failure to comply with the requirements of Paragraph 5.2 shall not invalidate the proceedings or its outcome.

6.1 The Disciplinary Panel Chairman may decide that because of special circumstances the enquiry is to be conducted in a manner which involves a substantial departure from the procedure set out in Paragraphs 4 and 5 and, if he does, he will on an application made by any Person subject to the enquiry give reasons for his decision.
6.2 In all other cases reasons need not be given for decisions concerning the conduct of an enquiry.
6.3 The Disciplinary Panel Chairman will normally determine questions of procedure on the basis of written submissions without a hearing.
7.1 The provisions of Paragraphs 7.2 to 7.5 do not apply

7.1.1 to any appeal under Rules 76 to 82, or
7.1.2 to the extent that the Disciplinary Panel Chairman or the Authority, in writing, waives the application of some or all of such requirements.

7.2 At the time that the Authority notifies a Person who is the subject of the enquiry that an enquiry has been convened, and supplies him with particulars of the matters and evidence on which the Authority relies, the Authority will also provide him with a form for completion and that Person must, before the enquiry, complete the form disclosing

7.2.1 whether he admits to being in contravention of these Rules (see also Paragraph 10)
7.2.2 whether, and to what extent, he admits the evidence of any statement obtained by the Authority and given to him (this is necessary even if a Person admits to a contravention),
7.2.3 the nature of the case he intends to advance at the enquiry,
7.2.4 the identity of any witness he intends to call together with a summary of their evidence or a copy of their statement, and
7.2.5 the time he estimates he will require to present his case at the enquiry.

7.3 Unless the Authority otherwise determines, the completed form must be delivered to the Authority's Office

7.3.1 before the end of the period of 21 days starting with the date of receipt of the form, or
7.3.2 before the start of the period of 10 days that ends with the date fixed for start of the enquiry,

whichever is the earlier.

7.4 Where there is a failure to return the form in accordance with Paragraphs 7.2 and 7.3, the Disciplinary Panel may

7.4.1 refuse to allow any evidence which is not disclosed in accordance with Paragraph 7.2 to be given at the enquiry, or
7.4.2 adjourn the enquiry and make an order for costs pursuant to the powers of the Authority under Rule 46.4.

7.5 A legally qualified member of the Disciplinary Panel may, in the absence of the Disciplinary Panel Chairman, exercise any of the functions under this Paragraph.
8. All questions concerning the admissibility of evidence shall be for determination by each Disciplinary Panel in its discretion and a panel shall not be bound by any enactment or Rule of law relating to the admissibility of evidence before a court of law or statutory tribunal.
9.1 A Disciplinary Panel shall reach its decision by simple majority and any such decision shall be announced as the decision of the panel.
9.2 Reasons given for decisions shall not include references to any minority opinion or dissenting view.

Plea bargains

10.1 A Person who wishes to explore with the Authority the possibility of admitting to lesser charges if more serious charges are not proceeded with (a plea bargain) should make this known to the Authority as soon as possible and ideally before the submission of the form referred to in Paragraph 7.2.
10.2 No member of a Disciplinary Panel will be informed of this unless a plea bargain is concluded.
10.3 Save in very simple cases it will be necessary for the Person seeking a plea bargain and the Authority to agree a statement of relevant facts regarding the charges it is proposed should be admitted so as to provide the Disciplinary Panel with sufficient information to enable it to make an accurate assessment of the seriousness of the matter.
10.4 If the facts in respect of any admitted charges cannot be agreed it may be necessary to convene a preliminary hearing so that the Disciplinary Panel can assess whether disagreement is such that it should be resolved before a decision on what Disciplinary Action to take is made, and if so give directions as to how that should be done.

Confidentiality

11.1 Any Person who attends an enquiry that is conducted in private must respect the privacy and confidentiality of the enquiry proceedings and of the evidence and of all documents and submissions prepared in connection with them.
11.2 All evidence and representations shall be privileged even if the hearing is not conducted in private but this provision is not intended in any way to constrain what a Disciplinary Panel may refer to in its written reasons even though these may be released for general publication.
11.3 Without prejudice to Paragraphs 11.1 and 11.2, the Authority may, at any stage of disciplinary proceedings publish any report or 'press release' regarding the proceedings, including (but not limited to)

11.3.1 the details of proceedings for contravention of any provision of these Rules which have been taken against any Person (including any facts alleged in support),
11.3.2 any topics of the enquiry or appeal hearing, and
11.3.3 any direction or finding made or Disciplinary Action taken.

11.4 It is irrelevant for the purposes of Paragraph 11.3

11.4.1 whether the publication is made

11.4.1.1 at the stage of investigation, enquiry or appeal, or
11.4.1.2 in the public press and media, on the Racing Administration Internet Site or in such other manner as the Authority may consider appropriate, and

11.4.2 if publication is made at the enquiry stage, whether the hearing is held in private or open to representatives of the media.

11.5 Without prejudice to Paragraphs 11.1 and 11.2, the Authority may share such evidence, documentation, submissions or representations with any Person where it is of the opinion that to do so may assist the initiation, conduct or defence of any criminal or quasi criminal investigation or proceeding, or the regulatory or disciplinary process of any trade profession or sport whether in the UK or elsewhere.

Time to consider new allegations

12. If a Disciplinary Panel considers that a Person appearing at the enquiry may be liable to Disciplinary Action on account of conduct, or of contravention of a Rule, which has not previously been notified to him by the Authority (and whether in addition to or in substitution for the conduct or Rules of which he was notified), the Disciplinary Panel Chairman shall ensure that the Person is given a reasonable time to deal with the new allegations or addition or substitution of Rule, including by adjourning the proceedings in an appropriate case.

Appointment of assessors

13.1 The Disciplinary Panel Chairman may appoint one or more legal or scientific assessors to assist a Disciplinary Panel and may take advice from such Persons.
13.2 The Disciplinary Panel Chairman shall ensure that the role of such assessors shall be limited to the provision of advice and that such Persons shall not participate in the making of the decision itself.

Adjournment and non-attendance

14. A Disciplinary Panel may adjourn a hearing for such period and upon such terms (including as to costs) as it considers appropriate.
15.1 This Paragraph applies where a Person who is required to attend a hearing fails to do so.
15.2 If the Disciplinary Panel is satisfied that there are no reasonable grounds for the failure to attend, it may proceed with the hearing in such manner as it considers appropriate, including making its decision concerning any alleged contravention of these Rules by the Person and taking any Disciplinary Action against him.

Standard of proof

16. Where any fact or matter is required to be established to the satisfaction of the Disciplinary Panel, the standard of proof shall be the civil standard.

Miscellaneous

17.1 Where the horse is in joint or other multiple ownership only one representative from amongst the owners shall attend.
17.2 Where an enquiry concerns the possible disqualification or suspension of a horse on account of the alleged presence of a Prohibited Substance, the owner, or in the case of a joint or other multiple ownership, the representative shall be

17.2.1 given notice of the enquiry,
17.2.2 provided with all statements and documents to be relied upon by the Authority, and
17.2.3 permitted to attend the enquiry with legal representation and to question witnesses and make submissions.

17.3 In any other case where the matters being enquired into may result in the disqualification, suspension or alteration in the placing of a horse

17.3.1 an application may be made on behalf of the owner seeking permission to be present in person or represented, and
17.3.2 the Disciplinary Panel Chairman may determine the application without a hearing upon such terms as to participation and legal representation in the enquiry (including merely as an observer) as the Disciplinary Panel Chairman may consider appropriate and without any requirement to give reasons.

18. Notices and communications to Persons who are bound by these Rules shall be sent by first class post or by fax or by e-mail to the address or number as appropriate currently maintained for such Person at the Authority's Office save that where such Person has elected to be legally represented, communication may be made to such representative.
19.1 The Authority will make arrangements for the hearing to be recorded notwithstanding that the hearing may be taking place in private.
19.2 Any such recording shall belong to the Authority and, subject to Paragraph 19.3, no Person shall have the right to compel the production of it or a copy or a transcript save as required by law in connection with civil or criminal proceedings and subject to meeting any costs or expenses of the Authority incurred in providing it.
19.3 A Person who has commenced an appeal by lodging a notice of appeal will, as soon as practicable, be provided with a transcript for use in connection with the appeal.
19.4 Copies and transcripts of recordings shall at all times remain confidential.

Applications for permission under Rule 71.2

20.1 An application to the Authority by a Disqualified Person for permission under Rule 71.2 for the Disqualified Person to be employed in a racing stable may not be made until the latter of

20.1.1 the expiry of the time limit for lodging an appeal to the Appeal Board or
20.1.2 the day after the publication of the Appeal Board's decision, or
20.1.3 the expiry of any period directed by the Authority under Rule 58.3 (directions by Authority when imposing a disqualification);

and accordingly no application will be considered in conjunction with any plea of mitigation made to a Disciplinary Panel.

20.2 An application for the Authority's permission, as referred to in Paragraph 20.1, must include

20.2.1 a full written submission in support,
20.2.2 any documentary evidence on which the applicant wishes to rely, and
20.2.3 a summary of the evidence of any supporting witness.

20.3 The Disciplinary Panel which deals with the application may or may not be the same as or include Persons who served on the panel which imposed the disqualification.
20.4 The Authority will be asked if it opposes the application and if so why.
20.5 The Disciplinary Panel Chairman shall then decide how to proceed to determine the application including whether to hold an oral hearing.