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The Orders and Rules of Racing

Equine Anti-Doping Manual (G)


SCHEDULES

Schedule 2 - Whereabouts Requirements

1. Application and Scope

The whereabouts requirements in this Schedule apply to the following Responsible Persons under the Equine Anti-Doping Rules

1.1 Responsible Persons of British-Based Horses;

1.2 Responsible Persons of Horses trained outside of Great Britain which are entered for a race in Great Britain; and

1.3 Responsible Persons of Horses permanently imported into Great Britain to be trained in Great Britain.

Defined terms in this Schedule shall have the same meaning as in the Definitions to the Equine Anti-Doping Rules.

2. Responsible Persons of British-Based Horses

Responsible Persons of British-Based Horses shall be required to comply with the following obligations

2.1 Trainers

2.1.1 When a Horse is under the care or control of a Trainer, the Trainer must comply with the obligations to provide information on the location of the Horse as set out in Rule (C)16 and as further stipulated in this paragraph 2.1.

2.1.1.1 The obligations on a Trainer to provide information in accordance with Rule (C)16 shall cease upon the Trainer's notification to the Authority that a Horse under his care or control has been transferred to the Horse's Owner. Notification to the Authority for this purpose shall become effective upon the Trainer selecting the "Transferred to Owner" option on the Racing Calendar Office's horse management system. In so doing, the Trainer confirms that he has previously notified the Owner of the transfer by a recognised method of service under the Rules. If, upon the Authority's request, the Trainer is unable to establish to the Authority's satisfaction that due notification to the Owner has been made, the Trainer shall continue to be considered as the Responsible Person.
2.1.1.2 The obligations on a Trainer to provide information on the location of a Horse in accordance with Rule (C)16 shall then resume only if and when notification is made to the Authority that the Horse has been transferred by the Owner back to the Trainer's care or control.

2.1.2 In addition to the obligations to provide information on a Horse's location as set out in Rule (C)16, the Authority may at any time require the Trainer of a Horse to provide such further whereabouts information as may be necessary so that the Authority may conduct Testing of the Horse at any time. The Trainer shall provide such further whereabouts information as may be requested within the time stipulated by the Authority. Where a subsequent change in circumstances means that the further information provided to the Authority becomes no longer accurate or complete, the Trainer must update the information as soon as possible to ensure that it is accurate and complete again.

2.2 Owners

2.2.1 When a Horse has been transferred from a Trainer to an Owner in accordance with paragraph 2.1, the Owner must comply with the obligations to provide information on the location of the Horse stipulated in this paragraph 2.2.

2.2.1.1 The obligations to provide information shall continue until (i) notification is made to the Authority that the Horse has been transferred back to the care or control of a Trainer, (ii) the Horse is no longer registered under his ownership with the Racing Calendar Office, or (iii) the Horse is permanently retired from Racing and either a Non-Racing Agreement or other notification of retirement has been filed with the Racing Calendar Office in accordance with the requirements of Rules (E)26 or 26B.
2.2.1.2 Where the Horse is subsequently returned to Racing in accordance with Rules (E)26 or 26B, the Authority may at its discretion impose a period of time prior to the Horse's return to Racing during which the Owner shall be required to provide whereabouts information to the Authority for the purposes of the Horse being subject to Out-of-Competition Testing.

2.2.2 The Authority may at any time require the Owner to provide such whereabouts information as may be necessary so that the Authority may conduct Testing of the Horse at any time. The Owner shall provide such whereabouts information as may be requested within the time stipulated by the Authority. Where a subsequent change in circumstances means that the information provided to the Authority becomes no longer accurate or complete, the Owner must update the information as soon as possible to ensure that it is accurate and complete once again.

2.3 Horses Not Yet in training

2.3.1 For the purposes of this Rule, a Horse not yet in training shall mean a Horse which has been registered with the General Stud Book but is not yet registered with the Authority and in training.
2.3.2 Owners of Horses not yet in training must comply with the obligations to provide information on the location of their Horses as stipulated in this paragraph 2.3.

2.3.2.1 The owner of a Horse not yet in training shall be presumed to be the Breeder of the Horse unless he can establish otherwise to the satisfaction of the Authority.
2.3.2.2 The obligations on an owner to provide information in accordance with this paragraph 2.3 shall continue until (i) notification to the Authority that a Horse under his ownership has been sold to a third party including details of that owner, or the auction house through which it was sold (this can be made at any time, including upon request by the Authority for information under paragraph 2.3.3); or (ii) the Horse has been registered with the Authority and is now in training.

2.3.3 The Authority may at any time require the owner of a Horse not yet in training to provide such whereabouts information as may be necessary so that the Authority may conduct Testing of the Horse at any time. The owner shall provide such whereabouts information as may be requested within the time stipulated by the Authority. Where a subsequent change in circumstances means that the information provided to the Authority becomes no longer accurate or complete, the owner must update the information as soon as possible to ensure that it is accurate and complete again.

2.4 Any Responsible Person of a British-Based Horse may choose to delegate the task of complying with his obligations under paragraph 2 to a third party provided that the third party agrees to the delegation. The Authority may require written notice of any agreed delegation to be filed with it, signed by both the Responsible Person and the third party delegate. In all cases, the Responsible Person remains ultimately responsible at all times for complying with his obligations whether he does so personally or delegates the task to a third party. It shall not be a defence to an allegation of a Filing Failure that the Responsible Person delegated his obligations to a third party and that third party failed to comply with them.

3. Responsible Persons of Horses trained outside of Great Britain which are entered for a race in Great Britain

3.1 Subject to paragraph 3.8, in accordance with Rule (E)24, any Horse trained outside of Great Britain entered for or intending to enter a race in Great Britain must be present in Great Britain for a minimum of ten Business Days before the race for which it is entered, unless otherwise approved by the Authority.

3.2 In any such case, the Trainer shall be required to provide the Authority with whereabouts information as specified in this paragraph 3 so that the Authority may collect a Sample from the Horse on a timely basis and ensure that a negative analytical result can be confirmed prior to the race in question. In accordance with Rule (E)24, the Horse shall not be eligible to run in the race for which it is entered unless a Sample collected by the Authority and analysed by a BHA-approved Laboratory confirms no evidence of the Presence or Use of a Prohibited Substance or a Prohibited Method prohibited at all times.

3.3 For the minimum ten Business Day period in question, the Trainer shall complete a form prescribed by the Authority including the following information

3.3.1 the full address of the location where the Horse will be staying overnight each night;
3.3.2 the name and contact details (including mobile phone number) of a designated contact person who will be available at all times for Sample notification purposes.

3.4 The Trainer is responsible for ensuring that all information provided is accurate and in sufficient detail to enable the Authority to locate the Horse for unannounced Testing on any given day at the location(s) specified. More particularly, the Trainer must provide sufficient information to enable the Authority to find the location, gain access to the location, find the Horse at the location and make contact with the Responsible Person or his designated contact person (if any).

3.5 The information in paragraph 3.3 must be filed with the Authority no later than 14 Business Days before the first race for which the Horse is entered.

3.6 Where a subsequent change in circumstances means that the information on file at the Authority becomes no longer accurate or complete, the Trainer must update the information as soon as possible to ensure that it is accurate and complete once again.

3.7 A Trainer may choose to delegate the task of complying with his obligations under paragraph 3 to a third party provided that the third party agrees to the delegation. The Authority may require written notice of any agreed delegation to be filed with it, signed by both the Trainer and the third party delegate. In all cases, the Trainer remains ultimately responsible at all times for complying with his obligations whether he does so personally or delegates the task to a third party. It shall not be a defence to an allegation of a Filing Failure that the Trainer delegated his obligations to a third party and that third party failed to comply with them.

3.8 The Authority may choose to waive the whereabouts requirements under paragraph 3 in respect of Horses trained outside of Great Britain which are domiciled in a country that the Authority is satisfied has an appropriate Testing policy in place. In such a case, International Runners from outside any recognised country which travel to that country immediately prior to running in Great Britain shall also be exempt from the whereabouts requirements under this paragraph 3 provided that they are able to produce a Certificate of Analysis issued by a BHA-approved Laboratory reporting no evidence of the Presence or Use of Prohibited Substances or Prohibited Methods prohibited at all times in a Sample collected following a BHA-approved sampling process. Under this provision, International Runners are required to produce a new Certificate of Analysis each time that they leave Great Britain before travelling back via the recognised country immediately prior to racing in Great Britain again.

3.9 The Authority may choose to allow the Sample required in Paragraph 3.2 to be collected prior to arrival to Great Britain, by the Authority or its agents. In such circumstances, it may amend the whereabouts requirements on the Trainer under paragraph 3 to enable such Sample collection to occur. For the avoidance of doubt, the collection of a Sample under this paragraph in no way precludes the Authority also collecting Samples from the Horse upon arrival in Great Britain, as well as requiring the Trainer to provide whereabouts information necessary to allow any such Samples to be collected.

4. Responsible Persons of Horses permanently imported into Great Britain to be trained in Great Britain

4.1 Any Horse that is permanently imported into Great Britain to be trained in Great Britain must have an Export Certificate filed with the General Stud Book within 90 days of its arrival. At the same time as filing the Export Certificate, a Certificate of Analysis must be provided that has been issued by a BHA-approved Laboratory reporting no evidence of the presence or Use of a Prohibited Substance or a Prohibited Method prohibited at all times in a Sample collected by the Authority following the Horse's arrival in Great Britain.

4.2 Subject to paragraph 4.8, Responsible Persons for Horses permanently imported into Great Britain to be trained in Great Britain are required to provide the Authority with whereabouts information as specified in this paragraph 4 so that the Authority may collect a Sample from the Horse at any time at the Responsible Person's cost.

4.3 The Responsible Person shall complete a form prescribed by the Authority including the following information

4.3.1 the full address of the location where the Horse will be staying overnight;
4.3.2 the name and contact details (including mobile phone number) of a designated contact person who will be available at all times for Sample notification purposes.

4.4 The Responsible Person is responsible for ensuring that all information provided is accurate and in sufficient detail to enable the Authority to locate the Horse for unannounced Testing on any given day at the location(s) specified. More particularly, the Responsible Person must provide sufficient information to enable the Authority to find the location, gain access to the location, find the Horse at the location and make contact with the Responsible Person or his designated contact person (if any).

4.5 The information in paragraph 4.3 must be filed with the Authority within seven Business Days of the Horse's arrival in Great Britain.

4.6 Where a subsequent change in circumstances means that the information on file at the Authority becomes no longer accurate or complete, the Responsible Person must update the information as soon as possible to ensure that it is accurate and complete once again.

4.7 A Responsible Person may choose to delegate the task of complying with his obligations under paragraph 4 to a third party provided that the third party agrees to the delegation. The Authority may require written notice of any agreed delegation to be filed with it, signed by both the Responsible Person and the third party delegate. In all cases, the Responsible Person remains ultimately responsible at all times for complying with his obligations whether he does so personally or delegates the task to a third party. It shall not be a defence to an allegation of a Filing Failure that the Responsible Person delegated his obligations to a third party and that third party failed to comply with them.

4.8 The Authority may elect to waive the whereabouts requirements on Responsible Persons under paragraph 4 if a Horse which is being permanently imported into Great Britain has spent at least 12 consecutive months immediately prior to the date of importation in a country that the Authority is satisfied has an equivalent Testing policy in place to that of the Authority. The Authority may also elect to waive the requirement for the provision of the Certificate of Analysis referred to in paragraph 4.1.

4.9 At such time as a Horse permanently imported into Great Britain is duly registered with the Authority pursuant to Manual (E), Part 2, it shall become a British-Based Horse, and the obligations in paragraph 2 shall apply.

4.10 The Authority may choose to allow the Sample required in paragraph 4.1 to be collected prior to importation to Great Britain, by the Authority or its agents. In such circumstances, it may amend the whereabouts requirements on Responsible Persons under paragraph 4 to enable such Sample collection to occur. For the avoidance of doubt, the collection of a Sample under this paragraph in no way precludes the Authority also collecting Samples from the Horse upon arrival in Great Britain, as well as requiring the Responsible Person to provide whereabouts information necessary to allow any such Samples to be collected.

5. Filing Failures

5.1 The Authority may pursue a Filing Failure against the Responsible Person in the event that he fails to comply with the whereabouts requirements under this Schedule, including without limitation by

5.1.1 failing to file any of the information stipulated in this Schedule; or
5.1.2 failing to file or update the information stipulated in this Schedule on a timely basis; or
5.1.3 filing or updating the information stipulated in this Schedule but failing to include all of the information required; or
5.1.4 including information in the filing or update that is inaccurate or insufficient to enable the Authority to locate a Horse for Testing.

5.2 A Filing Failure may result from an administrative failure of the Responsible Person to comply with the requirements to provide information as required in this Schedule. Alternatively, a Filing Failure may only become apparent once the Authority has sought to test the Horse at the location specified in the information on file.

5.3 If the Authority considers that a Filing Failure has been committed, it shall notify the Responsible Person within 14 days and shall give the Responsible Person a reasonable deadline to respond to the allegation advising whether or not he admits the Filing Failure and, if not, why not. If the Responsible Person does not respond within the specified deadline, the Filing Failure shall be confirmed. If the Responsible Person does respond, the Authority shall consider all the facts raised by the Responsible Person before reaching its determination whether to record a Filing Failure. If the Authority records a Filing Failure, this shall be confirmed in writing to the Responsible Person, and the Owner or Trainer of the Horse as applicable.

5.4 A second or third Filing Failure may not be pursued against a Responsible Person unless he has been given notice of the previous Filing Failure and, if that Filing Failure revealed deficiencies in a whereabouts filing that would lead to further Filing Failures if not rectified, has been advised in the notice that, in order to avoid a further Filing Failure, he must file the required whereabouts by the deadline specified in the notice. If the Responsible Person still fails to file the required whereabouts within the deadline specified, a further Filing Failure may be pursued (regardless of whether the administrative process for finalising the previous Filing Failure has been concluded or not).

5.5 Where three Filing Failures are recorded against a Responsible Person within a 12-month period, the Authority shall charge the Responsible Person with a violation of Rule (G)2.8. For a violation of Rule (G)2.8 to occur, it is not necessary that the three Filing Failures are committed by a Responsible Person in connection with the same Horse. They may relate to any of the Horses under his care or control within the period in question. For the avoidance of doubt, if a Responsible Person commits a Filing Failure in respect of a number of Horses as part of the same filing (or the same failure to make a filing), it shall only count as one Filing Failure.

5.6 For the purposes of Rule (G)2.8, the 12-month period starts to run on the date when the Responsible Person commits the first Filing Failure. If two or more Filing Failures occur during the ensuing 12-month period, then a violation is committed, irrespective of the Responsible Person's compliance with the whereabouts requirements in between Filing Failures. If, following a Filing Failure, a 12 month period ensues without the occurrence of two subsequent Filing Failures, then the original Filing Failure shall be disregarded (and shall be deemed to have expired) for the purposes of determining whether a violation of Rule (G)2.8 has occurred; and, accordingly, a new 12 month period shall be deemed to have begun from (and including) the date of the next Filing Failure.

5.7 A Responsible Person alleged to have committed an anti-doping rule violation under Rule (G)2.8 shall have the right to have such an allegation determined at a full hearing in accordance with the Equine Anti-Doping Rules. The Disciplinary Panel shall not be bound by any determination made during the results management process and the Authority shall have the burden at the hearing of establishing that three Filing Failures have been committed within a 12-month period. If the Disciplinary Panel decides that one or more of the Filing Failures have not been established then no violation of Rule (G)2.8 will have been committed. However, the established Filing Failures will be carried forward and new proceedings may be brought based on a combination of the Filing Failure(s) established to the satisfaction of the Disciplinary Panel and any new Filing Failure(s) that are subsequently committed.

6. Missed Tests

6.1 The Authority may pursue a Missed Test against a Horse in the event that

6.1.1 The Authority seeks to test a Horse based on the whereabouts information provided by the Responsible Person on file at the Authority; and
6.1.2 The Horse cannot be located for Testing at the information on file.

6.2 Before pursuing a Missed Test, the Authority shall seek a report from the Approved Person into the circumstances of the attempted Test and satisfy itself that reasonable attempts were made to test the Horse based on the information on file with the Authority.

6.3 If the Authority considers that a Missed Test has occurred, it shall notify the Responsible Person for the Horse within 14 days and shall give the Responsible Person a reasonable deadline to respond to the allegation advising whether or not the Missed Test is admitted and, if not, why not. If the Responsible Person does not respond within the specified deadline, the Missed Test shall be confirmed. If the Responsible Person does respond, the Authority shall consider all the facts raised by the Responsible Person before reaching its determination whether to record a Missed Test. If the Authority does record a Missed Test, this shall be confirmed in writing to the Responsible Person of the Horse, and the Owner or Trainer of the Horse as applicable.

6.4 For the avoidance of doubt, a separate Filing Failure and a Missed Test (for the Responsible Person and Horse respectively) may arise out of the same set of facts.

6.5 A second or third Missed Test may not be pursued unless the Responsible Person has been given notice of the previous Missed Test(s).

6.6 Where three Missed Tests are recorded against a Horse within an 18-month period, the Authority shall charge the Responsible Person with a violation of Rule (G)2.8. For a violation of Rule (G)2.8 to occur, it is not necessary that the three Missed Tests take place whilst the Horse is under the care and control of the same Responsible Person. They may occur whilst the Horse is under the care or control of different Responsible Persons and irrespective of whether the Horse is in training or not.

6.7 For the purposes of Rule (G)2.8, the 18-month period starts to run on the date when the first Missed Test occurs. If two or more Missed Tests occur during the ensuing 18-month period, then a violation is committed, irrespective of whether the Horse has been tested in between the Missed Tests. If following one Missed Test, an 18-month period ensues without the occurrence of two subsequent Missed Tests, then the original Missed Test shall be disregarded (and deemed to have expired) for the purposes of determining whether a violation of Rule (G)2.8 has occurred; and, accordingly, a new 18-month period shall be deemed to have begun from (and including) the date of the next Missed Test.

6.8 The Responsible Person of a Horse alleged to have committed an anti-doping rule violation under Rule (G)2.8 shall have the right to have such an allegation determined at a full hearing in accordance with the Anti-Doping Rules. The Disciplinary Panel shall not be bound by any determination made during the results management process and the Authority shall have the burden at the hearing of establishing that three Missed Tests have occurred within a 18-month period. If the Disciplinary Panel decides that one or more of the Missed Tests have not been established then no violation of Rule (G)2.8 will have been committed. However, the established Missed Tests will be carried forward and new proceedings may be brought based on a combination of the Missed Test(s) established to the satisfaction of the Disciplinary Panel and any new Missed Test(s) that subsequently occur.