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The Orders and Rules of Racing

General Manual (A)


SCHEDULES

Schedule 7 - Appeal Boards

PART 1

Appeal Board Panels

1. The provisions of this Schedule apply to any appeal before an Appeal Board but they are subject to any specific requirements set out in these Rules.
2. The members of any Appeal Board will be selected from the Appeal Board Pool by the Judicial Panel Chairman in accordance with the Terms of Reference for the Appeal Board.
3. 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.
4. Each Appeal Board shall have an Appeal Board Chairman who shall be selected by the Judicial Panel Chairman from the Chairman's Panel in accordance with the Terms of Reference for the Appeal Board.
5. The Judicial Panel Chairman may delegate his function to the Deputy Judicial Panel Chairman.
6. The Appeal Board Chairman shall:

6.1 be a member or former member of the judiciary, a Queen's Counsel or a junior barrister or solicitor of more than 10 years post call or admission;
6.2 not be a Steward.

7. No Person is eligible to form part of the Appeal Board Pool:

7.1 if he has been the holder of a licence or permit granted by the Authority (whether as Rider or Trainer) within the previous 5 years;
7.2 if he is a director of, or is employed by, the Authority;
7.3 unless he has previously served on the Disciplinary Panel or Licensing Committee.

8. Deleted.
9. Deleted.
10. Deleted.
11. Deleted.

PART 2

Appeal rights

Decisions subject to appeal
12.1 There shall be a right of appeal to an Appeal Board against any of the decisions specified in Paragraph 12.2, 12.3 or 12.5.
12.2 The decisions specified here are any decision of the Authority

12.2.1 to refuse or withdraw a licence or permit on the ground that a Person is not a suitable Person,
12.2.2 to refuse a licence or permit on the ground that such action is necessary in the interests of racing, pending the outcome of an ongoing investigation or process (whether or not undertaken by the Authority),
12.2.3 to withdraw or suspend a licence or permit under Rule 63, or
12.2.4 to exercise the power of prohibition in Rule 65 (power to prohibit overseas riders from riding in races under these Rules).

12.3 The decisions specified here are any final decision or order of a Disciplinary Panel, apart from the following

12.3.1 the suspension of a rider under Rule 61 (rider's suspension at one racecourse extended to all racecourses),
12.3.2 the granting of (but not a decision to refuse to grant) an exclusion order under Rule 64 (power to issue exclusion orders),
12.3.3 the refusal of permission (but not a decision to grant permission) under Rule 71.2 (permission for disqualified person to be employed in a racing stable),
12.3.4 the imposition on granting of permission under Rule 71.2 (permission for disqualified person to be employed in a racing stable), the imposition of any limitation, condition or restriction on such permission,
12.3.5 a final decision or order made on an appeal brought and heard under Rules 76 to 82 (appeals to the Authority from a Stewards' decision), Regulations for Arabian Horse Racing under Regulations 85 to 88, or Regulations for Point to Point Steeple Chases under Regulations 146 to 149 and
12.3.6 the allowing or dismissal of an application under Rule 69.3 (power to order that a suspension imposed by a Recognised Racing Authority shall not apply).

12.4 But Paragraph 12.3.5 does not exclude a right of appeal against any Disciplinary Penalty imposed for contravention of Rule (B)58 (Schooling and/or Conditioning).
12.5 The decisions specified here and any decision or order in respect of which the Authority considers it appropriate to extend a right of appeal.

Persons who may bring an appeal

13.1 Subject to Paragraph 13.3, the only Persons who may bring an appeal are

13.1.1 a Person who has had a licence or permit refused, withdrawn or suspended,
13.1.2 a Person who has been subjected in accordance with these Rules to a Disciplinary Penalty or an award, order or other sanction,
13.1.3 a Person who has been found to have contravened a provision of these Rules,
13.1.4 in the case of a decision to disqualify or suspend a horse or demote its placing, one or more of the Trainer, the Rider or the owner of the horse, or
13.1.5 the Authority.

13.2 Where more than one of the Persons specified in Paragraph 13.1.4 wishes to appeal

13.2.1 the appeal shall be treated as a joint appeal, and
13.2.2 the appellants shall only be permitted joint legal representation and must choose one representative from amongst them,

unless the Appeal Board Chairman decides otherwise.

13.3 The Authority may extend the right of appeal to other Persons if it considers it appropriate to do so.

Grounds of appeal

14. Subject to Paragraph 14A, the grounds for bringing an appeal are

14.1 that the reasons given are insufficient to support the decision,
14.2 that the hearing was conducted in a way which was substantially unfair and prejudicial to the appellant,
14.3 that there was insufficient material on the basis of which a reasonable decision maker could have made the decision in question,
14.4 that the decision maker

14.4.1 misconstrued,
14.4.2 failed to apply, or
14.4.3 wrongly applied,

these Rules, General Instructions or regulations which are relevant to the decision,

14.5 that any Disciplinary Penalty or any award, order or other sanction is so disproportionate that no reasonable decision maker could have decided upon it, or
14.6 that there is evidence available for the appeal which, had it been available at the original hearing, would have caused the decision maker to reach a materially different decision.

14A The Authority does not have the right to appeal a decision under the ground specified in Paragraph 14.2.

Applications to stay implementation or vary conditions

15.1 There shall also be a right to apply to an Appeal Board

15.1.1 to stay the implementation of a decision, or
15.1.2 to vary any conditions upon which a stay may have been granted by the decision maker,

pending the Appeal Board's own decision on an appeal brought under this Schedule.

15.2 There are two grounds for an application under Paragraph 15.1

15.2.1 that no application for a stay was made to the decision maker and it is appropriate to grant a stay, or
15.2.2 that the refusal of the decision maker to grant a stay was unfairly made or is otherwise unjust, or that the conditions attached to the grant of any stay are unreasonable.

15.3 An application to stay or vary a decision must be made within 48 hours of the decision.
15.4 The application will be determined by an Appeal Board Chairman acting alone and normally only in writing, but in a sufficiently urgent case an Appeal Board Chairman may allow an application for an expedited hearing before him.
15.5 As much notice as practically possible will be given to the Authority when an application is received.
15.6 The Appeal Board Chairman may grant a stay subject to such conditions as he considers appropriate.
15.7 In reaching his decision the Appeal Board Chairman will take into account

15.7.1 whether there is a good arguable case for the substantive appeal succeeding, at least to the point where the Appeal Board would be likely to substitute a Disciplinary Penalty or an award, order or other sanction which would have attracted a stay under Rule 85 had it been originally imposed by the Authority,
15.7.2 whether the reason given by the applicant for not applying to the decision maker for a stay is sufficient, and
15.7.3 the fairness to the applicant and the interests of racing in the context of the time likely to be taken by the substantive appeal and any other relevant circumstances.

PART 3

Appeal Board procedure

Notice of appeal

16.1 A Person who wishes to appeal a decision (the appellant) must lodge a notice of appeal addressed to the Judicial Panel Secretary at the Authority's Office

16.1.1 within 7 days of the date of notification of the decision appealed against, but
16.1.2 if the decision appealed against involves a finding of a contravention of any provision of Rule (B)58 or (B)59.2, within 48 hours of that date.

16.2 When reasons are not given at the time of the decision, the date of notification shall be the date upon which written reasons are despatched to the appellant.
16.3 In a case within Paragraph 16.1.1, the notice of appeal must

16.3.1 state the specific decision or decisions being appealed,
16.3.2 set out any ground of appeal and the substantive injustice of allowing the original decision to stand,
16.3.3 set out the facts upon which the appeal is based,
16.3.4 be accompanied by a deposit of £800,
16.3.5 where appropriate, apply for leave to present new evidence under Paragraph 22.2, and
16.3.6 state whether the appellant will wish the Appeal Board to view any video evidence at the hearing of the appeal.

16.4 In a case within Paragraph 16.1.2, the notice of appeal must

16.4.1 state the specific decision or decisions being appealed, and
16.4.2 be accompanied by a deposit of £800,

and the appellant shall have a further 5 days to comply with the requirements of Paragraphs 16.3.2, 16.3.3, 16.3.5 and 16.3.6.

16.5 The deposit may be returned to an appellant, save:

16.5.1 that it shall be forfeited where the Appeal Board concludes that the appeal had no realistic prospect of success. In such circumstances, the written reasons shall address the issue;
16.5.2 where the Appeal Board orders that it be applied towards the satisfaction of any costs award.

16.6 Where a notice of appeal is lodged by electronic transmission, the deposit required to accompany the notice of appeal must be received not later than 5.00pm on the third day following the date of electronic transmission (including both the day of despatch and receipt).
16.7 An appellant who seeks relief from the requirement to lodge a deposit on account of hardship (which alone shall be the relevant consideration) must lodge with the notice of appeal a statement which

16.7.1 requests relief from the deposit requirement, and
16.7.2 sets out the relevant grounds and facts supporting the claim of hardship.

16.8 The request for relief shall be considered by the Appeal Board Chairman and his decision whether to give no relief or partial or total relief shall be final without any requirement to give reasons.

Convening an Appeal Board

17. Upon a notice of appeal being lodged at the Authority's Office in accordance with Paragraph 16, such notice of appeal shall be passed to the Judicial Panel Chairman who shall convene an Appeal Board consisting of himself or a member of the Chairman's Panel to act as Appeal Board Chairman and two other Persons from the Appeal Board Pool.
18. Deleted.

Initial stages

19.1 The respondent shall, within 7 days of receiving the notice of appeal, nominate an individual or individuals to represent it and shall notify the appellant and the Judicial Panel Secretary of the individual so nominated and of any subsequent change in the nomination.
19.2 The appellant may nominate an individual or individuals to represent him and shall notify the respondent (or its representative) and the Judicial Panel Secretary of any individual so nominated.
19.3 Nominations shall state the individual and the address to which communications concerning the appeal proceedings should be made.
20.1 The respondent shall serve a written reply to the notice of appeal on the appellant and the Judicial Panel Secretary as soon as possible and in any event within 14 days of the lodging of the notice of appeal.
20.2 Where appropriate, the reply must include any application for leave to present new evidence under Paragraph 22 and state whether the respondent will wish the Appeal Board to view any visual recording at the hearing.

Evidence

21.1 Subject to Paragraphs 21.2 and 21.3, an appeal shall be by way of a review only on documents and video evidence considered at the original hearing (where a request for video evidence has been made) and without oral evidence.
21.2 An Appeal Board may in exceptional circumstances order that the appeal takes place as a full rehearing of the case. The decision of the Appeal Board as to whether to grant a full rehearing of the case shall be final and binding.
21.3 The respondent and the appellant shall be entitled to make oral submissions to the Appeal Board and the Appeal Board may:

21.3.1 on a prior application made to it, order that Paragraph 21.1 shall not apply, and
21.3.2 give leave for the appeal to take place as a full rehearing under Paragraph 21.2 or to present new evidence under Paragraph 22.

22.1 The Appeal Board shall hear new evidence only where it has given leave that it may be presented.
22.2 An application for leave to present new evidence must be made in the notice of appeal or in the reply, setting out the nature and the relevance of the new evidence and why it was not presented at the original hearing.
22.3 Save in exceptional circumstances, the Appeal Board shall not grant leave to present new evidence unless

22.3.1 it is satisfied with the reason given as to why it was not, or could not reasonably have been, obtained and presented at the original hearing, and
22.3.2 it is satisfied that the evidence is cogent and might reasonably have caused the decision maker to reach a different conclusion.

22.4 The Appeal Board's decision shall be final.
23.1 The Judicial Panel Secretary shall prepare five sets of documents identically bundled and paginated, three of which shall be provided to the Appeal Board members and the others to the appellant and the respondent.
23.2 The sets of documents must be provided at least 7 days before the hearing and must comprise the following (or their equivalent)

23.2.1 any documents or other evidence referred to at the original hearing relevant to the appeal;
23.2.2 any transcript of the original hearing or extract from it of matters relevant to the appeal;
23.2.3 any notice published by the Authority concerning the decision being appealed and any written reasons for the decision not contained in such published notice;
23.2.4 any new evidence;
23.2.5 the notice of appeal;
23.2.6 the reply.

Chairman's instructions

24.1 The Appeal Board Chairman may upon the application of a party or otherwise, give any instructions considered necessary for the proper conduct of the proceedings, including but not limited to

24.1.1 requiring a Disciplinary Panel to clarify and/or amplify some aspect of the reasons given for the decision,
24.1.2 lengthening or shortening any time limit,
24.1.3 adapting or dispensing with any procedural steps set out in this Schedule,
24.1.4 requiring a record to be made of the proceedings or any part of them,
24.1.5 ordering Persons bound by these Rules to attend a hearing,
24.1.6 holding a preliminary hearing, and
24.1.7 requiring the provision of written submissions.

24.2 The decision of the Appeal Board Chairman shall be final.

The hearing

25. The Appeal Board may adjourn a hearing for such a period and upon such terms (including as to costs) as it considers appropriate.
26.1 Appeal hearings shall be conducted in private, except in relation to those matters which were conducted at the hearing below in the presence of representatives of the media, but in all other respects how, when and where the Appeal Board considers appropriate.
26.2 Reasonable notice shall be given by the Appeal Board of the date, time and venue of the appeal.
26.3 The appellant and the respondent shall respectively be given the opportunity to respond to the other's submissions in support of their applications, if any, to present new evidence.
26.4 Subject to the Appeal Board deciding to the contrary, the following procedures will apply at appeal hearings

26.4.1 the appellant will summarise their case,
26.4.2 the respondent will summarise their case,
26.4.3 any application to present new evidence will be dealt with,
26.4.4 the appellant will present new evidence to the extent permitted,
26.4.5 the respondent will present new evidence to the extent permitted,
26.4.6 where there is a witness, the Appeal Board, the respondent and the appellant shall have an opportunity to question each witness, and
26.4.7 the respondent will make any closing submissions before the appellant.

27. The Appeal Board may proceed in the absence of the appellant or the respondent in such manner as it considers appropriate, unless the Appeal Board is satisfied that there are reasonable grounds for the failure to attend.
28. The Appeal Board may, in the face of non-compliance with an order, requirement or instruction of the Appeal Board, take any action it considers appropriate, including an award of costs against the offender.

Decisions of an Appeal Board

29. The Appeal Board should allow an appeal

29.1 if satisfied that one or more of the grounds in Paragraph 14 have been made out and it would be unfair to allow the decision to stand, or
29.2 where new evidence has been presented on the appeal and the Appeal Board is satisfied in the light of that evidence that the decision was wrong.

30. In addition to allowing or dismissing an appeal, the Appeal Board may

30.1 exercise any power which the original decision maker could have exercised apart from

30.1.1 making an interim decision affecting a Disciplinary Penalty or an award, order or other sanction, or
30.1.2 granting or varying permission under Rule 71.2 (permission for disqualified person to be employed in a racing stable),

30.2 remit the matter for re-hearing,
30.3 order, in accordance with Paragraph 16.5, that any deposit be forfeited, returned or applied to satisfy any costs award,
30.4 where the appeal succeeds on grounds which include those set out in Paragraph 14.5, increase or decrease any Disciplinary Penalty or any award, order or other sanction originally imposed, or
30.5 make such further or other order as it considers appropriate, either generally or for the purpose of giving effect to its decision.

31.1 A decision, order, requirement, or instruction of the Appeal Board shall be determined by a majority which must include the Appeal Board Chairman.
31.2 But Paragraph 31.1 does not apply to any determination which this Schedule provides is to be made by the Appeal Board Chairman alone.
31.3 Any determination under Paragraph 31.1 shall be the determination of the Appeal Board and neither the notification of a decision nor any written reasons subsequently given shall include any reference to a minority or dissenting view.
32.1 A decision of the Appeal Board shall be final and binding, without prejudice to any right that the appellant may have to pursue further action in relation to the subject matter of any appeal to a judicial hearing.
32.2 If an Appeal Board is unable to reach a decision in accordance with Paragraph 31, the Appeal Board Chairman shall so certify and the Judicial Panel Chairman shall convene a new Appeal Board consisting of different members who shall proceed to hear the matter as soon as may be convenient.

Costs

33.1 Subject to Paragraph 33.2, in respect of the original hearing and the appeal, the Appeal Board shall have the power to make such order as to costs as it considers appropriate.
33.2 Where

33.2.1 an appeal has been brought by the Authority, and
33.2.2 that appeal has failed

the Appeal Board shall order that the Authority pay the respondent's costs of the appeal save to the extent that (1) the respondent has acted unreasonably in connection with the appeal, and/or (2) the costs incurred by the respondent in connection with the appeal are unreasonable.

33.3 But no party shall be required to pay or contribute to another party's costs, or to the costs of the proceedings, in excess of £20,000 in the aggregate.

Written decision

34.1 As soon as practicable after the hearing, the Appeal Board shall publish a written statement of its decision, stating

34.1.1 the name of the appellant, the decision or decisions appealed against and the grounds of appeal,
34.1.2 whether or not the appeal is allowed, and
34.1.3 the order or orders made by the Appeal Board.

34.2 The written statement shall be signed and dated by the Appeal Board Chairman and be the conclusive record of the decision.
35.1 Upon the request of any party to the Appeal, the Appeal Board shall within a reasonable timeframe give written reasons for the decision and may publish these in such manner as the Appeal Board Chairman considers appropriate.
35.2 No request for written reasons made under Paragraph 35.1 shall be considered unless it is received by the Judicial Panel Secretary within 5 days of the date of the announcement of the decision.

PART 4

Confidentiality

36.1 Any appellant or other Person taking part in any appeal process which is conducted in private shall respect the privacy and confidentiality of the appeal proceedings and of the evidence and of all documents and submissions prepared in connection with them.
36.2 All evidence and representations shall be privileged even if the hearing is not conducted in private.
36.3 But Paragraphs 36.1 and 36.2 are not intended in any way to constrain

36.3.1 what an Appeal Board may refer to in its written reasons even though these may be released for general publication, or
36.3.2 what any party may seek to rely on should it pursue further action in relation to the subject matter of any appeal to a judicial hearing.

36.4 Without prejudice to Paragraphs 36.1 and 36.2, 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.