Appendix III – APPEAL PROCEDURE
Introduction – The Appeal Board may hear an Appeal under Rule 163 from any person who is aggrieved by the Disciplinary Committee decision at an Inquiry. The conditions of Appeal, procedures for application for Appeal, and conduct of an Appeal are as follows:
APPEAL BOARD
i) There shall be a panel of persons being not less than three and not more than five in number eligible to sit on the Appeal Board which shall be convened to hear appeals from decisions of the Disciplinary Committee to the extent permitted by these Rules.
ii) The Nominations Committee of the GRB shall appoint a person eligible to serve as Chairperson of the Appeal Board. No person who has been subject to the Rules of Racing within the previous 5 years nor any current Member of the Disciplinary Committee shall be eligible to be Chairperson of the Appeal Board. Only a member or former member of the judiciary, Queen’s Counsel, Barrister or Solicitor of at least 10 years call or admission shall be eligible to be a Chairperson of the Appeal Board.
iii) The Nominations Committee of the GRB shall appoint the persons eligible to serve as members of the Appeal Board.
iv) The GRB shall make arrangements for the reasonable remuneration of the members of the Appeal Board when serving on an Appeal Board.
v) The members of the Appeal Board shall serve between 1-3 years unless they resign earlier. A member of the Appeal Board (including the Chairperson) may be required to resign from the Appeal Board at the request of a majority of members of the Appeal Board. At the end of his/her term as a member of the Appeal Board a person may be elected for a further term of 1-3 years by the Nominations Committee of the GRB.
CONVENING OF THE APPEAL BOARD
vi) Upon notification of receipt by the GBGB of a Notice of Appeal as provided below, the Chairperson of the Appeal Board shall convene an Appeal Board consisting of him/herself and at least two persons chosen by him/her from the persons eligible to serve on the Appeal Board.
vii) The GBGB shall in consultation with the Chairperson of the Appeal Board appoint an employee from within the GBGB to provide administrative support to the Appeal Board (“the Secretary”).
COMMENCEMENT OF APPEAL
viii) A person wishing to appeal a decision of the Disciplinary Committee (“the Appellant”) shall lodge a Notice of Appeal with the GBGB Director of Regulation within 28 days after the relevant date. Any Notice of Appeal submitted outside of that time limit shall not be considered other than in exceptional circumstances. The relevant date is:
a) The date of the decision appealed against or such later date as the Chairman of the Disciplinary Committee making that decision shall decide upon, or
b) In the case of an Appeal under paragraph 11 below, the date upon which the Appellant knew or ought reasonably to have known of the evidence upon which the Appellant seeks to rely.
ix) The Notice of Appeal must:
a) state the specific decision(s) being appealed;
b) state the decision(s) being sought from the Appeal Board;
c) set out the ground(s) of appeal and the substantive injustice of allowing the decision appealed against to stand;
d) set out the facts upon which the appeal is based;
e) attach a copy of every document and witness statement that was placed before the Disciplinary Committee in connection with the decision appealed against;
f) state whether the Appellant seeks an oral hearing of the appeal and the time estimate for such hearing; and
g) be signed by the Appellant, or his/her Counsel, Solicitors or other representative.
x) The Appellant shall lodge the sum of £750 as the appeal fee with the Director of Regulation with the Notice of Appeal. An Appellant who seeks relief from the requirement to lodge the appeal fee on account of hardship (which shall be the sole relevant consideration) shall lodge with the Notice of Appeal a statement requesting relief from the appeal fee requirement, setting out the relevant grounds and facts supporting the claim of hardship, and attaching any evidence relied upon. The request for relief shall be considered by the Chairperson of the Appeal Board without an oral hearing and whose decision whether to give partial or total relief shall be final without any requirement to give reasons. The appeal fee or any part of the appeal fee shall be repaid or withheld as the Appeal Board so directs.
NEW EVIDENCE
xi) An Appellant who wishes to appeal against a decision of the Disciplinary Committee on the grounds that the Appellant has new evidence to put before the Appeal Board relevant to the decision made by the Disciplinary Committee which was not considered by the Disciplinary Committee shall in addition to the matters set out in paragraph ix above:
a) Provide a copy of all of the new evidence.
b) State when and how he first became aware of the new evidence.
c) State why such evidence was not obtainable at the time of the Inquiry.
d) State how the new evidence would materially affect the decision made by the Disciplinary Committee.
e) State how it is said the new evidence is reliable and credible.
CONDUCT OF APPEAL
xii) The Chairperson of the Appeal Board may upon application of the Appellant or otherwise, make any order, give any direction or instruction considered necessary for the proper conduct of the proceedings, including but not limited to the following:
a) lengthening or shortening any time limit;
b) adapting or dispensing with any procedural steps set out in these conditions;
c) requiring a record to be made of the proceedings or any part of them;
d) ordering any person bound by the Rules of Racing to attend a hearing;
e) holding a preliminary hearing;
f) suspending the decision of the Disciplinary Committee pending the determination of the appeal; and
g) adjourning a hearing for such a period and upon such terms as he/she considers appropriate.
The decision of the Chairperson in respect of the matters set out above shall be final.
xiii) Unless the Appeal Board directs otherwise, the appeal shall not operate to suspend the decision of the Disciplinary Committee appealed against.
xiv) The Chairperson of the Appeal Board may dismiss an appeal with or without giving the Appellant an oral hearing if the Chairperson of the Appeal Board is satisfied that the Appeal is frivolous, vexatious or brought for any improper purpose.
xv) Subject to the Appellant requesting an oral hearing in a Notice of Appeal which complies with the provisions regarding commencement of the Appeal as contained in paragraphs viii to x above, and subject to paragraph xiv above, the Appellant shall be entitled to an oral hearing of the appeal. If the Appellant requests an oral hearing of the appeal to which he/she is entitled, the Secretary shall notify the Appellant in writing of the time, date and place of the oral hearing. Such notice shall be provided no later than 28 days before the proposed date of the oral hearing.
xvi) The Appellant shall lodge with the Secretary of the Appeal Board 3 copies of his/her written submissions summarising his/her case on the facts and the law no later than 14 days prior to the date of the hearing of the appeal notified by the Secretary.
xvii) If the Appellant fails to comply with paragraph ix (f) above, or if the Appellant fails to attend a duly notified oral hearing, then the Appeal Board may proceed to consider and determine the appeal in the absence of the Appellant in such manner as it considers appropriate.
xviii) The appeal shall be considered by the Appeal Board and shall be by way of review of the Inquiry. The Appeal Board may hear oral evidence. The Appeal Board shall conduct the appeal hearing in such manner as it considers fit and otherwise in accordance with the Rules of Racing. Any such hearings shall be in private unless the Appeal Board otherwise directs.
xix) The Appeal Board shall reach its decision on any issue on the appeal by a majority, and if the Appeal Board fails to reach a majority decision on any issue, the decision of the Chairperson of the Appeal Board shall be final.
xx) The Appeal Board may:
a) confirm, reverse or otherwise vary the decision of the Disciplinary Committee or;
b) remit a case for re-hearing either to the original Disciplinary Committee or a newly constituted Disciplinary Committee.
The Appeal Board shall have all of the powers that were available to the Disciplinary Committee in respect of the original decision.
xxi) The Appeal Board shall announce its decision to the Appellant as soon as is practicable in such manner as it considers appropriate. The Appeal Board shall, upon the receipt of a request in writing of the Appellant (such request to be received by the Secretary within 7 days of the announcement of the decision), give written reasons for the decision and may publish these reasons in such manner as the Chairperson thinks appropriate.