APPENDIX VI – GRB GUIDELINES, PROCESS AND PENALTIES
1 Introduction
1.1 The GRB Guidelines, Process and Penalties are for use by the Stipendiary Stewards, Disciplinary and Appeal Committees when they are considering whether a penalty is appropriate, and if so which penalty to impose upon an individual. For ease of understanding these three parties are collectively referred to as the Disciplinary Authority throughout the remainder of this document.
1.2 It is important that those responsible for determining a penalty, and the person liable to the penalty issued under the GBGB Rules of Racing know, prior to any decision being made, which penalties are available and which matters the Disciplinary Authority should take into account when coming to a decision.
1.3 The Disciplinary Authority will exercise its own judgment in making decisions but, having regard at all times to the regulatory framework contained in the Rules of Racing, each case will be judged on its own merits.
1.4 The Disciplinary Authority should hear from the affected person, personally at a hearing. If attendance at the hearing is not possible, the Disciplinary Authority should receive a full written explanation from the affected person of the circumstances of the event that are the subject of the allegations, together with all matters that person considers are relevant in mitigation. Documentary evidence should, where possible, be submitted to support any assertions made with any supporting testimony. Where such documentary evidence has not been made available, for whatever reason, the Disciplinary Authority will make a judgment on the evidence presented.
2 Who is affected by these Guidelines?
2.1 Each Director, occupier, or Authorised Representative of a Racecourse Executive and every person who is an Owner, Authorised Agent, Licence holder or the holder of a temporary appointment under Rule 104, or who is a subject of Rule 83 (v), or is a registered Sales Agent shall be deemed to have read the Rules of Racing, including the GRB Guidelines, Process and Penalties contained in Appendix VI and then and thereafter whether or not he/she subsequently ceases to fall within one of the above categories to submit himself/herself to compliance with the Rules.
3 Powers available
3.1 The Disciplinary Authority must receive and deliberate on all the relevant evidence in a case. Once it has done so it may make any one or more of the following orders against the affected person or may order that no further action be taken when it determines that none of the following orders is appropriate in the circumstances:
a) that the affected person be subject to no further action; cautioned; reprimanded or severely reprimanded,
b) that the affected person be fined a sum not exceeding £5,000;
c) that the affected person’s licence be withdrawn and no such further licence granted for a minimum period of six months/or greater period, including indefinitely, as the Disciplinary Authority thinks fit.
d) if he/she is an Owner, Authorised Agent or Licence Holder to be disqualified for any specific period or indefinitely from owning or being the Authorised Agent for that Owner of a registered Greyhound and the provisions of Rule 177 shall have effect: or
e) to be warned off for any specific period or indefinitely, namely to be excluded from any premises licensed by the GBGB, and the provisions of Rule 178 shall have effect. In any case where the Disciplinary Committee are minded to make an order warning off any person who is not otherwise subject to these Rules by virtue of Rule 2, that person shall have the right to show cause at an Inquiry why he/she should not be warned off; the provisions of Rule 1(vi) shall apply.
3.2 In all cases the Disciplinary Authority may decide that a hearing be adjourned and/or referred to a hearing before a differently constituted Disciplinary Authority.
3.3 Rule 163 allows any person the subject of a Disciplinary Committee Inquiry who is aggrieved by the decision of the Disciplinary Committee Inquiry shall be entitled to appeal to the Appeal Board subject to and in accordance with the provisions of Appendix III to the Rules of Racing.
3.4 Appendix III of the Rules of Racing describes the Appeal procedure available to any person who is aggrieved by the Disciplinary Committee decision at an Inquiry, or at a re-opened Inquiry. The Appeal Board may confirm, reverse or within its discretion change the decision of the Disciplinary Committee.
3.5 The Appeal Board shall have available to it all the powers that were available to the Disciplinary Committee in respect of the original decision.
3.6 If at any time it appears to the GRB or Director of Regulation that, having regard for the seriousness of the alleged matters, the circumstances justify the temporary suspension of a Licence or temporary warning off of the Affected Person or temporary suspension of a Greyhound until an Inquiry held under this Rule, unless thereafter revoked, or until such earlier date as may be appropriate, pending the outcome of the Inquiry, the GRB or Director of Regulation shall have power to make such temporary order with immediate effect and any Affected Person or Owner or Authorised Agent in the case of a Greyhound may apply upon reasonable notice in writing to the GRB or Director of Regulation for the revocation of such order, and the GRB or Director of Regulation shall have power to revoke such order.
3.7 Under Rule 164 The Disciplinary Committee may order costs and expenses relating to a Local Inquiry and/or GRB Inquiry.
4.1 The purpose of a penalty issued by the Disciplinary Authority is to:
a) protect the welfare of the greyhound
b) protect the integrity of greyhound racing
c) maintain public confidence in the greyhound industry
d) maintain proper standards of conduct of licensed persons
or a combination of the above.
4.2 The purpose of the Disciplinary Authority is not simply to discipline the affected person for any wrongdoing for which he or she may be responsible but to bring about a behavioural change in a clear and positive manner.
4.3 Any penalty issued by the Disciplinary Authority may be accompanied by an advisory notice. This notice will state that further breaches or continuance thereof may render a GBGB licence holder subject to an increased penalty. The objective of the advisory notice is to point out to the license holder what changes in behaviour or attitude are required.
4.4 These measures are designed to protect the greyhound, the betting public and to maintain integrity in the greyhound industry. In undertaking this function the Disciplinary Authority aims to maintain public confidence in the industry.
5 Consistency and Proportionality of Penalty
5.1 In deciding what penalty is appropriate, the Disciplinary Authority needs to weigh the interests of the greyhound, and the public, against the actions of the licensed person.
5.2 Any penalty imposed should; be broadly consistent with previous penalties; be proportional to the seriousness of the breach of Rules; and should also be the minimum penalty necessary to achieve the purpose. To help determine these three guidelines the Disciplinary Authority must take into account all the circumstances of the case.
5.3 The Disciplinary Authority will need to consider in particular:
a) any relevant aggravating features such as previous breaches, compromising the welfare of the greyhound, violence or threats, associated criminality, gambling-related Rule breaches etc.
b) any relevant mitigating factors such as a clean previous record, admission of guilt, understanding of the offence and declared intention not to re-offend etc.
c) the personal circumstances of the individual and whether any extenuating circumstances should be taken into account, perhaps through recent bereavement, illness etc.
d) any character and/or other references provided in support of the individual.
e) whether the affected person could not have known or have taken reasonable steps to have known that the offence was being considered or committed.
f) whether the general evidence provided suggests that personal efforts are in line with the Rules of Racing, e.g. the treatment book has been completed properly.
6.1 The Disciplinary Authority may make any one or more of the following orders, except that a caution, a reprimand and a severe reprimand cannot be combined with each other.
No further action
6.2 In all cases, the Disciplinary Authority may decide that it is appropriate to take no further action. For example, where the Rule breach is inadvertent, or the welfare of the greyhound is not jeopardised, the public is not at risk and there would be no purpose served by ordering a penalty.
Caution
6.3 This is the lowest penalty that can be applied by the Disciplinary Authority. A caution may be appropriate where the conduct is at the lower end of the spectrum of perceived harm to the industry, but the Disciplinary Authority nevertheless wishes to indicate that the behaviour was unacceptable.
6.4 Relevant factors to take into consideration (this list is not exhaustive):
a) evidence of no risk to the welfare of the greyhound
b) evidence of the affected person’s understanding and appreciation of failings
c) the conduct was an isolated incident, and not deliberate
d) genuine regret has been expressed
e) previous good history
Reprimand
6.5 A reprimand is appropriate where the misconduct is considered to be of a minor nature and there is no continuing risk to the welfare of the greyhound, or risk to the betting public. There is evidence of the affected person’s understanding and appreciation of the conduct found proved.
Severe Reprimand
6.6 A severe reprimand is appropriate where the misconduct is of a serious nature but there are particular circumstances of the case or mitigation advanced which satisfy the Disciplinary Committee that there is no continuing risk to the welfare of the greyhound, or risk to the betting public, and there is evidence of the affected person’s understanding and appreciation of the conduct found proved. In effect a severe reprimand is just one step away from withdrawal of the licence, and may be a suitable penalty where the individual has repeatedly breached the Rules of Racing, or where previous reprimands have gone unheeded. No Stipendiary Steward may impose this penalty.
Fine
6.7 The Disciplinary Committee may impose a fine up to £5,000 as the only penalty, or combine a fine with an additional penalty. The Stipendiary Steward may impose a fine up to £1,000 as the only penalty, or combine a fine with an additional penalty. For example, the Disciplinary Authority may feel that a particular penalty is appropriate, but that it should be combined with a fine to reflect properly the seriousness with which it views the conduct. Or, in the case of the Disciplinary Committee, a fine may be appropriate where a higher penalty was being considered; for example, a near withdrawal of a licence might incur a severe reprimand plus a large fine. In other cases, the fine may reflect the amount by which the affected person has, or might have, financially profited from the Rule breach.
Withdrawal of licence
6.8 Withdrawal of licence is appropriate where this is the only means of protecting the welfare of the greyhound, or of protecting the betting public and/or the conduct is so serious as to undermine public confidence in the greyhound industry if the affected person were to remain licensed. A licence may be withdrawn indefinitely or for a specified period (see para. 3.1.c.). No Stipendiary Steward may impose this penalty.
Disqualification
6.9 Disqualification is a more severe penalty than Withdrawal of Licence and can be applied to both licensed and unlicensed persons as a means of protecting the welfare of the greyhound, or of protecting the betting public. A disqualification prevents the affected person holding any GBGB licence or operating in any licensed capacity, or being the registered owner of a greyhound. Disqualification may be imposed by the Disciplinary Committee only and for an indefinite or specified period. No Stipendiary Steward may impose this penalty.
Warning Off
6.10 Warning Off is the most severe penalty that can be handed down by the Disciplinary Committee and can be applied for a specific or indefinite period. This penalty disqualifies the affected person from holding any GBGB licence, operating in any licensed capacity or being the registered owner of a greyhound. In addition it excludes the affected person from any GBGB Licensed Racecourse and all places under their control and any other premises the subject of a GBGB licence, including any trainer’s kennels and related facilities. No Stipendiary Steward may impose this penalty.
7.1 The Penalty Guidelines set out on the following page relate back to the Section 4 – Purpose of the Penalty. These are repeated here for ease of reference.
7.2 The purpose of a penalty issued by a Disciplinary Authority is to:
a) protect the welfare of the greyhound
b) protect the integrity of greyhound racing
c) maintain public confidence in the greyhound industry
d) maintain proper standards of conduct of licensed persons
7.3 The following Penalty Guidelines are for guidance only and are not intended to be treated as a tariff.
7.4 Each case will be judged on its own merits. In assessing the appropriate penalty, the Disciplinary Authority must consider any aggravating or mitigating factors relevant to the alleged conduct in question. The Disciplinary Authority may depart from the Penalty Guidelines where there are aggravating factors that would increase it or mitigating factors, which would decrease it. The Disciplinary Authority is free to attach such weight as it thinks fit in its absolute discretion to any aggravating or mitigating factors. The aggravating and mitigating factors listed are illustrative only and are not exhaustive.
7.5 When the Disciplinary Authority has determined the appropriate penalty, it must then consider if there are any mitigating factors provided by the person responsible. Before reaching a final decision, the Disciplinary Authority will consider whether the penalty it has arrived at is the minimum necessary to achieve the purpose, and whether personal mitigation has been taken into account, in accordance with Section 5 – Principle of Proportionality.
Example Offence – Failure to protect the welfare of the greyhound
7.6 Penalty Guide: Disqualification. May include fine up to £5000.
7.7 Possible Aggravating Factors: Deliberate breach of the Rules pertaining to the welfare of the greyhound; involvement in unusual betting patterns; involvement in corrupt or fraudulent practice; doping of the greyhound.
7.8 Possible Mitigating Factors: Admission of guilt; previous good conduct; personal circumstances; expression of regret; acting under duress.
Example Offence – Failure to protect the integrity of greyhound racing
7.9 Penalty Guide: Disqualification. May include fine up to £5000.
7.10 Possible Aggravating Factors: Deliberate breach of Rules pertaining to the racing of the greyhound e.g. deliberately running greyhounds not qualified to race; involvement in unusual betting patterns; changing draw procedure for open races; sending races off before the advertised off-time in order to benefit from betting on known results; involvement in corrupt or fraudulent practice.
7.11 Possible Mitigating Factors: Admission of guilt; previous good conduct; personal circumstances; expression of regret.
Example Offence – Undermining public confidence in the greyhound industry
7.12 Penalty Guide: Reprimand. May include fine up to £1000.
7.13 Possible Aggravating Factors: Repeated Rule breaches; false witness statements or documentation; hostility to Stipendiary Steward; lack of co-operation; complaints from public.
7.14 Possible Mitigating Factors: Admission of guilt; previous good conduct; personal circumstances; expression of regret.
Example Offence – Improper standard of conduct by licence holder
7.15 Penalty Guide: Reprimand. May include fine up to £500.
7.16 Possible Aggravating Factors: Repeated Rule breaches; false witness statements or documentation; hostility to Stipendiary Steward; lack of cooperation; complaints from licensed persons.
7.17 Possible Mitigating Factors: Admission of guilt; previous good conduct; personal circumstances; expression of regret.
8 Application of the disciplinary process
8.1 The purpose underpinning the Penalty Guidelines is to show the decision making process at each stage and the role of those within that process. The desired outcome is that of clarity and consistency in approach to cases. This is so whether a case is to be heard at a Local Inquiry level or through the Disciplinary Committee or to the Appeal Board.
8.2 The overriding factor is that the affected person who is subject to the GBGB Rules of Racing or those observing the process should be in no doubt as to what the procedures are and possible outcomes based upon these processes.
8.3 Two main processes have been identified that chart the decision making process. These are contained within the process maps with these GRB Guidelines, Process and Penalties.
8.4 The Decision Making Process: Functions
Preliminary Investigation
8.4.1 The primary purpose of a Preliminary Investigation is to assess whether there has been a breach of a Rule. The role of the Local Stewards is to gather the available evidence. At this stage the Local Stewards can decide that an Inquiry is not required. This assessment must take place within 4 weeks of the incident occurring in order to assist with timeliness. Once the Local Stewards have reached a decision that an inquiry need not be called they will consult with the Area Stipendiary Steward who will ratify their decision and forward the case papers to the Senior Stipendiary Steward for filing. There will be no publication of this decision in the race card. If the Area Stipendiary Steward disagrees and believes there is a case to answer the matter will be subject to a Local Inquiry. The Area Stipendiary Steward will forward the case papers to the Senior Stipendiary Steward.
8.5 Local Inquiry (see process map)
Origin of a complaint or allegation
8.5.1 Any complaint from a third party, anonymous or otherwise, may be received by GBGB and require investigation. The complaint will be recorded.
Who decides the allocation of a complaint or allegation
8.5.2 A combination of two of the following namely, Director of Regulation (DoR), Senior Stipendiary Steward (SSS) or Manager of Welfare and Integrity Services (MWIS) will review the case and decide whether the matter is connected with a Racecourse and, if so, the Racecourse Executive will be informed. The only exception to this will be where a criminal allegation is involved that must be forwarded to the appropriate law enforcement agency.
8.5.3 Otherwise the reviewers will indicate in writing that the matter will be investigated and heard at local level by a Stipendiary Steward. An indication will be given on the papers as to who are considered to be the affected persons and which Rules are believed to have been breached.
Time limits for investigation
8.5.4 The result of the investigation carried out by the Stipendiary Steward (or Investigating Officer) will normally be completed within 9 weeks of the complaint being allocated to them (although in complex or protracted investigations this time may be extended). Normally within 12 weeks of the complaint or allegation the Local Inquiry is to be held or be adjourned. Within 3 days of a Local Inquiry being held the Stipendiary Steward shall send a written report to the DoR who shall promulgate such findings in writing and any penalties imposed by the Stipendiary Steward. The results of the Local Inquiry together with brief reasons shall be communicated in writing by the DoR to the person or persons subject to the Inquiry as soon as practicable after the conclusion of the Inquiry.
Review of Investigation
8.5.5 An investigation undertaken by a GBGB Investigating Officer will be forwarded to the DoR who will invite the SSS and MWIS to review the case. The options are either to forward to the Stipendiary Steward to hear as described above, or to forward for a hearing before the Disciplinary Committee.
Cases to be determined by the Stipendiary Steward
8.5.6 The expectation is that the outcome of the majority of all cases will be determined by a named Stipendiary Steward who may be accompanied by a second Stipendiary Steward, however all cases of positive samples will be forwarded to the DoR for determination before the Disciplinary Committee. The pictorial chart shown below illustrates this process.
8.5.7 Stipendiary Stewards will also hear, where appropriate, those cases investigated by one of the GBGB Investigators where after review by a combination of the DoR, Senior Stipendiary Steward or MWIS it is considered proportionate for the case papers to be forwarded to the Area Stipendiary Steward to be heard.
8.5.8 In all cases the Stipendiary Steward will be responsible for informing the Authorised Representative and the Racing Manager in writing that they will be conducting a Local Inquiry. The written communication will detail those considered as the affected person(s) and state the possible breach of the Rules.
8.5.9 The Stipendiary Steward will also write to the affected person setting out the possible breach of Rules. That written communication will also contain a reference to the process by which an affected person can, if they wish, accept the breach and the consequences of so doing.
8.5.10 The Racing Manager will arrange the Local Inquiry and inform all parties of the date, time and place. It is the responsibility of the Racing Manager to ensure that the Local Inquiry takes place within 21 days of notification by the Stipendiary Steward, see paragraph 8.5.8.
8.5.11 Upon hearing the evidence at the Local Inquiry the Stipendiary Steward shall refer to Section 5 – Consistency and Proportionality of Penalty and consider the appropriate penalty as laid down in Section 6 – Description of the Penalty. Some examples of the types of breach and attendant sanctions are outlined in Section 7 – Penalty Guidelines.
8.5.12 If at the Local Inquiry an affected person chooses not to submit themselves to the jurisdiction of the Stipendiary Steward the case papers will be forwarded to the DoR and the case will proceed to a Disciplinary Hearing.
Stipendiary Steward having held a Local Inquiry refers case back to the DoR
8.5.13 Cases may arise where for whatever reason a Stipendiary Steward having heard a Local Inquiry forwards the case papers to the DoR to consider. These matters will be rare given the expectation that the Stipendiary Steward will deal with the majority of cases. If this does occur and the DoR having reviewed the case with either the SSS or MWIS consider that it should continue to be dealt with by the Stipendiary Steward, rather than the Disciplinary Committee, the case may be referred back to the Stipendiary Steward under Rule 159 (iv). Where the case is to be brought before the Disciplinary Committee it will normally be heard within 16 weeks of the complaint or allegation.
8.5.14 From any Local Inquiry the papers will be registered with the DoR and the results published.
8.6 Positive Sample (See Process Map)
8.6.1 Samples will be taken from greyhounds in accordance with the procedures laid out at Appendix IV of the GBGB Rules of Racing.
8.6.2 Notification of a positive sample will be referred from the laboratory dealing to the Director of Regulation and any person designated by the DoR to receive, prepare reports or distribute such information on his behalf. They may also confidentially consult other authorities at their discretion.
8.6.3 Within 48 hours or as soon as reasonably practicable, person(s) designated by the Director of Regulation will provide the DoR or his nominee with a written confirmation that a case can proceed. The GBGB veterinary director will oversee the process outlined at 8.6.2 above.
8.6.4 The DoR or nominee will in accord with internal procedures ensure that the owner and trainer are informed of the positive sample before the details are sent to the Racing Manager of the Racecourse where the sample was taken or the media informed. This should be within four weeks of the race taking place.
8.6.5 The Stipendiary Steward will be instructed to hold a Local Inquiry and will notify the Authorised Representative by letter setting out the details, as referred to under the heading Cases to be heard by the Stipendiary Steward. The Racing Manager is responsible for informing all parties; including the Authorised Representative of the Racecourse concerned of the date and time a Local Inquiry is to be heard (see paragraph 8.5.10).
8.6.6 Having held a local inquiry the Stipendiary Steward will forward the case papers to the DoR. The DoR or his nominee will review the case papers. Having held the review if further evidence or clarification of matters is required before further action is taken, then the DoR or his nominee will request the appropriate person e.g. Independent Scientific Advisor or Investigator that further inquiries be undertaken or evidence obtained.
8.6.7 Normally within 16 weeks of the race a Disciplinary Committee hearing will be held. At the conclusion the results will be published and the relevant parties informed.
8.7 The Decision Making Process: Instructions
Acceptance that a Rule has been breached
8.7.1 It will be open to the person responsible to be able to agree that they have committed a breach or breaches of the Rules. This plea can be entered at the Local Inquiry or at a Disciplinary hearing. This should be taken into consideration when, having heard any mitigation, the Stipendiary Steward or the Disciplinary Committee is deciding upon a penalty. The Disciplinary Authority will have regard to Section 5 – Consistency and Proportionality of Penalty. They should take into consideration the type of breach being dealt with, previous disciplinary history, if any, and any other relevant factors. In reaching a decision on penalty, the Disciplinary Authority should give credit for such a plea.
Roles and Responsibilities
8.7.2 Director of Regulation. The DoR has overall responsibility for enforcement of the Rules as laid down by the GBGB. In consultation with the SSS and the MWIS he has responsibility for the day to day running of the sampling and investigative strategy, including those matters undertaken by the Stipendiary Stewards.
8.7.3 In reaching any decision as to whether a breach of the Rules has occurred the DoR with the SSS and the MWIS will assess whether a breach of the Rules has occurred. Depending upon the nature of the alleged breach, one of the processes outlined above will be followed.
8.7.4 In order to assist them at this stage of the decision making process, the DoR, SSS and MWIS as part of the Disciplinary Authority, can refer to the principles enunciated under Section 4 – Purpose of Penalty. Factors to consider include:
a) Protect the welfare of the greyhound
b) Protect the integrity of greyhound racing
c) Maintain public confidence in the greyhound industry
d) Maintain proper standards of conduct of licensed premises
8.7.5 In addition, recognition is given to Rule 174 (sub section (i) only) which designates matters that can only be heard before the Disciplinary Committee. The DoR also has at his discretion the powers available under Rule 159 i-iv which allow for a complaint to be dismissed, no further action to be taken, referral to the Disciplinary Committee or to refer a case back to a Stipendiary Steward where a Local Inquiry has already been heard.
8.7.6 Manager of Welfare and Integrity Services. Is the Deputy to the DoR and will form part of the tripartite decision making function in assessing the course of action to be taken under the processes described above.
Local Inquiry – Role of the Stipendiary Steward
8.7.7 The Stipendiary Steward will undertake all Local Inquiries or investigations delegated to them within the allotted timescales laid out above.
8.7.8 Where a Local Inquiry is held or where a matter they have referred to the DoR for consideration is referred back to them to administer a sanction the Stipendiary Steward in administering a sanction will have regard to the following principles:
a) Protect the welfare of the greyhound
b) Protect the integrity of greyhound racing
c) Maintain public confidence in the greyhound industry
d) Maintain proper standards of conduct of licensed premises
8.7.9 The Stipendiary Steward will take into account when dealing with each case on an individual basis; Section 5 – Consistency and Proportionality of Penalty.