Requirements as per Rule 3610

Alleged Anti-Doping Rule Violations

HIWU will post on its website:

• Name of Covered Person(s);

• Name of Covered Horse(s); and

• Rule(s) allegedly violated (and Banned Substance/Method involved, if applicable).

Depending on which is earliest, public reporting will occur:

• After the imposition of a Provisional Suspension (if applicable).

• In cases where there is an Adverse Analytical Finding (“AAF”), i.e., a positive test, after the service of an Equine Anti-Doping Notice of the A Sample positive test.

• In non-AAF cases, after the service of the Charge Letter, if no Provisional Suspension has been imposed.

• Following the admission of a violation by the Covered Person, if the alleged violation hasn’t already been reported pursuant to the aforementioned occurrences.

• For human substances of abuse, public disclosure does not occur until B Sample analysis is waived or confirms the A Sample finding.

The majority of alleged Anti-Doping Rule Violations will result in the imposition of a Provisional Suspension on both the applicable Covered Person and the Covered Horse.

Alleged Controlled Medication Rule Violations

HIWU will post on its website:

• Name of Covered Person(s);

• Name of Covered Horse(s); and

• Rule(s) allegedly violated (and Controlled Substance/Method involved, if applicable).

Depending on which is earliest, public reporting will occur:

• After the imposition of a Provisional Suspension (if applicable).

• In cases where there is an Adverse Analytical Finding (“AAF”), i.e., a positive test, after the B Sample confirms the AAF or the Covered Person waives the testing of the B Sample.

• In non-AAF cases, following the service of the Charge Letter.

• Following the admission of a violation by the Covered Person, if the alleged violation hasn’t already been reported pursuant to the aforementioned occurrences.

Requirements as per Rule 3620

Resolution of Alleged Violations

HIWU is required to publicly disclose the resolution of alleged violations within 20 days of:

• A final decision; or

• A resolution between HIWU and the Covered Person; or

• The withdrawal of a charge by HIWU.

As per the ADMC Protocol, public disclosure will include:

• The name of the Covered Person who committed the violation(s) and any Covered Horse(s) implicated by the violation;

• The ADMC Protocol Rule(s) violated;

• The Banned/Controlled Substance(s) or Method(s) involved, if any;

• The Consequences imposed;

• Any final decision or a summary thereof; and

• Any review rights available with respect to the decision.

HIWU is not required to publicly report a matter if it would risk compromising an ongoing investigation or proceeding. HIWU is also not required to publicly report a matter where the Covered Person who is alleged to have committed a violation is a minor. However, HIWU may make a public report in a case involving a minor if such public report is proportionate to the facts and circumstances of the case.

Requirements as per Appendix 1 of Rule Series: 3000

Atypical Findings

HIWU may not comment on Atypical Findings and associated investigations without the prior consent of the Covered Person (i.e., Trainer or Owner).

Requirements as per Rule 3630

Testing Statistics

HIWU will report select testing statistics on the HIWU website on a periodic basis. Examples of testing statistics that could be published are the number and types of tests conducted in a given time period. All information listed above will be posted on HIWU’s website and available for viewing at any time. HIWU will not directly notify the press when cases have been added to or updated on the website. HISA and HIWU personnel will generally refrain from commenting on specific cases beyond the required public reporting.

More information about the Results Management and Adjudication Processes is available at hiwu.org under Education & Resources.