Rebuilding trust in athletics: An interview with Brett Clothier - Head of the Athletics Integrity Unit - Episode 52

Podcast with Brett Clothier - Head of the Athletics Integrity Unit

Friday, 18 August 2017

In this podcast, Brett Clothier, the Head of the independent Athletics Integrity Unit (AIU) of the International Association of Athletics Federations (IAAF) speaks to Sean Cottrell, founder and CEO of LawInSport, providing an overview of the AIU's current structure, the AIU's future plans to improve integrity in athletics, as well as what his views on the biggest issue facing sport today in terms of integrity.

Brett specifically addresses:

The importance of checks and balance and provides an exclusive snapshot into the AIU's current governance structure as well as his role in the AIU
What integrity means in terms of his own function at the AIU as the Head of the Unit
The need to incorporate technology as a fundamental building block when planning to improve investigative and educational functions
The possibility of other sports federations using the AIU's governance structure as a model going forward
His view on the biggest issue facing athletics and sport in general today in terms of integrity

For more podcasts, videos, articles, events and news focused sports law visit LawInSport.com or follow us on Twitter @LawInSport. You can follow the host Sean Cottrell on Twitter at @spcott.

It can be listened to on Soundcloud, iTunes or most Android podcast apps.

KEY AREAS OF FOCUS

In particular, the following provisions are encouraging and should provide the AIU with the means to take positive action to tackle unethical and corrupt practices within the sport of athletics:

IAAF ANTI-DOPING RULES

14. Any member of the Anti-Doping Review Panel who considers he may have a potential conflict of interest in any matter being considered by the Panel, shall (without limiting his obligations in the Conflicts, Disclosures and Gifts Rules) declare the potential conflict to the chairperson of the Integrity Unit Board (or, if time does not permit, to the chairperson of the Panel) and not be involved in any deliberations or receive any information related to that matter.

15.7 The Head of the Integrity Unit and the Chief Executive Officer shall agree on written protocols and policies to the extent necessary to manage any day-to-day matters relevant to both the Integrity Unit and the IAAF generally. This may include, but is not limited to, matters such as external communications on integrity related matters, disclosure of information received by the IAAF which relates to the work of the Integrity Unit, and staff policies and procedures. These protocols and policies must, to the extent practicable, preserve the independence of the Integrity Unit and the confidentiality of its work."

INTEGRITY CODE OF CONDUCT

3. APPLICATION OF THE CODE

3.1 This Code applies to the following persons and entities (“Applicable Persons”) who are, or are seeking to become:

“IAAF Officials” has the meaning described in the Constitution; namely any person who is elected or appointed to a position in which they represent the IAAF including but not limited to, Council Members, Executive Board members, members of the Integrity Unit Board, the Integrity Unit Board Appointments Panel, the Disciplinary Tribunal, Committees, Commissions, sub-Commissions, and other working groups, advisory groups and taskforces, unless specifically provided otherwise in the Constitution;
 
“Area Officials” subject to Rule 3.2, has the meaning described in the Constitution; namely any person who is elected or appointed to a positon in which they represent an Area Association, including but not limited to Area presidents, members of Area Association executive bodies;  
“Member Federation Officials” subject to Rule 3.2, has the meaning described in the Constitution; namely any person who is elected or appointed to a position in which they represent a Member Federation, including but not limited to the president, vice-president, members of its executive body, the general secretary and delegates at Congress meetings;  
Persons and entities bidding to host, or hosting, International Competitions;  
Persons who are engaged by or acting on behalf of the IAAF including IAAF Staff;  
Persons and entities who are participating in Athletics in International Competitions, including but not limited to Athletes and Athlete Support Personnel;  
Such other persons who agree in writing to be bound by this Code.

6. INTEGRITY STANDARDS

6.1 In order to protect the integrity, authenticity and reputation of Athletics, the IAAF requires all Applicable Persons to meet the highest ethical standards in its governance and administration (“Integrity Standards”).

6.2 These Integrity Standards apply to each Applicable Person in connection with Athletics or otherwise, subject to Rule 3.2 and this Code.

6.3 The Integrity Standards require Applicable Persons:

Honesty: to act with utmost integrity and honesty at all times including acting in good faith towards others and with mutual trust and understanding in all their dealings and in particular not to forge any document, falsify any authentic document or use a forged or falsified document;
Fulfil Duties: to actively fulfil their duties and responsibilities with the IAAF with all due care and skill and in good faith and in particular not to act outside of their authority;
Clean Athletics: to protect clean athletes and not engage in Doping, and in particular to comply with the Anti-Doping Rules;
Maintain Integrity of Competition: to ensure the integrity of, and not to improperly benefit from, Athletics competitions, and in particular to comply with the Manipulation of Sports Competitions Rules;
Disclose Interests: to ensure conflicts of interest are minimised and interests properly disclosed as specified in the Vetting Rules and the Conflicts, Disclosures and Gifts Rules;
Minimal Gifts and Benefits: to ensure that any gifts, hospitality or other benefits which are offered, promised, given or received are strictly in accordance with the Conflicts, Disclosures and Gifts Rules and any related guidelines and in particular:
1. not to engage in any form of conduct in which there is an abuse of entrusted power for private gain;
2. not to offer any bribe, payment, commission, gift, donation, kickback, facilitation payment, or other inducement or incentive (whether monetary or otherwise) in order to influence decision-making in relation to any matter involving the IAAF;
3. not accept any bribe, payment, commission, gift, donation, kickback, facilitation payment, or other inducement or incentive (whether monetary or otherwise) that is offered, promised or sent to influence their actions or decisions in relation to any matter involving the IAAF (including, without limitation, in relation to events and commercial activities);
Protect Assets: to protect the assets of the IAAF and only use or authorise others to use them within the authority granted, and in particular not to misappropriate any such assets regardless of whether this is carried out directly or indirectly through, or in conjunction with, intermediaries or related parties;
Proper Conduct: to conduct themselves in a professional and courteous manner and in particular to refrain from using language or conduct that is obscene, offensive or of an insulting nature towards another person;
Equality: not to unlawfully discriminate on the basis of race, sex, ethnic origin, colour, culture, religion, political opinion, marital status, sexual orientation or other differences and in particular to encourage and actively support equality of gender in Athletics;
Dignity: to safeguard the dignity of individuals and not to engage, (directly or indirectly)in any form of harassment, whether physical, verbal, mental, sexual or otherwise;
Maintain Confidentiality: to keep confidential all information which is entrusted to them in confidence unless permitted to disclose such information under any Rule or this Code, or required to disclose such information by law. In addition, information obtained in connection with an Applicable Person’s role or activities in Athletics that is not confidential may not be disclosed for personal gain or benefit, nor be used maliciously to damage the reputation of any person or organisation;
Fair Elections: to conduct their candidacy for any role or position within the IAAF, Area Association or Member with honesty, fairness, and respect for others and as otherwise specified in the Rules Concerning Candidacy for IAAF Office;
Fair Bidding: to conduct their candidacy for any bid or proposal to host any International Competitions with honesty, fairness, and respect for others and as otherwise specified in the Rules of Conduct Applicable to Members and Candidate Cities Wishing to Host World Athletics Series Competitions and Other International Competitions Organised by the IAAF;
Neutrality: to remain politically neutral in their dealings on behalf of the IAAF with government institutions, national and international organisations;
Reporting: to promptly report to the Integrity Unit any act, thing or information which the person becomes aware of, which may constitute (on its own or with other information) a violation of this Code;
Comply with Rules: to comply with all Rules and Regulations of the IAAF and not to violate (or cause any other person to violate) any Rules and Regulations including, but not limited to:
1. the Rules on Eligibility to Represent a Member (Rule 5 of Competition Rules);
2. ii the Athletes Representative Rules and Regulations (including Rule 7 of Competition Rules);
3. the Rules and Regulations on Advertising and Displays during International Competitions (Rule 8 of Competition Rules);
4. the Rules on Age Categories (Rule 141.1 of Competition Rules);
5. the Rules on Sex Categories (Rule 141.3 of Competition Rules);
6. the Rules on Clothing, Shoes and Athlete Bibs (Rule 143 of Competition Rules);
7. the Rules on Failure to Participate (Rule 142.4 of Competition Rules);
8. the Vetting Rules;
Protect Reputation: to protect the reputation of the IAAF and not act, or fail to act, in any manner which may:
1. adversely affect the reputation of the IAAF or Athletics generally; or,
2. bring the IAAF or Athletics into disrepute; or,
3. be contrary to the objects of the IAAF; or,
4. be prejudicial to, or adversely affect the interests of, the IAAF or Athletics.

7. VIOLATIONS OF THIS CODE

7.1 Subject to Rule 7.2, it shall be a violation of this Code for an Applicable Person on or after 3 April 2017 to violate or fail to comply with any one or more of the Integrity Standards set out in Rule 6 (whether a Doping Violation or a Non-Doping Violation), including any one or more of the Rules referred to in this Code.

7.3 It shall also be a violation of this Code for an Applicable Person to attempt, or agree with another person or entity, to act in a manner that would constitute or culminate in the commission of a violation of this Code, whether or not such attempt or agreement in fact resulted in a violation. However there shall be no violation where the Applicable Person renounces his attempt or agreement prior to it being discovered by a third party not involved in the attempt or agreement.

7.4 Applicable Persons shall also violate this Code if they assist, encourage, aid, abet, conspire, cover up or engage in any other type of intentional complicity involving a violation or attempted violation of this Code.

7.5 Applicable Persons shall cooperate fully with the Integrity Unit and the Disciplinary Tribunal and any person appointed by either of them, including any investigator appointed by the Integrity Unit:

refusing or failing without compelling justification to cooperate with any reasonable investigation carried out by the Integrity Unit or other competent authority in relation to a possible violation of this Code, shall constitute a violation of the Code, including without limitation refusing or failing to provide accurately, completely and without any undue delay any information and/or documentation and/or access or assistance requested by the Integrity Unit or other competent authority as part of such investigation; and,
obstructing or delaying any investigation that may be carried out by the Integrity Unit (or its designee) or other competent authority in relation to a possible violation of this Code, shall constitute a violation of this Code, including without limitation concealing, tampering with or destroying any documentation or other information that may be relevant to the investigation.

7.6 Conduct which may constitute the commission of a violation of this Code may also amount to a criminal offence and/or a breach of other applicable laws or regulations. This Code is intended to supplement such laws and regulations with further rules of conduct for those involved in the sport of Athletics. It is not intended, and should not be interpreted, construed or applied, to prejudice or undermine in any way the application of such laws and regulations (which must be complied with at all times).

7.7 For the avoidance of doubt, this Code will not replace or in any way affect or alter the IAAF's ability to pursue appropriate disciplinary action against IAAF Staff under the terms of any employment or consultancy contract with any IAAF Staff member and/or pursuant to any of the IAAF’s employment rules or policies in force from time to time. Where conduct prohibited under this Code also amounts to a breach of the terms of an IAAF Staff member’s employ mentor consultancy arrangement with the IAAF, the IAAF (including the Integrity Unit with respect to Integrity Unit Staff) will be entitled, at its absolute discretion, to elect to pursue disciplinary action against such IAAF Staff member pursuant to the applicable employment or consultancy contract, and there will be no requirement for any action to be taken under this Code. In the event there is action taken against IAAF Staff under this Code, the IAAF may also pursue appropriate disciplinary action in accordance with this Rule.

7.8 It is acknowledged that Applicable Persons may also be subject to other rules of Member Federations that govern discipline and/or conduct and that the same conduct of such persons may constitute not only a violation of this Code but also such other rules that may apply. For the avoidance of doubt, such persons acknowledge and agree that:  

this Code is not intended to limit the responsibilities of any person under such other rules; and 
nothing in such other rules will be capable of removing, superseding or amending in anyway the jurisdiction of the Disciplinary Tribunal to determine matters properly arising pursuant to this Code.

REPORTING

8.1 Applicable Person has an obligation to report, as soon as practicable, any act, thing or information which they become aware of, which may constitute (on its own or with other information) a violation of this Code, including any approaches or requests to engage in conduct that may constitute a violation of this Code.

8.2 Any such information shall be reported to the Head of the Integrity Unit or to the Integrity Unit in accordance with the Reporting, Investigation and Prosecution Rules – Non-Doping and the Anti-Doping Rules, as applicable.

IAAF VETTING RULES

9. Ethical Compliance Officer

9.1 The IAAF shall appoint an Ethical Compliance Officer in accordance with, and to carry out the roles and responsibilities identified in, the Rules and Regulations.

9.2 The roles and responsibilities of the Ethical Compliance Officer shall include:

9.2.1 assisting in the conduct of the Vetting Process under the oversight and direction of the Vetting Panel, as set out in these Rules;

9.2.2 assisting in the conduct of the Vetting process under the oversight and direction of the Screening Body, as set out in these Rules;

9.2.3 informing the Vetting Panel or Screening Body, as the case may be, immediately he or she becomes aware that an Applicant or Existing IAAF Official is, or may be, no longer Eligible; and

9.2.4 carrying out such other requests as the Vetting Panel or Screening Body might make from time to time for the purposes of these Rules.

10. Applicability of Vetting

10.1 All IAAF Officials are subject to Vetting.

10.1.1 The election or appointment process for each position as an IAAF Official must include obtaining written consent from each Applicant (including any Applicant who is an Existing IAAF Official) to be subject to Vetting (a) as a condition to proceeding with the proposed candidacy or appointment and (b) on an on-going basis throughout his or her term as an IAAF Official whenever determined to be necessary by the Vetting

Panel.

10.1.2 Such written consent shall include:

consents to use of personal data and waiver of privacy rights (in accordance with applicable data protection and privacy laws and regulations) as required for purposes of carrying out the Vetting; and
acknowledgement by any Applicant (and reiteration by any Applicant who is an Existing IAAF Official) that, in pursuing the proposed candidacy or appointment, the Applicant agrees to be bound by these Rules and the IAAF Code of Ethics or, upon its adoption, the Integrity Code of Conduct; and
agreement to timely submit for review by the Vetting Panel an accurate and complete Declaration Form or, as the case may be, Vetting Disclosure Form.

10.1.3 The IAAF Officials or bodies responsible for managing an election process for Applicants must refer all candidates proposing to stand for election to the Vetting Panel for determination of Eligibility before their candidacy is accepted.

10.1.4 The IAAF Officials or bodies responsible for managing an appointment process for Applicants must refer all short-listed Applicants to the Vetting Panel for determination of Eligibility before proceeding further with the appointment.

11. Vetting Process

11.1 The Vetting Panel shall establish the details of the Vetting Process, consistent with the following general framework and the Flow Diagram set out in Appendix 2.

11.1.1 Every Application for appointment or election to a position as an IAAF Official shall be made in accordance with Rule 11 of these Rules, is deemed to be made subject to a decision by the Vetting Panel that the person is Eligible, and must be accompanied by timely submission of a Declaration Form or, depending upon the level of the position, a Vetting Disclosure Form.

11.1.2 Upon making an Application, the Applicant (including any Applicant who is an Existing IAAF Official) will be notified by the IAAF that his or her Application will be referred to the Vetting Panel for a decision on Eligibility before proceeding with his or her appointment or candidacy.

11.1.3 Every IAAF Official responsible for managing an appointment or election process for a position as an IAAF Official is obliged to promptly notify all Applications for such appointment or election to the Vetting Panel in due time for the Vetting Process to be completed in accordance with the applicable deadlines for the appointment or election.

11.1.4 Every Existing IAAF Official is obliged to promptly update his or her Declaration Form (or, where applicable, Vetting Disclosure Form) to ensure it is complete and accurate at all times and to promptly notify the Vetting Panel if he or she is or is likely to become no longer Eligible, or becomes aware that any Applicant or Existing IAAF Official is, or may be, no longer Eligible (for the avoidance of doubt, this includes notification by an Existing IAAF Official that he or she has become Ineligible).

11.1.5 The Vetting Panel may also become aware from publicly available information sources or otherwise that an Applicant or an Existing IAAF Official is, or may be, no longer Eligible.

12. Integrity Check

12.1 Integrity Checks shall be carried out in a reasonable and proportionate manner based on the level of authority and influence exercised by the person holding, or proposing to hold, the relevant position as an IAAF Official as set out in these Rules.

12.2 For an Applicant or Existing IAAF Official to Satisfy an Integrity Check, the Vetting

Panel must determine on the basis of all relevant information available to it, that there is no reason to believe that the person is unable to meet the high standards of conduct and integrity required of an IAAF Official.

12.3 These standards of conduct and integrity include (but are not limited to) whether the Applicant or Existing IAAF Official is:

12.3.1 physically and mentally fit to perform the position being sought;

12.3.2 considered to be of good character and reputation, taking into account whether the person:

(a) is, or has been, the subject of an investigation or disciplinary action, in any sporting context including within Athletics;

(b) is, or has been, the subject of any investigation or disciplinary or other action in which the person’s credibility, integrity, honesty or reputation has been questioned or adversely affected;

(d) has been the subject of any public controversy bringing the person into such disrepute that his or her association, or continued association, with the IAAF is considered to adversely affect the reputation or interests of the IAAF.

12.4 The Vetting Panel may be Satisfied with an Integrity Check even though one or

more of the matters specified in Rule 12.3.2 (a) to (d) exist.

12.5 The Vetting Panel may issue informative guidance from time to time elaborating on the matters which may be taken into account by the Vetting Panel in determining whether it is Satisfied with an Integrity Check.

12.6 The nature and extent of Integrity Checks on Applicants and Existing IAAF Officials under these Rules shall be established by the Vetting Panel but shall be consistent with the following:

12.6.1 “Level 1” - For decision-making roles such as those of the President, Vice Presidents, the Chief Executive Officer, Head of the Integrity Unit, Ethical Compliance Officer and members of the Executive Board and its committees, Council, Integrity Unit Board, Vetting Panel, and the Disciplinary Tribunal, the Integrity Check shall include:

(a) review of the Vetting Disclosure Form;

(b) review of any Reporting Statements (for Existing IAAF Officials);

(d) in-depth specialised research commissioned from independent experts; and

(e) such further inquiry as deemed necessary by the Vetting Panel.

12.6.2 “Level 2” - For roles exercising significant influence in decision-making of the IAAF such as those of IAAF Staff in senior executive management or senior advisory roles reporting directly to "Level 1" IAAF decision makers (such as directors or heads of functional departments), Chairs of Committees, Commissions, working groups, advisory groups and taskforces, and key consultants and advisors to the IAAF, the Integrity Check shall include:

(a) review of the Vetting Disclosure Form;

(b) review of any Reporting Statements (for Existing IAAF Officials); and

12.6.3 “Level 3” - For all other management or advisory roles such as members of Committees, Commissions, working groups, advisory groups and taskforces, consultants or advisors to the IAAF carrying out such management or advisory roles, all IAAF Staff in mid-level management roles reporting directly to "Level 2" senior management or senior advisors and all other IAAF Staff employed by the Integrity Unit, the Integrity Check shall include:

(a) review of the Declaration Form;

(b) research of publicly available information sources and other information made available to the IAAF.

13. Referral to Integrity Unit

13.1 If at any time during the course of conducting the Vetting Process, the Vetting Panel decides that any matter pertaining to the Applicant or Existing IAAF Official should be referred to the Integrity Unit, the matter shall be promptly referred to the Head of the Integrity Unit.

13.2 In the case of any such referral, the Vetting Panel shall suspend the Vetting Process until the matter is dealt with by the Integrity Unit, and shall so notify the Applicant, Existing IAAF Official, and the IAAF Official responsible for conducing the election or appointment process.