Section E2 - Commencement of proceedings before a panel – Notices, Fees and Procedure

43. The following will apply if a Party wishes to refer a matter to the Disciplinary Panel:- 

43.1 Where the Association brings a charge of an alleged Disciplinary Offence under Rule 39.2.1:- 

43.1.1 the Association will give a Disciplinary Notice to the other Party; 

43.1.2 the Party charged will have seven (7) Business Days after service of the Disciplinary Notice to reply stipulating whether (a) they admit or deny the charge and (b) whether they wish to exercise or waive their right to a private hearing before the Disciplinary Panel. If the charge is denied, the reply must state the grounds of denial and the Party charged will not be permitted to raise any other grounds of denial without the leave of the chairperson of the Disciplinary Panel; 

43.1.3 if the Party charged fails to reply to the Disciplinary Notice within seven (7) Business Days, they will be deemed to have denied the charge and to have waived their right to a private hearing before the Disciplinary Panel. In such circumstances the Association will, without further notice to the Party charged, convene a Disciplinary Panel who will consider the alleged Disciplinary Offence in the absence of the Party charged and the provisions of Rules 43.1.4 to 43.1.11 inclusive shall not apply; 

43.1.4 if the Party charged has replied to the Disciplinary Notice and requested a private hearing the Association will give the Party charged no less than seven (7) Business Days written notice of the date, time and place of the hearing and the provisions of Rules 43.1.5 to 43.1.11 inclusive shall apply; 

43.1.5 where the Party charged is an individual person, they will be required to attend the hearing in person. Where the Party charged is not an individual person, one or more duly authorized senior representatives of the Party will be required to attend the hearing in person, whether such representatives are directors, officers or otherwise; 

43.1.6 the Association and the Party charged will disclose to each other such documents as they intend to produce in evidence at the hearing. Whenever reasonably possible, the parties will make such disclosures no less than two (2) Business Days prior to the hearing; 

43.1.7 the Association and the Party charged will be entitled to make opening and closing remarks at the hearing and to call witnesses who will be expected to answer questions in cross-examination. Members of the Disciplinary Panel will be entitled to ask questions of any witness during the hearing. The Party charged will not be obliged to give evidence in person but the Disciplinary Panel will be entitled to draw such inference as may be reasonably appropriate if the Party charged declines to do so. The chairperson of the Disciplinary Panel will warn the Party charged of this fact; 

43.1.8 the Disciplinary Panel hearing will proceed in the absence of the Party charged, unless the Party charged has requested an adjournment and the Disciplinary Panel reasonably considers that the Party charged has given an acceptable reason for such request, in which case the hearing may be adjourned;  

43.1.9 the Disciplinary Panel will retire to consider its findings in private. A decision may be announced on the day or reserved to a later date, in which case, the decision will be delivered in writing; 

43.1.10 if the Disciplinary Panel finds the Party charged guilty of the Disciplinary Offence at a Disciplinary Panel hearing attended by the Party charged, no penalty or sanction will be imposed until:- 

43.1.10.1 the Disciplinary Panel has been informed by the Association of any previous Disciplinary Offences recorded against the guilty Party; and 

43.1.10.2 the guilty Party has been given the opportunity to make representations in mitigation of the Disciplinary Offence; 

43.1.11 the Association and the Party charged shall be entitled to legal or other representation at the Disciplinary Panel hearing; 

43.1.12 where the Party charged has waived the right to a private hearing or is deemed to have waived such right, or where the Party charged does not attend the private hearing, the Disciplinary Panel will consider such information as it considers reasonably necessary to decide the matter including, without limitation, any written representations made for or on behalf of the Party charged and representations (whether written or verbal) made for or on behalf of the Association. The Disciplinary Panel will be entitled to seek such further information or evidence as it deems necessary. If the Disciplinary Panel finds the Party charged guilty of the Disciplinary Offence, the Association will inform the Disciplinary Panel of any other Disciplinary Offences recorded against the guilty Party but the Disciplinary Panel will not be obliged to invite the guilty Party to make further representations in mitigation of the Disciplinary Offence before imposing a penalty; 

43.1.13 where the Disciplinary Panel makes a decision on the alleged Disciplinary Offence, the Disciplinary Panel will also have absolute discretion whether to make a cost order for or against the Party charged; and 

43.1.14 the Association will send written confirmation of the Disciplinary Panel’s findings to the Party charged. 

43.2 In the case of any other proceedings pursuant to Rule 39.2 under the jurisdiction of the Disciplinary Panel:-

43.2.1 the Party wishing to commence the proceedings will give a Request Notice to the Association (marked for the attention of the discipline department) and the other party or parties;

43.2.2 in an appeal under Rules 39.2.2 or 39.2.3 against a decision of a Member or an Associate Member, the Request Notice will be served on the Association not more than seven (7) Business Days (in the case of an appeal arising out of a decision relating to anything other than a cup or play-off match) or three (3) Business Days (in the case of an appeal arising out of a decision relating to a cup or play-off match) after the earlier of (a) the Member or Associate Member announcing its decision at the time of its hearing (if any) or (b) receipt by the Party appealing of written notification of the Member’s or Associate Member’s decision. For the purposes of (b) above, the provisions of Rule 144 (as to service of notices etc) shall apply to the said written notification issued by the Member or Associate Member and such provisions shall apply in place of any provision or provisions in the said Member’s or Associate Member’s rules relating to the service of notices etc. Any Request Notice lodged after seven (7) Business Days or three (3) Business Days (as the case may be) will be rejected unless the Party lodging the same can demonstrate to the reasonable satisfaction of the Association that it was not reasonably practicable to lodge the Request Notice within the time limit; 

43.2.3 the following appropriate Request Fee must be paid within the same time limit as is required for the lodging of the Request Notice, payable to the FAW's stipulated bank account by means of a bank transfer (each such stipulated Request Fee being inclusive of any VAT):

43.2.3.1 £400.00 if the Party lodging the Request Notice is a Qualifying Club playing in the English Premier League (EPL), the English Football League (EFL), the English National League System, or the Cymru Premier; or 

43.2.3.2 £250.00 if the Party lodging the Request Notice is: (a) a Subordinate of any of the Qualifying Clubs set out in Rule 43.2.3.1 above; (b) a Qualifying Club playing in the Cymru North or Cymru South; (c) an Area Association; (d) a National League; (e) a Category One Referee; or (f) a Category One Specialist Assistant Referee;  

43.2.3.3 £200.00 if the Party lodging the said Notice is a Qualifying Club playing in: (a) the Ardal Leagues or (b) the Adran Premier; or 

43.2.3.4 £150.00 if the Party lodging the Request Notice is: (a) a Subordinate of a Qualifying Club playing in the Cymru North or Cymru South or Academy football; or (b) a Club or league affiliated to an Area Association relating to senior football or a Youth League (or cup); (c) an Associate Member; (d) a Category two Referee; or (e) a Category Two Specialist Assistant Referee; 

43.2.3.5 £135.00 if the Party lodging the Request Notice is a Subordinate of a Qualifying Club playing in (a) the Ardal Leagues; (b) the Adran Premier; (c) a Category Three Referee; (d) a Category Three Specialist Assistant Referee; (e) a Category One Female Referee; or (f) a Category One Female Specialist Assistant Referee; 

43.2.3.6 £120.00 if the Party lodging the Request Notice is: (a) an individual affiliated to an Area Association relating to senior or youth football; (b) a Club or league affiliated to an Area Association relating to a Junior League (or cup); or (c) a Subordinate of an Associate Member; (d) a Category Four Referee; (e) a Category Four Specialist Assistant Referee; or (f) a Category Two Female Referee;  

43.2.3.7 £75.00 if the Party lodging the Request Notice is an individual affiliated to an Area Association relating to a Junior League (or cup); or 

43.2.3.8 £150.00 in any other case, 

PROVIDED THAT in any proceedings heard by a Disciplinary Panel about a failure by a Club to pay a Professional Player, no Request Fee shall by payable by the Professional Player.  This Request Fee exemption shall not apply in relation to any proceedings heard by an Appeals Panel or an Independent Arbitration Panel except where the Chief Executive Officer (or his/her nominee) has elected to exercise his/her discretion under Rule 40.  For the purposes of this Rule 43.2.3, the categorisation of Match Officials is as set out in the FAW Referee Regulations as amended from time to time.

43.2.4 any Request Notice for which the appropriate Request Fee is not paid within the specified time limit will be rejected by the Association and any incorrect fee will be returned and, in the case of an appeal under Rules 39.2.2 or 39.2.3, time will continue to run for the service of the Request Notice within the original seven (7) Business Days period stipulated in Rule 43.2.2; 

43.2.5 the Association will have the right (but not the obligation) to carry out an investigation before referring the matter to the Disciplinary Panel and the Association will be entitled to reject the Request Notice if it reasonably considers that the Request Notice is frivolous or vexatious; 

43.2.6 subject to Rule 43.2.5, the Association will within twenty (20) Business Days of actual receipt of the Request Notice send a written notice to the Parties confirming the date, time and place of the Disciplinary Panel hearing. In the case of an appeal under Rules 39.2.2 or 39.2.3, the Disciplinary Panel proceedings will be a re-hearing of the case and the Disciplinary Panel will decide the matter on the basis of the evidence produced to them. At any time prior to the Disciplinary Panel hearing, any Party will have the right to waive their right to a private hearing, but a hearing will take place unless all Parties agree in writing to waive their right to a private hearing; 

43.2.7 where the Party involved is an individual person, they will be required to attend a hearing in person. Where the Party involved is not an individual person, one or more duly authorised senior representatives of the Party will be required to attend the hearing in person, whether such representatives are directors, officers or otherwise; 

43.2.8 the Parties involved will disclose to each other and to the Association such documents as they intend to produce in evidence at the hearing. Whenever reasonably possible the Parties will make such disclosures no less than two (2) Business Days prior to the hearing; 

43.2.9 the Parties will be entitled to make opening and closing remarks at the hearing and to call witnesses who will be expected to answer questions in cross examination. Members of the Disciplinary Panel will be entitled to ask questions of any witnesses during the hearing. No Party will be obliged to give evidence in person, but the Disciplinary Panel will be entitled to draw such inference as may be reasonably appropriate if the Party declines to do so. The chairperson of the Disciplinary Panel will warn the Party concerned of this fact; 

43.2.10 the Disciplinary Panel hearing will proceed in the absence of either Party, unless the Disciplinary Panel reasonably considers that the absent Party has given an acceptable reason for such non-attendance, in which case the hearing will be postponed and/or adjourned; 

43.2.11 the Disciplinary Panel will retire to consider its findings in private. A decision may be announced on the day or reserved to a later date in which case the decision will be delivered in writing; 

43.2.12 the Parties will be entitled to legal or other representation at the Disciplinary Panel hearing; 

43.2.13 where the Parties to the appeal have all waived their rights to a private hearing, the Disciplinary Panel will consider such information as it considers reasonably necessary to decide the matter including, without limitation, any written representations made for or on behalf of the Parties. The Disciplinary Panel will be entitled to seek such further information or evidence as it deems necessary; 

43.2.14 where the Disciplinary Panel makes a decision on the matter, the Disciplinary Panel will also have absolute discretion whether to make a cost order for or against a Party to the proceeding; and 

43.2.15 the Association will send written confirmation of the Disciplinary Panel’s findings to the Parties.

44. The following will apply if a Party wishes to refer a matter to the Appeals Panel:- 

44.1 If a Party wishes to appeal pursuant to Rules 39.3.2 against a decision of the Disciplinary Panel:- 

44.1.1 the Party wishing to appeal will give an Appeal Notice to the Association not more than seven (7) Business Days (in the case of an appeal arising out of a decision relating to anything other than a cup or play-off match) or three (3) Business Days (in the case of an appeal arising out of a decision relating to a cup or play-off match) after the earlier of (a) the Disciplinary Panel announcing its decision at the time of any hearing or (b) receipt by the Party appealing of written notification of the Disciplinary Panel’s decision. The Appeal Notice will be marked for the attention of the Association’s discipline department. The Appeal Notice must state the grounds of appeal and the Party appealing shall not be permitted to raise any other grounds of appeal without the leave of the chairperson of the Appeals Panel; 

44.1.2 any Appeal Notice lodged after seven (7) Business Days (in the case of an appeal arising out of a decision relating to anything other than a cup or play-off match) or three (3) Business Days (in the case of an appeal arising out of a decision relating to a cup or play-off match) will be rejected unless the Party lodging the same can demonstrate to the reasonable satisfaction of the Association that it was not reasonably practicable to lodge the Appeal Notice within the time limit; 

44.1.3 where the Association is the Party appealing, no appeal fee will be payable. Where any other Party is appealing, the appropriate Appeals Panel Fee must be paid within the same time limit as is required for the lodging of the Appeal Notice, payable to the FAW’s stipulated bank account by means of bank transfer. The Appeals Panel Fee will be determined by the same categorisation of Members and others as used for determining the Request Fee under Rule 43.2.3 but the Appeals Panel Fee will be two (2) times that of the Request Fee;

44.1.4 any Appeal Notice for which the appropriate Appeals Panel Fee is not paid within the specified time limit will be rejected by the Association and any incorrect fee will be returned and time will continue to run for the service of the Appeal Notice within the original seven (7) Business Day period stipulated in Rule 44.1.1; 

44.1.5 the Association will within ten (10) Business Days of actual receipt of the Appeal Notice send a written notice to the Parties confirming the date, time and place of the Appeals Panel hearing. At any time prior to the Appeals Panel hearing any Party will have the right to waive their right to a private hearing but a hearing will take place unless all Parties agree in writing to waive their right to a private hearing; 

44.1.6 subject to Rule 44.1.7, the Appeals Panel hearing will be a re-hearing of the case originally decided by the Disciplinary Panel and the Appeals Panel will decide the matter on the basis of the evidence provided to them. The same rules of attendance, disclosure of documents, presentation of evidence, conduct of the proceedings and rights of representation which applied in the original Disciplinary Panel hearing will apply in the Appeal Panel hearing; 

44.1.7 where the appeal is by either Party solely against the penalty or sanction imposed by the Disciplinary Panel, the Appeals Panel hearing will confine itself to matters relevant to the appropriateness of the said penalty or sanction and not Disciplinary Panel’s finding of guilt; 

44.1.8 where the Parties to the appeal have all waived their rights to a private hearing or where a Party does not attend the private hearing, the Appeals Panel will consider such information as it considers reasonably necessary to decide the matter including, without limitation, any written representations made for or on behalf of the Parties. The Appeals Panel will be entitled to seek such further information or evidence as it deems necessary; 

44.1.9 where the Appeals Panel makes a decision on the appeal, the Appeals Panel will also have absolute discretion whether to make a costs order for or against a Party to the proceedings; and 

44.1.10 the Association will send written confirmation of the Appeals Panel’s findings to the Parties. 

44.2 Where pursuant to Rule 39.3.1 the Appeals Panel is hearing a charge of an alleged breach of Rule 21, the procedures set out in Rule 43.1 shall apply and shall be read and construed, with the necessary adjustments, as if it referred to the actions and activities of the Appeals Panel. 

44.3 Where pursuant to Rule 39.3.3 or 39.3.4 the Appeals Panel is hearing a review of a decision of the Association, the procedures set out in Rule 44.1 shall apply, with the necessary adjustments, except that the referral to the Appeals Panel shall be made automatically by the Association in accordance with the Agent Regulations and Rules 44.1.2 to 44.1.4 inclusive shall accordingly not apply. 

44.4 Where pursuant to Rule 39.3.5 or 39.3.6 the Appeals Panel is hearing an appeal against a decision of a Panel or Board of the Association, the procedures set out in Rule 44.1 shall apply, with the necessary adjustments.

45. The following will apply if a Party wishes to appeal to the Independent Arbitration Panel against a decision of the Appeals Panel:- 

45.1 the Party wishing to appeal will give an Arbitration Notice to the Association not more than seven (7) Business Days (in the case of an appeal arising out of a decision relating to anything other than a cup or play-off match) or three (3) Business Days (in the case of an appeal arising out of a decision relating to a cup or play-off match) after the earlier of (a) the Appeals Panel announcing its decision at the time of any hearing or (b) receipt by the Party appealing of written notification of the Appeal Panel’s decision. The Arbitration Notice will be marked for the attention of the Association’s discipline department; 

45.2 any Arbitration Notice lodged after seven (7) Business Days (in the case of an appeal arising out of a decision relating to anything other than a cup or play-off match) or three (3) Business Days (in the case of an appeal arising out of a decision relating to a cup or play-off match) will be rejected unless the Party lodging the same can demonstrate to the reasonable satisfaction of the Association that it was not reasonably practicable to lodge the Arbitration Notice within the time limit; 

45.3 where the Association is the Party appealing, no appeal fee will be payable. Where any other Party is appealing, the appropriate Arbitration Fee must be paid within the same time limit as is required for the lodging of the Arbitration Notice, payable to the FAW's stipulated bank account by means of bank transfer. The Arbitration Fee will be determined by the same categorisation of Members and others as used for determining the Request Fee under Rule 43.2.3 but the Arbitration Fee will be five (5) times that of the Request Fee; 

45.4 any Arbitration Notice for which the appropriate Arbitration Fee is not paid within the specified time limit will be rejected by the Association and any incorrect fee will be returned and time will continue to run for the service of the Arbitration Notice within the original seven (7) Business Day period stipulated in Rule 45.1; 

45.5 the Association will within ten (10) Business Days of actual receipt of the Arbitration Notice send a written notice to the Parties (and where the Association is a Party, to the President who will accept service on behalf of the Association) confirming the identity and contact particulars of the independent sports arbitration service selected under Rule 42.3 to act as the Independent Arbitration Panel to decide the matter; and 

45.6 the procedures to be followed by the Independent Arbitration Panel will be in accordance with the rules or regulations of the independent sports arbitration service selected under Rule 42.3 provided that nothing in such rules or regulations will supersede Rule 39.5 (right to a private hearing) or Rule 50 (application of the laws of England and Wales).