The Infractions Appeals Committee is the final appeal option for institutions and any individuals involved in an NCAA infractions case.
After the Committee on Infractions assesses penalties, the institution and involved individuals may appeal both the findings and the penalties to the Infractions Appeals Committee.
An appeal is not a new hearing or a second chance to argue the case. The Infractions Appeals Committee does not consider evidence that was not presented to the Committee on Infractions.
The Infractions Appeals Committee will reverse or modify a ruling of the Committee on Infractions only if one of the following standards is proven:
The ruling by the Committee on Infractions was clearly contrary to the evidence.
The individual or school did not actually break NCAA rules.
There was a procedural error that caused the Committee on Infractions to find a violation of NCAA rules.
The penalty was excessive and is an abuse of discretion.
The appeal may be done through an in-person hearing or in writing. In-person hearings occur only when the institution or individual had an in-person hearing with the Committee on Infractions. If an in-person hearing occurs, the structure is similar to that of a Committee on Infractions hearing. The Infractions Appeals Committee will share the final report with the institution and individual(s) appealing the decision.
The decision of the Infractions Appeals Committee is final.
Tuesday, January 5, 2010
Infractions process Q&A
Q What is the Division I Infractions Appeals Committee?
A The five-member Division I Infractions Appeals Committee hears and acts on the findings of major violations by the Division I Committee on Infractions. Committee members are:
Noel M. Ragsdale, law professor, University of Southern California, chair
Susan Cross Lipnickey, faculty athletics representative, Miami University (Ohio)
Jack Friedenthal, law professor, George Washington University
David Williams II, vice chancellor and general counsel, Vanderbilt University
Chris Griffin, attorney, Foley & Lardner (independent member)
Q What is the timeline of events for an enforcement case?
A An enforcement case progresses through several steps, including:
Possible violation discovered
Letter of inquiry sent
Investigation
Institution notified of alleged violations
Institution responds
Case summary compiled
Committee on Infractions hearing
Decision on penalties, if any
Appeals committee hearing
Q How does the process work?
A When the NCAA enforcement staff has a legitimate reason to believe a member institution violated NCAA rules, it may initiate an investigation. Depending on the circumstances, the investigation may be conducted by reviewing correspondence with the institution or conference, or through in-person inquiries. The enforcement staff review a situation if information obtained indicates:
An intentional violation has occurred.
A significant competitive or recruiting advantage may have been gained.
The institution or the enforcement staff has been given false or misleading information.
Q How do investigations begin?
A Investigations can by initiated by the enforcement staff or by a member of the public who contacts the NCAA to report a potential rules violation. Many times, the institution discovers a violation and reports its own violations to the enforcement staff.
The time an investigation takes varies. The NCAA enforcement staff must satisfy a high standard of proof to proceed with allegations. In some cases, as additional information is uncovered, more possible infractions are uncovered that broaden the scope of the investigation. Involved institutions may request additional time to respond to allegations, which also may affect the timeframe.
Q What is a letter of inquiry?
A When the enforcement staff begins to review a situation, the NCAA sends a notice of inquiry to the institution’s president or chancellor. Usually, an enforcement investigator is assigned to conduct in-person interviews.
The notice of inquiry tells institutional leadership the enforcement staff will be investigating the institution. The notice also includes facts of the case, the potential violations by sport, the approximate time period associated with the potential violations and the involved parties. The enforcement staff also includes an approximate timeframe for the investigation. The NCAA does not release the notice of inquiry publicly, but the institution may choose to release the letter or confirm its receipt.
Q How does the investigation progress?
A Since each case has a unique set of individuals, issues and circumstances, there is no single way to conduct an investigation. However, there are similarities in all investigations.
Preliminary information is reviewed by the investigator(s) assigned to the case. The investigator first tries to speak with the source who reported the potential violation. This interview is “on the record” and electronically recorded if possible. If the source anonymously reported the potential violation, the NCAA enforcement staff cannot use the information to prove a violation occurred, but it can use the information to find others who may have information about the situation.
Before the enforcement staff contacts those directly involved with the potential violations, they attempt to gather as much information as possible. The goal is to minimize the possibility of those directly involved compromising the integrity of the case by working with others to change the information reported to the enforcement staff.
If NCAA enforcement staff conducts interviews on campus with enrolled student-athletes or other individuals, institutional staff members may be present during the interviews. Everyone interviewed by NCAA enforcement staff may have legal counsel present during the interviews. In many cases, information such as long-distance telephone records, bank records and academic transcripts are also collected during the process.
NCAA enforcement regulations and student-athlete eligibility procedures employ many traditional due-process protections. For example, the enforcement staff strives to tape-record all interviews. Those that cannot be electronically recorded are transcribed or summarized.
If the enforcement staff has gathered enough information to determine if rules violations have occurred, the process continues.
Q When is the institution notified?
A If the enforcement staff discovers the institution has committed one or more major violations, institutional leadership is sent a notice of allegations that contains specific alleged rules infractions. After the letter of inquiry is sent, the enforcement staff must send the notice of allegations within six months.
The notice of allegations notifies the institution and all involved individuals of the alleged violations the NCAA enforcement staff found during the investigation process. The involved parties have 90 days to respond and may request additional time if needed.
If during the investigation process the enforcement staff determines the information no longer indicates a rules violation, the institution receives written notice the investigation has concluded.
If the investigation process lasts longer than one year after the notice of inquiry is sent, the enforcement staff must review the status of the case with the NCAA Committee on Infractions. If the Committee on Infractions believes the investigation should continue, the institution will receive notice in writing and status reports at least every six months until the case has concluded.
Q What happens next?
A When all involved parties have responded to the alleged rules violations, a hearing date is set with the Committee on Infractions. A prehearing conference with the institution and other involved individuals is held four to six weeks before the hearing. During this conference call, the allegations are discussed.
Before the hearing, the enforcement staff writes a case summary. The case summary documents the allegations, any outstanding issues and other information relevant to the case. At least two weeks before the hearing date, the individuals involved with the hearing and the Committee on Infractions receive the case summary.
Q Who can attend the Committee on Infractions hearing?
A The institution is usually represented by a large contingent of staff that may include its president or chancellor, faculty athletics representative, director of athletics, the current/former head coach of the involved sport(s), the compliance director and legal counsel. NCAA enforcement staff members who attend include the vice president of enforcement services and director of enforcement responsible for the case. Other enforcement staff members who assisted with the case may also be in attendance. If someone is named in the allegations, they may also be present and accompanied by their legal counsel. Student-athletes who have remaining eligibility may also attend.
Q What is the format?
A The chair of the committee opens the hearing with background information. The institution, enforcement staff and other involved parties have the opportunity to give an opening statement. The enforcement staff then outlines the specifics of each allegation, followed by the institution and others involved. Committee members ask questions and after the allegation is thoroughly discussed, the same process begins with the next allegation. After all the allegations have been addressed, all parties can give closing statements.
When the hearing is concluded, the committee discusses the case privately, determines any findings of violations and then assesses penalties. The penalties vary depending on the situation. They can include probationary periods, bans on postseason competition, reductions of athletics scholarships and restrictions on the athletically related duties of coaches.
Q How often does the committee meet?
A The Division I Committee on Infractions meets about six times a year. The meetings usually last two or three days over a weekend. The Divisions II and III Committees on Infractions meet on an as-needed basis.
Q When are penalties announced?
A Penalties are announced once the committee writes the infractions report that documents the specific findings, the penalties and supporting rationale for each. After the hearing, it typically takes between six to eight weeks to complete the report.
A specific process is in place for the notification of any penalties. The day before the public release, the institution and any involved individuals receive a copy of the infractions report. The chair of the Committee on Infractions hosts a telephone press conference to announce the results of the committee decision. A public infractions report is released but specific names are not included. The committee members make no statement about the case until the report is released.
Q What are the penalties intended to accomplish?
A Penalties are intended to deter institutions from breaking the rules.
NCAA rules allow for current and former coaches to face punishment if they are involved in major infractions. The committee can require a member institution to take disciplinary action against an individual that could affect their athletically related responsibilities. If the institution refuses, it could face additional penalties from the Committee on Infractions. If the coach or other individuals are no longer at the institution where the infraction occurred but are now working at another institution, the committee may request the current institution to take action against the individual, even if the institution was not involved in the infraction.
If the involved staff member is no longer employed at an NCAA member institution and seeks employment at an NCAA institution in athletics, the committee can request the institution to appear before the committee. The goal is to determine what, if any, limitations should be imposed on the individual the institution wants to hire.
A The five-member Division I Infractions Appeals Committee hears and acts on the findings of major violations by the Division I Committee on Infractions. Committee members are:
Noel M. Ragsdale, law professor, University of Southern California, chair
Susan Cross Lipnickey, faculty athletics representative, Miami University (Ohio)
Jack Friedenthal, law professor, George Washington University
David Williams II, vice chancellor and general counsel, Vanderbilt University
Chris Griffin, attorney, Foley & Lardner (independent member)
Q What is the timeline of events for an enforcement case?
A An enforcement case progresses through several steps, including:
Possible violation discovered
Letter of inquiry sent
Investigation
Institution notified of alleged violations
Institution responds
Case summary compiled
Committee on Infractions hearing
Decision on penalties, if any
Appeals committee hearing
Q How does the process work?
A When the NCAA enforcement staff has a legitimate reason to believe a member institution violated NCAA rules, it may initiate an investigation. Depending on the circumstances, the investigation may be conducted by reviewing correspondence with the institution or conference, or through in-person inquiries. The enforcement staff review a situation if information obtained indicates:
An intentional violation has occurred.
A significant competitive or recruiting advantage may have been gained.
The institution or the enforcement staff has been given false or misleading information.
Q How do investigations begin?
A Investigations can by initiated by the enforcement staff or by a member of the public who contacts the NCAA to report a potential rules violation. Many times, the institution discovers a violation and reports its own violations to the enforcement staff.
The time an investigation takes varies. The NCAA enforcement staff must satisfy a high standard of proof to proceed with allegations. In some cases, as additional information is uncovered, more possible infractions are uncovered that broaden the scope of the investigation. Involved institutions may request additional time to respond to allegations, which also may affect the timeframe.
Q What is a letter of inquiry?
A When the enforcement staff begins to review a situation, the NCAA sends a notice of inquiry to the institution’s president or chancellor. Usually, an enforcement investigator is assigned to conduct in-person interviews.
The notice of inquiry tells institutional leadership the enforcement staff will be investigating the institution. The notice also includes facts of the case, the potential violations by sport, the approximate time period associated with the potential violations and the involved parties. The enforcement staff also includes an approximate timeframe for the investigation. The NCAA does not release the notice of inquiry publicly, but the institution may choose to release the letter or confirm its receipt.
Q How does the investigation progress?
A Since each case has a unique set of individuals, issues and circumstances, there is no single way to conduct an investigation. However, there are similarities in all investigations.
Preliminary information is reviewed by the investigator(s) assigned to the case. The investigator first tries to speak with the source who reported the potential violation. This interview is “on the record” and electronically recorded if possible. If the source anonymously reported the potential violation, the NCAA enforcement staff cannot use the information to prove a violation occurred, but it can use the information to find others who may have information about the situation.
Before the enforcement staff contacts those directly involved with the potential violations, they attempt to gather as much information as possible. The goal is to minimize the possibility of those directly involved compromising the integrity of the case by working with others to change the information reported to the enforcement staff.
If NCAA enforcement staff conducts interviews on campus with enrolled student-athletes or other individuals, institutional staff members may be present during the interviews. Everyone interviewed by NCAA enforcement staff may have legal counsel present during the interviews. In many cases, information such as long-distance telephone records, bank records and academic transcripts are also collected during the process.
NCAA enforcement regulations and student-athlete eligibility procedures employ many traditional due-process protections. For example, the enforcement staff strives to tape-record all interviews. Those that cannot be electronically recorded are transcribed or summarized.
If the enforcement staff has gathered enough information to determine if rules violations have occurred, the process continues.
Q When is the institution notified?
A If the enforcement staff discovers the institution has committed one or more major violations, institutional leadership is sent a notice of allegations that contains specific alleged rules infractions. After the letter of inquiry is sent, the enforcement staff must send the notice of allegations within six months.
The notice of allegations notifies the institution and all involved individuals of the alleged violations the NCAA enforcement staff found during the investigation process. The involved parties have 90 days to respond and may request additional time if needed.
If during the investigation process the enforcement staff determines the information no longer indicates a rules violation, the institution receives written notice the investigation has concluded.
If the investigation process lasts longer than one year after the notice of inquiry is sent, the enforcement staff must review the status of the case with the NCAA Committee on Infractions. If the Committee on Infractions believes the investigation should continue, the institution will receive notice in writing and status reports at least every six months until the case has concluded.
Q What happens next?
A When all involved parties have responded to the alleged rules violations, a hearing date is set with the Committee on Infractions. A prehearing conference with the institution and other involved individuals is held four to six weeks before the hearing. During this conference call, the allegations are discussed.
Before the hearing, the enforcement staff writes a case summary. The case summary documents the allegations, any outstanding issues and other information relevant to the case. At least two weeks before the hearing date, the individuals involved with the hearing and the Committee on Infractions receive the case summary.
Q Who can attend the Committee on Infractions hearing?
A The institution is usually represented by a large contingent of staff that may include its president or chancellor, faculty athletics representative, director of athletics, the current/former head coach of the involved sport(s), the compliance director and legal counsel. NCAA enforcement staff members who attend include the vice president of enforcement services and director of enforcement responsible for the case. Other enforcement staff members who assisted with the case may also be in attendance. If someone is named in the allegations, they may also be present and accompanied by their legal counsel. Student-athletes who have remaining eligibility may also attend.
Q What is the format?
A The chair of the committee opens the hearing with background information. The institution, enforcement staff and other involved parties have the opportunity to give an opening statement. The enforcement staff then outlines the specifics of each allegation, followed by the institution and others involved. Committee members ask questions and after the allegation is thoroughly discussed, the same process begins with the next allegation. After all the allegations have been addressed, all parties can give closing statements.
When the hearing is concluded, the committee discusses the case privately, determines any findings of violations and then assesses penalties. The penalties vary depending on the situation. They can include probationary periods, bans on postseason competition, reductions of athletics scholarships and restrictions on the athletically related duties of coaches.
Q How often does the committee meet?
A The Division I Committee on Infractions meets about six times a year. The meetings usually last two or three days over a weekend. The Divisions II and III Committees on Infractions meet on an as-needed basis.
Q When are penalties announced?
A Penalties are announced once the committee writes the infractions report that documents the specific findings, the penalties and supporting rationale for each. After the hearing, it typically takes between six to eight weeks to complete the report.
A specific process is in place for the notification of any penalties. The day before the public release, the institution and any involved individuals receive a copy of the infractions report. The chair of the Committee on Infractions hosts a telephone press conference to announce the results of the committee decision. A public infractions report is released but specific names are not included. The committee members make no statement about the case until the report is released.
Q What are the penalties intended to accomplish?
A Penalties are intended to deter institutions from breaking the rules.
NCAA rules allow for current and former coaches to face punishment if they are involved in major infractions. The committee can require a member institution to take disciplinary action against an individual that could affect their athletically related responsibilities. If the institution refuses, it could face additional penalties from the Committee on Infractions. If the coach or other individuals are no longer at the institution where the infraction occurred but are now working at another institution, the committee may request the current institution to take action against the individual, even if the institution was not involved in the infraction.
If the involved staff member is no longer employed at an NCAA member institution and seeks employment at an NCAA institution in athletics, the committee can request the institution to appear before the committee. The goal is to determine what, if any, limitations should be imposed on the individual the institution wants to hire.
NCAA Division I Infractions Appeals Committee Upholds Penalties for Florida State University
INDIANAPOLIS – The NCAA Division I Infractions Appeals Committee has upheld the vacation of records penalty for Florida State University.
In March 2009, the NCAA Division I Committee on Infractions issued an infractions report that included findings of academic fraud affecting more than 60 student-athletes across 10 sports.
The case also included impermissible benefits, unethical conduct by three former academic support services staff members and a failure to monitor by the university. The involved sports were football, men’s and women’s basketball, men’s and women’s swimming, men’s and women’s track, baseball, softball and men’s golf.
Penalties for the violations included four years of probation, scholarship reductions, vacation of records and show cause penalties for the former staff members.
In its written appeal, the university asserted that the vacation of records penalty assessed by the Committee on Infractions should be overturned. Specifically, the university asserted this penalty was “excessive” and claimed the Committee on Infractions did not appropriately weigh its cooperation during the investigation and corrective actions when determining the penalties.
The Infractions Appeals Committee, however, affirmed the penalty, stating in its report, “The cooperative efforts of the university clearly did not outweigh the aggravating factors in this case – the nature, number, scope and seriousness of the violations.”
The members of the Infractions Appeals Committee who heard this case were Noel M. Ragsdale, University of Southern California, chair; Susan Cross Lipnickey, Miami University (Ohio); Jack Friedenthal, George Washington University; David Williams II, Vanderbilt University; and William Hoye, Institute for the International Education of Students.
In March 2009, the NCAA Division I Committee on Infractions issued an infractions report that included findings of academic fraud affecting more than 60 student-athletes across 10 sports.
The case also included impermissible benefits, unethical conduct by three former academic support services staff members and a failure to monitor by the university. The involved sports were football, men’s and women’s basketball, men’s and women’s swimming, men’s and women’s track, baseball, softball and men’s golf.
Penalties for the violations included four years of probation, scholarship reductions, vacation of records and show cause penalties for the former staff members.
In its written appeal, the university asserted that the vacation of records penalty assessed by the Committee on Infractions should be overturned. Specifically, the university asserted this penalty was “excessive” and claimed the Committee on Infractions did not appropriately weigh its cooperation during the investigation and corrective actions when determining the penalties.
The Infractions Appeals Committee, however, affirmed the penalty, stating in its report, “The cooperative efforts of the university clearly did not outweigh the aggravating factors in this case – the nature, number, scope and seriousness of the violations.”
The members of the Infractions Appeals Committee who heard this case were Noel M. Ragsdale, University of Southern California, chair; Susan Cross Lipnickey, Miami University (Ohio); Jack Friedenthal, George Washington University; David Williams II, Vanderbilt University; and William Hoye, Institute for the International Education of Students.
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