LSDBi
Status: Adopted Final
Intent: To modify and refine the independent accountability resolution process, as specified.
A. Constitution: Amend 3.2, as follows:
3.2 Active Membership.
[3.2.1 through 3.2.5 unchanged.]
3.2.6 Discipline of Active Members. Disciplinary or corrective actions other than suspension or termination of membership may be effected during the period between annual Conventions for violation of NCAA rules (see Bylaw 19).
3.2.6.1 Restoration of Good Standing. Disciplined members shall resume good standing in accordance with the terms of the disciplinary action taken, or may be restored to good standing at any time by a majority vote of the members hearing panel of the Committee on Infractions present and voting or by action by the Independent Resolution Panel. If fewer than eight members of the Committee on Infractions are present, any committee action requires a favorable vote of at least four committee members. Disciplined members also may be restored to good standing at the annual Convention, by vote of a majority of the members present and voting.
B. Bylaws: Amend 3.4, as follows:
3.4 Affiliated Membership.
[3.4.1 through 3.4.4 unchanged.]
3.4.5 Loss of Membership.
3.4.5.1 Termination or Suspension. The membership of any affiliated member failing to meet the conditions and obligations of membership or failing to support and adhere to the purposes and policies of the Association (see Constitution 1) may be suspended or terminated or the affiliated member otherwise disciplined through the following procedure:
[3.4.5.1-(a) unchanged.]
(b) The A hearing panel of the Committee on Infractions, by majority vote, or the Independent Resolution Panel may recommend such action to the Board of Governors, which may adopt the recommendation by a two-thirds majority of its members present and voting; and
(c) The affiliated member shall be advised of the proposed action at least 30 days prior to any Committee on Infractions, or Independent Resolution Panel hearing, or Board of Governors meeting in which such action is considered and shall be provided the opportunity to appear at any such hearing or meeting.
[3.4.5.1.1 unchanged.]
[3.4.5.2 through 3.4.5.4 unchanged.]
[3.4.6 unchanged.]
C. Constitution: Amend 4.2, as follows:
4.2 Division I Board of Directors.
[4.2.1 unchanged.]
4.2.2 Duties and Responsibilities. The Board of Directors shall serve as the overall governing body for Division I, with responsibility for strategy, policy, legislative oversight and management oversight. Specifically, the Board shall:
[4.2.2-(a) through 4.2.2-(h) unchanged.]
(i) Review and approve policies and procedures governing the infractions program and revise the operating procedures of the independent accountability resolution structure in consultation with the Independent Accountability Oversight Committee;
(j) Review and adopt operating procedures for the independent accountability resolution structure, and revise the operating procedures in consultation with the Independent Accountability Oversight Committee;
[4.2.2-(k) through 4.2.2-(s) relettered as 4.2.2-(j) through 4.2.2-(r), unchanged.]
[4.2.3 through 4.2.6 unchanged.]
D. Bylaws: Amend 19, as follows:
19 Infractions Program.
19.01 General Principles.
[19.01.1 through 19.01.2 unchanged.]
19.01.3 Public Disclosure. Except as provided in this article, the Committee on Infractions, the Infractions Appeals Committee, Independent Resolution Panel, and the enforcement staff and Complex Case Unit shall not make public disclosures about a pending case until the case has been announced in accordance with prescribed procedures. An institution and any individual subject to the NCAA constitution and bylaws involved in a case, including any representative or counsel, shall not make public disclosures about the case until a final decision has been announced in accordance with prescribed procedures.
19.01.4 Penalty Structure. The infractions program shall address the varying levels of infractions and, for the most serious infractions, include guidelines for a range of penalties, which the Committee on Infractions may prescribe, subject to review by the Infractions Appeals Committee, or the Independent Resolution Panel may prescribe. Penalties shall depend on the relative severity of the infraction(s), the presence of aggravating or mitigating factors and, in some cases, the existence of extenuating circumstances.
[19.01.5 unchanged.]
19.02 Definitions and Applications.
[19.02.1 through 19.02.2 unchanged.]
19.02.3 Show-Cause Order. A show-cause order is an order that requires a member institution to demonstrate to the satisfaction of the Committee on Infractions or Independent Resolution Panel why it should not be subject to a penalty or additional penalty for not taking appropriate disciplinary or corrective action with regard to an institutional staff member or representative of the institution's athletics interests found by the committee Committee on Infractions or Independent Resolution Panel as having been involved in a violation of the NCAA constitution and bylaws.
19.02.4 Review of Cases. Cases involving allegations of Level I or Level II violations will be presented to and decided by the Committee on Infractions unless referred to the independent accountability resolution structure pursuant to the standard and process for referral set forth in Bylaw 19.11.3. The select cases referred to the independent structure will be presented to and decided by the Independent Resolution Panel in accordance with Bylaw 19.11.
19.1 Violation Structure.
19.1.1 Severe Breach of Conduct (Level I Violation). A severe breach of conduct is one or more violations that seriously undermine or threaten the integrity of the NCAA Collegiate Model, as set forth in the constitution and bylaws, including any violation that provides or is intended to provide a substantial or extensive recruiting, competitive or other advantage, or a substantial or extensive impermissible benefit. Among other examples, the following, in appropriate circumstances, may constitute a severe breach of conduct:
[19.1.1-(a) through 19.1.1-(b) unchanged.]
(c) Failure to cooperate in an NCAA enforcement or Complex Case Unit investigation;
[19.1.1-(d) through 19.1.1-(i) unchanged.]
[19.1.2 through 19.1.3 unchanged.]
[19.2 through 19.4 unchanged.]
19.5 Enforcement Staff Review and Investigation of Alleged Violations.
[19.5.1 through 19.5.3 unchanged.]
19.5.4 Representation by Legal Counsel. When an enforcement staff member conducts an interview, that may develop information detrimental to the interests of the individual being questioned, he or she the individual questioned may be represented by personal legal counsel.
[19.5.5 through 19.5.10 unchanged.]
19.5.11 Statute of Limitations. Allegations included in a notice of allegations shall be limited to possible violations occurring not earlier than four years before the date the notice of inquiry is provided to the institution or the date the institution notifies (or, if earlier, should have notified) the enforcement staff of its inquiries into the matter. However, the following shall not be subject to the four-year limitation:
[19.5.11-(a) through 19.5.11-(b) unchanged.]
(c) Allegations that indicate a blatant disregard for the Association's fundamental recruiting, extra benefit, academic or ethical-conduct bylaws or that involve an effort to conceal the occurrence of the violation. In such cases, the enforcement staff shall have a one-year an 18-month period after the date information concerning the matter becomes available to the NCAA to investigate and submit to the institution a notice of allegations concerning the matter.
19.5.12 Negotiated Resolution. At any time from the beginning of the enforcement staff investigation until hearing panel review of a summary disposition report pursuant to Bylaw 19.6.4 or an infractions hearing held pursuant to Bylaw 19.7.7, the enforcement staff may negotiate a resolution with an institution or involved individual about alleged violations and proposed penalties. The negotiated resolution is subject to approval by a hearing panel of the Committee on Infractions and must resolve all known violations for which the party or parties included in the negotiated resolution may be subject to penalty pursuant to Bylaw 19.9.
[19.5.12.1 through 19.5.12.6 unchanged.]
19.6 Summary Disposition Process Before the Committee on Infractions.
19.6.1 Summary Disposition Election. In a case before the Committee on Infractions involving Level I or Level II violations, the institution, involved individuals and the enforcement staff may elect to use the summary disposition procedures specified below. To invoke the summary disposition procedures, the enforcement staff, involved individuals, if participating, and the institution must agree to summary disposition. The institution, an involved individual or the enforcement staff may require, as a condition of agreement, that the parties jointly submit the proposed findings of fact to the chair of the Committee on Infractions or his or her designee for a preliminary assessment of the appropriateness of the use of the summary disposition process.
[19.6.2 through 19.6.4 unchanged.]
19.7 Notice of Allegations and Opportunity to Respond Before the Committee on Infractions.
[19.7.1 through 19.7.8 unchanged.]
19.8 Notification of Committee on Infractions Decision.
19.8.1 Infractions Decision. After a hearing, the Committee on Infractions hearing panel shall prepare and approve the final written infractions decision, which shall contain a statement of the findings of fact, conclusions of violations, penalties, corrective actions, requirements and (for institutions) any other conditions and obligations of membership.
[19.8.1.1 through 19.8.1.4 unchanged.]
19.8.2 Reconsideration by the Hearing Panel. Once the decision has been publicly announced by the Committee on Infractions hearing panel, and the appeal opportunity has been exhausted, there shall be no reconsideration of the decision except as follows.
[19.8.2.1 through 19.8.2.2 unchanged.]
[19.8.3 unchanged.]
19.9 Penalties.
19.9.1 Application. The penalties set forth in this section shall be prescribed by hearing panels of the Committee on Infractions or Independent Resolution Panel for violations committed on or after October 30, 2012. Penalties prescribed for violations committed before October 30, 2012, shall be the penalties set forth in this section or the penalties that would have been prescribed pursuant to the 2012-13 Division I Manual, whichever is less stringent. For violations that commence before October 30, 2012, and continue on or after October 30, 2012, the hearing panel shall prescribe the penalties set forth in this section unless it finds or concludes that the conduct constituting a violation predominately occurred before October 30, 2012.
[19.9.2 unchanged.]
19.9.3 Aggravating Factors. Aggravating factors are circumstances that warrant a higher range of penalties for a particular party. A hearing panel of the Committee on Infractions determines whether aggravating factors are present in a case and the weight assigned to each factor. Examples of aggravating factors include, but are not limited, to the following:
[19.9.3-(a) through 19.9.3-(b) unchanged.]
[19.9.3-(b)-(1) through 19.9.3-(b)-(3) unchanged.]
(4) Other factors the committee hearing panel deems relevant to the infractions history.
[19.9.3-(c) through 19.9.3-(o) unchanged.]
19.9.4 Mitigating Factors. Mitigating factors are circumstances that warrant a lower range of penalties for a particular party. A hearing panel of the Committee on Infractions determines whether mitigating factors are present in a case and the weight assigned to each factor. Examples of mitigating factors include, but are not limited to, the following:
[19.9.4-(a) through 19.9.4-(i) unchanged.]
19.9.5 Core Penalties for Level I and Level II Violations. If a hearing panel concludes that an institution or involved individual committed one or more Level I or Level II violations, and after determining the appropriate classification based on aggravating and mitigating factors, the hearing panel shall prescribe core penalties from the ranges set forth in Figure 19-1 and described below. The panel may depart from the core penalties only as set forth in Bylaw 19.9.6.
[19.9.5.1 through 19.9.5.3 unchanged.]
19.9.5.4 Show-Cause Orders. If a determination is made by a hearing panel that an institution has not taken appropriate disciplinary or corrective action regarding an individual found in violation of the NCAA constitution and bylaws, the panel may issue an order that the institution take additional disciplinary or corrective action, including but not limited to, restriction of some or all athletically related duties, as set forth in Figure 19-1, unless the institution appears before the panel to show cause why the additional penalties should not be applied. Decisions regarding disciplinary or corrective actions involving personnel shall be made by the institution, but the determination of whether the action satisfies the institution's obligation of NCAA membership shall rest solely with the Committee on Infractions or Independent Resolution Panel.
19.9.5.5 Head Coach Restrictions. If a determination is made by the hearing panel that an employing institution has not taken appropriate disciplinary or corrective action regarding a head coach found in violation of Bylaw 11.1.1.1, the panel may issue an order that the institution suspend the coach for a number of contests from the range set forth in Figure 19-1 that would apply to the underlying violation(s) unless the institution appears before the panel to show cause why the suspension should not be applied. Decisions regarding disciplinary or corrective actions involving personnel shall be made by the institution, but the determination of whether the action satisfies the institution's obligation of NCAA membership shall rest solely with the Committee on Infractions or Independent Resolution Panel.
[19.9.5.6 unchanged.]
19.9.5.7 Probation. The hearing panel may prescribe probationary conditions designed on a case-by-case basis to remediate weaknesses detected in the institution's administration of its athletics programs. Prior to expiration of the probation period and before the institution is restored to full rights and privileges of membership in the Association, the office of the Committee on Infractions will review the athletics policies and practices of the institution. If an institution fails to satisfy all probationary conditions, the committee Committee on Infractions or Independent Resolution Panel may extend the probationary period and/or prescribe additional penalties. Conditions of probation may include, but are not limited to, the following:
[19.9.5.7-(a) through 19.9.5.7-(b) unchanged.]
(c) Written confirmation to the committee Committee on Infractions or Independent Resolution Panel that the institution's president or chancellor met with student-athletes, athletics department staff and other relevant parties to personally affirm his or her commitment to NCAA rules compliance, shared responsibility and preserving the integrity of intercollegiate athletics;
[19.9.5.7-(d) unchanged.]
(e) In cases in which an institution is found to lack institutional control and serious remediation is necessary, in-person reviews of the institution's athletics policies and practices by the office of the Committee on Infractions or, in limited circumstances, as appropriate, committee Committee on Infractions or Independent Resolution Panel members or a third party;
[19.9.5.7-(f) through 19.9.5.7-(g) unchanged.]
[19.9.6 through 19.9.8 unchanged.]
19.9.9 Show-Cause Penalties. If a hearing panel of the Committee on Infractions prescribes additional penalties for an institution for Level I or Level II violations pursuant to Bylaw 19.9.5.4, the institution shall be provided the opportunity to appear before the panel. Further, for show-cause penalties prescribed by a Committee on Infractions hearing panel, the institution shall be provided the opportunity to appeal any additional penalty prescribed by the panel.
[19.9.10 unchanged.]
19.9.11 Obligation of Institution to Take Appropriate Action. If a violation has been found that affects the eligibility of one or more student-athletes, the institution and its conference, if any, shall be notified of the violation and the name(s) of the student-athlete(s) involved. If the institution fails to take appropriate action by declaring the student-athlete(s) ineligible, the institution shall be required to show cause to the Committee on Infractions or Independent Resolution Panel why additional penalties should not be prescribed for a failure to abide by the conditions and obligations of membership if it permits the student-athlete(s) to compete in intercollegiate athletics.
19.10 Appeal of Committee on Infractions Decisions.
19.10.1 Basis for Granting an Appeal.
19.10.1.1 Penalties. A penalty prescribed by the Committee on Infractions hearing panel, including determinations regarding the existence and weighing of any aggravating or mitigating factors, shall not be set aside on appeal except on a showing by the appealing party that the panel abused its discretion. The Infractions Appeals Committee may affirm a penalty for any reason in the record.
19.10.1.2 Findings and Conclusions. A Committee on Infractions hearing panel's factual findings and its conclusion that one or more violations occurred shall not be set aside on appeal except on a showing by the appealing party that:
[19.10.1.2-(a) through 19.10.1.2-(c) unchanged.]
19.10.2 Appeal by Institution or Involved Individual. An institution participating in the proceedings of a Committee on Infractions hearing panel may appeal the panel's findings, conclusions, penalties, corrective actions, requirements and/or other conditions and obligations of membership prescribed for the institution for violations of the NCAA constitution and bylaws. An involved individual participating in the proceedings of the panel and who the panel concluded committed a violation may appeal the panel's findings, conclusions and/or prescribed penalties regarding that individual for violations in which he or she is named. The notice of intent to appeal must be presented in writing to the Infractions Appeals Committee not later than 15 calendar days after the date the hearing panel releases the public infractions decision.
[19.10.2.1 through 19.10.2.2 unchanged.]
[19.10.3 through 19.10.7 unchanged.]
19.11 Independent Accountability Resolution.
19.11.1 Independent Accountability Resolution Process. The independent accountability resolution process shares reinforces the mission, principles and commitments of the NCAA infractions program. The independent accountability resolution process ensures the Association's interests are best served by resolving select infractions cases involving allegations of Level I or Level II violations in an independent accountability resolution structure before a hearing panel comprised of members external to the Association.
19.11.1.1 Incorporation of NCAA Infractions Program Bylaws. The independent accountability resolution process incorporates Bylaws 19.01 (General Principles), 19.02 (Definitions and Applications), 19.1 (Violation Structure), 19.2 (Expectations and Shared Structure) and 19.9 (Penalties) as they apply to the independent accountability resolution structure.
19.11.2 Independent Accountability Resolution Structure. The independent accountability resolution structure shall consist of the following bodies:
(a) Independent Accountability Oversight Committee;
[19.11.2-(b) unchanged.]
(c) Independent Resolution Panel; and
[19.11.2-(d) unchanged.]
19.11.2.1 Independent Accountability Oversight Committee.
[19.11.2.1.1 through 19.11.2.1.2 unchanged.]
19.11.2.1.3 Term of Office. The term of office for Independent Accountability Oversight Committee members shall be as follows:
(a) An independent member of the Board of Governors shall serve a four three-year term and is not immediately eligible for reappointment.
[19.11.2.1.3-(b) through 19.11.2.1.3-(d) unchanged.]
[19.11.2.1.4 unchanged.]
19.11.2.1.5 Duties and Authority. The Independent Accountability Oversight Committee administers the independent alternative resolution process. The Independent Accountability Oversight Committee shall:
(a) Oversee the Infractions Referral Committee, Independent Resolution Panel and Complex Case Unit;
(b) Consult with the Board of Directors in revising operating procedures for the independent accountability structure;
(c) Appoint the Independent College Resolution Panel, Committee on Infractions and Infractions Appeals Committee members on the Infractions Referral Committee, and the independent external investigators and advocates on the Complex Case Unit;
(d) Nominate individuals to serve on the Independent Resolution Panel, subject to appointment by the Board of Directors;
(e) On request by the Independent Resolution Panel, appoint a member of the general public (with formal legal training who is not associated with a collegiate institution, conference, or professional or similar sports organization and who does not represent coaches or athletes in any capacity) knowledgeable in the infractions process and with the NCAA constitution and bylaws to confer with the panel during its review of a particular case; and
(f) Resolve operational matters related to the Infractions Referral Committee, Independent Resolution Panel and Complex Case Unit in accordance with applicable operating procedures; and
(g) Carry out such other duties as assigned by the Board of Governors.
19.11.2.2 Infractions Referral Committee.
19.11.2.2.1 Composition. The Infractions Referral Committee shall consist of five members, including one Independent Resolution Panel member, one Committee on Infractions member, one Infractions Appeals Committee member, the NCAA vice president of enforcement and the Council chair and vice chair.
[19.11.2.2.2 unchanged.]
19.11.2.2.3 Term of Office. The term of office for the Infractions Referral Committee members shall be as follows:
(a) The Independent Resolution Panel, Committee on Infractions and Infractions Appeals Committee members shall serve four three-year terms and are not immediately eligible for reappointment.
[19.11.2.2.3-(b) through 19.11.2.2.3-(c) unchanged.]
(d) The term terms of office of the Council chair and vice chair shall coincide with his or her service their terms as Council chair and vice chair, respectively.
[19.11.2.2.4 through 19.11.2.2.6 unchanged.]
19.11.2.3 Independent Resolution Panel.
19.11.2.3.1 Composition. The Independent Resolution Panel shall consist of 15 members with legal, higher education and/or sport backgrounds who are not eligible to serve on Division I committees or as Division I representatives on Association-wide or common committees staff members at an NCAA member institution or conference. The status of an individual who is employed by or otherwise affiliated with a member institution or conference shall be defined by the institution or conference.
[19.11.2.3.2 through 19.11.2.3.4 unchanged.]
19.11.2.3.5 Duties and Authority. The Independent Resolution Panel hears and decides cases through hearing panels. Disciplinary or corrective actions other than suspension or termination of membership may be prescribed by panel members present and voting at any duly called hearing thereof, provided the call of such a hearing shall have contained notice of the situation presenting the disciplinary problem. The penalties prescribed by a panel are separate and apart from any penalties prescribed as part of the Academic Performance Program by the Committee on Academics. The Independent Resolution Panel shall:
[19.11.2.3.5-(a) through 19.11.2.3.5-(e) unchanged.]
(f) Coordinate with the Committee on Infractions, which will monitor compliance with prescribed penalties. In the event that the Committee on Infractions leadership team determines that an institution fails or refuses to implement prescribed penalties, the Independent Resolution Panel may prescribe additional penalties, provided the institution is given the opportunity to appear before the panel;
[19.11.2.3.5-(g) through 19.11.2.3.5-(h) unchanged.]
(i) Carry out such other duties directly related to hearing an infractions case as assigned by the Independent Accountability Oversight Committee.
19.11.2.3.6 Conflict of Interest. No hearing panel member shall participate in a case if he or she is directly connected with an institution under investigation or if he or she has a personal, professional or institutional affiliation that may create the appearance of partiality. It is the responsibility of the panel member to remove himself or herself if a conflict exists. Objections to the participation of a panel member shall be addressed pursuant to applicable operating procedures and decided by the Independent Accountability Oversight Committee chair.
19.11.2.3.7 Duties of the Chief Panel Member. The chief panel member shall:
(a) Preside over cases assigned to his or her hearing panel;
(b) Resolve procedural and other matters that arise prior to the hearing as authorized in Bylaw 19.11.5.6.1;
(c) Schedule deadlines for matters related to the case as authorized in Bylaw 19.11.5.6.2;
(d) Conduct a hearing status conference with the parties and decide matters addressed in the conference as authorized in Bylaw 19.11.5.6.3;
(e) At the request of the Complex Case Unit, determine whether to grant limited immunity to a current or former institutional employee with responsibilities related to athletics based on information that the employee reports in situations in which he or she would otherwise be subject to disciplinary action as described in Bylaws 19.9.5.4 and 19.9.8-(i). Such immunity shall not apply to the employee's involvement in violations of NCAA legislation not reported, to future involvement in violations of NCAA legislation by the employee or to any action taken by an institution;
(f) At the request of the Complex Case Unit, determine whether to grant limited immunity to a student-athlete or prospective student-athlete in situations in which he or she might otherwise be declared ineligible for intercollegiate competition based on information reported to the enforcement staff by the individual or a third party associated with the individual. Such immunity shall not apply to the individual's involvement in violations of NCAA legislation not reported, to future involvement in violations of NCAA legislation by the individual or to any action taken by an institution;
(g) Oversee hearing administration and logistics; and
(h) Carry out other duties related to the processing of an infractions case.
19.11.2.3.8 Scope of Inquiry. When an institution and/or involved individual appears before a hearing panel to discuss a response to the notice of allegations, the hearing shall be directed toward the general scope of the notice of allegations but shall not preclude the panel from concluding that any violation occurred based on information developed or discussed during the hearing. In any case, the panel may make specific factual findings based on information presented by the parties or at a hearing even if different from the notice of allegations.
19.11.2.3.9 Basis of Decision. The hearing panel shall base its decision on information presented to it that it determines to be credible, persuasive and of a kind on which reasonably prudent persons rely in the conduct of serious affairs. The information upon which the panel bases its decision may be information that directly or circumstantially supports the alleged violation.
19.11.2.3.9.1 Importation of Facts. Facts established by a decision or judgment of a court, agency, accrediting body, or other administrative tribunal of competent jurisdiction, which is not under appeal, or by a commission, or similar review of comparable independence, authorized by a member institution or the institution’s university system’s board of trustees and regardless of whether the facts are accepted by the institution or the institution’s university system's board of trustees, may be accepted as true in the infractions process in concluding whether an institution or individual participating in the previous matter violated NCAA legislation. Evidence submitted and positions taken in such a matter may be considered in the infractions process.
19.11.2.3.9.2 Materials Not Produced. The hearing panel may infer that materials requested during an investigation by the Complex Case Unit and/or enforcement staff but not produced by an institution or individual would support an alleged violation for which the party may be subject to a penalty pursuant to Bylaw 19.9.
19.11.2.3.9.3 Failure to Participate in Interview. The hearing panel may view the failure or refusal to participate in an interview requested by the Complex Case Unit and/or enforcement staff as an admission that an alleged violation, for which the individual may be subject to a penalty pursuant to Bylaw 19.9, occurred.
19.11.2.3.9.4 Failure to Submit Timely Response to Notice of Allegations. The hearing panel may view the failure by an institution or individual to submit a timely response to a notice of allegations as an admission that an alleged violation, for which the party may be subject to penalty pursuant to Bylaw 19.9, occurred.
19.11.2.3.10 Calculation of Penalty. If a hearing panel concludes that a violation occurred, it shall prescribe an appropriate penalty pursuant to Bylaw 19.9 or recommend to the Board of Directors suspension or termination of membership in an appropriate case. Failure to fully implement the prescribed penalty may be considered a violation and/or may subject the institution, and/or an institution employing an involved individual under a show-cause order, to further disciplinary action by the Independent College Sports Adjudication Panel.
19.11.2.3.11 Finality of Decision. Any decision by a hearing panel shall be final, binding and conclusive, and shall not be subject to further review by any governance body.
19.11.2.4 Complex Case Unit.
19.11.2.4.1 Composition. The Complex Case Unit shall consist of one or more independent external investigators, one or more independent external advocates and select enforcement staff members.
[19.11.2.4.2 through 19.11.2.4.4 unchanged.]
19.11.3 Referral to Independent Accountability Resolution Structure. The Infractions Referral Committee refers cases to the independent accountability resolution structure pursuant to a standard and process for referral.
[19.11.3.1 unchanged.]
19.11.3.2 Referral Process.
19.11.3.2.1 Request. The involved institution, vice president of enforcement and Committee on Infractions chair may request the Infractions Referral Committee refer a case to the independent accountability resolution structure as follows:
(a) The involved institution and vice president of enforcement may request referral at any time after the enforcement staff issues issuance of the notice of inquiry and within 15 days after the Committee on Infractions receives the enforcement staff reply prior to filing the institution's response to the notice of allegations.
(b) The Committee on Infractions chair may request referral at any time after issuance of the enforcement staff issues the notice of allegations and within 60 15 days after the Committee on Infractions receives the enforcement staff reply responses to the notice of allegations.
[19.11.3.2.1-(c) unchanged.]
[19.11.3.2.2 through 19.11.3.2.4 unchanged.]
19.11.4 Alternative Adjudication Review and Supplemental Investigation of Alleged Violations.
19.11.4.1 Notification of Independent Resolution Panel Decision Supplemental Investigation. If the Complex Case Unit determines investigation of potential violations of the NCAA constitution and bylaws supplemental to the enforcement staff investigation is warranted, the Complex Case Unit shall conduct supplemental investigation to develop, to the extent reasonably possible, all relevant information. The Complex Case Unit will usually share information with the institution during an investigation, including information that may assist the institution in stopping an ongoing violation. However, to protect the integrity of the investigation, the Complex Case Unit may not, in all instances, share information with the institution.
19.11.4.1.1 Infractions Decision. After a hearing, the hearing panel shall prepare and approve the final written infractions decision, which shall contain a statement of the findings of fact, conclusions of violations, penalties, corrective actions, requirements and (for institutions) any other conditions and obligations of membership.
19.11.4.1.1.1 Provision of Decision to the Parties. The decision shall be sent to the chancellor or president of the involved institution (or his or her designee), any involved individuals and the vice president of enforcement.
19.11.4.1.1.2 Public Infractions Decision. Once the decision has been provided to the parties, the hearing panel shall release a public infractions decision. The public infractions decision will not include names of individuals, but the panel may, at its discretion, identify the chancellor or president of the institution (in cases involving lack of institutional control); the director of athletics and/or any individual with direct responsibility and oversight of the athletics department (in cases involving lack of control or failure to monitor); the head coach(es) of the sport(s) involved; and, if appropriate, the chair or other members of the institution's governing body.
19.11.4.2 Public Announcements. The Complex Case Unit shall not publicly confirm or deny the existence
of an infractions case before resolution of the case. However, if information concerning a case is made
public, the institution, Complex Case Unit and any involved individual may confirm, correct or deny the
information made public.
19.11.4.3 Representation by Legal
Counsel. When a Complex Case Unit member conducts an
interview, the individual questioned may be represented by personal legal counsel.
19.11.4.4 Interview Notices.
19.11.4.4.1 Disclosure of Purpose of Interview. If a Complex Case Unit member requests information that could be detrimental to the interests of the student-athlete or institutional employee being questioned, that individual shall be advised that the purpose of the interview is to determine whether the individual has knowledge of or has been involved directly or indirectly in any violation of the NCAA constitution and bylaws.
19.11.4.4.2 Responsibility to Provide Truthful Information. At the beginning of an interview involving the Complex Case Unit, a prospective or enrolled student-athlete or a current or former institutional employee shall be advised that refusing to furnish information or providing false or misleading information to the NCAA, conference or institution may result in an allegation that the individual has violated NCAA ethical conduct bylaws.
19.11.4.5 Interview with Member Institution. The director of athletics or other appropriate official of an institution shall be contacted by the Complex Case Unit in order to schedule interviews on the institution's campus with enrolled student-athletes or coaching or other institutional staff members with athletically related responsibilities who are believed to have knowledge of possible violations. Interviews should be conducted without disrupting normally scheduled academic activities whenever reasonably possible.
19.11.4.5.1 Presence of Institutional Representative During Interview. If an interview with an enrolled student-athlete or athletics department staff member is conducted on the campus of an institution, an institutional representative (as designated by the institution) may be present during the interview, provided the subject matter to be discussed in the interview relates directly to the individual's institution or could affect the individual's eligibility or employment at the institution. If the Complex Case Unit wishes to discuss information with a student-athlete or staff member that is related solely to institutions other than the one in which the student-athlete is enrolled or the staff member is employed, and would not reasonably affect the student's eligibility or the staff member's employment at that institution, the institution may designate a representative to be present during the interview, provided the representative is someone who would not compromise the integrity of the investigation and whose participation would not prejudice the subject institution or any involved individual.
19.11.4.6 Statement of Confidentiality. Individuals and institutional representatives shall be required to agree not to release recordings or interview transcripts to a third party. A statement of confidentiality shall be signed or recorded prior to an interview. Failure to enter into such an agreement precludes the individual or institutional representative from recording or transcribing the interview.
19.11.4.7 Access to Information. For all cases, the Complex Case Unit shall make available to the institution and any involved individual recorded interviews, interview summaries and/or interview transcripts, and other factual information pertinent to the case. The institution and involved individuals may review such information through a secure website or at the NCAA national office.
19.11.4.8 Statute of Limitations. Allegations included in a notice of allegations shall be limited to possible violations occurring not earlier than four years before the date the notice of inquiry is provided to the institution or the date the institution notifies (or, if earlier, should have notified) the enforcement staff of its inquiries into the matter. However, the following shall not be subject to the four-year limitation:
(a) Allegations involving violations affecting the eligibility of a current student-athlete;
(b) Allegations in a case in which information is developed to indicate a pattern of willful violations on the part of the institution or individual involved, which began before but continued into the four-year period; and
(c) Allegations that indicate a blatant disregard for the Association's fundamental recruiting, extra benefit, academic or ethical conduct bylaws or that involve an effort to conceal the occurrence of the violation. In such cases, the Complex Case Unit shall have an 18-month period after the date information concerning the matter becomes available to the Complex Case Unit to investigate and submit allegations concerning the matter.
19.11.5 Notice of Allegations and Opportunity to Respond.
19.11.5.1 Notice of Allegations Issued After Referral. If the Infractions Referral Committee refers a case to the independent accountability resolution structure before the enforcement staff issues a notice of allegations, and the Complex Case Unit determines that there is sufficient information for a hearing panel to conclude that a violation occurred, the Complex Case Unit shall issue a cover letter and notice of allegations to the chancellor or president of the institution. The institution and/or involved individuals, if applicable, shall be given notice of the alleged violation(s), the details of the alleged violation(s), the possible level of each alleged violation, the processing level of the case, the available hearing procedures and the opportunity to answer the allegations. The notice of allegations shall also identify the factual information and aggravating and/or mitigating factors on which the Complex Case Unit may rely in presenting the case.
19.11.5.1.1 Notice to Institution's Administration. The cover letter accompanying each notice of allegations shall:
(a) Inform the chancellor or president of the matter under inquiry and request the cooperation of the institution in obtaining all the pertinent facts;
(b) Request the chancellor or president to respond to the allegations and to provide all relevant information that the institution has or may reasonably obtain, including information uncovered related to new violations. The responsibility to provide information continues until the Independent Resolution Panel resolves the case; and
(c) Require the chancellor or president and other institutional staff to appear before a hearing panel at a time and place determined by the chief panel member.
19.11.5.1.2 Notice to Involved Individuals. The Complex Case Unit shall notify an involved individual of the allegations in a notice of allegations in which he or she is named. The involved individual shall receive notice of his or her duty to cooperate in the investigation and to appear at a hearing, if requested (and the potential consequences for failing to appear). The notice of allegations shall request the involved individual to respond to the allegations and to provide all relevant information that he or she has or may reasonably obtain, including information uncovered related to new violations. The responsibility to provide information continues until the Independent Resolution Panel resolves the case. If an involved individual is employed at a member institution, a copy of the notification shall also be forwarded to the chancellor or president and the director of athletics of his or her institution.
19.11.5.2 Notice of Allegations Issued Before Referral. If the Infractions Referral Committee refers a case to the independent accountability resolution structure after the enforcement staff issues a notice of allegations, the Complex Case Unit may withdraw, supplement or amend the allegations issued by the enforcement staff.
19.11.5.3 Responses by Institutions or Involved Individuals. The institution and all involved individuals may respond to the notice of allegations or, in accordance with applicable operating procedures, allegations issued by the enforcement staff as supplemented or amended by the Complex Case Unit. Any response shall be submitted to the hearing panel and Complex Case Unit, and pertinent portions to the institution and all involved individuals, by a deadline established by the chief panel member.
19.11.5.4 Reply by Complex Case Unit.
The Complex Case Unit shall submit a written reply to any responses
to the notice of allegations, or incorporate as its own a reply submitted by the enforcement staff prior to
referral of the case. The Complex Case Unit shall submit the reply to the hearing panel, and pertinent
portions to the institution and involved individuals, by a deadline established by the chief panel
member.
19.11.5.5 Submission of Information. The parties shall submit information for consideration by the hearing panel by a deadline established by the chief panel member.
19.11.5.6 Prehearing Matters.
19.11.5.6.1 Procedural Matters. The chief panel member has authority to resolve procedural and other matters that arise prior to the hearing.
19.11.5.6.2 Scheduling of Deadlines.
Upon referral, the chief panel member has authority to schedule
deadlines for supplemental investigation, if any, case processing, submission of information and other matters
related to the case.
19.11.5.6.2.1 Case Management Conferences. The chief panel member may conduct a conference to schedule deadlines related to the case and/or address matters related to deadlines in the case.
19.11.5.6.3 Hearing Status Conference. After the Complex Case Unit submits its reply in accordance with Bylaw 19.11.5.4, the chief panel member shall conduct a hearing status conference with the parties. The conference shall address any procedural matters to be resolved before the hearing, disputes between the parties, scheduling and logistics of the hearing, hearing attendees, order and manner of presentation of information at the hearing, issues to be discussed during the hearing and other matters related to the hearing. The chief panel member has authority to decide such matters.
19.11.5.7 Hearings. The hearing panel shall hold a hearing to make factual findings and
conclude whether violations of the NCAA constitution and bylaws occurred and, if so, to prescribe appropriate
penalties as set forth in Bylaw 19.9 unless all participating parties agree to submit the case in writing without
a hearing. The chief panel member shall preside over the hearing and oversee hearing administration and
logistics.
19.11.5.7.1 Information Presented at Hearings. At the hearing, the parties or their representatives have the obligation to present, to the extent reasonably possible, material, relevant information necessary for the hearing panel to reach an informed decision, including information that corroborates or refutes an allegation. The parties shall present information in accordance with applicable operating procedures and any decisions by the chief panel member. The panel may exclude information that it determines to be irrelevant, immaterial or unduly repetitious.
19.11.5.7.1.1 Information from Confidential Sources. At the hearing, the parties shall present only information that can be attributed to individuals who are willing to be identified. Information obtained from individuals not wishing to be identified shall not be relied on by the hearing panel in concluding whether a violation occurred. Such confidential sources shall not be identified to the hearing panel, the institution or an involved individual.
19.11.5.7.2 Scope of Inquiry. When an institution and/or involved individual appears before a hearing panel to discuss a response to the notice of allegations, the hearing shall be directed toward the general scope of the notice of allegations but shall not preclude the panel from concluding that a violation occurred based on information developed or discussed during the hearing. In any case, the panel may make specific factual findings based on information presented by the parties or at a hearing even if different from the notice of allegations.
19.11.5.7.3 Appearance and Hearing Attendees. All parties to the case must appear before the hearing panel, unless otherwise approved by the chief panel member. Except as otherwise provided herein or as approved or ordered by the chief panel member, only institutional representatives, involved individuals, Complex Case Unit representatives, hearing panel members, a representative from the institution's conference, a representative from a member institution employing an involved individual at the time of the hearing, select NCAA staff representatives, the audio recorder, the court reporter, other technical and support staff as approved by chief panel member, individuals with information germane to the case as approved by the chief panel member and individuals otherwise requested by the chief panel member may attend the hearing. An individual who appears before the panel may appear with personal legal counsel. The chief panel member may exclude an individual and his or her representative from portions of the hearing concerning matters in which the individual is not involved.
19.11.5.7.3.1 Request for Specific Individuals. Institutional officials, current or former staff members, or enrolled student-athletes who are specifically requested by the chief panel member to appear before the hearing panel are expected to appear and may be accompanied by personal legal counsel. Failure to appear may result in a violation of this bylaw.
19.11.5.7.3.2 Institutional Representatives. Except as otherwise approved or ordered by the chief panel member, at the time an institution appears before the hearing panel, its representatives should include the president or chancellor, head coach of the sport(s) in question, director of athletics and/or any individual with direct responsibility and oversight of the athletics department, senior compliance administrator, faculty athletics representative, legal counsel and/or other representatives, and other individuals whose attendance is requested by the chief panel member. Additional individuals may be included among the institution's representatives only if approved by the chief panel member.
19.11.5.7.4 Recording of Proceedings. The proceedings of the hearing shall be transcribed by a court reporter (unless otherwise approved by the chief panel member) and shall be recorded by the hearing panel. No additional verbatim recording of the proceedings will be permitted.
19.11.5.8 Deliberations. The hearing panel shall deliberate following presentations by the
parties.
19.11.5.8.1 Request for Additional Information. In arriving at its decision, the hearing panel may request additional information from the parties. If additional information is requested, all parties will be afforded an opportunity to respond at the time such information is provided.
19.11.5.8.2 Request for Interpretation. The hearing panel may request that the NCAA academic and membership affairs staff provide an interpretation of applicable legislation based on facts submitted by the hearing panel. If an interpretation is requested, the institution, involved individuals and the Complex Case Unit will be notified in writing of the interpretation request and the response. The institution may appeal the interpretation in accordance with Constitution 5.4.1.2.
19.11.5.8.3 Basis of Decision. The hearing panel shall base its decision on information presented to it that it determines to be credible, persuasive and of a kind on which reasonably prudent persons rely in the conduct of serious affairs. The information upon which the panel bases its decision may be information that directly or circumstantially supports the alleged violation.
19.11.5.8.3.1 Importation of Facts. Facts established by a decision or judgment of a court, agency, accrediting body, or other administrative tribunal of competent jurisdiction, which is not under appeal, or by a commission, or similar review of comparable independence, authorized by a member institution or the institution's university system's board of trustees and regardless of whether the facts are accepted by the institution or the institution's university system's board of trustees, may be accepted as true in the infractions process in concluding whether an institution or individual participating in the previous matter violated NCAA legislation. Evidence submitted and positions taken in such a matter may be considered in the infractions process.
19.11.5.8.3.2 Materials Not Produced. The hearing panel may infer that materials requested during an investigation by the Complex Case Unit and/or enforcement staff but not produced by an institution or individual would support an alleged violation for which the party may be subject to a penalty pursuant to Bylaw 19.9.
19.11.5.8.3.3 Failure to Participate in Interview. The hearing panel may view the failure or refusal to participate in an interview requested by the Complex Case Unit and/or enforcement staff as an admission that an alleged violation, for which the individual may be subject to a penalty pursuant to Bylaw 19.9, occurred.
19.11.5.8.3.4 Failure to Submit Timely Response to Notice of Allegations. The hearing panel may view the failure by an institution or individual to submit a timely response to a notice of allegations as an admission that an alleged violation, for which the party may be subject to penalty pursuant to Bylaw 19.9, occurred.
19.11.5.8.4 Calculation of Penalty. If a hearing panel concludes that a violation occurred, it shall prescribe an appropriate penalty pursuant to Bylaw 19.9 or recommend to the Board of Directors suspension or termination of membership in an appropriate case. Failure to fully implement the prescribed penalty may be considered a violation and/or may subject the institution, and/or an institution employing an involved individual under a show-cause order, to further disciplinary action by the Independent Resolution Panel.
19.11.5.8.4.1 Penalties Prescribed in Prior Cases. Penalties prescribed by the Committee on Infractions and Independent Resolution Panel in prior infractions cases shall have no precedential value.
19.11.6 Notification of Independent Resolution Panel Decision.
19.11.6.1 Infractions Decision. After a hearing, the hearing panel shall prepare and approve the final written infractions decision, which shall contain a statement of the findings of fact, conclusions of violations, penalties, corrective actions, requirements and (for institutions) any other conditions and obligations of membership.
19.11.6.1.1 Provision of Decision to the Parties. The decision shall be sent to the chancellor or president of the involved institution (or his or her designee), any involved individuals and the vice president of enforcement
19.11.6.1.2 Public Infractions Decision. Once the decision has been provided to the parties, the hearing panel shall release a public infractions decision. The public infractions decision will not include names of individuals, but the panel may, at its discretion, identify the chancellor or president of the institution (in cases involving lack of institutional control); the director of athletics and/or any individual with direct responsibility and oversight of the athletics department (in cases involving lack of control or failure to monitor); the head coach(es) of the sport(s) involved; and, if appropriate, the chair or other members of the institution's governing body.
19.11.6.2 Finality of Decision. Any decision by a hearing panel shall be final, binding and conclusive, and shall not be subject to further review by any governance body.
[19.12 through 19.13 unchanged.]
E. Bylaws: Amend 21.7, as follows:
21.7 Division I Committees.
[21.7.1 unchanged.]
21.7.2 Representation. No subdivision shall have more than 50 percent representation on any committee unless approved by a vote of at least 85 percent of the Board of Directors. The Board of Directors, the Council and football-related committees are not subject to this requirement.
21.7.2.1 Exception. The following committees shall not be subject to the requirement that no subdivision shall have more than 50 percent representation on any committee:
[21.7.2.1-(a) through 21.7.2.1-(h) unchanged.]
(i) Independent Accountability Oversight Committee;
(j) Infractions Referral Committee;
[21.7.2.1-(i) through 21.7.2.1-(o) relettered as 21.7.2.1-(k) through 21.7.2.1-(q), unchanged.]
[21.7.3 through 21.7.8 unchanged.]
F. Administrative: Amend 31.2, as follows:
31.2 Eligibility for Championships.
[31.2.1 unchanged.]
31.2.2 Individual Eligibility. All student-athletes, regardless of division, must meet the eligibility standards established for NCAA championships competition. The general and academic eligibility requirements are set forth in detail in Bylaws 12 and 14, in which there also is reference to other legislation regarding eligibility of the individual student-athlete. Other specific requirements for eligibility for NCAA championships (e.g., authority of the Committee on Academics, Committee on Student-Athlete Reinstatement, amateur status certification and ineligibility for use of banned drugs) are set forth in Bylaws 10.3, 10.4 and 18.4.1.
[31.2.2.1 through 31.2.2.2 unchanged.]
31.2.2.3 Participation While Ineligible. When a student-athlete competing as an individual or representing the institution in a team championship is declared ineligible following the competition, or a penalty has been prescribed or action taken as set forth in Bylaw 19.9.7-(g) or 19.13, the Committee on Infractions or Independent Resolution Panel may require the following:
[31.2.2.3-(a) through 31.2.2.3-(b) unchanged.]
31.2.2.4 Institutional Penalty for Ineligible Participation. When an ineligible student-athlete participates in an NCAA championship and the student-athlete or the institution knew or had reason to know of the ineligibility, the Committee on Infractions or Independent Resolution Panel may assess a financial penalty.
[31.2.3 unchanged.]
Source: NCAA Division I Council (Enforcement/Infractions Process Working Group)
Effective Date:August 1, 2019
Proposal Category: Amendment
Topical Area: Infractions Program
Rationale: The Commission on College Basketball recommended a separate track in the NCAA infractions process for the independent adjudication of the most complex infractions cases. In response, the Board of Directors adopted legislation in August 2018 to establish the independent accountability resolution process and structure to resolve select infractions cases. Enhancements to the authorizing legislation are necessary to refine the structure, create an investigative and adjudicative process unique to the structure, and operationalize the independent adjudication of cases. This proposal ensures consistency between the internal structure and independent structure in essential areas, including some aspects of investigation and adjudication, the opportunity for all individuals to have counsel during an interview and the statute of limitations. Finally, this proposal makes the independent accountability resolution process clearer for the membership, including by incorporating the independent structure by reference throughout Bylaw 19. This proposal is recommended as noncontroversial legislation, inasmuch as broader consultation and debate are unlikely to improve the proposal in any substantial way, significant disagreement or alternative points of view will not be generated and there does not appear to be a significant impact on existing or proposed legislation.
Estimated Budget Impact: None.
Impact on Student-Athlete's Time (Academic and/or Athletics): None.
History
| Jan 23, 2019: | Adopted by Council | Adopted as noncontroversial legislation. |
| Jan 23, 2019: | Adopted Final |
Legislative References