10 Ethical Conduct

[10.01 through 10.02 unchanged.]

10.1 Unethical Conduct. Unethical conduct by a prospective student-athlete or student-athlete or a current or former institutional staff member, which includes any individual who performs work for the institution or the athletics department even if the individual does not receive compensation for such work, may include, but is not limited to, the following:

[10.1-(b) relettered as 10.1-(a), unchanged.]

[10.1-(d) through 10.1-(g) relettered as 10.1-(b) through 10.1-(e), unchanged.]

[10.2 through 10.4 unchanged.]

11 Conduct and Employment of Athletics Personnel

11.01 General Principles.

11.01.1 Exemplary Conduct. Individuals employed by or associated with member institutions for the administration, the conduct or the coaching of intercollegiate athletics are, in the final analysis, teachers of young people. Their responsibility is an affirmative one, and they must do more than avoid improper conduct or questionable acts. Their own moral values must be so certain and positive that those younger and more pliable will be influenced by a fine example. Much more is expected of them than of the less critically placed citizen.

[11.01 through 11.1 renumbered as 11.02 through 11.2, unchanged.]

11.12.1 Responsibility for Violations of NCAA Regulations. Institutional staff members found in violation of NCAA regulations shall be subject to disciplinary or corrective action as set forth in Bylaw 19.12, whether such violations occurred at the certifying institution or during the individual's previous employment at another member institution.

11.12.1.1 Responsibility of Head Coach. An institution's head coach is presumed to be shall be held responsible for their actions and the actions of all institutional staff members who report, directly or indirectly, to the head coach. An institution's head coach shall In order to assist the NCAA Division I Committee on Infractions in penalty deliberations, the enforcement staff will gather information regarding whether the head coach promoted an atmosphere of compliance within the program and shall monitored the activities of all institutional staff members involved with the program who report, directly or indirectly, to the coach.

[11.1.2 through 11.1.4 renumbered as 11.2.2 through 11.2.4, unchanged.]

[11.2 through 11.7 renumbered as 11.3 through 11.8, unchanged.]

12.11 Ineligibility.

[12.11.1 through 12.11.3 unchanged.]

12.11.4 Ineligible Participation.

[12.11.4.1 unchanged.]

12.11.4.2 Restitution. If a student-athlete who is ineligible under the terms of the bylaws or other legislation of the Association is permitted to participate in intercollegiate competition contrary to such NCAA legislation but in accordance with the terms of a court restraining order or injunction operative against the institution attended by such student-athlete or against the Association, or both, and said injunction is voluntarily vacated, stayed or reversed or it is finally determined by the courts that injunctive relief is not or was not justified, the Board of Directors may take any one or more of the following actions against such institution in the interest of restitution and fairness to competing institutions:

(a) Require that individual records and performances achieved during participation by such ineligible student-athlete shall be vacated or stricken;

(b) Require that team records and performances achieved during participation by such ineligible student-athlete shall be vacated or stricken;

(c) Require that team victories achieved during participation by such ineligible student-athlete shall be abrogated and the games or events forfeited to the opposing institutions;

(d) Require that individual awards earned during participation by such ineligible student-athlete shall be returned to the Association, the sponsor or the competing institution supplying same;

(e) Require that team awards earned during participation by such ineligible student-athlete shall be returned to the Association, the sponsor or the competing institution supplying same;

(f) Determine that the institution is ineligible for one or more NCAA championships in the sports and in the seasons in which such ineligible student-athlete participated;

(g) Determine that the institution is ineligible for invitational and postseason meets and tournaments in the sports and in the seasons in which such ineligible student-athlete participated;

(h) Require that the institution shall remit to the NCAA the institution's share of television receipts (other than the portion shared with other conference members) for appearing on any live television series or program if such ineligible student-athlete participates in a contest selected for such telecast, or if the Board of Directors concludes that the institution would not have been selected for such telecast but for the participation of such ineligible student-athlete during the season of the telecast; any such funds thus remitted shall be devoted to the NCAA postgraduate scholarship program; and

(i) Require that the institution that has been represented in an NCAA championship by such a student-athlete shall be assessed a financial penalty as determined by the Committee on Infractions.

19 Infractions Program

19.01 General Principles.

[19.01.1 unchanged.]

19.01.2 Accountability. The infractions program shall hold institutions, coaches, administrators, other representatives and student-athletes who violate NCAA bylaws accountable for their conduct, both at the individual and institutional levels.

19.02 Definitions and Applications.

19.02.1 Involved Individual. Involved individuals are current or former institutional staff members and current or former student-athletes individuals who have received formal notice of involvement in alleged violations and may be subject to penalties pursuant to Bylaw 19.12.6.4.

19.02.2 New Information. New evidence information is relevant, material information that could not have reasonably been ascertained prior to the Committee on Infractions hearing.

[19.02.3 unchanged.]

19.1 Violation Structure.

19.1.1 Application of Violation Structure. The level of a violation attaches to the conduct, not to the individual. Therefore, an institution shall be held responsible for violations committed by staff members at the same level.  Further, if violations from multiple levels are identified, the case shall be processed pursuant to procedures applicable to the most serious violation(s) alleged.

19.1.12 Severe Breach of Conduct (Level I Violation). A severe breach of conduct Level I Violation is one or more a violations that seriously undermines or threatens the integrity of the NCAA Collegiate Model, as set forth in the 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 Level I violation:

(a) Lack of institutional control;

(b) Academic misconduct;

[19.1.1-(c) renumbered as 19.1.2-(c) unchanged.]

(d) Individual unethical or dishonest conduct, including providing or attempting to influence others to provide false or misleading information, regardless of whether the underlying institutional violations are considered Level I;

(e) A violation of Bylaw 11.1.1.1 (Responsibility of Head Coach) by a head coach resulting from an underlying Level I violation by an individual within the sport program;

(f) Cash payment or other benefits provided by a coach, administrator or representative of the institution's athletics interests intended to secure, or which resulted in, enrollment of a prospective student-athlete;

(g) Third-party involvement in recruiting violations in which institutional officials staff knew or should have known about the involvement;

(h) Intentional violations or reckless indifference to the NCAA bylaws; or

(i) Collective Level II and/or Level III violations.

[19.1.1 renumbered as 19.1.2, unchanged.]

19.1.23 Significant Breach of Conduct (Level II Violation). A significant breach of conduct Level II violation is one or more a violations that provides or are is intended to provide more than a minimal but less than a substantial or extensive recruiting, competitive or other advantage; includes more than a minimal but less than a substantial or extensive impermissible benefit; or involves conduct that may compromise the integrity of the NCAA Collegiate Model as set forth in the bylaws. Among other examples, the following may constitute a significant breach of conduct a Level II violation:

(a) Violations that do not rise to the level of Level I violations and are more serious than Level III violations;

(b) Failure to monitor (such violations will be presumed Level II but may be deemed to be of a Level I nature if the failure is substantial or egregious);

(c) Systemic violations that do not amount to a lack of institutional control;

(d) Multiple recruiting, financial aid, or eligibility violations that do not amount to a lack of institutional control;

(e) A violation of Bylaw 11.1.1.1 (Responsibility of Head Coach) by a head coach resulting from an underlying Level II violation by an individual within the sport program;

(f) A violation of Bylaw 13.1.1.3 (Four-Year College Prospective Student-Athletes) as it relates to contact with a prospective student-athlete; or

(g) Collective Level III violations.

19.1.34 Breach of Conduct (Level III Violation). A breach of conduct Level III violation is one or more a violations that are is isolated or limited in nature; provides no more than a minimal recruiting, competitive or other advantage; and provides no more than a minimal impermissible benefit. Among other examples, the following may constitute a breach of conduct Level III violation:

(a) Inadvertent violations that are isolated or limited in nature; or

(b) Extra-benefit, financial aid, academic eligibility and recruiting violations, provided they do not create more than minimal advantages.

19.2 Expectations and Shared Responsibility to Cooperate.

[19.2.1.2 renumbered as 19.2.0.2, unchanged.]

[19.2.2 renumbered as 19.2.0, unchanged.]

19.2.31 Responsibility to Cooperate. Institutions, current and former institutional staff members, and prospective and enrolled student-athletes of member institutions have an affirmative obligation to cooperate fully with and assist the NCAA enforcement staff, the Complex Case Unit, the Committee on Infractions, the Independent Resolution Panel and the Infractions Appeals Committee to further the objectives of the Association and its infractions program, including the independent accountability resolution process. Full cooperation includes, but is not limited to:

(a) Affirmatively reporting instances of noncompliance to the Association NCAA National Office in a timely manner and assisting in developing full information to determine whether a possible violation has occurred and the details thereof;

(b) Affirmatively preserving relevant materials, documentation and/or electronically stored information upon becoming aware, from any source, of potential violations;

(c) Assisting in the development of full information to determine whether a possible violation of NCAA bylaws has occurred and the details thereof;

[19.2.3-(b) through 19.2.3-(c) relettered as 19.2.3-(d) through 19.2.3-(e) renumbered as 19.2.1-(b) through 19.2.1-(c) relettered as 19.2.1-(d) through 19.2.1-(e), unchanged.]

(d f) Disclosing and providing access to all electronic devices used in any way for business purposes and accounts that are or may be relevant to the investigation;

[19.2.3-(e) relettered as 19.2.3-(g) renumbered as 19.2.1-(e) relettered as 19.2.1-(g), unchanged.]

(f h) Preserving the integrity of an investigation and abiding by all applicable confidentiality rules bylaws and instructions, including public disclosure as outlined in Bylaw 19.3; and

(g i) Instructing legal counsel, agents and/or other representatives others acting on a party's behalf to also cooperate fully.; and

(j) Encouraging spouses, family members, representatives of the institution’s athletics interests and/or other associates to cooperate fully, including participating in interviews if requested and allowing access to all electronic devices and accounts that are or may be relevant to the investigation.

[19.2.3 renumbered as 19.2.1, unchanged.]

19.2.31.1 Exemplary Cooperation. Exemplary cooperation begins with institutional and athletics leadership embracing and exceeding the responsibility to cooperate. Exemplary cooperation by an institution or involved individual may constitute a mitigating factor for purposes of determining a penalty for a violation pursuant to Bylaw 19.12.4. Institutions or involved individuals may demonstrate exemplary cooperation while denying some or all of the alleged violations and otherwise acting in furtherance of their independent interests.

[19.2.3.1 renumbered as 19.2.1.1, unchanged.]

[19.2.3.2 renumbered as 19.2.1.1, unchanged.]

19.2.31.32 Protection for Cooperation. An institution shall not retaliate against a current or former institutional staff member or prospective student-athlete or student-athlete who voluntarily reports information about potential violations of NCAA legislation to the individual's conference, member institution and/or the Association NCAA national office.

[19.2.3.3 renumbered as 19.2.1.2, unchanged.]

19.2.2 Failure to Cooperate. Failing to satisfy the responsibility to cooperate may result in immediate penalties pursuant to Bylaw 19.2.3, an inference pursuant to Bylaw 19.7.4, an independent allegation of failure to cooperate and/or be considered an aggravating factor pursuant to Bylaw 19.12.3. Failing to cooperate includes, but is not limited to: 

(a) Failing to fulfill the responsibility to cooperate as outlined in Bylaw 19.2.1; 

(b) Refusing to provide or attempting to influence others to refuse to provide information relevant to a possible violation of NCAA bylaws when requested to do so by the NCAA and/or the individual’s institution; and

(c) Providing or attempting to influence others to provide the NCAA and/or the individual’s institution false or misleading information relevant to a possible violation of NCAA bylaws.

19.2.3 Immediate Penalties for Failure to Cooperate. The Committee on Infractions may prescribe immediate penalties during the investigation if an institution or individual fails to satisfy the responsibility to cooperate. In cases before the Committee on Infractions, the chair of the Committee on Infractions; a hearing panel generated at the request of the chair to review whether an institution or individual failed to satisfy the responsibility to cooperate; the chief hearing officer of a hearing panel assigned to review the case, if appointed by the chair; or the hearing panel, if requested by the chief hearing officer, may prescribe penalties.

19.2.3.1 Finality of the Immediate Penalties. The prescribed penalties are final and not subject to appeal. Immediate penalties may be lifted by the hearing panel upon a determination that the party has cured the failure to cooperate.

19.2.3.2 Committee on Infractions Hearing Panel Generated for Review. When practicable, members of a Committee on Infractions hearing panel generated at the request of the Committee on Infractions chair to review whether an institution or individual failed to satisfy the responsibility to cooperate will serve on the panel that reviews the case.

19.2.3.3 Impact of Immediate Penalties on Infractions Case.

19.2.3.3.1 Allegation of a Failure to Cooperate. At the conclusion of an investigation, the enforcement staff may allege a party failed to cooperate pursuant to Bylaw 19.2.1 regardless of whether it petitioned the Committee on Infractions for immediate penalties during the course of an investigation.

19.2.3.3.2 Concluding a Failure to Cooperate. The Committee on Infractions hearing panel may consider a petition and/or conclusion regarding immediate penalties in concluding whether a failure to cooperate violation pursuant to Bylaw 19.2.1 occurred. However, the outcome of a petition for immediate penalties shall not preclude the hearing panel from concluding that a party failed to cooperate in the case. The panel may also consider any penalties prescribed in accordance with this bylaw in prescribing penalties pursuant to Bylaw 19.12 in its review of the case.

19.3 Public Disclosure and Dashboard.

19.3.1 Public Disclosure. Except as provided in this article, an institution, including its representatives or counsel; any individual subject to NCAA bylaws, including their representative or counsel; the NCAA National Office; Independent Resolution Panel; the Committee on Infractions; Complex Case Unit and the Infractions Appeals Committee shall not make public disclosures about a pending case until the case has been announced in accordance with prescribed procedures.  However, if information concerning a case is made public, the parties may confirm, correct or deny the information made public. Parties who fail to satisfy public disclosure and confidentiality requirements may be sanctioned by the Committee on Infractions or the Infractions Appeals Committee.

19.3.2 Public Dashboard. If an investigation pursuant to Bylaw 19.5 results in allegations of Level I and/or Level II violations, the NCAA National Office may make available publicly a procedural timeline once a Notice of Allegations has been issued pursuant to Bylaw 19.8.3 and/or Bylaw 19.9.2.1, a summary disposition has been submitted pursuant to Bylaw 19.9.3 and/or negotiated resolution has been approved pursuant to Bylaw 19.10. The timeline shall begin from the start of the investigation and continue through final resolution.

19.34 Committee on Infractions.

[19.3 renumbered as 19.4, unchanged.]

19.34.1 Composition of Committee. The Board of Directors shall appoint a Committee on Infractions comprised of not more than 24 members to act as hearing officers in infractions proceedings of the Association. The Board of Directors shall also appoint one member of the committee to serve as chair and another member to serve as vice chair. If at any time the chair is unavailable to act as such, the vice chair is empowered to exercise the functions of the chair. There shall be no subdivision restrictions except that all nonpublic members may not be from the same subdivision. The committee shall reflect the Association's commitment to diversity, equity and inclusion. To the extent reasonably possible, the committee shall include members from each of the following categories:

[19.3.1-(a) through 19.3.1-(g) renumbered as 19.4.1-(a) through 19.4.1-(g) unchanged.]

[19.3.1 through 19.3.2 renumbered as 19.4.1 through 19.4.2, unchanged.]

19.34.5 Term of Office. A member shall be appointed to serve a three-year term, which shall commence on the first day of August September following the member's appointment. A member may be reappointed for additional three-year terms but shall not serve more than nine years on the committee.

19.34.6 Authority and Duties of Committee. Disciplinary or corrective actions other than suspension or termination of membership may be prescribed by members of hearing panels of the Committee on Infractions 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. Actions of panels in cases involving Level I or Level II violations, however, may be subject to review by the Infractions Appeals Committee. 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 Committee on Infractions shall:

[19.3.6-(a) renumbered as 19.4.6-(a) unchanged.]

(b) Conclude whether the facts constitute one or more violations of the NCAA bylaws;

[19.3.6-(c) through 19.3.6-(e) renumbered as 19.4.6-(c) through 19.4.6-(e) unchanged.]

(g f) Formulate and revise internal operating procedures and revise investigative guidelines. Committee amendments to the procedures and guidelines shall be effective immediately and subject to review and approval ratification by the Board of Directors;

[19.3.6-(h) through 19.3.6-(k) relettered as 19.3.6-(g) through 19.3.6-(j) renumbered as 19.4.6-(h) through 19.4.6-(k) relettered as 19.4.6-(g) through 19.4.6-(j), unchanged.]

19.34.7 Duties of Committee Chair. The duties of the committee chair (or a designee) shall be as follows:

[19.3.7-(a) through 19.3.7-(b) renumbered as 19.4.7-(a) through 19.4.7-(b) unchanged.]

(c) At the request of the enforcement staff, determine whether to grant limited immunity to a current or former institutional employee staff member with responsibilities related to athletics based on information that the individual reports in situations in which the individual would otherwise be subject to disciplinary action as described in Bylaws 19.9.5.4 19.12.6.4 and 19.9.8-(i) 19.12.8-(i). Such immunity shall not apply to the employee's individual's involvement in violations of NCAA legislation bylaws not reported, to future involvement in violations of NCAA legislation by the employee individual or to any action taken by an institution;

(d) At the request of the enforcement staff, determine whether to grant limited immunity to a student-athlete or prospective student-athlete in situations in which the student-athlete or prospective student-athlete 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 bylaws not reported, to future involvement in violations of NCAA legislation bylaws by the individual or to any action taken by an institution;

(e) In Level I and Level II cases, consider Consider and decide requests by an institution or involved individual for an accelerated hearing pursuant to Bylaw 19.8.4.6;

[19.3.7-(f) through 19.3.7-(g) renumbered as 19.4.7-(f) through 19.4.7-(g) unchanged.]

(h) Prescribe or generate a hearing panel to prescribe penalties during the investigation if an institution or individual fails to satisfy the responsibility to cooperate as authorized in Bylaw 19.2.3.2.3 19.2.1;

[19.3.7-(i) renumbered as 19.4.7-(i) unchanged.]

(j) Resolve or appoint another committee member to resolve preliminary procedural or other matters which may arise prior to the infractions hearing as authorized in Bylaw 19.7.6 Resolve or appoint a designee to resolve procedural matters or significant investigative disputes that may arise during an infractions case.

19.34.8 Duties of the Chief Hearing Officer. The duties of the chief hearing officer shall be as follows:

[19.3.8-(a) through 19.3.8-(b) renumbered as 19.4.8-(a) through 19.4.8-(b) unchanged.]

(c) For each case set for a full or written record hearing and in consultation with the committee chair, designate a panel member or other member of the committee to serve as the committee appeals advocate for any appeal from the decision of the panel;

[19.3.8-(d) through 19.3.8-(e) renumbered as 19.4.8-(d) through 19.4.8-(e) unchanged.]

(f) Resolve or appoint another panel member to resolve preliminary procedural or other matters that may arise prior to the infractions hearing as authorized in Bylaw 19.7.6 Resolve or appoint a designee to resolve procedural matters or significant investigative disputes that may arise during an infractions case.

19.45 Infractions Appeals Committee.

[19.4 renumbered as 19.5, unchanged.]

19.56 Enforcement Staff Review and Investigation of Alleged Violations.

[19.5 renumbered as 19.6, unchanged.]

19.56.1 Enforcement Staff to Receive Information and Conduct Investigations. Information regarding an alleged failure to comply with the NCAA bylaws or to meet the conditions and obligations of membership shall be provided to the enforcement staff Information regarding a potential failure to comply with NCAA bylaws shall be provided to the enforcement staff. The enforcement staff shall determine whether an investigation is warranted or whether the matter may be resolved without a formal investigation. If an investigation is warranted If there is any information that may demonstrate a potential Level I and/or Level II violation occurred, the enforcement staff shall conduct an investigation on behalf of the entire membership to develop, to the extent reasonably possible, all relevant information. The enforcement staff 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 staff may not, in all instances, share information with the institution.

[19.5.1 renumbered as 19.6.1, unchanged.]

19.56.1.1 Conflict of Interest. Any enforcement staff member who has or had a personal relationship or institutional affiliation that may create the appearance of partiality should refrain from participating in the case.

[19.5.2 renumbered as 19.6.1, unchanged.]

19.6.1.2 Internal Operating Procedures. To the extent reasonably practicable, the investigation should be conducted pursuant to internal operating procedures.  Any amendments to the internal operating procedures shall be effective when reviewed by the Committee on Infractions and subject to review and ratification by the Board of Directors.

19.6.1.3 New Information. Should information become available during the investigation and/or resolution of a case about potential additional violations, the enforcement staff shall determine whether the information warrants opening a new investigation or including the information in the pending matter. The enforcement staff shall notify the institution as appropriate pursuant to Bylaw 19.6.1 and related procedures.

19.56.32 Notice of Inquiry to Institution. Before the enforcement staff conducts an inquiry interview with an enrolled student-athlete or current institutional staff member, the enforcement staff shall notify the institution's president or chancellor (or a designee) of the inquiry, either orally or in writing. This notice shall toll the statute of limitations. The institution shall be informed of its obligation to cooperate and of the confidential nature of the inquiry. The institution shall be notified that if the inquiry develops reliable information of a possible Level I or Level II violation, a notice of allegations will be produced. In the alternative, the institution will be notified that the matter may be processed as a Level III violation or that the matter has been concluded.

[19.5.3 renumbered as 19.6.2, unchanged.]

[19.5.4 renumbered as 19.6.2, unchanged.]

[19.5.5 renumbered as 19.6.2, unchanged.]

19.6.3 Interviews.

19.6.3.1 Interviews with Member Institution. The enforcement staff shall contact the director of athletics or other appropriate official of an institution in order to schedule interviews with enrolled student-athletes or institutional staff members.  Interviews should be conducted without disrupting normally scheduled academic activities whenever reasonably possible.

19.6.3.2 Presence of Institutional Representative During Interview. An institutional representative may be present during an interview with an enrolled student-athlete or current athletics department staff member 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.

19.6.3.3 Interview Notices.

19.6.3.3.1 Representation by Legal Counsel. When an enforcement staff member conducts an interview, the interviewee may be represented by personal legal counsel.

19.6.3.3.2 Disclosure of Purpose of Interview. The enforcement staff shall advise an interviewee 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 NCAA bylaws.

19.6.3.3.3 Responsibility to Provide Truthful Information. The enforcement staff shall advise a prospective or enrolled student-athlete or a current or former institutional staff member that refusing to furnish information or providing false or misleading information may result in an allegation that the interviewee violated Bylaw 19.2.1 and/or the application of an aggravating factor pursuant to Bylaw 19.12.

19.6.3.3.4 Recording of Interviews. With the permission of the interviewee, the enforcement staff shall digitally record interviews whenever feasible.

19.6.3.4 Use of a Transcriptionist During an Interview. The enforcement staff, institution and/or interviewee may use a transcriptionist during an interview subject to the following conditions. The party requesting the transcriptionist shall:

(a) Pay the transcriptionist’s fees;

(b) Provide a copy of the transcript to other parties, if any, participating in the interview at no charge; and

(c) Agree that the confidentiality standards of Bylaw 19.6.3.5 apply. An institutional representative or individual who chooses to use a transcriptionist shall submit a written notice of agreement with the required conditions to the enforcement staff prior to the interview.

19.6.3.5 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, transcribing or receiving access to the enforcement staff’s recording and transcript of the interview.

19.56.94 Access to Information. For all cases to be considered by the Committee on Infractions, the enforcement staff shall make available to the institution and participating involved individuals 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.

19.56.105 Termination of Investigation. The enforcement staff shall terminate the investigation related to any notice of inquiry in which the information that is developed does not appear to be of sufficient substance or reliability to warrant a notice of allegations or Level III allegations The enforcement staff shall terminate an investigation if it determines the information developed does not appear to be of sufficient substance or reliability to support potential violations of NCAA bylaws.

[19.6 unchanged.]

[19.6.1.1 renumbered as 19.5.0.1, unchanged.]

[19.6.3.3 renumbered as 19.5.0.3, unchanged.]

[19.6.4 renumbered as 19.5.0, unchanged.]

19.7 Standards of Review and Resolution Methods (Level I/II Cases)

19.7.1 Enforcement Allegation Standard. The enforcement staff shall make formal allegations if it determines there is credible and sufficient information (direct or circumstantial) that reasonably demonstrates a violation of one or more NCAA bylaws occurred.

19.7.1.1 Statute of Limitations. The enforcement staff shall limit allegations 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 available information indicates 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 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 an 18-month period after the date information concerning the matter becomes available to the NCAA to investigate and submit a resolution document pursuant to Bylaws 19.8, 19.9 and/or 19.10 to the institution concerning the matter.

19.7.2 Committee on Infractions Decision Standard. In all matters before the Committee on Infractions, a hearing panel shall conclude a violation occurred if it determines an allegation is supported by credible and sufficient information (direct or circumstantial) on which a reasonable person could rely.

19.7.3 Importation.

19.7.3.1 Importation of Facts. A hearing panel may consider and accept as true facts established through proceedings outside the NCAA infractions process if those facts are in the record, not under appeal and are established by:

(a) A decision or judgement of a court, agency, accrediting body or other administrative tribunal of competent jurisdiction; or 

(b) A Commission or similar review of comparable independence authorized by a member institution or university system board of trustees (regardless of whether the facts are accepted by the institution or university system board of trustees).

19.7.3.2 Importation of Evidence and Positions. Evidence submitted to any court, agency, accrediting body or other administrative tribunal of competent jurisdiction, regardless of whether the matter is finally resolved and regardless of who offered the evidence, may be considered when alleging and/or concluding whether a violation occurred. Positions taken by a party in such a matter may be considered in the infractions process when determining whether to allege or conclude that the same party violated NCAA bylaws.

19.7.4 Inference for Failing to Produce Materials or Participate in the Infractions Process.

19.7.4.1 Materials Not Produced. The enforcement staff and/or hearing panel may infer that materials requested during an investigation but not produced by an institution, individual or their representative, including legal counsel, a representative of the institution’s athletics interests, agent or another acting on their behalf, would support an alleged violation, for which the party may be subject to penalty pursuant to Bylaw 19.12.

19.7.4.2 Failure or Refusal to Participate in Interview. The enforcement staff and/or hearing panel may view the failure or refusal by an individual or their representative, including agent or another acting on their behalf, to participate in an interview as an admission that an alleged violation, for which the individual may be subject to penalty pursuant to Bylaw 19.12, occurred.

19.7.4.3 Failure to Participate in the Infractions Process. The enforcement staff and/or hearing panel may view the failure by an institution or involved individual to participate in the infractions process as an admission that an alleged violation, for which the party may be subject to penalty pursuant to Bylaw 19.12, occurred.

19.7.5 Methods of Resolution Cases involving allegations of Level I and/or Level II violations will be presented to and resolved by the Committee on Infractions unless referred to the independent accountability resolution pursuant to the standard and process for referral. The Committee on Infractions shall resolve Level I and/or Level II allegations through hearing resolution pursuant to Bylaw 19.8, limited resolution pursuant to Bylaw 19.9 and/or negotiated resolution pursuant to Bylaw 19.10. Except in exceptional circumstances, a case shall be limited to two resolution methods.

19.7.5.1 Initial Selection of Resolution Method. At the conclusion of an investigation that results in Level I and/or Level II allegations, the enforcement staff, in consultation with the institution and all participating involved individuals, shall make a preliminary determination of which resolution method is appropriate for each party. The enforcement staff shall submit a letter to the chair of the Committee on Infractions outlining a brief summary of the case, the selected resolution method(s) and rationale and whether each party agrees to the selected method(s).

19.7.5.2 Approval of Agreed-Upon Resolution Method. If the participating party and the enforcement staff agree on the selected resolution method, the chair of the Committee on Infractions shall approve the resolution method unless doing so would not be in the best interest of the Association. After approval, the enforcement staff shall issue a Notice of Allegations pursuant to Bylaw 19.8 or Bylaw 19.9.2 or the parties shall submit a summary disposition pursuant to Bylaw 19.9.3 or negotiated resolution pursuant to Bylaw 19.10.

19.7.5.3 Selection of Resolution Method Under Dispute. If the participating party and the enforcement staff do not agree on the resolution method selected by the enforcement staff, or if the chair of the Committee on Infractions disagrees with the agreed-upon resolution method, the chair of the Committee on Infractions shall hold a status conference with the impacted parties to determine which resolution method(s) are in the best interest of the Association. After determination by the chair of the appropriate resolution method, the enforcement staff shall issue a Notice of Allegations pursuant to Bylaw 19.8 or Bylaw 19.9.2 or the parties shall submit a summary disposition pursuant to Bylaw 19.9.3 or negotiated resolution pursuant to Bylaw 19.10.

19.7.5.4 Impact of Multiple Resolution Methods. When different resolutions methods are appropriate for different parties in a single case, the enforcement staff shall notify the parties of the possibility for differing outcomes. Parties will submit written confirmation of understanding of the potential for differing outcomes with the submission of the case. Outcomes that differ across resolution methods in a single case do not support an argument on appeal that a hearing panel of the Committee on Infractions erred.

19.7.5.5 Information from Confidential Sources. In all resolution methods, the parties, including the enforcement staff, shall only rely on information that can be attributed to individuals who are willing to be identified. Confidential sources shall not be identified to the hearing panel, the institution or an involved individual.

19.78 Notice of Allegations and Opportunity to Respond Before the Committee on Infractions Full Hearing Resolution.

19.8.1 Standard for Full Hearing Resolution. A full hearing before the Committee on Infractions shall be reserved for select cases involving alleged behaviors that significantly undermine the integrity of the NCAA Collegiate model, cases that implicate NCAA core principles and/or cases that are otherwise best resolved through a comprehensive review on the full record. In these instances, the hearing panel assigned to a case shall hold a hearing to make factual findings and to conclude whether violations of NCAA bylaws occurred and, if so, to prescribe appropriate penalties. The decision on whether the full hearing will take place in person or via video conference (or another mode of communication) rests with the panel.

19.8.2 Factors Relevant for Full Hearing Resolution. Factors pertinent to whether a case should be resolved via a full hearing include, but are not limited to, the following:

(a) The level of agreement between the enforcement staff, institution and/or participating involved individuals;

(b) The type of behavior(s) resulting in allegations;

(c) Whether the matter includes allegations of failure to monitor and/or lack of institutional control;

(d) A recent history of Level I or II violations by the institution or participating involved individuals, particularly if the previous violations were similar in nature and/or in the same sport program(s);

(e) The level of cooperation and accountability (e.g., self-imposed penalties) shown by the institution and participating involved individuals;

(f) The scope, scale and duration of the case; and

(g) Other factors warranting a hearing before the Committee on Infractions.

19.78.13 Notice of Allegations. If the enforcement staff determines after an investigation that there is sufficient information to conclude that a hearing panel of the Committee on Infractions could conclude that a violation occurred, it shall issue a cover letter and notice of allegations to the chancellor or president of the institution involved (with copies to the faculty athletics representative, the director of athletics and the executive officer of the conference of which the institution is a member). The institution and/or involved individuals, if applicable, shall be given notice of the alleged violation(s), the details of the allegations, 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 enforcement staff may rely in presenting the case. The enforcement staff shall issue a notice of allegations to the chancellor or president of the institution participating in the hearing (with copies to the faculty athletics representative, the director of athletics and the executive officer of the conference of which the institution is a member) and/or any involved individuals participating in the hearing. The notice of allegations shall include:

(a) Alleged violation(s) and related details, including identifying any involved individual(s) who could be subject to a show cause order or penalties;

(b) Possible level of each alleged violation and the overall processing level of the case;

(c) Factual information on which the enforcement staff may rely in presenting the case;

(d) Aggravating and mitigating factors the enforcement staff believes are applicable;

(e) Notice of the opportunity to respond to the allegations; and

(f) Procedures related to a full hearing.

[19.7.3 renumbered as 19.8.3, unchanged.]

19.8.4 Submission Deadlines.

19.8.4.1 Responses by Institutions or Involved Individuals. Any response to the notice of allegations shall be submitted to the hearing panel, the enforcement staff and all parties participating in the hearing no later than 90 days from the date of the notice of allegations. Failure to submit a timely response may be viewed by the panel as an admission that the alleged violation(s) occurred.

19.8.4.2 Reply by Enforcement Staff. Within 60 days after the submissions of written responses pursuant to Bylaw 19.8.4.1, the enforcement staff shall submit a written reply to the hearing panel and all parties participating in the hearing. As an exhibit to its reply, the enforcement staff shall prepare a chart summarizing the parties' positions on each allegation and the aggravating and mitigating factors.

19.8.4.3 Prehearing Conference. Within 60 days after the submissions of written responses pursuant to Bylaw 19.8.4.1, the enforcement staff shall consult with the parties participating in the hearing in order to clarify the issues to be discussed during the hearing, make suggestions regarding additional investigation or interviews that should be conducted to supplement a response and identify allegations that the staff intends to amend or withdraw. The enforcement staff shall conduct independent prehearing conferences unless mutually agreed by all parties to do otherwise.

19.8.4.4 Submission of Written Material. Except as otherwise ordered by the chief hearing officer and for good cause shown, all written material to be considered by the hearing panel must be received by the hearing panel, enforcement staff and all parties participating in the hearing at least 30 days prior to the date the panel considers the case. Supplemental submissions shall not serve as an opportunity to rebut the enforcement staff’s written reply but shall be limited to situations involving new information as defined by Bylaw 19.02.2 or modifications to positions or arguments set forth in the party’s response to the notice of allegation. The chief hearing officer may reject any written materials that do not comply with relevant bylaws and procedures.

19.8.4.5 Extensions. Extensions to any deadlines outlined above shall not be granted except in exceptional circumstances. Further, a denial of an extension request does not support an argument on appeal that a hearing panel of the Committee on Infractions erred.

19.8.4.6 Accelerated Hearing Docket. Any party participating in the hearing may petition the chief hearing officer for an accelerated schedule for written submissions and hearing date. The petition shall be submitted not later than 14 calendar days after the date of the notice of allegations. The enforcement staff may respond to the petition within five business days. The chief hearing officer may grant or deny such a petition and set a reasonable schedule.

19.8.5 Information Presented at Hearings.

19.8.5.1 Obligation to Present All Relevant Information. At a hearing, the participating parties and their legal counsel or representative have the obligation to present, to the extent reasonably possible, all material and relevant information necessary for the hearing panel to reach an informed decision, including information that corroborates or refutes an allegation and information relevant for consideration in determining appropriate penalties. Subject to procedures of the Committee on Infractions, the participating parties and/or their legal counsel or representative may deliver opening and closing statements, present factual information, make arguments, explain the alleged violations and answer questions from panel members. Any oral or documentary information may be received, but the panel may exclude information that it determines to be irrelevant, immaterial or unduly repetitious.

19.8.5.2 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 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.

19.8.6 Appearance of Individuals at Hearings. Except as otherwise provided herein or as ordered by the chief hearing officer, hearing attendees shall be limited to institutional representatives, involved individuals, NCAA staff representatives, hearing panel members, a transcriptionist and other technical/support staff as permitted by the chief hearing officer. An individual who appears before the panel may appear with personal legal counsel or similar representative. The chief hearing officer may exclude an individual and the individual's counsel or representative from those portions of the hearing concerning matters in which the individual is not involved.

19.8.6.1 Representatives of Institution. Except as otherwise ordered by the chief hearing officer, an institution’s representatives should include the institution's chancellor or president, the head coach of the sport(s) in question, the institution's director of athletics and/or any individual with direct responsibility and oversight of the athletics department, senior compliance administrator, faculty athletics representative, legal counsel (if any), enrolled student-athletes whose eligibility could be affected by information presented at the hearing, and any other representatives whose attendance would be helpful to or has been requested by the panel. Additional individuals may be included among the institution's representatives only if specifically approved.

19.8.6.1.1 Prohibited Attendance by Conflicted Committee Members. A member of the Committee on Infractions or the Infractions Appeals Committee who is prohibited under Bylaws 19.4.4 or 19.5.3 from participating in an infractions proceeding may not attend a Committee on Infractions hearing involving the committee member's institution unless specifically requested by the chief hearing officer.

19.8.6.2 Representatives of Member Conference. A representative of a conference may attend a hearing involving a conference member who is subject to potential penalties pursuant to Bylaw 19.12.

19.8.6.3 Request for Specific Individuals. The chief hearing officer may request that additional individuals appear during the hearing. Individuals who are specifically requested by the chief hearing officer are expected to appear and may be accompanied by personal legal counsel or representative. Failure to attend may result in a separate violation and/or impact penalties pursuant to Bylaw 19.12.

19.8.7 Recording of Proceedings. The proceedings of infractions hearings shall be transcribed by a transcriptionist (unless otherwise agreed) and shall be recorded by the hearing panel. No additional verbatim recording of the proceedings will be permitted. In the event of an appeal, a transcript of the proceedings shall be reproduced and submitted to the Infractions Appeals Committee and made available for review by the appealing parties through a secure website.

19.78.8 Posthearing Committee Deliberations. After all presentations have been made and the hearing has been concluded, the hearing panel shall excuse the parties and deliberate in private.

19.78.8.1 Request for Additional and/or New Information. In arriving at its decision, the hearing panel may request additional information from any source, including the institution, the enforcement staff or an involved individual participating party. In the event that new information is requested, all participating parties will be afforded an opportunity to respond at the time such information is provided.

19.78.8.2 Request for Interpretation. The hearing panel may request that the NCAA academic and membership affairs staff provide an interpretation of applicable legislation bylaws based on facts submitted by the panel. If an interpretation is requested, the institution, involved individuals participating parties and the enforcement staff will be notified in writing of the interpretation request and the response. If participating in the hearing, The the institution may appeal the interpretation in accordance with Bylaw 9.3.1.2.

19.9 Limited Resolution.

19.9.1 Standard for Limited Resolution. When a case is not appropriate for full hearing resolution pursuant to Bylaw 19.8.2 and parties are unable to reach the requisite agreement for negotiated resolution pursuant to Bylaw 19.10, contested portions of a case shall be resolved by a hearing panel of the Committee on Infractions via a written record hearing or a summary disposition.

19.9.2 Written Record Hearing. In instances where the enforcement staff and a participating party are unable to reach complete agreement on the facts, violations, level of an allegation and/or penalties, a hearing panel of the Committee on Infractions may resolve the case on the written record focused primarily on the contested portion(s) of the case.

19.9.2.1 Notice of Allegations. The enforcement staff shall issue a notice of allegations as outlined in Bylaw 19.8.3. In addition, the enforcement staff shall include:

(a) Level of agreement by the parties participating in the written resolution related to each allegation, the level of the allegation, the aggravating and mitigating factors and the overall processing level of the case;

(b) Remaining issues to be resolved by a hearing panel of the Committee on Infractions; and

(c) Procedures related to resolution on the written record.

19.9.2.2 Submission Deadlines.

19.9.2.2.1 Responses by Institution and/or Involved Individuals. Any response to the notice of allegations shall be submitted to the hearing panel and the parties participating in the written record hearing no later than 60 days from the date of the notice of allegations. The responses shall be limited to the remaining issues as outlined in the Notice of Allegations. Failure to submit a timely response may be viewed by the panel as an admission that the alleged violation(s) occurred.

19.9.2.2.1.1 Submission by a Member Conference. A conference may submit a brief statement on behalf of its member who is subject to potential penalties pursuant to Bylaw 19.12 as an exhibit to the institution’s response.

19.9.2.2.2 Reply by the Enforcement Staff. Within 45 days after submission of written response(s), the enforcement staff shall submit a written reply to the hearing panel and all parties participating in the written record hearing. The reply should be limited to the remaining issues as outlined in the Notice of Allegations. As an exhibit to its reply, the enforcement staff shall prepare a chart summarizing the parties' positions on each allegation and aggravating and mitigating factors.

19.9.2.2.3 Submission of Other Written Material. Parties may only supplement their written responses with the permission of and/or at the request of the chief hearing officer.

19.9.2.2.4 Extensions. Extensions to any deadlines outlined above shall not be granted except in exceptional circumstances. Further, a denial of an extension request shall not support an argument on appeal that a hearing panel of the Committee on Infractions erred.

19.9.2.3 Obligation to Present All Information Relevant to Contested Issues. In their responses, the parties participating in the written record hearing shall include only information that is material and relevant to the identified contested issues and necessary for the hearing panel to reach an informed decision, including information that corroborates or refutes an allegation and information relevant for consideration in determining appropriate penalties. The panel may exclude information that it determines to be irrelevant, immaterial or unduly repetitious.

19.9.2.4 Committee Deliberations. After all written submissions have been received, the hearing panel shall deliberate in private.

19.9.2.4.1 Request for Additional, Clarifying and/or New Information on Contested Violations and Issues. In arriving at its decision, the hearing panel may request additional and/or clarifying information from the parties participating in the written record hearing related to contested areas identified by the parties. In the event new information is requested, all parties will be afforded an opportunity to respond at the time such information is provided.

19.9.2.4.2 Request for Additional, Clarifying and/or New Information on Agreed-Upon Violations and Issues. Violations and issues agreed upon by the participating parties are presumed appropriate and shall be accepted by the hearing panel of the Committee on Infractions unless acceptance would not be in the best interest of the Association. The hearing panel shall only request additional, clarifying or new information if there is a material error in the agreed-upon violations, the submission lacks the requisite level of agreement or further information is required to prescribe appropriate penalties, if any.

19.9.2.4.3 Request for Interpretation. The hearing panel may request that the NCAA academic and membership affairs staff provide an interpretation of applicable bylaws based on facts submitted by the panel. If an interpretation is requested, the participating parties will be notified in writing of the interpretation request and the response. If participating in a hearing, the institution may appeal the interpretation in accordance with Bylaw 9.3.1.2.

19.9.3 Summary Disposition. In instances where the institution, an involved individual and/or the enforcement staff reach agreement on the facts and violations but cannot reach agreement on the aggravating and mitigating factors and/or penalties, the parties may submit the case for resolution via summary disposition.

19.9.3.1 Written Report. The parties participating in the summary disposition shall submit a written report setting forth:

(a) The proposed findings of fact;

(b) A summary of information on which the proposed findings of fact are based;

(c) A statement identifying the violation(s) of NCAA bylaws;

(d) The parties' agreement on the overall level of the case;

(e) A statement of unresolved issues;

(f) A list of any agreed-upon aggravating and mitigating factors; and

(g) A stipulation that the proposed findings of fact are substantially correct and complete.

19.9.3.2 Proposed Penalties. The parties participating in the summary disposition, excluding the enforcement staff, shall submit proposed penalties from the guidelines set forth in Bylaw 19.12 and Figure 19-1. The parties may also submit a statement regarding any aggravating or mitigating factors and other considerations that may impact the penalty or penalties.

19.9.3.3 Committee on Infractions Review. A hearing panel of the Committee on Infractions shall deliberate in private.

19.9.3.3.1 Request for Additional and/or Clarifying Information. Prior to accepting or rejecting the summary disposition, the panel may request additional or clarifying information related to the overall level, aggravating and mitigating factors and/or penalties.  Violations and issues agreed upon by the participating parties are presumed appropriate and shall be accepted by the hearing panel of the Committee on Infractions unless acceptance would not be in the best interest of the Association. The hearing panel shall only request additional, clarifying or new information if there is a material error in the agreed-upon violations, the submission lacks the requisite level of agreement or further information is required to prescribe appropriate penalties, if any.

19.9.3.3.2 Acceptance of Proposed Findings of Fact, Violations and Penalties. If the panel accepts the proposed findings of fact, violations and penalties, it shall prepare a report of its decision or adopt the written report of the parties. The panel may make additional comments explaining its analysis or amend the proposed findings of fact, provided any addition or amendment is editorial and does not alter the substance of the proposed findings of fact. The written report may 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 institutional control and 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. The panel shall forward the report to the enforcement staff and the parties and publicly announce the resolution of the case pursuant to Bylaw 19.11.

19.9.3.3.3 Proposed Findings of Fact and/or Violations Not Accepted. If the panel does not accept the proposed findings of fact, and/ or violations the case shall be processed as directed by the hearing panel.

19.9.3.3.4 Proposed Penalties Not Accepted. If the panel accepts the proposed findings of fact but proposes penalties in addition to those set forth in the written report, the parties participating in the summary disposition may accept those penalties or request an expedited hearing on penalties before the panel. The parties may appear before the panel in person or may provide a written submission in lieu of a hearing. The panel shall only consider information relevant to the calculation of penalties during the expedited hearing or, if no hearing is requested, on the written submission. At the conclusion of the expedited hearing or review of the written submission, the panel shall prepare a written report and provide notification of its decision. The parties may appeal additional penalties to the Infractions Appeals Committee.

19.10 Negotiated Resolution.

19.10.1 Standard for Negotiated Resolution. In instances where the institution, an involved individual and/or the enforcement staff reach agreement on the pertinent facts, violations, classification and penalties, the parties may submit a negotiated resolution for approval by a hearing panel of the Committee on Infractions. The negotiated resolution must resolve all known violations for which the parties participating in the negotiated resolution may be subject to penalties pursuant to Bylaw 19.12.

19.10.1.1 Timing of Negotiated Resolution. Subject to Bylaw 19.7.5, the parties participating in a negotiated resolution may submit a written agreement any time after the conclusion of the enforcement staff’s investigation until hearing panel review pursuant to Bylaw 19.8 or 19.9.

19.10.2 Involvement of Parties in a Negotiated Resolution.

19.10.2.1 All Participating Parties Agree on Resolution. If the institution and all participating involved individuals in the case agree to negotiated resolution, they shall submit the written agreement to the chair of the Committee on Infractions or the chief hearing officer, if assigned, for hearing panel review and approval. The enforcement staff shall also include the violations by and penalties related to any involved individual not participating in the case. A hearing panel of three Committee on Infractions members shall review the negotiated resolution if the parties submit the written agreement prior to issuance of the summary disposition report or notice of allegations.

19.10.2.2 Not All Participating Parties Agree on Resolution. If, pursuant to the process outlined in Bylaw 19.7.5, some but not all parties participating in the case agree on negotiated resolution, the enforcement staff shall include the written agreement of negotiated resolution in the relevant processing documents as a part of the resolution processes outlined in Bylaw 19.8 and/or 19.9, including amending the processing documents if necessary.

19.10.3 Written Agreement. Any negotiated resolution shall contain the following:

(a) A brief description of the case, including the involvement of the parties included in the negotiated resolution;

(b) The agreed-upon violation(s);

(c) Other violations the enforcement staff considered and agreed or opted not to allege;

(d) The agreed-upon level of agreed-upon violation(s);

(e) The agreed-upon penalties, including all aggravating and mitigating factors;

(f) The nature of any participation or cooperation provided by a party pursuant to the negotiated resolution, and consequences for a party's failure or refusal to strictly adhere to the agreed-upon participation and cooperation conditions;

(g) Waiver of appellate opportunities; and

(h) Other material terms of the agreement.

19.10.4 Scope of Review. A hearing panel shall only reject a negotiated resolution if it is not in the best interests of the Association or the agreed-upon penalties are manifestly unreasonable pursuant to Bylaw 19.12 and Figure 19-1.

19.10.5 Preliminary Assessment of Penalties. Prior to submission of a written agreement, parties participating in the negotiated resolution may request a hearing panel of three Committee on Infractions members to preliminarily assess whether the agreed-upon penalties are manifestly unreasonable pursuant to Bylaw 19.12 and Figure 19-1. The preliminary assessment is not binding.

19.10.5.1 Approval in Conjunction with Preliminary Assessment. Unless the parties instruct otherwise, the hearing panel may approve the negotiated resolution in conjunction with its preliminary assessment provided the written agreement complies with Bylaw 19.10.3.

19.10.5.2 Review By Hearing Panel After Preliminary Assessment. If practicable, the members of the panel that preliminarily assessed penalties will review the negotiated resolution when the written agreement is submitted to the Committee on Infractions.

19.10.6 Negotiated Resolution Approved. If the hearing panel approves the negotiated resolution, the panel shall forward the approval to the enforcement staff and parties participating in the negotiated resolution, and publicly announce the resolution of the case pursuant to Bylaw 19.11. The approved penalties shall be effective immediately, unless ordered otherwise by the hearing panel. The approval shall be final and have no precedential value.

19.10.6.1 Approval When Not All Parties Participate in Negotiated Resolution. If, pursuant to Bylaw 19.7.5, some but not all parties resolve their portion of the case via negotiated resolution, the hearing panel may approve the negotiated resolution and release a decision in accordance with Bylaw 19.11.

19.10.7 Negotiated Resolution Not Approved. If the hearing panel does not approve the negotiated resolution, the panel may return the negotiated resolution to the parties participating in the negotiated resolution for additional information or clarification and request that the parties submit an amended written agreement in response. In the alternative, the panel may reject the negotiated resolution and issue instructions for processing of the case pursuant to Bylaw 19.8 or Bylaw 19.9.

19.10.7.1 Continued Review by Hearing Panel After Rejection of Negotiated Resolution. If practicable, the members of the panel that rejected the negotiated resolution will serve on the hearing panel, which may differ in size, when the case proceeds to a full hearing resolution pursuant to Bylaw 19.8 or a limited resolution pursuant to Bylaw 19.9.

19.10.8 Case Referred to Independent Accountability Resolution Structure. If the Infractions Referral Committee refers the case to the independent accountability resolution structure pursuant to Bylaw 19.14.3 after some or all parties agree on resolution of the case, the Independent Resolution Panel shall not have the authority to approve the written agreement of negotiated resolution. The information contained in the written agreement, however, shall be part of the record in the referred case and the Independent Resolution Panel may consider the information in its review of the case.

19.811 Notification of Committee on Infractions Decision.

19.811.1 Full 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 After resolution of all allegations pursuant to Bylaws 19.8, 19.9 and/or 19.10, the Committee on Infractions hearing panel shall prepare and approve the final, full infractions decision.  The full infractions decision shall be provided to the chancellor or president of the involved institution (or a designee), any involved individuals and the vice president of enforcement.

19.11.1.1 Abbreviated Infractions Decision. If a case is resolved through multiple resolution methods pursuant to Bylaw 19.7.5, the hearing panel shall prepare and approve an abbreviated infractions decision when each resolution method concludes. The abbreviated infractions decision shall be provided to the parties participating in that resolution method.

19.11.2 Public Release of Full Infractions Decision. Once the full infractions decision has been provided to the parties, the hearing panel shall release it publicly. The public version shall 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.

19.11.2.1 Impact of Multiple Resolution Methods on Public Release. If a case is resolved through multiple resolution methods, the hearing panel shall release a public statement as each resolution method concludes. The public statement shall include the method of resolution, the parties involved, a brief summary of the findings and penalties and the remaining portions to be resolved, if any. The party whose portion of the case was resolved may also confirm resolution consistent with the hearing panel’s statement. The party may only make additional comment with the consent of the enforcement staff and hearing panel. After the case is fully resolved, the hearing panel shall issue a full infractions decision in accordance with Bylaws 19.11.1 and 19.11.2.

19.11.3 Public Announcement. Once the full infractions decision has been released publicly, the panel member designated by the chief hearing officer may hold a press conference related to the infractions case. Except as allowed pursuant to Bylaws 19.3 and 19.11.2.1, the institution and/or any involved individuals shall not comment publicly until the conclusion of the panel’s press conference. Parties who fail to adhere to these requirements may be sanctioned by the Committee on Infractions.

19.811.24 Reconsideration by the Hearing Panel. Once the full infractions 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.

19.811.24.1 New Information or Prejudicial Error. A hearing panel may reconsider a decision upon a showing of new information that is directly related to the decision or upon a showing that there was prejudicial error in the procedure that was followed in the processing of the case.

19.811.24.1.1 Review Process. Any institution or involved individual that initiates such a review shall submit a brief of its request to a hearing panel of the Committee on Infractions. Based on the party's brief, the hearing panel shall decide whether to deny the request or grant the request and conduct further proceedings as the panel deems necessary to resolve the matter.

19.811.24.1.2 No Calculation of New Penalty. If reconsideration is granted, the panel may reduce or eliminate a penalty but may not prescribe any new penalty. The panel's decision with respect to the penalty shall be final and conclusive for all purposes.

19.811.24.2 Penalty Modified or Set Aside Outside the Association. Should any portion of the penalty in the case be modified or set aside for any reason other than by appropriate action of the Association, the penalty shall be reconsidered by a hearing panel. In such cases, any extensions or adjustment of a penalty shall be prescribed by the panel after notice to the institution and/or an involved individual and an opportunity to respond. Any such action by the panel may be reviewed by the Infractions Appeals Committee.

[19.8.3 through 19.8.8 renumbered as 19.11.5 through 19.11.10, unchanged.]

19.912 Penalties.

19.12.1 Calculation of Penalty. If a hearing panel concludes that a violation occurred, it shall prescribe an appropriate penalty 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 Committee on Infractions.

19.912.2 Factors Affecting Penalties. The hearing panel shall determine whether any factors that may affect penalties are present for a case. The panel shall weigh any factors and determine whether a party should be subject to standard penalties or should be classified with aggravation or mitigation and, therefore, subject to a higher or lower range of penalties. Absent extenuating circumstances, core penalties corresponding to the classification shall be prescribed as set forth in Figure 19-1.

19.912.2.1 Aggravation. An aggravated case is one in which aggravating factors for a party outweigh mitigating factors for that party. A case should not be classified as aggravated solely because the number of aggravating factors is larger than the number of mitigating factors. An egregious aggravating factor may outweigh multiple mitigating factors.

19.912.2.2 Standard. A standard case is one in which no mitigating or aggravating factors are present for a party or in which aggravating and mitigating factors for that party are generally of equal weight.

19.912.2.3 Mitigation. A mitigated case is one in which mitigating factors for a party outweigh aggravating factors for that party. A case should not be classified as mitigated solely because the number of mitigating factors is larger than the number of aggravating factors.

19.12.3 Aggravating Factors. Aggravating factors are circumstances that warrant a higher range of penalties for a particular party. A hearing panel 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:

19.12.3.1 Aggravating Factors for Institutions.

(a) Multiple Level I and/or multiple Level II violations for which the institution is responsible;

(b) Lack of institutional control;

(c) Failing or refusing to take all appropriate steps outlined in Bylaw 19.2.1 to advance resolution of the matter, including steps that hinder or thwart the institution and/or enforcement staff’s investigation;

(d) Violations were premeditated, deliberate or committed after substantial planning;

(e) Persons of authority condoned, participated in or negligently disregarded the violation or related wrongful conduct;

(f) One or more violations caused ineligible competition;

(g) A pattern of noncompliance within the sport program(s) involved;

(h) Conduct intended to generate pecuniary gain for the institution;

(i) Intentional, willful or blatant disregard for NCAA bylaws by a person with institutionally derived authority;

(j) The institution employs an athletics department staff member who is subject to a show-cause order and during the period of the show-cause order that individual's conduct, or for a director of athletics and/or head coach, conduct involving any program in which the individual has oversight, results in an institutional Level I or Level II violation in the case;

(k) Involvement by a representative of the institution’s athletics interests in violations;

(l) Conduct by a party and/or their representative that inhibits the Committee on Infractions’ ability to effectively manage the docket, ensure a professional and civil decorum in all proceedings and/or otherwise efficiently resolve infractions cases; and

(m) Other facts warranting a higher penalty range.

19.12.3.2 Aggravating Factors for Involved Individuals.  

(a) Multiple Level I and/or multiple Level II violations;

(b) Failing or refusing to take all appropriate steps outlined in Bylaw 19.2.1 to advance resolution of the matter, including steps that hinder or thwart the institution and/or enforcement staff’s investigation;

(c) Violations were premeditated, deliberate or committed after substantial planning;

(d) Persons of authority condoned, participated in or negligently disregarded the violation or related wrongful conduct;

(e) One or more violations caused ineligible competition;

(f) Conduct or circumstances demonstrating an abuse of a position of trust;

(g) A pattern of noncompliance within the sport program(s) involved;

(h) Conduct intended to generate pecuniary gain for the individual;

(i) Intentional, willful or blatant disregard for NCAA bylaws;

(j) Involvement by a representative of the institution’s athletics interests in violations;

(k) Conduct by a party and/or their representative that inhibits the Committee on Infractions’ ability to effectively manage the docket, ensure a professional and civil decorum in all proceedings and/or otherwise efficiently resolve infractions cases; and

(l) Other facts warranting a higher penalty range.

19.12.4 Mitigating Factors. Mitigating factors are circumstances that warrant a lower range of penalties for a particular party. A hearing panel 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:

19.12.4.1 Mitigating Factors for Institutions.

(a) Prompt self-disclosure of the violation(s);

(b) Prompt acknowledgement and acceptance of responsibility for the violations;

(c) Institution self-imposed meaningful corrective measures and/or penalties;

(d) Affirmative steps to expedite final resolution of the matter, including a good faith request for an accelerated hearing docket pursuant to Bylaw 19.8.4, timely submission of a summary disposition report pursuant to Bylaw 19.9.3 or timely submission of a negotiated resolution pursuant to Bylaw 19.10;

(e) An established history of self-reporting Level III or secondary violations (i.e. at minimum, five violations per year for the previous five years);

(f) Implementation of a system of compliance methods designed to ensure rules compliance and satisfaction of institutional/coaches' control standards.  Additional considerations include:

(1) Whether the institution’s compliance system aligns with industry standards, such as adoption of the National Association of Athletics Compliance Reasonable Standards; 

(2) Whether the compliance system was in place at the time the violation(s) occurred; and

(3) Whether the compliance system detected or should have detected the violation(s).

(g) Exemplary cooperation, such as:

(1) Volunteering all pertinent information the institution possesses or should reasonably be expected to possess to further the mission of the infractions process;

(2) Identifying individuals to be interviewed by the enforcement staff, documents and other information of which the enforcement staff was not aware;

(3) Expending substantial institutional resources to expedite a thorough and fair collection and disclosure of information; and/or

(4) Recognizing and bringing to the attention of the enforcement staff, in a timely manner, additional violations discovered in the investigation of which the enforcement staff was not aware. Any failure to comply with investigative requests or any failure to comply with Bylaw 19.2.1 (Responsibility to Cooperate) shall render this mitigating factor inapplicable.

(h) The absence of prior conclusions of Level I, Level II or major violations committed by the institution within the past 10 years;

(i) Securing the meaningful cooperation of an individual who does not have an affirmative obligation to cooperate under Bylaw 19.2.1 (Responsibility to Cooperate); and

(j) Other facts warranting a lower penalty range.

19.12.4.2 Mitigating Factors for Involved Individuals.

(a) Prompt self-disclosure of the violation(s);

(b) Prompt acknowledgement of and acceptance of responsibility for the violation(s);

(c) Affirmative steps to expedite final resolution of the matter, including timely submission of a summary disposition report pursuant to Bylaw 19.9.3, timely submission of a negotiated resolution pursuant to Bylaw 19.10 or a good faith request for an accelerated hearing docket pursuant to 19.8.4.6;

(d) Exemplary cooperation, such as:

(1) Volunteering all pertinent information the involved individual possesses, has the ability and means to obtain, or should reasonably be expected to possess to further the expectations of the infractions process;

(2) Identifying individuals to be interviewed by the enforcement staff, documents and other information of which the enforcement staff was not aware;

(3) Expending substantial resources to expedite a thorough and fair collection and disclosure of information; and/or

(4) Recognizing and bringing to the attention of the enforcement staff, in a timely manner, additional violations discovered in the investigation of which the enforcement staff was not aware. Any failure to comply with investigative requests pursuant to Bylaw 19.2.1 (Responsibility to Cooperate shall render this mitigating factor inapplicable;

(e) The absence of prior conclusions of Level I, Level II or major violations committed by the involved individual;

(f) Securing the meaningful cooperation of an individual who does not have an affirmative obligation to cooperate under Bylaw 19.2.1 (Responsibility to Cooperate); and/or

(g) Other facts warranting a lower penalty range.

19.12.5 Repeat Violators.

19.12.5.1 Time Period. An institution shall be considered a repeat violator if the Committee on Infractions finds that a Level I or Level II violation has occurred within five years of the starting date of a Level I or Level II penalty stemming from a previous decision of the Committee on Infractions or Independent Resolution Panel. For this provision to apply, it shall not be necessary that the Committee on Infractions’ hearing be conducted or its decision issued within the five-year period. An involved individual shall be considered a repeat violator if any of the three divisional Committees on Infractions or the Independent Resolution Panel previously concluded the individual committed a Level I, Level II or major violation.

19.12.5.2 Repeat Violator Penalties. In prescribing penalties for an institution or individual who are repeat violators as defined by Bylaw 19.12.5.1, a hearing panel may depart upward from the core penalties identified in Figure 19-1 pursuant to Bylaw 19.12.7.

19.912.56 Core Penalties for Level I and Level II Violations. If a hearing panel concludes pursuant to Bylaw 19.8 or 19.9 or the parties participating in a negotiated resolution pursuant to Bylaw 19.10 agree that an institution or involved individual committed one or more Level I and/or Level II violations, and after determining the appropriate classification based on aggravating and mitigating factors, the hearing panel shall prescribe and/or the parties participating in a negotiated resolution should agree to 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.

19.912.56.1 Competition Penalties. Competition limitations on the institution's participation in postseason play in the involved sport(s).

19.912.56.2 Financial Penalties. Financial penalties may include requirements that an institution pay a fine, return revenue received from a specific athletics event or series of events, face reduction in or elimination of monetary distribution by the Association or lose all revenue sharing in postseason competition (including the NCAA Division I Men's Basketball Championship) for the entire period of a postseason ban.

19.912.56.2.1 Fine for Participation in NCAA Championship and Other Postseason Contests in Which an Ineligible Student-Athlete Competed. A hearing panel may require an institution to pay a fine, to be distributed to the NCAA Student-Athlete Opportunity Fund, if an ineligible student-athlete competes in NCAA championship or other postseason contests. In such a case, the institution shall pay the value of the full unit(s) [Basketball Performance Fund unit(s) and/or Equal Conference Fund unit(s)] awarded based on the institution's participation in NCAA Division I Men's Basketball Championship contests in which the ineligible student-athlete competed, or shall pay the value of a similar distribution awarded for the institution's participation in other NCAA championship or postseason contests in which the ineligible student-athlete competed.

19.912.56.3 Scholarship Reductions. Limitations on the number of financial aid awards that may be provided during a specified period.

19.912.56.4 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 bylaws, the panel may issue and/or approve 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.

19.912.56.5 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 and/or approve 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.

19.912.56.6 Recruiting Restrictions. Recruiting restrictions may include limitations for varying lengths of time on official visits; unofficial visits (the number of scheduled unofficial visits, provision of complimentary admissions and local transportation); recruiting communications (telephone and written correspondence); and off-campus recruiting activities.

19.912.56.7 Probation. The hearing panel may prescribe and/or approve 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 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) renumbered as 19.12.6.7-(a) through 19.12.6.7-(b) unchanged.]

(c) Written confirmation to the 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 the president or chancellor's commitment to NCAA rules compliance, shared responsibility and preserving the integrity of intercollegiate athletics;

[19.9.5.7-(d) renumbered as 19.12.6.7-(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 on Infractions or Independent Resolution Panel members or a third party;

[19.9.5.7-(f) through 19.9.5.7-(g) renumbered as 19.12.6.7-(f) through 19.12.6.7-(g) unchanged.]

19.912.67 Departures from Level I and Level II Core Penalties. If extenuating circumstances are found, the hearing panel and/or the parties participating in a negotiated resolution may depart from the core penalties in Figure 19-1, provided the panel explains, in its decision and/or the written agreement, explains the basis for its prescription of core penalties different than those set forth in Figure 19-1.

19.912.78 Additional Penalties for Level I and Level II Violations. In addition to the core penalties for Level I and Level II violations, the panel may prescribe one or more of the following penalties Additional penalties for Level I and/or Level II violations may include one or more of the following:

[19.9.7-(a) through 19.9.7-(l) renumbered as 19.12.8-(a) through 19.12.8-(l) unchanged.]

19.912.910 Show-Cause Penalties. If a hearing panel prescribes and/or approves additional penalties for an institution for Level I or Level II violations pursuant to Bylaw 19.9.5.4 19.12.6.4, 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.

19.912.1011 Notification of Regional Accrediting Agency. In cases in which the hearing panel has found and/or approved academic violations or questionable academic conduct, the NCAA president may forward a copy of the public infractions decision to the appropriate regional accrediting agency.

19.912.1112 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.

19.1013 Appeal of Committee on Infractions Decisions.

[19.10.2.1 through 19.10.2.2 renumbered as 19.13.2.1 through 19.13.2.2, unchanged.]

[19.10.3 renumbered as 19.13.3, unchanged.]

19.1114 Independent Accountability Resolution.

[19.11 through 19.12 renumbered as 19.14 through 19.15, unchanged.]

[19.13 through 19.14 renumbered as 19.15 through 19.16, unchanged.]

21 Governance Structure and Committees

[21.02 through 21.1 unchanged.]

21.1.2 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:

[21.1.2-(a) through 21.1.2-(h) unchanged.]

(i) Review and approve ratify 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;

[21.1.2-(j) through 21.1.2-(r) unchanged.]

[21.1.3 through 21.1.6 unchanged.]

[21.2 through 21.10 unchanged.]