NCAA STUDENT-ATHLETE REINSTATEMENT (SUB) COMMITTEE
POLICIES AND PROCEDURES
(Including Reinstatement Requests, Waivers and Extension Requests)
The student-athlete reinstatement process provides for the evaluation of institutional self- reports, submitted on behalf of student-athletes/prospective student-athletes who have been involved in a violation of NCAA regulations that affect their eligibility, in order to assess the student-athlete(s)/prospective student-athlete(s)' responsibility and to determine appropriate conditions for reinstatement of eligibility. This process also provides for a review of institutional requests for various waivers, for which the Student-Athlete Reinstatement Committees have the authority to act. Decisions for both reinstatement requests and other waiver requests are based upon national standards established by the membership, the Management Councils and the Student-Athlete Reinstatement Committees, and are applied by the student-athlete reinstatement staff.
Initial Staff Decision —- Reinstatement Requests
1. When a member institution determines that a prospective or enrolled student-athlete has been involved in a violation of NCAA rules, it is obligated under NCAA Bylaw 14.11.1 to declare the individual ineligible and withhold the student-athlete from all intercollegiate competition. The Student-Athlete Reinstatement Committee s processes reinstatement requests for violations of: ethical conduct (Bylaw B. 10 (Ethical Conduct), Bylaw .12 ),(A amateurism (B. 12), Bylaw 1.13 (rRecruiting (B. 13), Bylaw .14 (eEligibility) (B. 14), Bylaw .15 (fFinancial aAid) (B. 15), Bylaw .16 (eExtra bBenefits (B. 16) and Bylaw .18 (dDrug tTesting (B. 18). If necessary, an institution should contact the NCAA membership services staff to obtain an interpretation concerning the
appropriate application of the legislation.
2. If an individual is ineligible under NCAA legislation and the institution believes the circumstances warrant requesting reinstatement of eligibility, it may submit a request for reinstatement to the NCAA director of student-athlete reinstatement. If the institution requires an immediate decision (e.g., because of pending competition), it should be noted in that fact in its request. The request for reinstatement shall include: a statement that a violation has taken place; a statement indicating that the institution has declared the involved prospect or student-athlete ineligible and is requesting reinstatement of eligibility; a description of the violation, including the rule citation and amount or value of any benefit received; the identity of all coaches, prospects or student-athletes, and other individuals involved in the violation; the means by which the institution became aware of the violation; the reason(s) the violation occurred; the involved prospect's or student-athlete's knowledge of the rule in question; a list of corrective or disciplinary actions taken by the institution or conference; a statement describing factors, if any, whichthat might mitigate the violation; and supporting documentation. The institution is responsible for developing complete, accurate and thorough information prior to submitting an appeal to the sStudent-aAthlete rReinstatement cCommittee.e.
3. After a request for reinstatement is received by the national office, it is assigned to a student-athlete reinstatement staff member, who reviews the request and may obtain additional information prior to reaching a decision. While the student-athlete reinstatement staff may gather additional information relevant to the reinstatement request, its primary purpose is to ensure that the facts are developed . and iIts primary function is not to act as is not a fact-finding body. The institution primarily is responsible for gathering the facts necessary to process a reinstatement request.
If the reinstatement request involves an agents or gambling violation, the reinstatement staff will provide a copy of the institution’s report to the agent, gambling, agents and amateurism (GAA) staff of enforcement services. If the GAA staff agrees that the report appears complete, the reinstatement staff will continue with its process. If the GAA staff determines that the report appears incomplete, the GAA staff may conduct additional follow-upfollow up with the institution to ensure that all relevant facts are included in the request before the reinstatement staff issues a decision.
If the reinstatement request involves an amateurism violation self-reported by the institution, the reinstatement staff may provide a copy of the institution’s report to the GAA staff to ensure accuracy and a complete representation of the facts. Also, if the staffs determines that in-depth follow -up is warranted, the reinstatement staff will notify the institution of the concerns related to the facts as reported and indicate that additional follow -up appears to be needed. The GAA staff and the reinstatement staff will work jointly to conduct the needed follow -up to develop the set of facts.
If the reinstatement request involves an amateurism case that was initiated by the GAA staff through investigative efforts, the reinstatement staff will provide a copy of the institution’s report to the GAA staff to ensure accuracy and a complete representation of the relevant facts. If the GAA staff determines that relevant facts need to be added to the institution’s report, the GAA staff will contact the institution to discuss the report and establish a set of agreed- upon facts upon which the reinstatement staff will base its decision.
If the reinstatement staff notifies the institution that the report appears to be incomplete,, but the institution determines that the facts are complete as reported, then the reinstatement staff will make a decision based on the reported facts. If the concerns are substantiated with facts, then the institution could be subject to the enforcement process, and the reinstatement decision could be voided.
If the reinstatement request involves a violation connected to a major infractions case, the reinstatement staff will provide a copy of the report to the major enforcement staff members involved in the case. If the enforcement staff determines that the report appears complete, then the reinstatement staff will process the case. If the enforcement staff determines that the report appears incomplete, the reinstatement staff and major enforcement staff may conduct a follow -up with the institution specific to the concerns related to the facts. If the institution agrees that the report needs to be developed, the major enforcement and/or reinstatement staff will assist with that investigative process. However, if the institution determines that the report is complete, then the reinstatement staff will make a decision based on the institution’s set of facts. If the staff’s concerns are substantiated, then the institution could be subject to the enforcement process, and the reinstatement decision could be voided.
4. Bylaws 21.6.6.2.2.1-a (Division I),; 21.7.6.4.2.2 21.6.6.4.2.2 (Division II), and; 21.8.6.3.3.1.3 21.8.6.3.4 (Division III) authorizes the NCAA director of student-athlete reinstatement to act on behalf of the three Sstudent-atAthlete rReinstatement cCommittees to apply the eligibility rules of the Association. The director of student-athlete reinstatement has delegated the authority to process reinstatement requests and make decisions to the student-athlete reinstatement staff, after consultation with the director, when necessary.
5. After the student-athlete reinstatement staff has reviewed the institution's request and has completed its research, the staff may reinstate eligibility immediately, may impose appropriate conditions for reinstatement of eligibility or may conclude that eligibility should not be reinstated. The institution may be notified verbally of the result, if necessary, and all decisions shall be confirmed in writing. The following individuals will receive copies of the decision: the director of athletics,, the faculty athletics representative,, the senior woman administrator, and the conference commissioner,, if applicable,, and the institutional staff member who submitted the request, if not one of the aforementioned persons. The division committee(sub) committees also shall be apprised in writing of all staff decisions that deviate from case precedent within its division, regardless of whether the decision is appealed to the division committee(sub) committee.
6. An institution may ask the staff to reconsider its decision, prior to an appeal to the reinstatement committee(sub) committee, if it obtains new information that the institution reasonably believes could cause the staff to modify its initial decision. The staff shall review the information submitted by the institution and make a determination whether its decision should be altered.
7. For decisions that involve competition as a condition, the student-athlete must fulfill the reinstatement condition when he/she is otherwise eligible and during one of his/her four seasons of competition a season in which he/she competes. Also, a student-athlete must fulfill a reinstatement condition when he/ or she is medically cleared to play by the institution.
8. The director of student-athlete reinstatement and the vice-president for enforcement services have the authority to stay a decision if the following conditions are met: (1) 1) Tthe institution and student-athlete first become aware of the violation within 48 hours of the competition., (2) and 2) Ccase precedent is unclear whether competition as a condition for reinstatement is warranted. If the staff does grant a stay, the student-athlete will be eligible for competition until the (sub)committee committee’s first available opportunity for an appeal call.
Initial Staff Decision —- Other Waivers/Extension Requests
1. The sStudent-aAthlete rReinstatement committee(sub) committees have the authority to process six types of waivers: - Bylaws 14.2.1, 14.2.2 and 30.61 (5Five- year/10- semester waiver (B. 14.2.1, 14.2.2 and 30.6.1), Bylaw 14.2.1.5 (AAthletics AActivity Wwaiver) (B. 14.2.1.5);, Bylaw 14.24 – Division I, Bylaw 14.2.5 - Division II and III, (discontinued academic program waiver (B. 14.5.5.3.4), Hhardship wWaiver) (independent institutions only) (independent institutions only); (B. 14.2.5- Divisions II and III), (B. 14.2.4- Division I), satisfactory progress waiver (independent institutions only) [B. 14.4.3.6-(a)-(b)] Bylaw and season of competition waiver (14.2.65 – Division I and Bylaw 14.2.6 – Divisions II and III and 14.2.7 (Season-of Competition Waiver)5)). The (sub)committee committees will not review an extension request if the aAdministrative rReview subCcommittee has already reviewed a request to waive an exception under Bylaw 14.2.1.1 (Determining the Start of the Five-Year Period —- Division I) or Bylaw 14.2.2.1 (Utilization of Semester or Quarter— - Divisions II and III) for the involved student-athlete.
2. For an institution submitting an extension request, a checklist and table have been created to assist the institution in submitting all appropriate and necessary information. These materials can be found on the NCAA wWeebsite in The NCAA Guide to Rules Compliance 1998-99 or can be sent to the institution via facsimile by the student-athlete reinstatement staff. For waivers other than extension requests, the institution should submit a cover letter explaining its request, a detailed description of the student-athlete's circumstances, an indication of the specific bylaw the institution believes is applicable, and appropriate supporting documentation.
3. After an institution submits its waiver request, it is assigned to a staff member for review. The staff may request that the institution gather and submit additional information in an effort to meet the standards set by the legislative criteria. Once all materials relevant to the institution's request have been submitted, the staff will make an initial a decision on behalf of the division sStudent-aAthlete rReinstatement (Sub) cCommittee.
4. An institution may ask the staff to reconsider its decision, prior to an appeal to the division sStudent-aAthlete rReinstatement (Sub) cCommittee, if it obtains new information that the institution reasonably believes could cause the staff to modify its initial decision. The staff shall review the information submitted by the institution and make a determination whether its decision should be altered.
Appealing Initial Staff Decisions tTo tThe Committee Responsible forOn Student-Athlete Reinstatement (Sub) Committee
1. Once an institution has received written notice of the staff's decision, it may appeal this decision to the student-athlete reinstatement committeeStudent-Athlete Reinstatement (Sub) Committee for the division in which the institution holds membership. The division committee(sub) committee's consideration of an appeal is the committee(sub) committee's first review of the institution's request, and its decision is final, binding and shall not be subject to review by the NCAA Management Council or any other authority.
2. An institution's full written appeal shall be submitted to the director of student-athlete reinstatement within 30 calendar days from the date on the initial staff decision letter. An appeal letter submitted after the 30-day appeal period will not be processed. Exceptions to this policy may be granted by the division chair when an institution is able to demonstrate in writing that exceptional circumstances caused the institution's appeal to be submitted beyond the 30-day appeal period. The institution's written appeal of the staff's decision shall be submitted by the chief executive officer (or individual designated by the chief executive officer), faculty athletics representative, senior woman administrator or director of athletics. The institution is required to state in its written appeal the reasons it believes the initial staff decision was incorrect and should be modified or overturned. The (sub) committee requires a minimum of 48 hours to review documentation prior to a telephone conference or prior to rendering a decision for a paper review. Exceptions to this policy can be made if the director of student-athlete reinstatement and the (sub) committee chair determine that the urgency of the case warrants immediate consideration, and the (sub) committee is able to thoroughly review the documentation prior to the call, or in the case of a paper review, prior to issuing a decision.
3. For all appeals handled by the student-athlete reinstatement committeeStudent-Athlete Reinstatement (Sub) Committee, all factual disputes must be resolved prior to the division committee(sub) committee reviewing the matter. Prior to consideration of the matter, the staff will send copies of the institution's request and the information upon which the staff based its decision to the members of the division committee(sub) committee. The institution will receive a copy of the same information. The staff shall provide the institution and division committee(sub) committee with a copy of applicable case precedent prior to the division committee(sub) committee's consideration of the matter.
4. There are two different types of appeals processed by the student-athlete reinstatement committeeStudent-Athlete Reinstatement (Sub) Committees.
a. Reinstatement of Eligibility Appeals:. After receiving the institution's appeal, the staff will schedule a telephone conference call with the appropriate division committee(sub) committee, and will advise the institution of the date and time of the hearing. Appeals for reinstatement of eligibility to the division committee(sub) committee are conducted by telephone conference call, only unless the staff and institution agree that a paper review would be effective. If any member of the committee(sub) committee determines that a telephone conference is essential in order to make a decision, that member may contact the chair with the request, and a telephone conference shall be conducted.
b. Waivers and Extension Request Appeals.: The institution's written appeal should include all materials the institution wishes to be considered by the division committee(sub) committee during its review. The prospective or enrolled student-athlete shall submit a statement and/or information with the institution's request as part of the appeal. Information submitted subsequent to this request for appeal shall not be considered by the committee(sub) committee in its review of the matter. This request for appeal shall include a statement indicating whether the institution prefers the committee(sub) committee to conduct the appeal through either a review of the written documentation and correspondence or through a telephone conference call. If a telephone conference call is requested by the institution, it must present sufficient rationale that a telephone conference call is essential for the committee(sub) committee to reach a decision in the case. After reviewing the entire case file, the chair of the division committee(sub) committee shall have the authority to determine whether a telephone conference call is warranted.
(1) If the chair determines that a review of the written documentation and correspondence should be used to process the appeal, the staff shall send copies of the documentation and correspondence relevant to the case to the division committee(sub) committee and the institution. Upon receipt of the case materials, if any member of the division committee(sub) committee determines that a telephone conference call is essential in order to make a decision, that member may contact the chair with the request and a telephone conference call shall be conducted.
(2) The division committee(sub) committee shall determine, by a maa majority, whether to uphold or modify the staff's decision. Each member shall contact the chair with their vote and the chair will determine whether the majority requirement has been met. The chair of the division committee(sub) committee shall communicate this decision to the director of student-athlete reinstatement. A member of the staff shall then contact the institution with the committee(sub) committee's decision.
5. For all appeals conducted by telephone conference call, at least one of the following institutional representatives must participate in the telephone conference call hearing: chief executive officer [(or individual designated by the chief executive officer),], faculty athletics representative, senior woman administrator or director of athletics. In addition, other institutional representatives, including the institution's legal counsel and student-athlete's or prospect's legal counsel, may participate. The involved prospect or student-athlete is required to participate in this hearing. The telephone conference call will not proceed if the involved student-athlete or prospect is unable to participate in the hearing. The director of student-athlete reinstatement and the student-athlete reinstatement representative(s) who handled the case also shall participate on the call. Also, any members of the enforcement services staff involved in the case may participate on the call.
a. Once all parties participating in the hearing have been introduced, the staff shall staff has 10 minutes to describe the facts of the appeal, the applicable precedent and the rationale for the staff's decision. The institution has 10 minutes, and the involved prospect or student-athlete has 10 minutes shall be provided with an opportunity to describe the case and explain the reasons for requesting that the staff's decision be overturned or modified. All participants on the call may ask questions of any other participant. Once all questions have been answered, the call will conclude with the staff, institution and student-athlete each providing a closing statement not to exceed five minutes.
b. The division (sub) committee has the authority not to render a decision, if it has questions that the committee(sub) committee believes the institution reasonably can and should answer prior to a decision by the committee(sub) committee.
c. When the hearing has concluded, the institutional representatives, the involved prospect or student-athlete, legal counsel and the staff shall leave the call. It is the responsibility of the director of student-athlete reinstatement to ensure that the tape recording is terminated at that time and all parties except the (sub) committee leave the call at the end of the hearing prior to the committee(sub) committee's deliberations. The division committee(sub) committee members shall deliberate in private and reach a decision by majority vote. The chair then shall notify the director of student-athlete reinstatement with the committee(sub) committee's conclusion, and the director or student-athlete reinstatement representative primarily responsible for processing the case shall notify the institution of the result. The decision by the division committee(sub) committee is considered final with no other appeal opportunity, and written confirmation of the decision shall be provided by the staff.
6. The division committee(sub) committee may affirm or modify the staff's decision but may not impose more stringent conditions for restoration than the staff decision in an effort to impose the most appropriate condition for reinstatement.
7. Subsequent to the division committee(sub) committee's decision, an institution may ask the committee(sub) committee to reconsider its appeal decision if it obtains newly discovered, non-repetitive information that existed at the time of the decision but was not available to the institution. The institution's request and the new information shall be submitted in writing by the institution's chief executive officer, faculty athletics representative, senior woman administrator or director of athletics to the director of student-athlete reinstatement. The division committee(sub) committee chair shall review the request and may grant a new hearing only after concluding, upon review of the written materials, that the new information is of such importance as to make a different result reasonably probable. If a new hearing is granted by the chair, the chair will determine whether the hearing will be a telephone conference call or a paper review. opportunity. Subsequent to this determination, all case materials will then be compiled by the staff and sent to the division committee(sub) committee for their review. If the case is to be treated through a paper review opportunity, any member of the division committee(sub) committee, after reviewing the case materials, may request that the chair conduct a telephone conference call, if that committee(sub) committee member believes a conference call is essential in order to make a decision in the case. New telephone conference hearings or paper review opportunities shall not be granted solely on the basis of factual occurrences after the initial decision by the division committee(sub) committee.
General Student-Athlete Reinstatement (Sub) Committee Policies
1. Authority of the Chair. Each division committee(sub) committee has a chair who is selected by the committee(sub) committee and subject to approval by the Management Council. The division committee(sub) committee chair may terminate a hearing at any time if the information is repetitive in nature, substantive new information is introduced, the institution does not believe the facts constitute a violation of NCAA rules, or the parties do not stipulate to the facts of the case. Individuals who wish to participate in a hearing but are not among the designated participants (institutional representatives, the prospective or enrolled student-athlete and legal counsel) may do so upon approval from the division committee(sub) committee chair.
2. Confidentiality. The vice-president for enforcement services, the director of student-athlete reinstatement and the director of public affairs information may confirm whether an eligibility reinstatement request has been submitted, whether a decision has been reached and what that decision is in a particular case. The staff does not have authority to discuss the specifics of the facts of a reinstatement case, and the staff’s release of information shall always comport with fFederal law (e.gi.e., Buckley AmendmentFederal Educational Rights and Privacy Act). The vice-president and the director have the discretion to prepare a press release on behalf of the NCAA, when appropriate.
3. Ex Parte Communications. Members of the committee(sub) committee shall not discuss a pending request for reinstatement or a pending appeal with the student-athlete reinstatement staff, institutional representatives, the prospective or enrolled student-athlete, or his or her legal counsel without all parties having the opportunity to participate. The staff may contact division committee(sub) committee members to arrange a telephone conference call or a paper review of an institution's appeal. When an institution requests reconsideration of a division committee(sub) committee's decision, the staff may contact the chair of the division committee(sub) committee to provide the information submitted by the institution and the staff evaluation of it. The staff may also contact the chairs of the division committee(sub) committees regarding procedural matters relevant to processing the institution's appeal. Further, the division committee(sub) committee chairs may contact the staff to request that additional information about the case be obtained.
4. Quorum. A quorum for committee(sub) committee review of appeals shall be three members. If the designated division committee(sub) committee chair cannot participate in the review, he or she will appoint a presiding chair who is from the same division committee(sub) committee. If it is not possible to have the entire division committee(sub) committee hear or review the appeal, and it is necessary to do so without delay, the proceeding or review may take place with less than a full committee(sub) committee as long as the quorum requirements are met and the institution agrees to proceed.
5. Recusal. A committee(sub) committee member or student-athlete reinstatement staff member shall recuse himself or herself from participating in proceedings connected with a reinstatement case when he or she is directly connected with the involved institution, including, but not limited to, a member of the committee(sub) committee member’s institution’s conference. A committee(sub) committee or staff member with a personal relationship or institutional affiliation that reasonably would result in the appearance of bias or prejudice should refrain from participating in any manner in the processing of a reinstatement appeal or waiver/extension request appeal. It is the responsibility of the committee(sub) committee or staff member to remove himself or herself if a conflict exists. Institutional objections to a committee(sub) committee or staff member participating in a review of a case should be raised with the chair or director as soon as recognized, but will not be considered unless the concern is raised prior to the scheduled hearing.
6. Revision of Procedures. The committee(sub) committee has the authority to revise the procedures governing reinstatement requests, waivers and extension requests, as well as the applicable appeal procedures for each, at any time, subject to Management Council or A/E/C approval.
7. Voting. In order for the committee(sub) committee to take action, a majority vote (for reinstatement appeals and waiver/extension request appeals) of those members who have agreed to hear or review the appeal is required. In the event of a tie vote, the initial decision of the staff shall be considered to have been upheld, and the institution's appeal shall be denied. Vote tallies of decisions are private and will not be provided to the media or the involved institution.
8. Taping. Each telephone conference appeal call shall be tape recorded; however, the committee(sub) committee's deliberations subsequent to the hearing shall not be tape recorded. Copies of the recordings shall be maintained by the director of student-athlete reinstatement for a seven-year period. The chairs of the division committee(sub) committees thatwho hear the appeal have the authority to instruct the director of student-athlete reinstatement to forward a copy of the tape or a transcript of the proceedings to any other NCAA committee that has a legitimate purpose for requesting access to the proceedings.
9. Flow of Information. All materials relevant to the consideration of a reinstatement request, waiver or extension request, or an appeal to the committee(sub) committee shall be submitted to the staff through the institution by institutional officials. The involved student-athlete or prospect, as well as his / or her legal counsel, shall work through the institution in preparing and submitting its request or appeal. Information submitted directly to the staff shall be sent to the institution for it to determine whether the information should be included in its request or appeal. It is the responsibility of the institution to advise the prospect or student-athlete of the reinstatement process, which includes explaining the staff's and committee(sub) committee's decision.
10. Publication of Decisions. All actions on behalf of or by the committee(sub) committee shall be reported to the NCAA membership on a regular basis in a manner that does not identify the names of the institutions or the student-athletes.