NCAA News Archive - 2010

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    Infractions process Q&A

    Jan 5, 2010 12:17:17 PM


    The NCAA News

     

    Q  What is the Division I Infractions Appeals Committee?

     

    A  The five-member Division I Infractions Appeals Committee hears and acts on the findings of major violations by the Division I Committee on Infractions. Committee members are:

     

     

     

    Q  What is the timeline of events for an enforcement case?

     

    A  An enforcement case progresses through several steps, including:

     

     

     

    Q  How does the process work?

     

    A  When the NCAA enforcement staff has a legitimate reason to believe a member institution violated NCAA rules, it may initiate an investigation. Depending on the circumstances, the investigation may be conducted by reviewing correspondence with the institution or conference, or through in-person inquiries. The enforcement staff review a situation if information obtained indicates:

     

     

    Q  How do investigations begin?

     

    A  Investigations can by initiated by the enforcement staff or by a member of the public who contacts the NCAA to report a potential rules violation. Many times, the institution discovers a violation and reports its own violations to the enforcement staff. 

     

    The time an investigation takes varies. The NCAA enforcement staff must satisfy a high standard of proof to proceed with allegations. In some cases, as additional information is uncovered, more possible infractions are uncovered that broaden the scope of the investigation. Involved institutions may request additional time to respond to allegations, which also may affect the timeframe. 

     

     

    Q  What is a letter of inquiry?

     

    A  When the enforcement staff begins to review a situation, the NCAA sends a notice of inquiry to the institution's president or chancellor. Usually, an enforcement investigator is assigned to conduct in-person interviews.

     

    The notice of inquiry tells institutional leadership the enforcement staff will be investigating the institution. The notice also includes facts of the case, the potential violations by sport, the approximate time period associated with the potential violations and the involved parties. The enforcement staff also includes an approximate timeframe for the investigation. The NCAA does not release the notice of inquiry publicly, but the institution may choose to release the letter or confirm its receipt.

     

     

    Q  How does the investigation progress?

     

    A  Since each case has a unique set of individuals, issues and circumstances, there is no single way to conduct an investigation. However, there are similarities in all investigations.

     

    Preliminary information is reviewed by the investigator(s) assigned to the case. The investigator first tries to speak with the source who reported the potential violation. This interview is "on the record" and electronically recorded if possible. If the source anonymously reported the potential violation, the NCAA enforcement staff cannot use the information to prove a violation occurred, but it can use the information to find others who may have information about the situation.

     

    Before the enforcement staff contacts those directly involved with the potential violations, they attempt to gather as much information as possible. The goal is to minimize the possibility of those directly involved compromising the integrity of the case by working with others to change the information reported to the enforcement staff.

     

    If NCAA enforcement staff conducts interviews on campus with enrolled student-athletes or other individuals, institutional staff members may be present during the interviews. Everyone interviewed by NCAA enforcement staff may have legal counsel present during the interviews. In many cases, information such as long-distance telephone records, bank records and academic transcripts are also collected during the process.

     

    NCAA enforcement regulations and student-athlete eligibility procedures employ many traditional due-process protections. For example, the enforcement staff strives to tape-record all interviews. Those that cannot be electronically recorded are transcribed or summarized.

     

    If the enforcement staff has gathered enough information to determine if rules violations have occurred, the process continues.

     

     

    Q  When is the institution notified?

     

    A  If the enforcement staff discovers the institution has committed one or more major violations, institutional leadership is sent a notice of allegations that contains specific alleged rules infractions. After the letter of inquiry is sent, the enforcement staff must send the notice of allegations within six months.

     

    The notice of allegations notifies the institution and all involved individuals of the alleged violations the NCAA enforcement staff found during the investigation process. The involved parties have 90 days to respond and may request additional time if needed. 

     

    If during the investigation process the enforcement staff determines the information no longer indicates a rules violation, the institution receives written notice the investigation has concluded.

     

    If the investigation process lasts longer than one year after the notice of inquiry is sent, the enforcement staff must review the status of the case with the NCAA Committee on Infractions. If the Committee on Infractions believes the investigation should continue, the institution will receive notice in writing and status reports at least every six months until the case has concluded.

     

     

    Q  What happens next?

     

    A  When all involved parties have responded to the alleged rules violations, a hearing date is set with the Committee on Infractions. A prehearing conference with the institution and other involved individuals is held four to six weeks before the hearing. During this conference call, the allegations are discussed.

     

    Before the hearing, the enforcement staff writes a case summary. The case summary documents the allegations, any outstanding issues and other information relevant to the case. At least two weeks before the hearing date, the individuals involved with the hearing and the Committee on Infractions receive the case summary.

     

     

    Q  Who can attend the Committee on Infractions hearing?

     

    A  The institution is usually represented by a large contingent of staff that may include its president or chancellor, faculty athletics representative, director of athletics, the current/former head coach of the involved sport(s), the compliance director and legal counsel. NCAA enforcement staff members who attend include the vice president of enforcement services and director of enforcement responsible for the case. Other enforcement staff members who assisted with the case may also be in attendance. If someone is named in the allegations, they may also be present and accompanied by their legal counsel. Student-athletes who have remaining eligibility may also attend.

     

     

    Q  What is the format?

     

    A  The chair of the committee opens the hearing with background information. The institution, enforcement staff and other involved parties have the opportunity to give an opening statement. The enforcement staff then outlines the specifics of each allegation, followed by the institution and others involved. Committee members ask questions and after the allegation is thoroughly discussed, the same process begins with the next allegation. After all the allegations have been addressed, all parties can give closing statements.

     

    When the hearing is concluded, the committee discusses the case privately, determines any findings of violations and then assesses penalties. The penalties vary depending on the situation. They can include probationary periods, bans on postseason competition, reductions of athletics scholarships and restrictions on the athletically related duties of coaches.

     

     

    Q  How often does the committee meet?

     

    A  The Division I Committee on Infractions meets about six times a year. The meetings usually last two or three days over a weekend. The Divisions II and III Committees on Infractions meet on an as-needed basis. 

     

     

    Q  When are penalties announced?

     

    A  Penalties are announced once the committee writes the infractions report that documents the specific findings, the penalties and supporting rationale for each. After the hearing, it typically takes between six to eight weeks to complete the report. 

     

    A specific process is in place for the notification of any penalties. The day before the public release, the institution and any involved individuals receive a copy of the infractions report. The chair of the Committee on Infractions hosts a telephone press conference to announce the results of the committee decision. A public infractions report is released but specific names are not included. The committee members make no statement about the case until the report is released.  

     

     

    Q  What are the penalties intended to accomplish?

     

    A  Penalties are intended to deter institutions from breaking the rules.

     

    NCAA rules allow for current and former coaches to face punishment if they are involved in major infractions. The committee can require a member institution to take disciplinary action against an individual that could affect their athletically related responsibilities. If the institution refuses, it could face additional penalties from the Committee on Infractions. If the coach or other individuals are no longer at the institution where the infraction occurred but are now working at another institution, the committee may request the current institution to take action against the individual, even if the institution was not involved in the infraction.

     

    If the involved staff member is no longer employed at an NCAA member institution and seeks employment at an NCAA institution in athletics, the committee can request the institution to appear before the committee. The goal is to determine what, if any, limitations should be imposed on the individual the institution wants to hire.