Administrative sanction procedure (ASP)

Although the FIFA Disciplinary Committee (the “FIFA DisCo”) remains the ultimate sanctioning body, the FIFA general secretariat has been authorised by the FIFA DisCo to impose sanctions in certain circumstances when its investigations identify evidence of non-compliance. Article 17, paragraph 1 of Annexe 3 of the RSTP states:

“Without prejudice to the competence of the FIFA Disciplinary Committee, the FIFA general secretariat has the competence to impose sanctions within the administrative sanction procedure (ASP) […]”.

The first authorisation of this kind was formally approved in 2011, when the FIFA DisCo delegated authority to address certain infringements of a “relatively minor or technical nature”. These infringements often have a significant impact on transfers, such as a club failing to enter a counter instruction or a Member Association blocking a transfer by failing to confirm a player’s identity details against its own registration records without delay. FIFA circular no. 1259 notified the FIFA Member Associations of a new administrative sanction procedure (“ASP”) under which the Regulatory Governance & Compliance Department (previously FIFA TMS GmbH) would investigate and potentially sanction clubs and Member Associations with fines up to CHF 14,000 for ten categories of “explicitly specified” violations of this type. Under FIFA circular no. 1478, this list of violations was expanded from ten to 14 categories.

In November 2022, the ASP was codified in the RSTP under article 17 of Annexe 3. The ASP now applies not only to the 14 categories previously listed in FIFA circular no. 1478, but also to all infringements of Annexe 3 of a purely technical or administrative nature.

In an ASP

• If Regulatory Compliance detects a technical or administrative infringement, an ASP will be initiated against the Member Association or club. The ASP will identify the infringement, request a statement or other relevant information by a specified deadline and, if applicable, require that the infringing behaviour be corrected.
• The ASP will be sent by email to the TMS manager using the email address provided for that person in TMS.
• After receiving the statement or relevant information, or after the deadline expires, Regulatory Compliance may issue an administrative sanction letter containing a sanction, if applicable. Sanctions that may be imposed through an ASP may include a warning, a reprimand or a fine of up to CHF 30,000 under article 17, paragraph 4 of Annexe 3 of the RSTP.
• If the party fails to respond to the administrative sanction letter, provides an inconsistent or incomplete response, fails to correct the infringing behaviour or does not comply with the sanction, the matter will be referred to the FIFA DisCo for evaluation and decision.

Breaches that may be sanctioned through an ASP

A. Failure to train a club

• To ensure that all affiliated clubs are able to fulfil their obligations in relation to Annexe 3 of the RSTP, ongoing TMS training is the responsibility of the relevant Member Association.

B. Absence of a trained TMS manager

• Clubs and Member Associations must use TMS for international transfers of players according to Annexe 3 of the RSTP.
• Clubs must appoint TMS managers who are trained in the operation of TMS and are responsible for training any replacement TMS manager, where required, to ensure that the club is able to fulfil its TMS-related obligations at all times.
• Member Associations must appoint a trained TMS manager and at least one additional user who is trained to operate TMS.
• Member Associations are responsible for training a replacement TMS manager, if required, so that they are in a position to fulfil their obligations in TMS at all times.

C. Breach of confidentiality and unauthorised access to TMS

• Always keep all data obtained through access to TMS strictly confidential.
• Ensure that only authorised users have access to TMS.
• Member Associations and clubs must use the confidential information exclusively for the purpose of conducting player transactions in which they are directly involved.
• Take all reasonable measures and apply the highest degree of care to guarantee complete confidentiality at all times.

D. Failure to maintain master data in TMS

• Member Associations must regularly check and ensure that the master data in TMS (including the dates of competition periods, seasons and registration periods and contact details, i.e. email addresses, postal addresses, telephone numbers and up-to-date names of TMS users) is correct for both the Member Association and every participating affiliated club.
• Member Associations must ensure that club addresses, telephone numbers, email addresses and training categories are valid and kept up to date at all times.
• Clubs must ensure that their contact details, i.e. address, telephone, email address and bank details, are valid and kept up to date at all times.
• It is especially important that all email addresses recorded in TMS for your club’s or Member Association’s TMS managers and users are correct. Letters or decisions notified by the FIFA general secretariat to a party through TMS or to the email address provided by a party in TMS are considered to be a valid means of communication and are sufficient to establish time limits.

E. Failure to enter a counter-instruction within a reasonable time

• Clubs must enter the relevant transfer instruction in TMS, together with the necessary information and documentation, as soon as the transfer agreement or loan agreement has been concluded.
• Clubs must check TMS at least once a day to identify any outstanding counter-instructions that need to be entered. Please note that clubs should check TMS more regularly and pay special attention during registration periods, particularly during the months of January, February, August and September of each year.
• Clubs must maintain regular contact with the other club or Member Association involved in any transfer concerning their club or Member Association.

F. Failure to correctly confirm or reject a player within a reasonable time

• The former Member Association must verify the player details without delay.
• To this end, the former Member Association may receive a request to verify the details of the player (“player confirmation request”) in TMS when the transfer in question has the status “Awaiting confirmation of player”. As the former Member Association, confirm without delay whether the player is registered with your Member Association.
• A player’s personal details must always be confirmed unless one of the following two exceptions applies:

1. The player was never registered with your Member Association.
2. The player used to be registered with your Member Association but has since been transferred to a club affiliated to a different Member Association.

• Unless one of these two exceptions applies, your Member Association must confirm the requested player’s details.
• A player confirmation request must never be rejected to block a transfer.

G. Failure to upload a mandatory document

• Clubs must upload the following mandatory documents, as applicable, when creating instructions:
• The new club:
• Proof of the player’s identity (passport or national identity card)
• Proof of the end date of the player’s last employment contract and the reason for its termination
• Employment contract with the new club
• Transfer agreement (whether permanent or loan) between the new club and the former club. Where applicable, a copy of any amendments shall be uploaded to TMS as soon as they have been concluded.
• A copy of the representation agreement entered into with a football agent, if applicable. Where applicable, a copy of any amendment shall be uploaded to TMS within 14 days of occurrence.
• A copy of any other agreement entered into with a football agent, other than a representation agreement, if applicable. Where applicable, a copy of any amendment shall be uploaded to TMS within 14 days of occurrence.
• The former club:
• Third-party ownership agreement, as applicable.
• For loans, proof that the professional is a club-trained player.
• A copy of the representation agreement entered into with a football agent, if applicable. Where applicable, a copy of any amendment shall be uploaded to TMS within 14 days of occurrence.
• A copy of any other agreement entered into with a football agent, other than a representation agreement, if applicable. Where applicable, a copy of any amendment shall be uploaded to TMS within 14 days of occurrence.

H. Failure to upload a conforming document

• Clubs and Member Associations must ensure that all documents that they upload to TMS are correct, complete and legible and support the information that has been entered in TMS.
• If explicitly requested, any document that is not available in English, French or Spanish must be uploaded to TMS by clubs and Member Associations together with a translation into one of these three languages. Failure to do so may result in the document in question being disregarded.

I. Failure to upload valid proof of payment

• Ensure that, as soon as the relevant club-to-club payment is made, proof of payment is uploaded into the correct section in TMS within 30 days of each payment.

J. Failure to comply with a FIFA TMS investigation

• Whenever you receive a letter from Regulatory Compliance, study its contents carefully. Note the specific requirements and the deadline imposed.
• Respond to Regulatory Compliance to acknowledge receipt of the investigation letter.
• Comply fully with the requirements.
• Respond by the deadline.
• If you require a deadline extension in exceptional circumstances, contact Regulatory Compliance immediately and explain why the extension is required.

K. Failure to provide mandatory information in a TMS instruction

• Ensure that you disclose all mandatory information, including financial information, in any TMS instruction.
• At the end of a loan, clubs must enter the relevant “Return from loan”, “Loan to permanent”, “Loan extension” or “Confirm conclusion of the loan” instruction in TMS, as appropriate.

L. Failure to enter correct information in a TMS instruction

• Double-check that all information declared in TMS is correct and consistent with the documents uploaded.
• Clubs must ensure that they enter the correct type of transfer instruction.
• Clubs must ensure that they select the correct reason for the former contract termination and enter the correct date of former contract termination in “Engage out of contract” instructions.
• Clubs must ensure that they enter the correct financial information in TMS (including total fixed remuneration, the fixed transfer fee, a buy-out or release fee, conditional payments and a sell-on fee).
• Clubs must declare the correct information in both the declaration on third-party influence on clubs and the declaration on third-party ownership of a player’s economic rights.

M. Improper international transfer certificate request

• The new Member Association must ensure that its affiliated clubs have entered the correct type of instruction and the correct reason for the former contract termination in, for example, “Engage out of contract” instructions, before requesting the ITC. In this regard, the former Member Association must check that the documents uploaded (such as the proof of last contract end date) support the information declared in TMS by its affiliated clubs.