Cubs 40-Man Roster
Notes | Roster Rules & Procedures
LAST UPDATED: 2-1-2010
CUBS MAJOR LEAGUE RESERVE LIST (40-MAN ROSTER):
39 PLAYERS (one slot open)
Player's listed Age has been updated and is the player's age on July 1, 2010.
MLB Service Time has been updated through the 2009 season. It goes by the format of Years+Days, meaning 2+155 is equal to 2 years and 155 days. Although an MLB regular season ("championship season") is actually 183 days in length, 172 days equals a full MLB season for purposes af determining MLB Service Time, and a player cannot get credit for more than 172 days of MLB Service Time in any one given season.
Minor League Option Years Left have been updated through the 2009 season.
Option Years Left "N/A" = Not Applicable. (Players who have accrued at least five years of MLB service time cannot be optioned to the minors without their permission).
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| Last Name | First Name | Position | Uni # | Bat | Throw | Age | Service Time | Option Years Left |
|---|---|---|---|---|---|---|---|---|
| Atkins | Mitch | SP | 60 | Right | Right | 24 | 0+002 | 2 |
| Berg | Justin | RP | 64 | Right | Right | 26 | 0+042 | 2 |
| Caridad | Esmailin | SP/RP | 33 | Right | Right | 26 | 0+056 | 3 |
| Dempster | Ryan | SP | 46 | Right | Right | 33 | 11+063 | N/A |
| Dolis | Rafael | SP/RP | 66 | Right | Right | 22 | 0+000 | 4 (See Notes 2 & 5) |
| Gaub | John | RP | 48 | Right | Left | 25 | 0+000 | 3 (See Note 5) |
| Gorzelanny | Tom | SP | 32 | Both | Left | 27 | 2+160 | 0 |
| Grabow | John | RP | 43 | Left | Left | 31 | 6+016 | N/A |
| Gray | Jeff | RP | 34 | Right | Right | 28 | 0+097 | 1 |
| Guzman | Angel | RP | 37 | Right | Right | 28 | 3+095 | 0 |
| Lilly | Ted | SP | 30 | Left | Left | 34 | 9+102 | N/A |
| Marmol | Carlos | RP | 49 | Right | Right | 27 | 3+084 | 1 (See Note 3) |
| Marshall | Sean | SP/RP | 45 | Left | Left | 27 | 3+088 | 1 (See Note 3) |
| Mateo | Marcos | RP | 62 | Right | Right | 26 | 0+000 | 2 |
| Parisi | Mike | SP/RP | 47 | Right | Right | 27 | 0+055 | X (See Notes 1 & 4) |
| Parker | Blake | RP | 58 | Right | Right | 25 | 0+000 | 3 (See Note 5) |
| Patton | David | RP | 54 | Right | Right | 26 | 1+000 | 3 |
| Samardzija | Jeff | SP/RP | 29 | Right | Right | 25 | 0+152 | 1 (See Note 2) |
| Silva | Carlos | SP/RP | 52 | Right | Right | 31 | 8+000 | N/A |
| Stevens | Jeff | RP | 44 | Right | Right | 26 | 0+058 | 2 |
| Wells | Randy | SP | 36 | Right | Right | 27 | 1+016 | 1 (See Note 4) |
| Zambrano | Carlos | SP | 38 | Both | Right | 29 | 8+042 | N/A |
| Castillo | Welington | C | 72 | Right | Right | 23 | 0+000 | 3 (See Note 5) |
| Hill | Koyie | C | 55 | Both | Right | 31 | 3+006 | 0 |
| Soto | Geovany | C | 18 | Right | Right | 27 | 2+096 | 0 |
| Baker | Jeff | 2B/3B/1B | 28 | Right | Right | 29 | 3+049 | 0 |
| Blanco | Andres | SS/2B | 13 | Both | Right | 26 | 1+087 | 0 (See Note 4) |
| Fontenot | Mike | 2B/3B | 17 | Left | Right | 30 | 2+139 | 1 (See Notes 3 & 4) |
| Hoffpauir | Micah | 1B/LF/RF | 6 | Left | Left | 30 | 1+051 | 1 |
| Lee | Derrek | 1B | 25 | Right | Right | 34 | 11+125 | N/A |
| Ramirez | Aramis | 3B | 16 | Right | Right | 32 | 10+111 | N/A |
| Theriot | Ryan | SS | 2 | Right | Right | 30 | 3+118 | 2 (See Note 3) |
| Adduci | James | RF/LF/1B | 63 | Left | Left | 25 | 0+000 | 3 (See Note 5) |
| Byrd | Marlon | CF | 24 | Right | Right | 32 | 6+045 | N/A |
| Colvin | Tyler | CF/LF | 21 | Left | Left | 24 | 0+014 | 3 (See Note 5) |
| Fukudome | Kosuke | RF/CF | 1 | Left | Right | 33 | 2+000 | 3 |
| Fuld | Sam | CF/RF/LF | 27 | Left | Left | 28 | 0+109 | 1 |
| Nady | Xavier | RF/LF/1B | 22 | Right | Right | 31 | 6+059 | N/A |
| Soriano | Alfonso | LF | 12 | Right | Right | 34 | 9+079 | N/A |
| Last Name | First Name | Position | # | Bats | Throws | Age | Service Time | Option Years Left |
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The MLB Reserve List limit is 40 players for each MLB club, which is why the MLB Reserve List is also called the "40-man Roster." And the MLB Active List limit is 25 players Opening Day through August 31st (it's 40 players September 1st through the last game of the regular season), which is why the MLB Active List is also known as the "25-man roster." At the end of each MLB season, only those players on a club's 40-man roster who have contracts for the following season are considered "signed players," but the other players on the 40-man roster are still under club control (they are "reserved").
TENDERING CONTRACTS TO UNSIGNED PLAYERS
Unsigned players include players who can have their contracts unilaterally renewed by their club ("auto-renewal" players), and players who are eligible for salary arbitration. All unsigned players on a 40-man roster who are tendered contracts must be offered at least the MLB minimum salary ($400K in 2010) and (with a couple of exceptions) at least 80% of their previous season's salary. "Auto-renewal" players also usually have a "minor league split" salary in their contract which they receive if they are optioned to the minors. (The 2010 minor league "split" minimum is $32,500 for players who are on the 40-man roster for the first time, and a minimum $65K for all other players, and a player's minor league split salary must be at least 60% of what the player was actually paid the previous season).
If an unsigned player is tendered a contract by December 12th, the player is said to be "reserved" and remains on his club's MLB Reserve List (40-man roster). If an unsigned player is not tendered a contract by December 12th, the player is said to be "non-tendered," is immediately removed from the 40-man roster, and becomes an unrestricted free-agent, free to sign a major league or minor league contract with any club, including the club that non-tendered the player. A "non-tendered" player receives no termination pay.
PERFORMANCE-INCENTIVE BONUSES
Performance-incentive bonuses are permitted in Major League contracts, but a bonus cannot be based on batting or pitching skill, or where the club finishes in the standings. A performance-incentive bonus can, however, be tied to days spent on an MLB Active List (25-man roster) during the MLB regular season, and/or Games, Games Started, Games Finished, and/or Innings Pitched for pitchers, or Games Played, Games Started, and/or Plate Appearances for position players. Awards such as MVP, Cy Young, Silver Slugger, and/or Gold Glove, and/or being named to an All-Star team, can also be tied to an incentive bonus.
ARBITRATION-ELIGIBLE PLAYERS
An unsigned player under club control who has accrued at least three but less than six years of MLB Service Time is automatically eligible for salary arbitration. Also, any unsigned player with at least two years but less than three years of MLB Service Time who accrued at least 86 days of MLB Service Time the previous season can qualify for salary arbitration as a so-called "Super Two" if the player is among the top 17% in MLB Service Time of players in that group.If a club and a player eligible for salary arbitration cannot agree on a contract, salary arbitration can be requested during the ten-day period extending from January 5th to January 15th. Once arbitration has been requested and both parties have been notified, the club and the player formally exchange salary figures, and a hearing is scheduled with a three-person arbitration panel (the hearings are usually held during the first three weeks of February).
The club's offer must be at least the MLB minimum salary and, in most cases, must be at least 80% of the player's previous year's salary and at least 70% of the player's salary from two seasons back. However, if the player received a raise in excess of 50% through the salary arbitration process the previous season, or if the player is an MLB Article XX free-agent who accepted his club's offer of salary arbitration, a 20% maximum salary reduction (from the previous season) and a 30% maximum salary reduction (from two seasons back) does not apply, and the club only has to offer at least the MLB minimum salary.
After arbitration has been requested, the player and the club can continue to negotiate back & forth, and the player can withdraw from the process any time up until the hearing. And in fact this frequently happens, as the player and the club agree to essentially "split the difference" (something the panel cannot do). If the matter does go to a hearing, the arbitration panel must choose either the club's offer or the player's figure.
Win or lose, the player is awarded a standard one-year MLB contract with no "minor league split" salary or incentive/performance bonuses, and the contract is not guaranteed, so if the player is released during Spring Training, the club would only owe the player 30 days or 45 days salary as termination pay, depending on when the player is released. (A player receives 100% of what remains of his salary if he is released during the regular season). The Major League Baseball Players Association (MLBPA) is very sensitive about salary arbitration, so if a player who was awarded a contract through the salary arbitration process is released during Spring Training, the MLBPA will almost certainly file a grievance on behalf of the player, claiming the player was released for economic reasons only (which is not permitted), and asking that the released player receive 100% of his salary as termination pay. In that situation, a club would only have to show (by submitting official Spring Training game stats) that the released player was outperformed in Spring Training games by another player (or players) competing for that roster spot.
CUBS ELIGIBLE FOR SALARY ARBITRATION POST-2010:
Jeff Baker, INF
Mike Fontenot, INF (must accrue at least 33 days of MLB ST in 2010 to qualify)
Tom Gorzelanny, LHP
Angel Guzman, RHP
Koyie Hill, C
Carlos Marmol, RHP
Sean Marshall, LHP
Geovany Soto, C
Ryan Theriot, SS
AUTO-RENEWAL (PRE-ARBITRATION)
Unsigned players under club control who do not yet qualify for salary arbitration ultimately have to either accept the club's offer or just not play. A club (usually the Assistant GM) will negotiate with an "auto-renewal" player up to a point, but if the club and the player cannot agree on a deal by the first week of March, the club has the right to unilaterally and automatically renew the player's contract for an amount not less than the MLB minimum salary (which will be $400K in 2010) and not less than 80% of the player's previous year's salary. Hence the term "Auto-Renewal."
MLB FREE-AGENCY
Per Article XX of the MLB-MLBPA CBA, any player on an MLB 40-man roster who has accrued at least six years of MLB Service Time and who is not signed for the following season is eligible to file for free-agency during the Free-Agency Filing Period, which extends for 15 days beginning the day after the conclusion of the World Series. If a player files for free-agency under Article XX, the player's former club retains exclusive negotiating rights with the player until the conclusion of the Free-Agency Filing Period. Once the Free-Agency Filing Period has concluded, the player is free to sign a major league (or minor league) contract with any club, including with the player's former club.
Each MLB club must decide by December 1st whether to offer salary arbitration to its Article XX MLB free-agents. In order to receive a compensatory draft pick or draft picks in the next year's Rule 4 Draft (1st Year Player Draft) for losing a Type "A" and/or Type "B" MLB Article XX free-agent, a club must offer arbitration to the player. And if salary arbitration is offered, the free-agent player has until December 7th to either accept or decline the offer. If the player accepts the offer of salary arbitration, the player is considered to be "reserved," the player must be immediately returned to his club's MLB Reserve List (40-man roster), and the player and the club proceed onward through the salary arbitration process. If a player is offered salary arbitration but declines, or if the club does not offer arbitration, the player is free to sign a major league (or minor league) contract with any club, including the player's former club.
If a Type "A" or Type "B" MLB Article XX free-agent signs a Major League contract with a new club prior to December 1st, the player's former club automatically receives whatever compensatory draft pick or picks the club would have received if it had offered salary arbitration to the player on 12/1.
If a Type "A" or Type "B" Article XX free-agent signs a minor league contract with a new club, or if the free-agent signs a Major League contract with a new club after the Rule 4 Draft in June, the player's former club does NOT receive draft pick compensation, even if the player's former club offered arbitration on 12/1. However, MLB clubs are not permitted to sign an Article XX Type "A" or Type "B" free-agent to a minor league contract just to avoid losing a draft pick.
An Article XX MLB free-agent who signs a Major League contract after the conclusion of the Free-Agency Filing Period receives automatic "no trade" rights that extend through June 15th, even if the player re-signs with his former club. An Article XX MLB FA who receives "no trade" rights as the result of signing after the conclusion of the Free-Agency Filing Period can waive the right, but if he does, his club can trade the player only for player contracts and/or cash with a maximum aggregate value of $50,000.
CUBS ELIGIBLE TO BE ARTICLE XX MLB FREE-AGENT POST-2010
Derrek Lee, 1B
Ted Lilly, LHP
Xavier Nady, OF-1B
Aramis Ramirez, 3B (player option)
MINOR LEAGUE FREE-AGENCY:
A minor league player can become a free-agent three ways. One is by outright release (club option), another is by virtue of MLB Rule 55 (player option), and the third is per Article XX of the CBA (also a player option).
Waivers are not required to release a minor league player, and a released minor league player receives two weeks temination pay unless he is released during the off-season before his contract is renewed by his parent club. A club can automatically renew a minor league player's contract no more than six times, so a club can unilaterally control a minor league player for no more than seven seasons (the season the player signs his first contract, plus six seasons after that) before the player is eligible to be a minor league free-agent under MLB Rule 55.
A minor league player qualifies for free-agency under MLB Rule 55 if the player has spent all or part of at least seven separate seasons on a minor league active list or disabled list (including all or parts of any season spent on Optional Assignment to the minors) and/or if the player has been previously released in his career (exception is if a released player re-signs with his former club within one year of being released). However, a player eligible to be a Rule 55 minor league free-agent is NOT eligible for free-agency if the player is added to an MLB 40-man roster by the 4th day following the conclusion of the World Series. Clubs retain exclusive negotiating rights with their own Rule 55 minor league free-agents until the conclusion of the MLB Free-Agency Filing Period (the first 15 days immediately following the conclusion of the World Series).
Under CBA Article XX, any MLB player who has accrued at least three years of MLB service time and/or has been outrighted previously in his career has the right to be a free-agent if the player is outrighted to the minor leagues. The player can exercise this right upon being outrighted (he is given three days to decide if he is outrighted during the regular season, and he has a week to decide if he is outrighted during the off-season or Spring Training), or he can defer the right until the end of the MLB regular season. If a player eligible to be a minor league free-agent under Article XX exercises his right to be a free-agent immediately after being outrighted, the player's contract is terminated and the player receives no termination pay. (Because unsigned players do not receive termination pay, players eligible to be minor league free-agents under Article XX who are outrighted during the off-season before being tendered a contract for the following season always opt for free-agency immediately). But if the outrighted player defers his right to be a free-agent until the end of the MLB regular season, the player's existing contract remains in force, and the player can file for free-agency beginning on the day after the conclusion of the MLB regular season up through October 15th. However, an outrighted player who defers the right to be a minor league free-agent until the conclusion of the MLB regular season is NOT eligible to be a free-agent if the player is added back to an MLB 40-man roster prior to the end of the MLB regular season. Clubs retain exclusive negotiating rights with their own Article XX minor league free-agents through October 15th.
A minor league free-agent can sign a contract with any major league or minor league club (including the player's former club) without any restrictions. A club receives no compensation for losing a minor league free-agent.
CUBS ELIGIBLE TO BE ARTICLE XX MINOR LEAGUE FREE-AGENT POST-2010
N0NE
CUBS ELIGIBLE TO BE RULE 55 MINOR LEAGUE FREE-AGENT POST-2010
Austin Bibens-Dirkx, RHP
Todd Blackford, RHP
Russ Canzler, 1B
Robinson Chirinos, C-IF
Thomas Diamond, RHP
Mark Johnson, C
Jeff Kennard, RHP
Bryan Lahair, 1B
J. R. Mathes, LHP
Scott McClain, 3B
Mario Mercedes, C
Kevin Millar, 1B
Jonathan Mota, INF
Vince Perkins, RHP
Alvaro Ramirez, OF
Mark Reed, C
Bobby Scales, IF-OF
Brad Snyder, OF
Chad Tracy, 1B-3B
RULE 5 DRAFT
The MLB Rule 5 Draft is the last order of business each year at the MLB Winter Meetings in December, and it is a mechanism that allows MLB clubs to select (draft) players off the minor league reserve lists of the other 29 MLB clubs. There is a "Major League Phase" where MLB clubs can draft players off AAA Reserve Lists for $50,000, a "AAA Phase" where AAA clubs can select players off AA rosters for $12,000, and finally a "AA Phase" where AA clubs can draft players off the reserve lists of Class "A" clubs for $4,000.
RULE 5 DRAFT ELIGIBILITY
A minor league player who was 18 or younger on the June 5th immediately prior to signing his first contract is eligible for selection starting with the 5th Rule 5 Draft after he signs, and a minor league player who was 19 years or older on the June 5th immediately prior to signing his first contract becomes eligible for selection starting with the 4th Rule 5 Draft that followed his signing. (If a player signs his first contract after August 31st or after the minor league club to which the player is initially assigned has completed its regular season schedule, the next season is considered to be the player's "first season" for Rule 5 purposes). Also, a player on a minor league reserve list who has been released previously in his career is eligible for selection in the Rule 5 Draft, but not until he reaches the 1st anniversary of signing his first contract with an MLB organization.
CUBS ELIGIBLE FOR DECEMBER 2010 RULE 5 DRAFT
Francisco Acosta, RHP
Chris Archer, RHP
Darwin Barney, SS
Ryan Buchter, LHP
Kyler Burke, OF
Alberto Cabrera, RHP
Matt Camp, IF-OF
Marco Carrillo, RHP
Julio Castillo, RHP
Hung-Wen Chen, RHP
Steve Clevenger, C-1B
John Contreras, 1B-C
Manolin DeLeon, RHP
Arturo Florentino, RHP
Marwin Gonzalez, IF-OF
Miguel Gonzalez, C
Jose Guevara, C
Brandon Guyer, OF
Robert Hernandez, RHP
Chris Huseby, RHP
Dylan Johnston, OF-RHP
Kevin Kreier, RHP
Blake Lalli, C-1B
Casey Lambert, LHP
Josh Lansford, RHP
Jordan Latham, RHP
Alessandro Maestri, RHP
Scott Maine, LHP
Oswaldo Martinez, RHP
Matt Matulia, INF
Alexander Mejia, 1B
Carlos Morales, INF
Ronny Morla, RHP
Arismendy Mota, RHP
Craig Muschko, RHP
Jake Muyco, RHP
Dionis Nunez, RHP
Jeremy Papelbon, LHP
Andres Quezada, RHP
Gregory Reinhard, RHP
Chris Robinson, C
Drew Rundle, OF-LHP
James Russell, LHP
Nate Samson, INF
Tomas Sanchez, RHP
Dustin Sasser, LHP
Brian Schlitter, RHP
Chris Siegfried, LHP
Marquez Smith, 3B
Luke Sommer, LHP
Alvaro Sosa, C
Matt Spencer, 1B-OF
Larry Suarez, RHP
Tony Thomas, 2B
Jose Valdez, OF
Hank Williamson, RHP
Ty Wright, OF
RULE 5 DRAFT RESTRICTIONS
1. A club must have as many spots open on its MLB Reserve List (40-man roster) prior to the draft as the number of players it selects.
2. A player selected in the Major League Phase of the Rule 5 Draft can be traded at any time, but the player cannot be released or non-tendered until he is given a "full trial" in Spring Training, and he cannot be outrighted to the minors any earlier than 20 days prior to MLB Opening Day.
3. A Rule 5 player must remain on an MLB 25-man Active List (or MLB 15-day or 60-day Disabled List) for the entire MLB regular season following selection and must accrue at least 90 days on an MLB Active List (25-man roster) before Rule 5 restrictions are removed. (If the service time accrued on the MLB Active List is less than 90 days in the season following selection, the player remains a Rule 5 player into the next season).
4. If a club decides not to keep a Rule 5 player, the player must be placed on Outright Assignment Waivers, where any of the other 29 MLB clubs can claim the player for the $25,000 Rule 5 waiver price and assume the Rule 5 obligations.
5. If a Rule 5 player is not claimed off Outright Waivers, the player then must be offered back to the club from which he was drafted, and the player's former club can reclaim the player for $25,000, with the player being automatically outrighted to the AAA club from which he was drafted.
6. If the player's original club declines to reclaim the player, the drafting club retains the player and the player can be sent to the minors or released.
NOTE 1 - Mike Parisi is a Rule 5 Player in 2010. He was drafted by the Cubs from the AAA Memphis affiliate of the St. Louis Cardinals in the Major League Phase of the 2009 Rule 5 Draft.
ADDING PLAYERS TO AN MLB RESERVE LIST
A free-agent who signs a Major League contract must be added to his club's MLB Reserve List (40-man roster). A club also must add a player to its 40-man Roster if the player is acquired as the result of a waiver claim, or when a club acquires a player who was on another club's 40-man roster in a trade, or if a club selects a player in the Major League Phase of the Rule 5 Draft. In addition, an MLB club (generally) has the option to add any player who is on the reserve list of one of its minor league affiliates to its MLB Reserve List (40-man roster) at any time. The exceptions are:
1. A minor league player eligible for selection in the Rule 5 Draft cannot be added to an MLB 40-man roster during the period of time between the filing of MLB and minor league reserve lists on November 20th and the conclusion of the Rule 5 Draft.
2. A player who is sent outright to the minors cannot be added back to his club's MLB 40-man roster during the period of time extending from the 5th day after the conclusion of the World Series up through the conclusion of the Rule 5 Draft.
3. An unsigned minor league player who is eligible to be a Rule 55 minor league free-agent (player was previously released in his career and/or player has spent all or part of at least seven separate seasons on a minor league active list or disabled list) cannot be unilaterally added (by selection) to his club's MLB 40-man roster any later than the 4th day following the conclusion of the World Series. (A club retains exclusive negotiating rights with its own Rule 55 minor league free-agents until the end of the MLB Free-Agency Filing Period, at which point the player can sign a major league or minor league contract with any MLB club, including the player's former club).
4. A player on an MLB Reserve List (40-man roster) who is given his Outright Release during the period of time extending from September 1st up until Opening Day of the following season cannot be added back to the MLB 40-man roster of the club that released the player until May 15th, and a player on an MLB 40-man roster who is given his Outright Release during the period of time extending from Opening Day through August 31st cannot be added back to the MLB 40-man roster of the club that released the player for at least 30 days.
MINOR LEAGUE OPTIONSNormally, a player on an MLB Reserve List (40-man Roster) is allotted three minor league option years. This means the player can be sent to the minors and be available 24/7 for recall back to the major league club whenever the player might be needed during the course of three different seasons. Note that if a player spends 20 or more days of an MLB regular season on Optional Assignment to the minors, an option year is expended, but if the player spends 19 or fewer days of an MLB regular season on Optional Assignment, an option year is NOT expended and the player accrues a full season of MLB Service Time (a full season of MLB Service Time is 172 days). Also, if a player with minor league options remaining is sent outright to the minors and then is returned to an MLB 40-man roster later that season, an option year is spent, even though the player was not optioned to the minors.
After three minor league option years have been spent, the player is said to be "out of options" and the only way the club can send the player to the minors is by removing the player from the 40-man roster and sending him "outright" to the minors. And the club can do this only after first securing Outright Assignment Waivers (which are irrevocable) from the other 29 MLB clubs.
However, players who have accrued less than five "full seasons" of MLB and/or minor league service are eligible for a 4th minor league option. A player accrues a "full season" when he spends at least 90 total days on the Active List of an MLB and/or full-season minor league club or clubs in a given season, or at least 60 days but less than 90 days (total) on the Active List of an MLB and/or full season minor league club or clubs, followed by a Disabled List assignment where the combined time spent on the Active List and Disabled List equals at least 90 days.
NOTE 2 - As of Spring Training 2010, Jeff Samardzija will have used three minor league options (he was optioned to the minors in 2007, 2008, and 2009), but because he has spent only three “full seasons” on an MLB or full-season minor league team's active roster through the 2009 season, he will be eligible for a 4th minor league option as long as it is used prior to completing five full seasons. Also, Rafael Dolis gets four minor league options because he has spent only one "full season" on an MLB or full-season minor league team's roster through the 2009 season.
RESTRICTIONS ON OPTIONING PLAYERS TO MINORS
1. Any player who has accrued at least five years of MLB Service Time must give his permission in advance before he can be optioned to the minors.
2. No player may be optioned to the minors any earlier than the MLB Spring Training Mandatory Reporting Date (33 days prior to Opening Day).
3. A "Draft-Excluded Player" (a minor league player who is added to an MLB 40-man roster after August 15th) cannot be optioned to the minors any earlier than 20 days prior to MLB Opening Day.
4. A "Rule 5 Player" (a minor league player selected in the Major League Phase of the Rule 5 Draft) cannot be optioned to the minors at any time.
5. Any player who is optioned to the minors generally must remain on optional assignment for at least ten days. The only exceptions are if the player is recalled to replace a player on the 25-man roster who is placed on the Disabled List or the Bereavement List, or if the player's minor league season is over, or if the player is traded.
6. All players on Optional Assignment to the minors must be recalled no later than the day after the end of the MLB regular season.
OPTIONAL ASSIGNMENT WAIVERS
While a player with at least five years of MLB service time must give his permission before he can be optioned to the minors, some players with less than five years of MLB service time must first clear Optional Assignment Waivers (AKA "Recall Waivers") before they can be optioned to the minors. A player reaches this point when he hits the third anniversary of being added to an MLB Active List (25-man roster), or the two-year anniversary if the player spent one full season on Optional Assignment to the minors prior to being added to an MLB Active List (25-man roster) for the first time, or the one-year anniversary if the player spent two full seasons on Optional Assignment to the minors prior to being added to an MLB Active List (25-man roster) for the first time.
Optional Assignment Waivers are revocable and can be withdrawn if a claim is made, but if a player is claimed off Optional Waivers and the waiver request is subsequently withdrawn, the player cannot be placed on Optional Assignment Waivers again for at least 30 days, and if a player is placed on Optional Waivers a second time in the same waiver period and the player is claimed by another club, the waivers become irrevocable and the request cannot be withdrawn.
Once secured, Optional Assignment Waivers are good for the balance of that waiver period, and the player can be optioned to the minors (and recalled) as many times as needed.
NOTE 3 - Mike Fontenot, Carlos Marmol, Sean Marshall, and Ryan Theriot must clear Optional Assignment Waivers before they can be optioned to the minors.
OUTRIGHT ASSIGNMENT WAIVERS
If a club wants to remove a player from its MLB Reserve List (40-man roster) and send the player "outright" to the minors (like for instance if the player is "out of options"), the club must first secure Outright Assignment Waivers. For all players on an MLB Reserve List (40-man Roster) other than Rule 5 players, Draft-Excluded players, and injured players, Outright Waivers can generally be requested anytime in a given waiver period, and they are always irrevocable. The waiver price is $25,000 for Rule 5 and Draft-Excluded players, and $20,000 for all other players.
Once secured, Outright Waivers are good for seven days from September 1st through the 30th day of the regular season, and they are good for the entire waiver period if the waivers are secured anytime starting on the 31st day of the regular season through August 31st. Thus, a player who clears Outright Waivers after the 30th day of the regular season can be sent (outrighted) to the minors and then added back to the MLB 40-man and 25-man rosters as often as necessary during the months of May, June, July, and August, although the player would have the option to be a free-agent each additional time the player is outrighted that season because the player would have been outrighted more than once in his career.
A club does not have to outright a player to the minors after securing Outright Assignment Waivers.
RIGHT TO REFUSE AN OUTRIGHT ASSIGNMENT
Any player on an MLB 40-man roster who has accrued at least five years of MLB Service Time must give his permission before he can be outrighted (or optioned) to the minors.Also, any player on an MLB 40-man roster who has accrued at least three years of MLB Service Time and/or has been outrighted to the minors previously in his career can elect to be a free-agent if he is outrighted to the minors. The outrighted player can elect to be a free-agent immediately upon being outrighted, or he can defer the right until the end of the MLB regular season (he has three days to decide if he is outrighted during the regular season, and a week to make up his mind if he is outrighted during the off-season and Spring Training).
If the player elects to be a free-agent immediately, his contract is terminated and he receives no termination pay. But if the same player accepts the Outright Assignment and defers his right to be a free-agent until the conclusion of the season, the player does continue to get paid, receiving the balance of his salary through to the end of the MLB season. And then if the outrighted player is not subsequently added back to an MLB 40-man roster prior to the end of the MLB regular season, the player can file for free-agency beginning on the day after the conclusion of the MLB regular season up through October 15th. Once he is granted free-agency, the player can sign a major league or minor league contract with any club, including the player's previous club.
NOTE 4 - Andres Blanco, Mike Fontenot, Mike Parisi, and Randy Wells have accrued less than three years of MLB service time, but all four have been outrighted previously in their career, so therefore each of them have the right to decline an Outright Assignment and become a free-agent.
In addition, an unsigned player who is outrighted to the minors prior to accruing three years of MLB Service Time or without having been outrighted to the minors previously in his career can be a free-agent if the player is eligible to be a Rule 55 minor league free-agent and is outrighted to the minors prior to signing a contract for the following season. An outrighted player who becomes a free-agent per MLB Rule 55 can sign a major league or minor league contract with his previous club at any time, or with a new club only after the end of the MLB Free-Agency Filing Period.
RESTRICTIONS ON OUTRIGHTING PLAYERS DURING OFF-SEASON
1. A player cannot be outrighted to the minors on the two days prior to the Rule 5 Draft.
2. A "Rule 5 Player" cannot be outrighted to the minors any earlier than 20 days prior to the start of the MLB regular season.
3. A "Draft-Excluded Player" can be outrighted to the minors only if Outright Waivers are secured no later than the 4th day following the conclusion of the World Series, and if a "Draft-Excluded Player" is not outrighted to the minors prior to the Rule 5 Draft, the player cannot be sent to the minors (by optional or outright assignment) any earlier than 20 days prior to the start of the MLB regular season (same as a Rule 5 player).
NOTE 5 - James Adduci, Welington Castillo, Tyler Colvin, Rafael Dolis, John Gaub, and Blake Parker will have "Draft-Excluded" status until March 15th.
OUTRIGHT RELEASE
Outright Release Waivers are the 3rd type of MLB waivers. Like Outright Assignment Waivers, Release Waivers are irrevocable and cannot be withdrawn. While a player claimed off Outright Assignment Waivers costs $20,000 (or $25,000 for a Rule 5 or Draft-Excluded player), a club can claim a player off Release Waivers for the miniscule sum of $1. However, a club that claims a player off Release Waivers is responsible for paying 100% of the player's remaining salary, whereas if the same club waits until the player clears Release Waivers, the new club can sign the player for the MLB minimum salary (or prorated portion of the MLB minimum salary), with the player's former club responsible for the balance of the released player's contract, so there really isn't much motivation for a club to make a claim. Also, a player who is claimed off Release Waivers has the option to decline the assignment and become a free-agent (he has up to five days to decide).
Any player who is released outright during the period of time extending from Opening Day through August 31st cannot be added back to the MLB 40-man roster of the club that released him for at least 30 days, and a player on a 40-man roster who is released outright anytime between September 1st and Opening Day of the following season cannot be re-signed to a Major League contract (and cannot be added to an MLB Reserve List or Active List or MLB DL) by the club that released him until May 15th. However, while a player who is "non-tendered" on 12/12 becomes a free-agent, it is not considered the same thing as an outright release, so a club can re-sign a non-tendered player to a Major League contract (or minor league contract) without any restrictions anytime after the player is non-tendered. Thus, December 12th is a sort of roster "island oasis" in the middle of the off-season where clubs can drop a player from the 40-man roster without having to worry about waivers or restrictions on off-season outright assignments or outright release.
Any player on an MLB Reserve List (40-man roster) signed to a non-guaranteed contract who is released more than 15 days prior to Opening Day receives 30 days salary as termination pay, and any player signed to a non-guaranteed contract who is released 15 or fewer days prior to Opening Day receives 45 days salary as termination pay. Any player who is released during the regular season receives 100% of his salary as termination pay. Players released during the off-season who have not signed contracts for the following season receive no termination pay.
TRADE ASSIGNMENT WAIVERS
The deadline for "non-waiver" (unrestricted) trades is 4 PM (EDT) on July 31st. Then beginning at 5 PM (EDT) on July 31st up through the end of the season, Trade Assignment Waivers must be secured before players on MLB 40-man rosters can be traded. (Waivers are not required to trade players on minor league reserve lists).
A club can place no more than seven players on Trade Assignment Waivers per day, and a club can make a maximum of 50 Trade Assignment waiver claims per week. If a player is placed on Trade Waivers and is not claimed, waivers are said to be "secured" and the player can be traded to any MLB club at any time, just like prior to the non-waiver trade deadline.
And Trade Assignment Waivers are revocable, so if a player is claimed, the player's club has the option to either withdraw the waiver request and retain the player, or allow the waiver claim to stand. The player's club has 48 hours to make this decision (although it would be extended to 72 hours if the "window" closes on a Sunday, or to 96 hours if the "window" closes on a Saturday), and during this "window," the club has the right to trade the player to the claiming club (but ONLY to the claiming club). If a trade cannot be worked-out with the claiming club before the window closes, and the club chooses not to withdraw the waiver request, the player is automatically assigned to the claiming club for the $20,000 waiver price ($25,000 for Rule 5 players) and the claiming club assumes 100% of the player's contract. (A player with "no trade" rights can refuse both a waiver claim and a trade assignment, however).
If a player is claimed but not traded and the waiver request is subsequently withdrawn, the player cannot be placed on Trade Assignment Waivers again for at least 30 days from the date the waivers are withdrawn, and if the player is placed on Trade Waivers again before the end of the season, the waivers become irrevocable and cannot be withdrawn.
Besides having to secure Trade Assignment Waivers before a player on a 40-man roster can be traded after the July 31st deadline, other restrictions on trades are:
1. A player cannot be traded, placed on waivers, or selected in the Rule 5 Draft any earlier than the first anniversary of signing his first contract with an MLB organization.
2. A minor league player eligible for selection in the Rule 5 Draft cannot be traded during the period of time beginning with the filing of MLB and minor league reserve lists on November 20th and the completion of the Rule 5 Draft.
3. An MLB Article XX free-agent who signs a Major League contract after the conclusion of the 15-day Free-Agent Filing Period has a "no trade" right through June 15th. The player can waive this right, but if he does he can be traded only for cash or player contracts with a maximum aggregate value of $50,000.
4. If a "Player to Be Named Later" (PTBNL) is part of a trade, the PTBNL cannot be on an MLB 25-man roster (MLB Active List) at any time during the period of time starting when the trade is executed up until the PTBNL is announced. Clubs have six months to agree on a PTBNL. A cash payment (typically $50,000) can be substituted for a PTBNL if no agreement can be reached within six months.
5. Any player on an MLB Reserve List (40-man roster) who is on an MLB or minor league disabled list can be traded, as long as Trade Assignment Waivers are not required to make the trade. That's because a player on a disabled list cannot be placed on waivers until he is both eligible to be reactivated from the DL and healthy enough to play. Otherwise, the player would have to remain a PTBNL until the end of the season (when Trade Assignment Waivers are no longer required), or at least until he is eligible to be reactivated from the DL and healthy enough to play (so that waivers can be secured).
PROCEDURE FOR AWARDING WAIVER CLAIMS
For most of the year clubs can request waivers Monday through Friday ONLY (Saturdays and Sundays are considered business days only during Spring Training), with the deadline for waiver requests being 2 PM (Eastern). A player remains on waivers for two business days, during which time any of the other 29 MLB clubs can make a claim. At 1 PM on the second business day after the waivers are requested the MLB office determines if any claims were made, and if so, which club is awarded the claim.
The procedure for awarding waiver claims is different depending on the type of waivers and the time of the year. For Optional Assignment Waivers, Outright Waivers, and Release Waivers, if a player is claimed by only one club, that club is awarded the claim. If more than one club makes a claim, the club with the lowest winning percentage (regardless of league) on the day the waivers expire is awarded the claim. If two clubs with the same winning percentage make a claim, the club in the player's own league is awarded the claim. If two clubs from the same league make a claim and they are tied in the standings, the club with the lowest winning percentage from the previous season is awarded the claim. If the clubs are still tied, standings from two years back (or three years back, four years back, etc) are used to break the tie. However, in the case of Trade Waivers (only), if a player is claimed by more than one club, the club in the player's own league with the lowest winning percentage is awarded the claim, even if that club has a higher winning percentage than the club or clubs making a claim from the other league. So a player placed on Trade Assignment Waivers must first be "waived out of his own league" before he can be assigned to a club in the other league.
For the purpose of determining the awarding of waivers claims, the previous season's standings are used during the off-season and up through the first 30 days of the following season. Then beginning on the 31st day of the season, the standings as of the date the player clears waivers are used to determine the awarding of waiver claims, with the previous season's standings used to break any ties.
Clubs are not permitted to make a waiver claim and then trade the player to another club, if the purpose of the claim was to prevent a third club from claiming the player.
The four MLB waiver periods are:
1. February 16th through the 30th day of the regular season;
2. 31st day of the regular season through July 31st;
3. August 1st through November 10th;
4. November 11th through February 15th.
DESIGNATED FOR ASSIGNMENT
Sometimes a club wants to remove a player from its MLB Reserve List (40-man roster), but it has to be done immediately because the player's roster slot is needed, and it takes two business days to get a player through waivers. Or sometimes a club wants to remove a player from its MLB Active List (25-man roster), but the player has no minor league options remaining (or would have to clear Optional Assignment Waivers before he can be optioned to the minors), so the only way to remove the player from the 25-man roster would be by Outright Release, Outright Assignment, or a trade (or in the case of a player who needs to clear Optional Assignment Waivers before he can be optioned to the minors, only after Optional Assignment Waivers have been secured). In those cases, a club has the option to place the player on the Designated List.
When a player is placed on the Designated List (and is "Designated for Assignment"), the "Designated Player" is removed from the club's MLB Reserve List (40-man roster), and then the club has up to ten days to either trade, release, or outright the player to the minors. A club can also return a Designated Player to the 40-man roster and option the player to the minors, but only if the player is not replaced on the club's MLB Reserve List (40-man roster) by another player while on the Designated List. (A club might have to do this to buy time while it tries to get a player on the 25-man roster through Optional Assignment Waivers). A player continues to be paid and continues to accrue MLB Service Time while on the Designated List.
Also, a player acquired off waivers can be placed back onto Outright Waivers by his new club and can be outrighted to the minors if he is not claimed, but if a club acquires a player off waivers and the claiming club's 40-man roster is full so that the club needs to drop a player in order to open a spot on its 40-man roster for the new player, the player who was claimed off waivers cannot be the player who gets "Designated for Assignment."
RECALLED - NOT TO REPORT
Before a player on Optional Assignment to the minors can be placed on waivers, traded, or Designated for Assignment, he must be recalled from his minor league assignment ("Recalled - Not to Report"). A player who is "Recalled - Not to Report" for the purpose of being placed on assignment waivers remains on his club's 40-man roster and can continue to play in the minor leagues while on waivers. If the waivers are revocable (Trade Assignment Waivers) and the player is claimed and then the player's club elects to withdraw the waiver request, the player's club can option the player back to the minors. Waivers secured on a player who was "Recalled - Not to Report" expire after 72 hours.
If a player who was "Recalled - Not to Report" is claimed off waivers and either the waivers are irrevocable (Outright Assignment Waivers) or the player's club elects not to withdraw a revocable waiver request, the player is assigned to the claiming club. A player acquired off waivers after being "Recalled - Not to Report" who is subsequently optioned to the minors by his new club must remain in the minors for a minimum of ten days (unless he is recalled to replace a player on the 25-man roster who is placed on the Disabled List or Bereavement List, or the player's minor league season is over, or the player gets traded).
If a player is "Recalled - Not to Report" for the purpose of being traded and the player is optioned to the minors by his new club within 24 hours after the trade, the player can be recalled prior to spending ten days on optional assignment to the minors.
A player who is "Recalled - Not to Report" for the purpose of being Designated for Assignment accrues MLB Service Time equal to the number of days he is on the Designated List prior to being traded, released, or outrighted to the minors.
DISABLED LISTS
A player placed on the Disabled List (MLB 15-day DL or minor league 7-day DL) does not count against his club's Active List (25-man roster), but he does count against his club's Reserve List (40-man roster). As long as the player did not appear in a game during the retroactive period, an MLB 15-day DL assignment can be backdated up to ten days during the season, and to a date no more than nine days prior to the start of the season if the player is placed on the 15-day DL during Spring Training.
A player placed on the Emergency Disabled List (60-day DL) does not count against his club's Active List (25-man roster) or Reserve List (40-man roster). A player can be placed on the 60-day DL anytime during Spring Training or the regular season or post-season, or a player can be transferred from the 15-day DL to the 60-day DL. A player cannot be moved back to the 15-day DL once he is placed on the 60-day DL, and a player cannot be placed on the 60-day DL or transferred to the 60-day DL from the 15-day DL unless his club's Reserve List (40-man roster) is full. For a player who is transferred from the 15-day DL to the 60-day DL, time spent on the 15-day DL prior to being transferred counts toward the minimum 60 days a player must spend on the 60-day DL. All players on the 60-day DL must be reinstated to the 40-man roster no later than the 16th day following the conclusion of the World Series.
An injured player cannot be optioned or outrighted to the minors during the MLB regular season, but an injured player who has not signed a contract for the following season and who is not eligible for salary arbitration, and who cannot refuse an outright assignment to the minors by virtue of having been outrighted previously in his career, may be outrighted to the minors during the period starting the day after the end of the regular season up through November 20th. And certain injured players can be optioned or outrighted to the minors during Spring Training, too, as long as the assignment is made at least 16 days prior to Opening Day, and provided that the player was not selected in the previous Rule 5 Draft and/or did not accrue any MLB Service Time in the previous season.
A player on a club's MLB 15-day or 60-day DL (or minor league DL) may be assigned to a minor league club (or for minor league players, to a minor league club at a lower classification) for rehabilitation purposes for up to 20 days (maximum 30 days for pitchers). A player on an MLB DL on a "rehab" assignment to a minor league club continues to accrue MLB service time. MLB and minor league players on rehab assignments do not count against a minor league club's active roster. A maximum of three "rehab" players may be assigned to any one minor league team at the same time. A player does not have to be reactivated from the Disabled List when the rehab assignment has ended.
BEREAVEMENT LIST
An MLB player can be placed on the Bereavement List when the player leaves the team as the result of an illness or death in his immediate family. However, a player who leaves his club to attend a child-birth is NOT eligible to be placed on this list. A player must remain on the Bereavement List for at least three days, but no more than seven days. The Bereavement List functions just like the 15-day DL, in that a player on the Bereavement List does not count against his club's Active List (25-man roster), so he can be replaced on the 25-man roster while on the Bereavement List, but he does count against his club's Reserve List (40-man roster), and he does continue to accrue MLB service time.
VOLUNTARY RETIRED LIST
A player who submits written notice of retirement while under contract to or under the control of an MLB club can be placed on the Voluntary Retired List. Players on the Voluntary Retired List do not get paid while they are on the list, do not accrue service time, and do not count against the club's Active List (25-man roster) or Reserve List (40-man roster). A player on the Voluntary Retired List cannot be reinstated until 60 days after the close of the season during which he retires.
RESTRICTED LIST
The Restricted List is essentially an excused but unpaid "Leave of Absence." Players on the Restricted List do not count against a club's Active Roster (25-man roster) or Reserve List (40-man roster), and players who are on the Restricted List for any reason other than a suspension for violation of the MLB ban on the use of prohibited substances do not accrue Service Time while on the Restricted List. (A player who is suspended for violation of the ban on the use of prohibited substances is automatically placed on the Restricted List by MLB, and the suspended player does accrue MLB or minor league service time if placed on the Restricted List for this reason).
A player on the Restricted List can be reinstated at any time, but must be reinstated after two years, and a player who is on the Restricted List on August 31st is not eligible to play in the post-season (LDS, LCS, and World Series).
Besides a suspension related to a violation of the MLB Prohibited Substance ban, other reasons why a player might be placed on the Restricted List would be an absence due to family illness or a death in the family where the absence exceeds the seven-day Bereavement List limit, or if a player needs to attend to a legal matter or is serving a prison sentence, or if a player is attending college or pursuing a career in another profession, or if a player from a foreign country is unable to secure an H-2B work visa.
A player can be placed on the Restricted List only with the approval of the MLB Commissioner.
MILITARY LIST
A player can be placed on the Military List after being called to active duty (this includes foreign players called to active duty with their home country's military). A player on the Military List does not count against his club's Active List (25-man roster) or Reserve List (40-man roster), but the player does accrue service time. A player on the Military List must be reinstated when the player is released from active duty.
SUSPENDED, DISQUALIFIED, and INELIGIBLE LISTS
A player on the Suspended List counts against both his club's Active Roster (25-man roster) and Reserve List (40-man roster), so a stint on this list is usually temporary. (A player on a 40-man roster who is placed on the Suspended List while on Optional Assignment to the minors does not count against his club's MLB 25-man roster, however). When an MLB player is placed on the Suspended List, a grievance is usually filed by the Major League Baseball Players Association (MLBPA) on behalf of the suspended player because the player does not get paid while on the list. The main instance where it is used is when a player is suspended by the league as the result of an on-field incident, but it can also be initiated by the player's own club in the case of unacceptable behavior (such as a player getting into an altercation with his manager, a teammate, or a fan), or a violation of team rules related to chronic tardiness, possession of alcohol or reporting to work intoxicated, missing a doctor's appointment, et al. The Suspended List is used more liberally in the minor leagues, mainly because minor league players don't have the protection of a union. Players on the Suspended List continue to accrue service time.
A player can be placed on the Disqualified List if the player intentionally violates the terms of his contract and/or the MLB/MLBPA CBA. A player on the Disqualified List does not count against the club's Active List (25-man roster) or Reserve List (40-man roster) and does not accrue MLB service time or get paid while on the list, and a player can only be placed on the Disqualified List with the approval of the MLB Commissioner.
The MLB Ineligible List is the "capital punishment" of baseball, reserved for individuals who have been indefinitely or permanently banned from baseball, usually related to gambling, but it also could involve something like embezzlement of funds or a drug-related offense or a hate crime or some heinous activity. Individuals are placed on the Ineligible List by the MLB Commissioner. Players on the MLB Ineligible List do not count against any club's Reserve List.
POST SEASON ROSTER ELIGIBILITY:
All players on a club's MLB Active List (25-man roster) and MLB 15-day or 60-day DL as of midnight August 31st are eligible to be included on the club's post-season (LDS, LCS, or World Series) 25-man roster. A post-season eligible player who is on the 15-day or 60-day DL at the start of the post-season can be replaced on his club's LDS, LCS, or WS Active List (25-man roster) by any player (regardless of position) who was in the club's organization as of midnight August 31st, including minor leaguers who were not on the club's MLB 40-man roster at that time. However, if a "replacement player" is on a minor league reserve list, the player must be added to his club's MLB 40-man roster before he can be made eligible for the post-season.
Also, a player who is injured during a post-season series can (with approval of the MLB Commissioner) be replaced on his club's Active List (25-man roster) prior to the conclusion of that series by any player on the 40-man roster who plays the same position as the injured player (a pitcher must replace a pitcher, a catcher must replace a catcher, etc), and if an injured player is replaced during a post-season series, the injured player is ineligible to return to the Active List (25-man roster) for the balance of the post-season.
MINOR LEAGUE ROSTER LIMITS
IOWA : 38 (RESERVE LIST) - 24 (ACTIVE LIST)TENNESSEE : 37 (RESERVE LIST) - 24 (ACTIVE LIST)
DAYTONA : 35 (RESERVE LIST) - 25 (ACTIVE LIST)
PEORIA : 35 (RESERVE LIST) - 25 (ACTIVE LIST)
BOISE : 35 (RESERVE LIST) - 30 (ACTIVE LIST)
AZL CUBS , DSL CUBS #1, and DSL CUBS #2: 35 (RESERVE LIST)
NOTE: Boise, AZL Cubs, DSL Cubs #1 and DSL Cubs #2 are permitted to designate 25 players "active" for each game, of which at least ten must be pitchers.
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