Cubs 40-Man Roster

Notes | Roster Rules & Procedures

---

LAST UPDATED: 1-5-09

CUBS MAJOR LEAGUE RESERVE LIST (40-MAN ROSTER):

40 PLAYERS (roster is full)

Player's listed Age is his age on July 1, 2009.

MLB Service Time is updated for time accrued through the 2008 season. It goes by the format of Years.Days, meaning 2.055 is equal to 2 years and 55 days. 172 days equals a full 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).

(Column sorting tested on IE7, Firefox 1.0++ and Safari v3++. Javascript must be enabled for it to work properly. It does not work well if you're using any version of Safari below version 3).

Players with red backgrounds are currently on the Active List (25-man roster)

Players with blue backgrounds are currently on the Disabled List

 

Last Name	First Name	Positions	Jersey #	Bats	Throws	Age	Service Time	Option Years Left
Ascanio	Jose	RP	58	Right	Right	24	0.065	1 (See Notes 1 & 2)
Atkins	Mitch	SP	TBD	Right	Right	23	0.000	3
Berg	Justin	RP/SP	TBD	Right	Right	25	0.000	3
Cotts	Neal	RP	48	Left	Left	29	4.028	0
Dempster	Ryan	SP	46	Right	Right	32	10.063	N/A
Gregg	Kevin	RP	63	Right	Right	30	5.002	N/A
Gaudin	Chad	RP/SP	57	Right	Right	26	4.004	0
Guzman	Angel	RP/SP	37	Right	Right	27	2.095	0
Harden	Rich	SP	40	Right	Right	27	5.074	N/A
Hart	Kevin	RP/SP	22	Right	Right	26	0.106	2
Hill	Rich	SP	53	Left	Left	29	2.038	0
Lilly	Ted	SP	30	Left	Left	33	8.102	N/A
Marmol	Carlos	RP	49	Right	Right	26	2.084	1 (See Note 2)
Marquis	Jason	SP	21	Left	Right	30	8.012	N/A
Marshall	Sean	SP/RP	45	Left	Left	26	2.087	1 (See Note 2)
Mateo	Marcos	RP	TBD	Right	Right	25	0.000	3
Patton	David	RP	TBD	Right	Right	25	0.000	X (See Note 4)
Samardzija	Jeff	RP/SP	29	Right	Right	24	0.066	2 (See Note 1)
Stevens	Jeff	RP	TBD	Right	Right	25	0.000	3
Wells	Randy	RP/SP	36	Right	Right	26	0.036	2 (See Note 3)
Wuertz	Michael	RP	43	Right	Right	30	3.137	0
Zambrano	Carlos	SP	38	Both	Right	28	7.042	N/A
Hill	Koyie	C	55	Both	Right	30	2.006	0 (See Note 3)
Soto	Geovany	C	18	Right	Right	26	1.096	0
Cedeno	Ronny	SS/2B/3B	5	Right	Right	26	3.029	0
Fontenot	Mike	2B	17	Left	Right	29	1.139	1 (See Note 2)
Hoffpauir	Micah	1B/LF/RF	6	Left	Left	29	0.070	2
Lee	Derrek	1B	25	Right	Right	33	10.125	N/A
Miles	Aaron	2B/SS/3B/LF	TBD	Both	Right	32	5.027	N/A
Ramirez	Aramis	3B	16	Right	Right	31	9.111	N/A
Theriot	Ryan	SS	2	Right	Right	29	2.118	2 (See Note 2)
Bradley	Milton	RF	TBD	Both	Right	31	7.169	N/A
Fox	Jake	1B/LF/RF/C	TBD	Right	Right	26	0.020	1
Fukudome	Kosuke	CF/RF	1	Left	Right	32	1.000	4 (See Note 1)
Fuld	Sam	CF/RF/LF	TBD	Left	Left	27	0.027	2
Gathright	Joey	CF/LF	TBD	Left	Right	27	3.064	0
Johnson	Reed	CF/LF/RF	9	Right	Right	32	5.145	N/A
Pie	Felix	CF/RF/LF	20	Left	Left	24	1.009	0
Snyder	Brad	CF/RF/LF	TBD	Left	Left	27	0.000	0
Soriano	Alfonso	LF	12	Right	Right	33	8.079	N/A
Last Name	First Name	Position	Jersey #	Bats	Throws	Age	Service Time	Option Years Left

THE 40-MAN ROSTER:

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 regular season and post-season MLB Active List limit is 25 players, which is why the MLB Active List is 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 covering the following season are considered "signed players." But even though they may be unsigned, the other players on the 40-man roster are still under club control (the players are "reserved").

MLB ARTICLE XX FREE-AGENTS

Per Article XX of the MLB-MLBPA CBA, players who have accrued at least six years of MLB Service Time who are not signed for the following season are 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. While a player could choose not to file, the fact is all players do. (Their agents rather insist!). 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. An MLB player who files for free-agency under Article XX is removed from his club's MLB Reserve List (40-man roster) when he files.

Each MLB club must decide by December 1st whether to offer salary arbitration to its Article XX free-agents. In order to receive compensatory draft pick(s) in the next year's Rule 4 Draft (1st Year Player Draft) for losing a Type "A" and/or Type "B" free-agent(s), 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 a "reserved player" and 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.

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) once the contract is filed with the MLB office (which usually happens only after the player completes a physical). Also, any Article XX MLB free-agent who signs a Major League contract after the conclusion of the Free-Agency Filing Period receives an automatic "no trade" clause (NTC) in his contract that extends through June 15th, even if the player re-signs with his former club (the automatic NTC is NOT given to Article XX free-agents who sign minor league contracts). An Article XX MLB FA who receives a NTC as the result of signing after the conclusion of the Free-Agency Filing Period can waive the right prior to 6/15, but if he does, his club can only trade the player for contracts or cash with a maximum aggregate value of $50,000.

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 who is eligible for selection in the Rule 5 Draft cannot be added to an MLB Reserve List (40-man roster) after November 20th and up through the conclusion of the Rule 5 Draft by any means other than by selection in the Major League Phase of the Rule 5 Draft;

2) An MLB club cannot unilaterally add a minor league player who is eligible to be a Rule 55 minor league free-agent to the club's 40-man roster after the fourth day after the conclusion of the World Series (a Rule 55 FA being a minor league player whose contract has expired, where the player either was previously released in his career and/or the player has spent all or parts of at least seven seasons on a minor league regular season Active Roster or minor league Disabled List).

3) A Major League player 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 40-man roster of the club that released the player until May 15th, and a Major League player who is given his Outright Release during the period of time extending from Opening Day through August 31st cannot be added back to the 40-man roster of the club that released him for at least 30 days.

4) A player who is outrighted to the minors cannot be added back to an MLB 40-man roster for at least ten days, unless the player is selected to replace an injured player, or the player's minor league season is over, or the player is traded and the player's new club wishes to add the player to its MLB Reserve List (40-man roster).

TENDERING CONTRACTS

All players on a 40-man roster who are not already signed for the following season must be tendered contracts on December 12th. This includes players who can have their contracts unilaterally renewed by their club if they are not signed by the first week of March (so-called "auto-renewal" guys) and players who are eligible for salary arbitration. All players on a 40-man roster must be offered at least the MLB minimum salary ($400K in 2009) and at least 80% of their previous season's salary. "Auto-renewal" players also have a "minor league split" salary in their contract which they receive if they are optioned to the minors. (The 2009 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 a player is tendered a contract on 12/12, the player is considered "reserved" and remains on the club's MLB Reserve List (40-man roster). If a player is not tendered a contract on 12/12, the player is said to be "non-tendered" and the player immediately 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.

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 automaticaly eligible for salary arbitration. Also, players 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 16% in MLB Service Time of players in that group.

If a club and a player eligible for salary arbitration cannot agree on a contract, either the club or the player can request salary arbitration 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 must be at least 80% of the player's previous year's salary, and 70% of the player's salary from two seasons back (the one exception being if the player received a minimum 50% raise through the salary arbitration process the previous season, 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.

AUTO-RENEWAL (PRE-ARBITRATION)

For any unsigned player under club control who does not yet qualify for salary arbitration and where the player is tendered a contract on 12/12, the player ultimately has to either take what he is offered by the club or just not play. A player in this class really has no leverage. A club (usually the Assistant GM) will negotiate with an "auto-renewal" player up to a point, but the club wants to sign the player for as little as possible, and do it without causing any hard feelings between the player and the club. However, if the player and the club ultimately 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 2009) and not less than 60% of the player's previous year's salary or less than 70% of the player's salary from two seasons ago (if the player was previously signed to a Major Laegue contract at that time). Hence the term "Auto-Renewal."

MINOR LEAGUE OPTIONS

NOTE 1 - Normally, players on a 40-man Roster have three minor league option years (that is, a club can freely send a player back & forth to the minors during the course of three different seasons), and then after the 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).

However, players who have accrued less than five "full seasons" of 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 MLB and/or full-season minor league club(s) in a given season, or at least 60 days but less than 90 days (total) on the Active List of MLB and/or full season minor league club(s), followed by a Disabled List assignment where the combined time spent on the Active List and Disabled List equals at least 90 days.

As of Spring Training 2009, Jose Ascanio will have used three minor league options (he was optioned to the minors in 2006, 2007, and 2008), but because he has spent only four “full seasons” on an active minor league or MLB roster through the 2008 season, he will be eligible for a 4th minor league option in 2009.

Jeff Samardzija has used two minor league options (he was optioned to the minors in 2007 and 2008), but because he has spent only two “full seasons” on an active minor league or MLB roster through the 2008 season, he will be eligible for a 4th minor league option as long as it is used prior to completing five full seasons.

Kosuke Fukudome has four minor league options remaining because he has completed only one “full season.” However, his “no trade” rights also likely include the right to refuse an assignment to the minors.

OPTIONAL ASSIGNMENT WAIVERS

NOTE 2 - A player with at least five years of MLB service time can refuse both an Outright Assignment and an Optional Assignment to the minors, but some players with less than five years of MLB service time must first clear Optional Assignment 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.

Going into Spring Training 2009, Mike Fontenot and Ryan Theriot must clear Optional Assignment Waivers before they can be optioned to the minors. Also, Sean Marshall would have to clear Optional Assignment Waivers before he can be optioned to the minors beginning on Opening Day 2009, Carlos Marmol would have to clear Optional Assignment Waivers beginning on June 4th, and Jose Ascanio beginning on July 13th.

Optional Assignment Waivers can be requested at any time in a given waiver period, and a club does not necessarily have to option the player to the minors once the player clears waivers, because the waivers are good for the entire waiver period. Optional Waivers are revocable and can be withdrawn if a claim is made, so getting a player through these type of waivers is usually just a formality, although another GM could make a nuisance claim if he were so inclined. Also, if a player is claimed off Optional Waivers and then the waiver request is subsequently withdrawn, the player cannot be placed on Optional Assignment Waivers again for 30 days, and if a player is placed on Optional Waivers a second time and the player is claimed by another club, the waivers become irrevocable and the request cannot be withdrawn.

RESTRICTIONS ON OPTIONING PLAYERS TO MINORS

Players who have accrued at least five years of MLB Service Time can refuse an optional assignment to the minors, even if the player has options left. Any player who is optioned to the minors normally must remain on optional assignment for at least ten days. The only exceptions are if the player is recalled to replace an injured player, if the player's minor league season is over, or if the player is traded and is immediately recalled to the major leagues by his new club. If a player is traded while on Optional Assignment and the player's new club chooses to keep the player in the minors, the ten-day "Optional Assignment Clock" starts anew, even if the player had spent at least ten days on Optional Assignment to the minors prior to the trade. All players on Optional Assignment to the minors must be recalled no later than the day after the end of the MLB regular season, and a player on an MLB 40-man roster cannot be optioned to the minors prior to his club's official minor league mandatory Spring Training reporting date.

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 on the player. For all players on an MLB Reserve List (40-man Roster) other than players selected in the Major League Phase of the previous Rule 5 Draft ("Rule 5" players), Draft-Excluded players, and injured players, Outright Assignment Waivers can be requested anytime in a given waiver period, and they are irrevocable. The waiver price is $20,000 most players (it's a $25,000 waiver price for Rule 5 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 starting on the 31st day of the regular season through August 31st. So for most of the regular season, a player who has cleared Outright Assignment Waivers can be sent back to the minors repeatedly without having to be placed on Outright Waivers each time (just as if it were an Optional assignment).

A club claiming a player off Outright Waivers is responsible for paying only the MLB minimum salary (or prorated MLB salary if the player is claimed during the regular season), with the player's original club responsible for the balance (but that's only if the player makes more than the MLB minumum salary).

RIGHT TO REFUSE AN OUTRIGHT ASSIGNMENT

NOTE 3 - Per Article XX - Section D of the CBA, any player on a 40-man roster who has accrued at least three years of MLB service time or any player on a 40-man roster who has been outrighted to the minors previously in his career can refuse an Outright Assignment to the minors and become a free-agent instead. (A player with at least five years of MLB service time has the further right to decline an Outright Assignment and remain on his club's 40-man roster). Two players presently on the Cubs 40-man roster (Koyie Hill and Randy Wells) have accrued less than three years of MLB service time, but both have been outrighted previously in their career, so therefore both would have the right to decline an Outright Assignment to the minors and become a free-agent should the Cubs attempt to outright either player.

A player who has the right be a free-agent if outrighted to the minors can elect to be a free-agent immediately upon being outrighted (he has three days to decide during the regular season, and a week to make up his mind during the off-season and Spring Training), or the player can defer the option until the end of the MLB regular season. If the player opts to be a free-agent immediately, he forfeits his contract and his former club owes him nothing. If an outrighted player elects to accept the outright assignment and defer the right to be a free-agent until the conclusion of the season (and most players do this), and if the 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, and once granted free-agency (and this happens almost immediately), the player can sign a major league or minor league contract with any club (including the player's previous club).

RULE 5 & DRAFT-EXCLUDED PLAYERS

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.

For a minor league player who was 18 or younger on the June 5th immediately prior to signing his first contract, the player is eligible for selection starting with the 5th Rule 5 Draft after signing his first contract. For a minor league player who was 19 years or older on the June 5th immediately prior to signing his first contract, the player 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).

Players selected in the Major League Phase of the Rule 5 Draft are immediately added to the drafting club's MLB Reserve List (40-man roster), so a club must have as many spots open on its 40-man roster prior to the draft as the number of players it selects. While there are no real roster restrictions on players selected in the AAA and AA phases of the Rule 5 Draft (the player must be given a 15-day "full trial" to make the Opening Day roster of the AAA or AA club that selected the player, but then the player can ultimately be assigned to any minor league club in the "parent" MLB club's organization), a player selected in the Major League Phase of the Rule 5 Draft must remain on the claiming club's MLB 25-man Active List or MLB 15-day or 60-day DL (or on the 25-man roster or 15-day or 60-day DL of any club that might subsequently acquire the player) for the entire season, and must accrue at least 90 days on an MLB Active List (25-man roster) before the Rule 5 restrictions are removed and the player can be sent to the minors. (If the time accrued on the Active List is less than 90 days in the season following selection, the player remains a Rule 5 player into the next season).

If a club decides that it cannot keep a Rule 5 player on its MLB 25-man Active List for an entire season (or even for 90 days if the player spends some time on the DL), 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. If waivers are secured, the player then must be offered back to the club from which he was drafted, and the player's former club can claim the player for $25,000, and then the player is automatically outrighted to the AAA club from which he was drafted. If the player's original club declines to reclaim the player, the drafting club retains the player and can send the player to the minors.

NOTE 4 - David Patton is a 2009 Rule 5 Player (he was selected in the 2008 Rule 5 Draft), so he cannot be sent to the minors until the 2010 season unless he clears Outright Assignment Waivers. If Patton is placed on Outright Waivers and does not get claimed, he then must be offered back to the club from which he was drafted. (Patton was drafted by the Cincinnati Reds from the Colorado Rockies and then was traded to the Cubs, so the Cubs would have to offer Patton back to the Rockies--NOT to the Reds--if he is not claimed off waivers). If the Rockies choose to take Patton back (and most clubs do take their Rule 5 guys back if they are given the chance), he is automatically outrighted to the Rockies AAA Colorado Springs affiliate (the AAA club from which he was drafted) and the Cubs get $25,000 (half the Rule 5 Draft price) from the Rockies. But if the Rockies choose not to take him back, Patton remains property of the Cubs, and he can be sent to any Cubs minor league club (Cubs choice).

Rule 5 players (minor league players selected in the Major League Phase of the previous Rule 5 Draft) and Draft-Excluded players (minor league players added to an MLB 40-man roster after the previous August 15th) must be given a minimum 15-day "full trial" in Spring Training before they can be sent to the minors, meaning Rule 5 players and Draft-Excluded players cannot be placed on Outright Waivers until 25 days prior to the start of the season, and can't be outrighted to the minors any earlier than 20 days prior to the start of the season. (While David Patton is the only Rule 5 player presently on the Cubs 40-man roster, the Draft-Excluded players are Koyie Hill, Randy Wells, Mitch Atkins, Justin Berg, Marcos Mateo, and Jeff Stevens).

While neither a Draft-Excluded player nor a Rule 5 player can be outrighted to the minors until 20 days prior to the start of the season, a Draft-Excluded player can be outrighted to the minors during a "window" that closes shortly after the conclusion of the World Series (the waivers must be secured no later than than four business days after the conclusion of the World Series, and the waivers expire seven days after they are secured). If a club wishes to remove a Draft-Excluded player from its 40-man roster anytime after the off-season "window" closes, the player would have to be either traded or released, or non-tendered on 12/12. And while a Rule 5 player can be traded during the period of time that extends between the conclusion of the Rule 5 Deaft and 20 days prior to Opening Day, the player cannot be released or non-tendered during this period of time.

RESTRICTIONS ON OUTRIGHTING PLAYERS DURING OFF-SEASON

Some other restrictions on outrighting players to the minors during the off-season are that players cannot be outrighted to the minors on the two days prior to and up through the conclusion of the Rule 5 Draft (to remove a player from its 40-man roster on the two days prior to and up through the conclusion of the Rule 5 Draft, a club would have to either trade or release the player). Also, a player on a 40-man roster who is eligible to be a Rule 55 minor league free-agent (either "Six-Year Minor League FA" or player was previously released by another organization) and who has not signed a Major League contract for the following season can be outrighted no later than four business days after the conclusion of the World Series.

A club can unilaterally add any of its own minor league players who are eligible to be a Rule 55 FA to its 40-man roster anytime up through the fourth business day after the conclusion of the World Series. (This deadline also applies to adding a player back to a club's 40-man roster if the player was outrighted by the club earlier in the season). Rule 55 minor league free-agents can sign a major league or minor league contract with any MLB club starting with the conclusion of the MLB Free-Agency Filing Period, but the player's old club retains exclusive negotiating rights with its own Rule 55 minor league free-agents until the end of the MLB Free-Agency Filing Period.

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 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 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 minumum 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).

A player on a 40-man roster who is released outright (that is, after Outright Release Waivers have been secured) 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 the restrictions on off-season outright assignments or outright release.

A player released more than 15 days prior to Opening Day receives 30 days salary (17% of his salary) as termination pay, a player released 15 or fewer days prior to Opening Day receives 45 days salary (25% of his salary) as termination pay, and a player who is released during the regular season receives 100% of his salary as termination pay. A player signed to a minor league contract receives two weeks salary (10% of his salary) as termination pay no matter when he is relessed. Players released during the off-season who have not signed contracts for the following season receive no termination pay.

TRADE ASSIGNMENT WAIVERS

Trade Assignment Waivers are the 4th type of MLB waivers. Trade Assignment Waivers are generally required to trade players who are on an MLB Reserve List (40-man roster), beginning on August 1st up through the end of the MLB regular season (the one exception being if a player on Optional Assignment to the minors is traded and remains on Optional Assignment to the minors with his new club until the end of the regular season, waivers are not required). 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, the player can be traded to any MLB club at any time, just like prior to August 1st. 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 72 hours to make this decision, 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 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 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 no trade is made and the waiver request is 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 regular season, the waivers become irrevocable and cannot be withdrawn.

PROCEDURE FOR AWARDING OF WAIVER CLAIMS

The procedure for awarding waiver claims is different depending on the type of waivers and the time of the year. For 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 sesaon is awarded the claim. However, in the case of Trade Waivers and Optional Waivers, 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 waivers expire are used to determine the awarding of waiver claims, with the previous season's standings used to break any ties.

The five 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 right away because the player's roster slot is needed, and the club needs a couple of days to get the player through Outright Waivers or Release Waivers (it takes two business days to get a player through waivers). Also, sometimes a club believes the player it is dropping from the 40-man roster might have value in a trade, and so the club doesn't necessarily want to release the player or risk losing the player for $20,000 off Outright Assignment Waivers right away. In those cases, a club has the option to remove the player from the Reserve List (40-man roster) by placing the player on the Designated List. When a player is placed on the Designated List ("Designated for Assignment"), the "Designated Player" is immediately removed from the 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 player on the Designated List accrues MLB service time, and a player on Optional Assignment to the minors must be recalled prior to being placed on the Designated List.

DISABLED LISTS

A player placed on the Disabled List (MLB 15-day DL, or minor league seven-day DL) does not count against his club's Active List (regular season roster), but does count against the club's Reserve List (40-man roster). As long as the player did not appear in a game during the retroactive period, a Disabled List 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 DL during Spring Training. The club must provide documentation from a physician to the MLB office.

A player placed on the Emergency Disabled List (60-day DL) does not count against his club's 25-man Active List (regular season roster) or against his club's MLB Reserve List (40-man roster). A player can be placed on the 60-day DL during Spring Training (but no earlier than 30 days prior to Opening Day) or anytime during 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 a club's 60-day DL must be reinstated to the Active Roster no later than November 14th.

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 no later than 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.

With the player's permission, a player on a club's MLB 15-day or 60-day DL may be assigned to a minor league club for "rehab" purposes for up to 20 days (maximum 30 days for pitchers). A player on a "rehab" assignment to a minor league club continues to accrue MLB service time, and the player does not count against the minor league club's active roster. A player does not have to be reactivated once the rehab assignment has ended.

BEREAVEMENT LIST

A 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. (NOTE: A player who leaves his club to attend a childbirth 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 acrue 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 a "Leave of Absence." Players on the Restricted List do not get paid and do not count against the 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 LDS, LCS, or World Series. Besides a suspension related to 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 Beareavement List limit, or if a player fails to report to Spring Training or to a minor league assignment, or if a player (typically a minor leaguer) verbally advises his club that he doesn't wish to play baseball anymore, but where the player has not filed official retirement papers. It's a bit of a hassle to place a player on the Restricted List, because the move must be approved in advance by the MLB Commissioner.

MILITARY LIST

A player can be placed on the Military List after being called to active duty. It's not used much anymore because the U. S. military is all-volunteer, but it could be used sometime in the future if a foreign player is called to active duty with his home country's military (and this is a real possibility for players from South Korea, for instance). 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 must be reinstated as soon as the club is advised that the player has been released from active duty. Players continue to accrue service time while on the Military List.

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, reporting to work intoxicated, failing to report for a physical, 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 (MLBPA). Players on the Suspended List continue to accrue service time.

The Disqualified List is available when a player violates the terms of his contract (breach of contract). As with the Restricted List, 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 while on the list, and a player can only be placed on the Disqualified List if the move is approved in advance by the MLB Commissioner.

The MLB Ineligible List is the "capital punishment" of baseball, reserved for individuals who have been permanently banned from baseball, uually related to gambling, but the permanent ban also could involve something like embezzlement of funds or a drug-related offense. Whenever someone is placed on the Ineligible List, the move is made by the MLB Commissioner, not by an individual club. Persons on the Ineligible List usually stay there forever (just ask "Shoeless Joe" Jackson or Pete Rose!), although a person on this list can petition the Commissioner for reinstatement. 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) or 15-day or 60-day DL as of midnight August 31st are eligible to be included on a post-season (LDS, LCS, or World Series) 25-man active roster. A post-season eligible player who is on the 15-day or 60-day DL at the start of any post-season series 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 Reserve List (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 then ineligible to return to the Active List (25-man roster) for the balance of the post-season.

APPENDIX

:

ELIGIBLE TO BE ARTICLE XX MLB FREE-AGENT POST-2009:
Kevin Gregg
Reed Johnson
Rich Harden
Jason Marquis

ELIGIBLE FOR SALARY ARBITRATION POST-2009:
Ronny Cedeno
Neal Cotts
Mike Fontenot (will likely be a "Super Two")
Joey Gathright
Chad Gaudin
Angel Guzman
Koyie Hill
Rich Hill
Carlos Marmol
Sean Marshall
Ryan Theriot
Michael Wuertz

ELIGIBLE TO BE RULE 55 MINOR LEAGUE FREE-AGENT POST-2009:
Andres Blanco, SS
Edward Campusano, LHP
Angel Castro, RHP
Doug Deeds, 1B-OF
Danny Fatheree, C
Chad Fox, RHP
Dumas Garcia, RHP
Ryan Harvey, OF
Jim Henderson, RHP
Mark Johnson, C
Vince Perkins, RHP
Jose Pina, RHP
Tony Richie, C
Nate Spears, 2B
Jason Waddell, LHP
NOTE: If a player eligible to be a Rule 55 minor league FA is added to his club’s 40-man roster no later than the fourth business day following the conclusion of the World Series, the player is not eligible to be a FA.

ELIGIBLE FOR DECEMBER 2009 RULE 5 DRAFT
Francisco Acosta, RHP
James Adduci, OF
Alberto Alburquerque, RHP
Todd Blackford, RHP
Ryan Buchter, LHP
Alberto Cabrera, RHP
Matt Camp, IF-OF
Russ Canzler, 1B
Marco Carrillo, RHP
Julio Castillo, RHP
Welington Castillo, C
Steve Clevenger, C-1B
Tyler Colvin, OF
Michael Cooper, RHP
Rafael Dolis, RHP
Jesse Estrada, RHP
Arturo Florentino, RHP
John Gaub, LHP
Robert Hernandez, RHP
Edilmar Infante, RHP
Grant Johnson, RHP
Dylan Johnston, OF
Blake Lalli, C-1B
Junniol Lami, RHP
Josh Lansford, RHP (ex-3B)
Alessandro Maestri, RHP
Herasmo Magallanes, INF
J. R. Mathes, LHP
Matt Matulia, INF
Mario Mercedes, C
Jonathan Mota, INF
Billy Muldowney, RHP
Jake Muyco, RHP (ex-C)
Dionis Nunez, RHP
Jeremy Papelbon, LHP
Blake Parker, RHP (ex-C)
Mark Pawelek, LHP
Carlos Perez, C
Andres Quezada, RHP (ex-OF)
Mark Reed, C
Gregory Reinhard, RHP
Kyle Reynolds, 3B
Chris Robinson, C
Rocky Roquet, RHP
Jayson Ruhlman, LHP
Tomas Sanchez, RHP
Audy Santana, RHP
Miguel Sierra, RHP
Alvaro Sosa, C
Andy Soto, 2B
Harol Tolentino, RHP
NOTE: If a player on this list is added to an MLB 40-man roster by 11/20/09, the player is not eligible for selection in the Rule 5 Draft.