2012 NCAA Regional Rules Seminar

1
Orientation Session for Advanced Compliance
Administrators

• 2012 NCAA Regional Rules Seminar

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Session Overview

• Review of student-athlete reinstatement case.
• Best practices for
• Monitoring
• Conducting investigations and
• Developing compliance policies and procedures.
• National Association of Athletic Compliance
  Coordinators (NAAC) hot topics.
• Questions.

3
Sessions Outcomes

• Construct a complete and through student-athlete
  reinstatement request.
• Understand student-athlete reinstatement outcomes
  and expectations.
• Evaluate current practices, policies and
  procedures and identify areas for growth.
• Validation of why an efficient compliance
  office is critical to the success of an athletics
  department.

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Student-Athlete Reinstatement
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Case Study No. 1

• Lionel, a third year mens soccer SA, initially
  enrolled in 15 hours in the fall semester.
• Lionel drops a four-hour course without following
  athletics department policy and is now enrolled
  in 11 hours. Lionel believes he is enrolled in
  12 hours.
• Lionel practices, travels and competes in two
  contests while enrolled less than full time (NCAA
  Bylaws 14.1.8.1 and 16.8.1.2).

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Case Study No. 1, continued

• Institution discovers violation after second
  contest and immediately enrolls Lionel in a
  course to be full time.
• Institution allows Lionel to compete in three
  contests after regaining full-time status, prior
  to seeking reinstatement.
• What happens next?

7
Case Study No. 1, continued

• Eligibility Consequences.
• Both Bylaws 14.1.8.1 (full-time enrollment) and
  16.8.1.2 (travel expenses) have de minimis
  language however, the de minimis part of Bylaw
  14.1.8.1 is limited to violations involving
  practice.
• Since the SA competed while enrolled less than
  full time, SAs eligibility is affected and
  reinstatement is necessary.
• Institution also has Bylaw 14.11.1 violation
  based on institution permitting Lionel to compete
  in three contests after discovering violation,
  but prior to seeking reinstatement.

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Student-Athlete Reinstatement Withholding
Guidelines

• Bylaw 14.1.8.1 -- Competition while enrolled in
  less than full-time program of studies
• One-for-one withholding condition.
• Possible relief from withholding (need all 3)
• SA continued attending class
• SA did not realize he or she had dropped
• below 12 credits AND
• SA had made a reasonable effort to remain
  enrolled full time.
• Approved December 2007

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Student-Athlete Reinstatement Withholding
Guidelines

• Bylaw 14.11.1 Obligation of member institution
  to withhold SA from competition
• Committee directed student-athlete reinstatement
  staff to consider following factors to determine
  if withholding is appropriate
• Was there a competitive advantage gained?
• Did SA have any responsibility or knowledge that
  he/she should be withheld?
• What was the institutional error that lead to the
  violation?
• Approved December 2006

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Case Study No. 2

• Which SAs need reinstatement for violations in
  fall 2012 semester?
• A) Judy, a fourth-year womens basketball SA who
  participated in a local fantasy football league
  by paying 200 entry fee
• B) Jenny, a second-year womens golf SA who
  wagers 45 during practice rounds or
• C) Jon, a first-year mens swimming SA who enters
  1 in the office pool for NCAA Division I Womens
  Basketball Tournament.

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Case Study No. 2, continued

• Judy is ineligible and requires reinstatement for
  sports wagering violation (Bylaw 10.3).
• What reinstatement condition applies?
• Greater than 100 to 300 30 percent
  withholding condition.

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Case Study No. 2, continued

• Jenny is ineligible and requires reinstatement
  for sports wagering violation (Bylaw 10.3).
• What reinstatement condition applies?
• Greater than 25 to 100 10 percent withholding
  condition.

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Case Study No. 2, continued

• C) Jon is ineligible and requires reinstatement
  for sports wagering violation (Bylaw 10.3).
• What reinstatement condition applies?
• Less than 25 no withholding condition.

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Sports Wagering Withholding Guidelines

• 25 or less no withholding condition.
• Greater than 25 to 100 10 percent
  withholding.
• Greater than 100 to 300 30 percent
  withholding.
• Greater than 300 to 500 50 percent
  withholding
• Greater than 500 sit-a-season/charge-a-season
  withholding condition.
• In addition, SA must repay all gambling winnings.
• Approved December 2011, effective for
  violations on/after August 1, 2012

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Need Reinstatement?
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Key Points

• Preparation of case.
• Submit case through AMA Online.
• AMA Online Resources Page.
• Statements from involved parties.
• Division II Committee on Student-Athlete
  Reinstatement Guidelines.
• Case precedent.
• Communication with NCAA staff.
• Questions?
• Timing (urgent case?)

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Key Points, continued

• Provide most complete submission possible (facts,
  statements, bylaw citations).
• Search LSDBi and AMA Online for precedent cases
  that will help with institutions self-imposed
  actions and reinstatement conditions for SA.

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Best Practices

• Monitoring, conducting investigations and
  developing policies and procedures.

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The Fundamentals

• Police officer vs. security guard.
• Establish relationships.
• Campus community.
• Coaches.
• Conference colleagues.
• NCAA staff.
• Dedicating time now will provide a great benefit
  in the future.

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The Fundamentals, continued

• Get to know yourself.
• Are you a strict constructionist?
• What do you need to be successful?
• Get to know the people you work with.
• What drives them?
• What is their personality type?
• How do they learn?
• How do they handle stress?

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Monitoring

• Best practices for monitoring
• Be present and visible.
• Ask questions.
• Follow-up on requests and questions.
• Written requests vs. verbal requests.
• Keep a written log of all questions.
• The compliance diary.

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Investigating Possible Violations
A secondary violation is inadvertent in nature
with minimal advantage gained.
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Investigating Possible Violations
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Investigating Possible Violations
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Compliance Policy and Procedure Manual

• Why is a policy and procedure manual important
  for the compliance office?
• Manages expectations.
• Provides consistency.
• Assists with day-to-day operation of the
  compliance office.

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Compliance Policy and Procedure Manual, continued

• What should be included in the manual?
• Job description.
• Frequently used forms.
• Communication flow.
• Roster of compliance committee members.

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Compliance Policy and Procedure Manual, continued

• What should be included in the manual?
• Compliance education calendar.
• Procedures for conduction investigation.
• History of violations.
• Frequently referenced documents.
• Student-athlete handbook.

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Audience Participation

• What is included in your manual?
• How did you develop the manual?
• What is your process for making updates?
• Who do you or did you involve in the process?
• Any pearls of wisdom you would like to share?

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NAAC Hot Topics
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Resources

• NCAA staff.
• Conference office.
• NCAA website (Division II resources page).
• NAAC.
• Yourself.
• Each other.

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Questions