2012 NCAA Regional Rules Seminar

Orientation Session for Advanced Compliance

Administrators

Session Overview

Review of student-athlete reinstatement case.

Best practices for:Monitoring;Conducting investigations; andDeveloping compliance policies and

procedures.National Association of Athletic Compliance

Coordinators (NAAC) hot topics.Questions.

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.

Student-Athlete Reinstatement

Case Study No. 1Lionel, a third year men’s 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).

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?

Case Study No. 1, continuedEligibility 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, SA’s 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.

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

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

Case Study No. 2Which SAs need reinstatement for violations in fall 2012 semester?

A) Judy, a fourth-year women’s basketball SA who participated in a local fantasy football league by paying $200 entry fee;

B) Jenny, a second-year women’s golf SA who wagers $45 during practice rounds; or

C) Jon, a first-year men’s swimming SA who enters $1 in the office pool for NCAA Division I Women’s Basketball Tournament.

Case Study No. 2, continuedA) 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.

Case Study No. 2, continuedB) 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.

Case Study No. 2, continuedC) Jon is ineligible and requires

reinstatement for sports wagering violation (Bylaw 10.3).

What reinstatement condition applies?

Less than $25= no withholding condition.

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

Need Reinstatement?

Key PointsPreparation 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?)

Key Points, continued

Provide most complete submission possible (facts, statements, bylaw citations).

Search LSDBi and AMA Online for precedent cases that will help with institution’s self-imposed actions and reinstatement conditions for SA.

Best Practices

Monitoring, conducting investigations and developing policies and procedures.

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.

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?

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.

Investigating Possible Violations

A secondary violation is inadvertent in nature with

minimal advantage gained.

Investigating Possible Violations

Investigating Possible Violations

Compliance Policy and Procedure ManualWhy 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.

Compliance Policy and Procedure Manual, continuedWhat should be included in the manual?

Job description.Frequently used forms.Communication flow.Roster of compliance committee

members.

Compliance Policy and Procedure Manual, continuedWhat should be included in the manual?

Compliance education calendar.Procedures for conduction investigation.

History of violations.Frequently referenced documents.

Student-athlete handbook.

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?

NAAC Hot Topics

Resources

NCAA staff.Conference office.NCAA website (Division II resources

page).NAAC.Yourself.Each other.

Questions