DIVISION I
WELCOME TO THE
WORLD OF COMPLIANCE
2012 NCAA Regional Rules Seminars
Agenda
2
Part I
 Welcome and Introductions.
 Role of the Compliance Administrator.
 Overview of Student-Athlete Reinstatement.
Agenda Cont’d.
3
Part II
 NCAA Working Group on Collegiate Model –
Rules Update.
 Overview of Enforcement.
 Compliance Challenges and Strategies for
Success.
Agenda Cont’d.
4
Part III
 Overview of Legislative Relief.
 NCAA Communications Task Force Update.
 Role of the NCAA Eligibility Center.
 Recommended Sessions.
Welcome to Our World…
5
 NCAA Trivia
 Role of the Compliance Administrator
 I Wish I Knew…
6
ROLE & RESPONSIBILITIES
NCAA Trivia Cont’d.
7
When did the federated
divisions start?
NCAA Trivia Cont’d.
8
What was the name of the
organization that sanctioned
women’s sports before the NCAA
began administering women’s
sports in 1980?
NCAA Trivia Cont’d.
9
What was Prop 48?
NCAA Trivia Cont’d.
10
Why did the NCAA begin certifying
initial-eligibility?
NCAA Core Values
11
Which of the following is not an NCAA core
value?
A. The collegiate model of athletics.
B. A commitment to health and safety.
C. Excellence in academics and athletics.
D. An inclusive culture.
E. Presidential leadership.
NCAA Core Values Cont’d.
12
 The collegiate model of athletics;
 Excellence in academics and athletics;
 An inclusive culture;
 Presidential leadership;
 Respect for autonomy and philosophical
differences;
 The highest levels of integrity and sportsmanship;
and
 The supporting role that athletics plays in the
higher education mission.
13
Role of the Compliance
Administrator
 Serving as a resource for key constituents;
 Developing and implementing compliance
systems;
 Conducting on-going rules education;
 Responding to interpretive requests;
 Identifying and reporting rules violations;
 Overseeing waiver submissions; and
 Drafting legislative concepts as necessary.
I Wish I Knew…
14
 Overview
15
STUDENT-ATHLETE REINSTATEMENT
Overview
16
 Student-Athlete Reinstatement (SAR)
Philosophy.
 Points of Contact.
 General Reinstatement concepts.
 Urgent Matters.
 How to Contact SAR Staff.
SAR Philosophy
17
 Students-first philosophy.
 Put the SA back in the position prior to the
violation.
 Evaluate the totality of the circumstances.
SAR Points of Contact
18
Secondary
Enforcement
Cases
Major
Enforcement
Cases
SAR
(Academic and
Membership Affairs)
Amateurism
Certification
Process
19
What does SAR consider when
reviewing reinstatement requests?
 SA’s responsibility for the violation.
 Institution’s responsibility for the violation.
 Impact of condition on SA.
 How could the violation have been avoided?
 Other mitigation presented by the institution.
20
Preparation Before Submission of
SAR Request in AMA Online
 Review committee guidelines.

Provided as a starting point for violations to assist
SAR staff and membership.

Committee guidelines available online.
 Review case precedent.

Search Legislative Services Database for the
Internet (LSDBi) and AMA Online.
SAR Case Review Priority
21
 Policies and procedures direct SAR staff to
prioritize cases based on combination of
factors.

Date of next contest.

Date reinstatement request submitted.

Date violation discovered.
SAR Case Outcomes
22
 Reinstated.
 Not reinstated.
 Reinstated with conditions.

Withholding.

Repayment.
 Opportunity for appeal.
Fulfilling Withholding Conditions
23
 SA must be otherwise eligible, including medically
cleared.
 Contests must be among those used for
consideration for team selection for NCAA
championship.
 Exhibitions and scrimmages DO NOT count
toward withholding.
 Must be fulfilled during one of four seasons of
eligibility.
When Potential Urgent Situation
Arises . . .
24
 Is it a violation?
 What level is the violation?
 Does the violation affect eligibility?
 What is the appropriate action?
We Have a Game . . . In Four Hours!
25
Remain calm...
 Determine whether violation that affects eligibility
has really occurred – seek interpretive help from
conference office or academic and membership
affairs staff.
 Determine relevant bylaw cites.
 Know clear timeline of events.
 Call reinstatement staff.
 Signed Buckley statement is imperative.
We Still Have a Game . . . In Four
Hours!
26
Continue to remain calm...
 Complete reinstatement request in AMA Online.
 Ensure next date of competition or time of contest
is clear via online application (include date of
travel to away contest).
 Provide contact numbers for relevant institutional
staff (compliance).

Include cell phone contact or additional staff
members.
 Make yourself available.
General Spectrum of Impact of Flexible
Approach on Outcome of Cases
27
Professional
salary,
professional
contract.
Contract
w/ agent.
Entrance
exam (i.e.,
ACT,
SAT)
fraud.
Providing
false
information.
Academic
fraud (e.g.,
academic
tutor writes
paper).
Benefits
from
booster.
Benefits
from an
agent.
Ethical conduct, amateurism, extra benefits.
(SA primarily responsible and perhaps acting
independent of institution.)
Five-year clock
extensions.
Prize
money.
Financial aid
violations.
Competing for
institution while
ineligible (transfers,
progress toward
degree, initial
eligibility, less than
full time).
General eligibility, financial aid.
(Institution primarily responsible for violation.)
Contacting SAR
28
 Telephone: 317/917-6222 (ask for SAR).
 SAR Web page:
http://www.ncaa.org/governance/compliance/
student-athlete reinstatement
BREAK
29
 Update
30
RULES WORKING GROUP
 Overview
 Identifying & Self-Reporting Violations
 Secondary & Major Violations
 Enforcement Staff
 NCAA Working Group on Collegiate
Model - Enforcement
31
ENFORCEMENT
Enforcement Overview
32
 Self-detection and reporting violations.
 Secondary versus major violations.
 Secondary violation process.
 Major violation process.
 Enforcement Working Group.
33
Importance of Self-Reporting
Violations
 It’s required (NCAA Constitution 2.8.1).
 It’s a primary element of institutional control.
 It’s better to have violations and self-report,
than to not report any violations.
 It’s necessary to resolve eligibility issues.
Identifying Violations
34
 Knowledge of rules and monitoring.



Need working knowledge of rules to recognize “red
flags.”
Knowledge of rules should not be limited to compliance.
Monitoring systems needed to identify violations.
 NCAA Manual and LSDBi databases.



Identify specific bylaws.
Determine eligibility consequences.
Determine necessary penalties and corrective actions.
 Academic and membership affairs contact.
Secondary and Major Violations
35
 A secondary violation is a violation that is isolated
or inadvertent in nature, provides or is intended to
provide only a minimal recruiting, competitive or
other advantage and does not include any
significant recruiting inducement or extra benefit.
(NCAA Bylaw 19.02.2.1)
 All violations other than secondary violations are
major violations, specifically including those that
provide an extensive recruiting or competitive
advantage. (Bylaw 19.02.2.2)
 Multiple secondary violations may collectively
constitute a major violation.
Self-Reporting Violations
36
 Secondary reporting forms available on NCAA
website.
 Reports should contain:




“Who, what, when, where and why.”
Specific bylaw cites.
Actions taken by the institution and conference.
Whether the institution is seeking reinstatement of
eligibility for any SA or PSA.
 AMA Online Case Management System for
Enforcement in the future.
Potential Major Violation Process
37
Investigation by enforcement staff and institution.
Allegation/response phase.
Summary disposition
OR
Hearing before NCAA Committee on Infractions.
Committee on Infractions decision.
NCAA Infractions Appeals Committee decision.
Enforcement Staff
38
 Enforcement staff is responsible for evaluating all
information reported to the NCAA to determine how
the violation should be handled. (Bylaw 32.2.2.1)
 Enforcement staff does not pursue an investigation
unless reasonably reliable information has been
provided indicating that a violation has occurred and
that the violation appears to involve intentional
wrongdoing, a significant competitive advantage or
that false or misleading information has been
reported.
Enforcement Working Group
39
 August 2011 Presidents’ Retreat.
 Charge: Create a multi-level violation structure and enhanced
penalty structure, and establish a sense of shared responsibility.
 January 2012: Preliminary report with recommendations.



Four level violation structure.
Process changes (e.g. increase in committee size).
Penalty structure.
 February/March: Membership feedback.
 April: Based on feedback, group provided amended concepts
to the NCAA Division I Board of Directors for review.
 May/June: Membership feedback.
 August: Group will provide final recommendations for Board
review with an August 2013 effective date.
 Compliance Challenges
 Strategies for Success
 Compliance Mindset
40
CHALLENGES AND STRATEGIES
Compliance Challenges
41
 It is a challenge to educate key constituents
about______________________________.
Compliance Challenges Cont’d.
42
 It is a challenge to monitor_______________.
Strategies for Success
43
 Establish clear expectations.
 Admit to being human.
 Build relationships.
 Communicate in real terms.
 Express interest.
 Recognize achievements.
Strategies for Success Cont’d.
44
 Think of a campus office or department that
might be able to help you with your
compliance responsibilities.
 What are you doing to build a relationship with
this office/department?
 How might you strengthen this relationship?
Strategies for Success Cont’d.
45
 Think of a coach
who is great to
work with.
 Identify three
reasons why this
coach makes your
job “easier.”
Strategies for Success Cont’d.
46
 Think of a coach who is
difficult to work with.
 Identify three reasons why
this coach makes your job
more challenging.
 How might you improve
your relationship with this
coach?
Compliance Mindset
47
 What can you learn from real life compliance
cases?
 How might you assess your institution’s
current policies and procedures?
48
Compliance Mindset – Case
Study No. 1
Division I football program:
 Noncoaching staff members regularly monitored
and assisted with voluntary practice activities.
 Football players were required to practice more
than 20 hours per week.
 Institution was cited for a failure to monitor.
49
Compliance Mindset – Case
Study No. 1 Cont’d.
 Does your institution have a policy to address these
issues?
 If so, where is this policy posted?
 How frequently is this policy reviewed?
 What steps should your institution take to educate
athletics department staff members and personnel
about playing and practice season legislation?
 What steps should your institution take to educate
SAs about such legislation?
50
Compliance Mindset – Case
Study No. 2
Division I men’s basketball program:
 SAs were given books at one location and paid
for them through the athletics account at another
location.
 SAs picked up additional books and school
supplies for friends in between these two stations.
51
Compliance Mindset – Case
Study No. 2 Cont’d.
 Does your institution have a policy to address
these issues?
 If so, where is it posted?
 How frequently is this policy reviewed?
 Who knows about this policy?
 Who should know about this policy?
BREAK
52
 Overview
 SLR Fundamentals
 Best Practices
 Sample Cases
53
LEGISLATIVE RELIEF
Overview
54
 NCAA Division I Legislative Council
Subcommittee for Legislative Relief (SLR)
Fundamentals.
 Sample SLR Waiver.
 Questions?
55
SLR Fundamentals
Authority
56
 SLR process adopted in 1993.
 Established to provide flexibility with regard
to NCAA legislation.
 No other specified staff or committee.
 May seek guidance from other committees.
 Cannot waive violations.
 1,201 waivers filed in 2010 and 1,241 in
2011 (Divisions I, II and III combined).
Role of NCAA Staff
57
 Help institution build strongest case.
 Ask/explain additional questions.
 Resource (e.g., assist with precedent search,
identifying/explaining applicable guidelines).
 Process case in timely manner.
58
If a Waiver is Necessary is SLR
the Appropriate Avenue?
 What specific legislation/interpretation is
prohibiting the circumstances desired within
the waiver?
 Within that legislation is there a designated
group with waiver authority?
What Should Be Submitted?
59
 Completed SLR waiver submission via AMA
Online.
 Complete set of facts/chronology.
 Legible transcripts.
 Supporting documentation submitted in
writing.
 Prohibitive bylaw(s) cited.
 SLR case precedent.
Analysis
60
 Extenuating or extraordinary circumstances.
 SA well-being.
 Intent of legislation.
 Recruiting/competitive advantage.
 SLR case precedent.
61
Urgent Waivers and Phone
Waivers
 For unforeseen events or circumstances.
 Institutions may call 317/917-6144 and
indicate they have a potential SLR phone
waiver request.
 Phone waivers do not eliminate the need to
submit a waiver.
Best Practices
62
 Make sure waiver is necessary and that you
are filing the appropriate waiver.
 Visit legislative relief website.
 Review SLR guidelines document.
 Review previously approved waiver list
(legislative relief website).
Best Practices Cont’d.
63
 Search SLR case precedent on AMA Online and
LSDBi (see SLR website to view tips for
searching precedent).
 Call 317/917-6144 to contact legislative relief staff
about a pending waiver.
 File waiver at the time it is discovered that a
waiver is necessary.
 Have institutional policies and procedures.
64
Sample Waivers
Waiver No. 1: Facts
65
 2010-11 academic year: Baseball SA initially enrolled




at Institution No. 1. SA practiced, competed and
received athletics aid.
June 7, 2011: Institution No. 1 provided applicant
institution permission to contact SA.
June 23-24, 2011: Applicant institution provided
official visit to SA.
August 23, 2011: SA enrolled full time at applicant
institution. SA is not receiving athletics aid.
September 21, 2011: Institution No. 1 announced it
will discontinue its baseball program at the conclusion
of the 2011-12 academic year.
Waiver No. 1: Fact Analysis
66
 What follow up questions might you have for the
institution?
 What type of documentation would you request?
 Does anything else cause concern after reading
the facts?
 What information do you want to know?
 What information do you need to know?
Waiver No. 1: Assertions
67
1. SA transferred after concerns the baseball program at
Institution No. 1 would be discontinued;
2. An April 30, 2011, article discusses an appointed
council at Institution No. 1 recommend whether any
teams should be eliminated;
3. July 6, 2011, a report was released from Institution
No. 1, which began speculation that the baseball
program would be discontinued; and
4. SA made a decision in his best interest to proceed
with transferring immediately, thinking the
announcement was imminent.
Waiver No. 1: Team Discussion
68
 What is the argument for approving the
waiver?
 What is the argument for denying the
waiver?
 Does everyone have all the information they
need to make a decision?
Waiver No. 1: Outcome
69
 STAFF DENIED the waiver request based on the
following:

Intent of the legislation, circumstances not warranting a
waiver of the legislation, circumstances within the control
of SA and case precedent. The staff noted:
1. SA chose to leave Institution No. 1 prior to the
announcement of his sport being discontinued;
2. SA requested permission to contact before the baseball
program was mentioned as a possible discontinued sport;
and
3. Preference to leave Institution No. 1 before the sport was
discontinued was within his control and a circumstance that
does not warrant relief.
Waiver No. 2: Facts
70
 2009-10 and 2010-11 academic years: Men’s
basketball SA practiced, competed and received
athletics aid at Institution No. 1.
 2011 fall term: SA enrolled at applicant institution.
SA was not recruited by applicant institution.
 Institution No. 1 is approximately 466 miles from
SA's mother's home while applicant institution is
46 miles from SA's mother's home.
Waiver No. 2: Fact Analysis
71
 What follow up questions might you have for the
institution?
 What type of documentation would you request?
 Does anything else cause concern after reading
the facts?
 What information do you want to know?
 What information do you need to know?
Waiver No. 2: Assertions
72
1. SA moved home to be closer to his mother
who is experiencing an undiagnosed medical
condition and does not have any other
members of her immediate family available
to assist her; and
2. SA wished to pursue an academic program
at applicant institution that is not available at
Institution No. 1.
Waiver No. 2: Team Discussion
73
 What is the argument for approving the
waiver?
 What is the argument for denying the
waiver?
 Does everyone have all the information they
need to make a decision?
Waiver No. 2: Outcome
74
 STAFF DENIED the waiver request based on the
following:

The intent of the legislation, circumstances not warranting
relief of the legislation, SLR guidelines regarding transfers
for academic reasons and case precedent. The staff noted:
1. Applicant institution is unable to provide contemporaneous
medical documentation of SA's mother's specific medical
condition;
2. Applicant institution has not demonstrated SA has any
responsibilities related to the care of his mother; and
3. SA's transfer to pursue a different undergraduate degree
program is not a circumstance that warrants relief of the
legislation.
75
Legislative Relief Questions?
76
NCAA ELIGIBILITY CENTER
77
NCAA Eligibility Center
Resources
 Monthly Newsletter.
 Chalk Talk.
 Member Institution Portal.
 High School Portal.
 Portal Announcements.
 Customer Service.
 Educational Tutorials.
 Twitter.
78
RECOMMENDED SESSIONS
Recommended Sessions
79
 Division I Amateurism: Part I.
 Division I Case Processing: Legislative
Relief Waivers and SAR.
 Division I Compliance Best Practices: Rules
Education.
 Division I Financial Aid: Part I.
 Division I Initial Eligibility: Academics.
Recommended Sessions Cont’d.
80
 Division I Playing and Practice Seasons.
 Division I Progress Toward Degree.
 Division I Recruiting: Part I.
 Division I Secondary Enforcement.
 NCAA Eligibility Center Technology
Initiatives.
 National Letter of Intent.
THE END