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Division I Welcome to the World of Compliance

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  1. Division I Welcome to the World of Compliance 2012 NCAA Regional Rules Seminars

  2. Agenda Part I • Welcome and Introductions. • Role of the Compliance Administrator. • Overview of Student-Athlete Reinstatement.

  3. Agenda Cont’d. Part II • NCAA Working Group on Collegiate Model – Rules Update. • Overview of Enforcement. • Compliance Challenges and Strategies for Success.

  4. Agenda Cont’d. Part III • Overview of Legislative Relief. • NCAA Communications Task Force Update. • Role of the NCAA Eligibility Center. • Recommended Sessions.

  5. Welcome to Our World…

  6. NCAA Trivia • Role of the Compliance Administrator • I Wish I Knew… ROLE & RESPONSIBILITIES

  7. NCAA Trivia Cont’d. When did the federated divisions start?

  8. NCAA Trivia Cont’d. What was the name of the organization that sanctioned women’s sports before the NCAA began administering women’s sports in 1980?

  9. NCAA Trivia Cont’d. What was Prop 48?

  10. NCAA Trivia Cont’d. Why did the NCAA begin certifying initial-eligibility?

  11. NCAA Core Values Which of the following is not an NCAA core value? • The collegiate model of athletics. • A commitment to health and safety. • Excellence in academics and athletics. • An inclusive culture. • Presidential leadership.

  12. NCAA Core Values Cont’d. • 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.

  14. I Wish I Knew…

  15. Overview Student-Athlete Reinstatement

  16. Overview • Student-Athlete Reinstatement (SAR) Philosophy. • Points of Contact. • General Reinstatement concepts. • Urgent Matters. • How to Contact SAR Staff.

  17. SAR Philosophy • Students-first philosophy. • Put the SA back in the position prior to the violation. • Evaluate the totality of the circumstances.

  18. SAR Points of Contact 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.

  21. SAR Case Review Priority • 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.

  22. SAR Case Outcomes • Reinstated. • Not reinstated. • Reinstated with conditions. • Withholding. • Repayment. • Opportunity for appeal.

  23. Fulfilling Withholding Conditions • 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.

  24. When Potential Urgent Situation Arises . . . • Is it a violation? • What level is the violation? • Does the violation affect eligibility? • What is the appropriate action?

  25. We Have a Game . . . In Four Hours! 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.

  26. We Still Have a Game . . . In Four Hours! 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.

  27. General Spectrum of Impact of Flexible Approach on Outcome of Cases Professional salary, professional contract. Benefits from booster. Competing for institution while ineligible (transfers, progress toward degree, initial eligibility, less than full time). Providing false information. Five-year clock extensions. Entrance exam (i.e., ACT, SAT) fraud. Academic fraud (e.g., academic tutor writes paper). Benefits from an agent. Prize money. Financial aid violations. Contract w/ agent. Ethical conduct, amateurism, extra benefits. (SA primarily responsible and perhaps acting independent of institution.) General eligibility, financial aid. (Institution primarily responsible for violation.)

  28. Contacting SAR • Telephone: 317/917-6222 (ask for SAR). • SAR Web page: http://www.ncaa.org/governance/compliance/student-athlete reinstatement

  29. BREAK

  30. Update Rules Working Group

  31. Overview • Identifying & Self-Reporting Violations • Secondary & Major Violations • Enforcement Staff • NCAA Working Group on Collegiate Model - Enforcement ENFORCEMENT

  32. Enforcement Overview • 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.

  34. Identifying Violations • 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.

  35. Secondary and Major Violations • 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.

  36. Self-Reporting Violations • 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.

  37. Potential Major Violation Process

  38. Enforcement Staff • 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.

  39. Enforcement Working Group • 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.

  40. Compliance Challenges • Strategies for Success • Compliance Mindset CHALLENGES AND STRATEGIES

  41. Compliance Challenges • It is a challenge to educate key constituents about______________________________.

  42. Compliance Challenges Cont’d. • It is a challenge to monitor_______________.

  43. Strategies for Success • Establish clear expectations. • Admit to being human. • Build relationships. • Communicate in real terms. • Express interest. • Recognize achievements.

  44. Strategies for Success Cont’d. • 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?

  45. Strategies for Success Cont’d. • Think of a coach who is great to work with. • Identify three reasons why this coach makes your job “easier.”

  46. Strategies for Success Cont’d. • 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?

  47. Compliance Mindset • 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.