Orientation Session for Advanced Compliance Administrators

1. Orientation Session for Advanced Compliance Administrators 2012 NCAA Regional Rules Seminar

2. 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.

4. Student-Athlete Reinstatement

5. Case Study No. 1 • Lionel, 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).

6. 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, 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.

8. 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

9. 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

10. Case Study No. 2 Which 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.

11. 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.

12. 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.

13. 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.

14. 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

15. Need Reinstatement?

16. 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?)

17. 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.

18. Best Practices Monitoring, conducting investigations and developing policies and procedures.

19. 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.

20. 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?

21. 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.

22. Investigating Possible Violations A secondary violation is inadvertent in nature with minimal advantage gained.

23. Investigating Possible Violations

24. Investigating Possible Violations

25. 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.

26. 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.

27. 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.

28. 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?

29. NAAC Hot Topics

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

31. Questions