Athletics Compliance Education

1. Athletics Compliance Education July 2010

2. AGENDA • Introduction to the NCAA • Governance Structure • Enforcement and AMA • Newly Adopted Legislation • New Recruiting Forms and Procedures

3. The NCAA is: • A voluntary Association of about 1,300 colleges, universities and athletics conferences devoted to the sound administration of intercollegiate athletics. • Divided into three main divisions (Divisions I, II and III). • Each NCAA division has a separate governing structure.

4. The NCAA is: • The “membership” or “members” – the colleges, universities and athletics conferences that make up the NCAA. • Appoint volunteer representatives that serve on committees. • Introduce and vote on legislation. • Establish programs to govern, promote and further the purposes and goals of intercollegiate athletics.

5. The NCAA is: • The national office – 400 staff members. • Draft, interpret, teach and implement the rules and programs established by the membership. • Administer 88 championships in 23 sports. • More than 45,000 student-athletes annually compete for national titles. • Headquarters – Indianapolis, Indiana.

6. The NCAA is: • The Association. • The entire organization comprised of members and staff. • Many believe the national office staff makes the rules. • Actually it is the membership that proposes and adopts the rules.

7. Institutional Control

8. Institutional Control • It is the responsibility of each member institution, through the president or chancellor, to “control its intercollegiate athletics program in compliance with the rules and regulations of the Association.” – NCAA Constitution 2.1.1. • NCAA legislation. • Constitution 2.1. • Principle of institutional control and responsibility. • Constitution 2.8.1. • Principle of rules compliance – responsibility of the institution (monitoring). • Constitution 6.01.1. • Institutional control.

9. Institutional Control Analysis • Determination of whether an institution is exercising proper institutional control involves an extremely fact-sensitive analysis. • No mathematical formula or checklist. • Situations evaluated on a case-by-case basis.

10. Institutional Control Analysis • Four pillars of institutional control. • Compliance systems. • Do we have the right checks in place? Do they work? • Monitoring/enforcement. • Phone logs, contacts/evaluation sheets, etc. • Our track record of self-reporting • SECONDARY VIOLATIONS ARE NORMAL!! • Rules education. • That’s why you’re here now, and why I take roll. • Commitment to compliance. • “Repeat offender status”

11. Compliance Systems • Implement systems in areas of key NCAA legislation. • Financial aid. • Eligibility certification. • Recruiting. • Amateurism. • Sports wagering. • Investigating and self-reporting. • Student-athlete employment. • Awards and benefits. • Playing seasons. • Booster activities. • Camps and clinics. This list is not intended to be exhaustive.

12. Institutional Control Analysis Continuum of relevant facts: No system Detailed system No monitoring Strict monitoring No education Extensive education No commitment High commitment

13. Mercer Compliance Committee • Jim Cole- AD • Sybil Blalock- SWA • Jeff Hugdahl- FAR • Karen Donaldson- Asst. AD- Compliance • Myra Cameron, Athletics Coordinator • Nancy Robinson, Registrar • Maria Hammet, Financial Aid

14. Enforcement and AMA

15. THE ENFORCEMENT PROCESS • Bottom Line: Every violation needs to be reported. The enforcement staff decides whether a violation is major or secondary, although final authority lies with the Committee on Infractions. • Groups Involved: • Major Enforcement • Secondary Enforcement • Agents, Gambling and Amateurism (AGA) • Basketball Focus Group (Division I Men’s Basketball) • Committee on Infractions • Student-Athlete Reinstatement (Academic and Membership Affairs- AMA)

16. Secondary 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. • Multiple secondary violations may collectively be viewed as a major violation, particularly where there is intent, a pattern, or a lack of institutional control. • Institutions and conferences impose “appropriate” penalties, although the enforcement staff has the last word. • Secondary violations often have prescribed penalties. • Penalties may be appealed to the Committee on Infractions, although success is exceedingly rare.

17. Levels of Secondary Violations • Refers ONLY to the method of processing- not the severity. • Level I Secondary Violations: Reported to the national office as they are discovered; formally processed by the enforcement staff; May involve student-athlete eligibility; Includes all intentional violations and any violation not isolated in nature. • Level II Secondary Violations: Processed by institutions (and our conference) as they are discovered; Reported to the national office quarterly by the conference; Reviewed by the Enforcement staff; Never involves student-athlete eligibility. • If an institution believes a prescribed penalty should not be imposed on a Level II violation, the institution may submit the case to staff with an argument why the penalty should not apply.

18. Major Enforcement

19. DI Men’s Basketball Focus Group The purpose of BFG is to strengthen the enforcement staff’s ability to monitor and enforce rules compliance in men’s basketball through: • Expanded outreach efforts; • Increased knowledge of the specific issues impacting the men’s basketball recruiting environment; and • An enhanced enforcement presence. • BFG is involved in most infractions cases (secondary and major) involving men’s basketball. • Result? Much needed changes to MBB recruiting rules.

20. Enforcement and Eligibility • When a rules violation affects a student-athlete’s eligibility, he or she must go through a separate “student-athlete reinstatement” (SAR) process. • The violation is reported. • The enforcement staff investigates the violation, if necessary. • Cases involve prospective student-athlete’s eligibility (or academic fraud) are handled by the Eligibility Center. • The enforcement staff handles institutional penalties. SAR handles student-athlete penalties. • Penalties range from sitting out games/practices and restitution of improper benefits to permanent loss of eligibility.

21. Student-Athlete Reinstatement • “SAR” also processes: • Hardship waivers • When student-athletes play only a small percentage of their season and experience a very serious injury • Season of Activity Waiver • Student-athlete has a compelling reason he/she should be granted a year back on his or her five-year clock. • Athletics Activity Waiver • When elite athletes miss long periods of time due to training for events like the Olympics, World Cup, etc.

22. Governance Structure

23. Executive Committee Eight FBS members from Division I Board of Directors Two IFCS members from Division I Board of Directors Two Division I members from Division I Board of Directors Two members from Division II Presidents Council Two members from Division III Presidents Council Ex officio non-voting members: NCAA President, Chair of Divisions I Leadership Council, and the Chairs of Division II and Division III Management Council. Association-Wide Committees Division II Presidents Council (Presidents and Chancellors) Division I Board of Directors (Presidents and Chancellors) Division III Presidents Council (Presidents and Chancellors) Division I Leadership Council (Athletics Administrators and Faculty Athletics Representatives) Division II Management Council (Athletics Administrators and Faculty Athletics Representatives) Division III Management Council (Presidents/Chancellors, Athletics Administrators, Faculty Athletics Representatives, Student-Athletes) Division I Legislative Council (Athletics Administrators and Faculty Athletics Representatives) Division I Committees and Cabinets Division II Committees Division III Committees Sport and Rules Committees

24. DIVISION I GOVERNANCE STRUCTURE

26. NEW LEGISLATION

27. Amateurism

28. NCAA Proposal No. 2009-22 • ADOPTED- FINAL INVOLVEMENT WITH PROFESSIONAL TEAMS — PRIOR TO FULL-TIME ENROLLMENT — DELAYED ENROLLMENT — SPORTS OTHER THAN MEN'S ICE HOCKEY AND SKIING Bylaws 12.1.2, 14.02.9, 14.2.3.2

29. NCAA Proposal No. 2009-22 • Prior to initial full-time collegiate enrollment, permits contract to compete on a professional team and competition on a professional team, provided: • Contract does not promise and individual does not receive more than actual and necessary expenses to participate on the team. • Effective for SAs enrolling 2010-2011

30. NCAA Proposal No. 2009-22 • Establishes delayed-enrollment provisions. • Same as current rule for tennis and women's volleyball. • Reduces grace period for tennis to six months. • WVB: Effective for SAs enrolling 2011-2012 • MTE, WTE: Effective for SAs enrolling 2012-2013 In sports other than tennis and women’s volleyball, a SA who does not initially enroll full-time in a collegiate institution within one year (six months for tennis), or the next opportunity to enroll following his or her high school graduation, whichever occurs earlier, AND participates in organized events in that sport, shall be charged with a season of eligibility for each year of participation and shall fulfill an academic year in residence.

31. NCAA Proposal No. 2009-22 • Effect: • Cost savingsin amateurism certification process. • Burden is on MERCER, not the EC, to prove amateur status. • Focus is on whether the SA is a professional, not whether their teammates were ever professionals. • Possible Concerns: • May widen the gap between the “haves” and “have nots” in college athletics • PSAs who compete with true professionals are likely to only go to top programs. • To balance this in tennis and women’s volleyball, delayed enrollment piece was added. • Many PSAs who triggered ACP problems played with professionals on low levels • The American system does NOT match up with the rest of the world.

32. NCAA Proposal No. 2009-23 EXCEPTIONS TO AMATEURISM RULE — BENEFITS, GIFTS AND SERVICES — INSURANCE AGAINST DISABLING-INJURY OR ILLNESS • President Underwood may designate institutional staff member(s) to assist elite student-athletes with arrangements to secure loans against future earnings potential for the purpose of purchasing disability insurance AND to assist with the arrangements for securing such insurance. • Under old legislation, Mercer could not assist elite student-athletes obtain disability insurance. Under this rule, we can. • We have a Professional Sports Counseling Panel. Come talk to me if you have a SA looking at a professional career in sports. • Effective date: Now.

33. Proposal No. M-2010-1 • Prior to initial full-time collegiate enrollment, an individual may tryout with a professional athletics team and participate in practice sessions (without competition )conducted by a professional team. • May not receive more than actual and necessary expenses. • Applicable to student-athletes who initially enroll full time in a collegiate institution on or after August 1, 2010.

34. Personnel Issues

35. Proposal No. 2009-12-A • Permits student-athletes to serve as undergraduate student-assistant coaches at the institution where student-athlete most recently participated in intercollegiate athletics, provided: • The SA is currently enrolled at institution as full-time undergraduate student who has exhausted eligibility in the sport or has become injured to the point that he or she is unable to practice or compete ever again. • Fill out approval form with compliance. • Limit of undergraduate student-assistant coaches in each sport shall be the same as limit of countable coaches permitted in the sport.

36. Proposal No. 2009-14-A DEFINITIONS AND APPLICATIONS — MANAGER — FORFEITURE OF ELIGIBILITY IN BASEBALL • An individual who serves as a manager at Mercer shall forfeit any remaining eligibility in baseball at Mercer. • Effective date: August 1, 2010.

37. Proposal No. 2009-14-B DEFINITIONS AND APPLICATIONS — MANAGER • A manager is an individual who performs traditional managerial duties and: • Is a full-time student, except in final semester or quarter of a degree program; • May participate in limited on-court or on-field activities during practice or competition involving student-athletes on a regular basis; • Shall not provide instruction to student-athletes; and • Shall not participate in countable athletically related activities (e.g., practice player), except limited activities as noted above. • Effective date: August 1, 2010.

38. Proposal No. 2009-15 LIMITATIONS ON THE NUMBER AND DUTIES OF COACHES — NONCOACHING ACTIVITIES — NONCOACHING ATHLETICS STAFF MEMBER WITH SPORT-SPECIFIC RESPONSIBILITIES Permits noncoaching staff with sport-specific responsibilities to participate in organized activities involving only coaching staff or administrative duties. • Attend meetings involving coaching activities. • Analyze video. • Track statistics during practice or competition.

39. Recruiting

40. Proposal No. 2009-18 TELEPHONE CALLS IN CONJUNCTION WITH OFFICIAL VISIT • Permits athletics staff (including noncoaching staff members and noncountable coaches) to initiate and receive unlimited telephone calls from prospective student-athletes during official visit transportation and official visit. • Effective date: August 1, 2010.

41. Proposal No. 2009-26 DEAD PERIOD — EXCEPTION — UNOFFICIAL VISIT AFTER NATIONAL LETTER OF INTENT SIGNING OR OTHER WRITTEN COMMITMENT PSAs who have signed an NLI are permitted to make unofficial visit during dead period. • Effective date: August 1, 2010.

42. Proposal No. 2009-29 PERMISSION TO CONTACT AND TRANSFER RELEASE — RESPONSE TO REQUEST AND HEARING OPPORTUNITY • Request for permission to contact or release for one-time transfer exception must be granted or denied within seven business days of receipt of written request. • If request is denied, institution shall conduct hearing and provide written results within 15 business days of receipt of student- athlete's written request and opportunity to appear in- person or via telephone for hearing. • If institution fails to respond to student-athlete's written request or fails to conduct hearing or provide written results within specified time period, permission to contact or the transfer release shall be granted by default and institution shall provide written permission or release to student-athlete. • Effective date: August 1, 2010.

43. Proposal No. 2009-30-A • Under old legislation, noncoaching staff members with basketball specific duties could attend events with PSAs participating if the competition was in Macon. A concern arose in the basketball community that institutions in major metropolitan areas had a recruiting advantage because they were able to attend major events with high-profile PSAs wearing institutional apparel. Further, many coaches pointed out that the old legislation was very difficult to enforce.

44. Proposal No. 2009-30-A • CURRENT LEGISLATION: In basketball, noncoaching staff members with basketball-specific responsibilities shall not attend an on- or off-campus athletics event involving prospective student-athletes unless • the staff member is an immediate family member or legal guardian of one of the participants in the activity; • attendance is NOT for evaluation purposes (the staff member shall not provide information related to the performance of a prospective student-athlete back to the institution's coaching staff); and • the staff member does NOT have direct contact with a prospective student-athlete or a prospective student-athlete's parent (or legal guardian) or coach (other than the immediate family member) participating in the activity.

45. Proposal No. 2009-30-B Noncoaching staff member with sport-specific responsibilities (except staff member who only performs clerical duties) shall not attend on- or off-campus athletics event in staff member's sport that involves PSAs, unless: • the staff member is an immediate family member or legal guardian of one of the participants in the activity; • attendance is NOT for evaluation purposes (the staff member shall not provide information related to the performance of a prospective student-athlete back to the institution's coaching staff); and • the staff member does NOT have direct contact with a prospective student-athlete or a prospective student-athlete's parent (or legal guardian) or coach (other than the immediate family member) participating in the activity.

46. Wait…. Didn’t I just read that? • 2009-30-A applied to basketball several months earlier than 2009-30-A applied towards ALL sports. • Remember… noncoaching staff members with sport-specific duties (Director of Operations, etc.) cannot attend athletic events involving PSAs unless their immediate family member is participating. • Best practice: Clear it with compliance FIRST.

47. Proposal No. 2009-30-A&B ASK THE AUDIENCE Do cousins count? Godparents? Aunts? Uncles? Family friends? What if my daughter is a cheerleader, or my child is in the band?

48. Proposal No. 2009-20 LIMITATIONS ON THE NUMBER OF OFF­CAMPUS RECRUITERS — ON­CAMPUS EVENTS — WOMEN'S BASKETBALL • Coaching staff member who attends athletics event on institution's campus involving women's basketball prospective student-athletes is considered an off-campus recruiter. • Counts toward the number of coaches who may recruit off campus "at any one time." • Effective date: August 1, 2010.

49. Proposal No. 2009-37 SUMMER EVALUATION PERIOD — NONINSTITUTIONAL NONORGANIZED EVENTS — WOMEN'S BASKETBALL Evaluations at noninstitutional nonorganized events (e.g., pick-up games, open gyms) during the summer evaluation period are prohibited.

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