1. DIVISION I WELCOME TO THE WORLD OF COMPLIANCE 2012 NCAA Regional Rules Seminars

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

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

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

5. Welcome to Our World… 5

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

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

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? 8

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

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

11. NCAA Core Values 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. 11

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. 12

13. Role of the Compliance Administrator 13  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… 14

15. STUDENT-ATHLETE REINSTATEMENT 15  Overview

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

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

18. SAR Points of Contact SAR (Academic and Membership Affairs) Secondary Enforcement Cases Amateurism Certification Process Major Enforcement Cases 18

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. 19

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. 20

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. 21

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

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. Fulfilling Withholding Conditions 23

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? 24

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. 25

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. 26

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

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

29. 29 BREAK

30. RULES WORKING GROUP 30  Update

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

32. Enforcement Overview  Self-detection and reporting violations.  Secondary versus major violations.  Secondary violation process.  Major violation process.  Enforcement Working Group. 32

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. 33

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. 34

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. 35

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. 36

37. Potential Major Violation Process 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. 37

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 Staff 38

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. 39

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

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

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

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

44. 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?

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.” 45

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? 46

47. 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. 48

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? 49

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. 50

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? 51

52. 52 BREAK

53. LEGISLATIVE RELIEF 53  Overview  SLR Fundamentals  Best Practices  Sample Cases

54. Overview 54  NCAA Division I Legislative Council Subcommittee for Legislative Relief (SLR) Fundamentals.  Sample SLR Waiver.  Questions?

55. SLR Fundamentals 55

56. 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).

57. 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? 58  What specific legislation/interpretation is prohibiting the circumstances desired within the waiver?  Within that legislation is there a designated group with waiver authority?

59. 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.

60. Analysis 60  Extenuating or extraordinary circumstances.  SA well-being.  Intent of legislation.  Recruiting/competitive advantage.  SLR case precedent.

61. Urgent Waivers and Phone Waivers 61  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.

62. 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).

63. 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 64

65. 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.

66. 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?

67. 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.

68. 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?

69. 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.

70. 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.

71. 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?

72. 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.

73. 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?

74. 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? 75

76. NCAA ELIGIBILITY CENTER 76

77. NCAA Eligibility Center Resources 77  Monthly Newsletter.  Chalk Talk.  Member Institution Portal.  High School Portal.  Portal Announcements.  Customer Service.  Educational Tutorials.  Twitter.

78. RECOMMENDED SESSIONS 78

79. 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.

80. 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.

81. THE END