1. Self-Reporting Secondary Violations

2. This session will review: 1. The definition of a secondary violation; 2. Level I and Level II secondary violations and the NEW online reporting process; 3. Obligation to self-report and letters of inquiry;

3. This session will review: 4. Update on enforcement working group’s review of the violation structure. 5. Enhanced penalties for certain secondary infractions; and 6. Head coach control/responsibility and enhanced penalties for such violations.

4. These procedures must: Allow for a timely review; and Identify everyone involved in the process as well as their responsibilities. Policies and procedures for investigating and reviewing possible violations - These procedures should: Be in writing; Be approved by the institution’s CEO; and Identify who on campus is to conduct the review.

5. 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 impermissible benefit (including, but not limited to, an extra benefit, recruiting inducement, preferential treatment or financial aid)... Bylaw 19.02.2.1

6. 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 impermissible benefit... Bylaw 19.02.2.1

7. 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 impermissible benefit... Bylaw 19.02.2.1

8. 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 impermissible benefit (including, but not limited to, an extra benefit, recruiting inducement, preferential treatment or financial aid)... Bylaw 19.02.2.1

9. 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

10. Multiple secondary violations by a member institution may collectively be considered a major violation. Bylaw 19.02.2.1

11. First step is to determine whether the violation is secondary or major; only after determining that it’s secondary do you consider whether it should be processed as Level I or Level II. Bottom Line: Once it is determined that a violation did occur, you need to self- report.

12. Enforcement staff makes an initial determination as to whether a violation is secondary or major and processes the case accordingly. Ultimate determination as to secondary or major status is made by the Committee on Infractions.

13. Self-Reporting Process Secondary violations are divided into two levels: Level I Level II Level I violations are reported to the NCAA national office as they occur and are discovered, and are formally processed by the enforcement staff.

14. Self-Reporting Process Level II violations  Processed by institutions and/or conferences as they occur and are discovered;  Reported to the enforcement staff on a quarterly basis;  Enforcement staff reviews, but does not formally process;  Institutions are not required to seek reinstatement of eligibility for any involved enrolled or prospective student- athletes through NCAA reinstatement process.  Haven’t yet determined how this will work through the on-line reporting system.

15. Level I Secondary Violations List of Level I violations by bylaw cite on Web site. In addition to those bylaws specified, Level I violations also include: All intentional violations; Any violations not isolated or limited to a single occurrence; and Any similar violations that previously have occurred in the same sport during that same year.

16. Example List of Level I Violations Bylaw 12 12.01.1 – Eligibility for Intercollegiate Athletics 12.1 – General Regulations (Amateurism) 12.2 – Involvement with Professional Teams 12.3 – Use of Agents 12.4.1 – Criteria Governing Compensation to Student-Athletes 12.4.2* - Specific Athletically Related Employment Activities - *Limited to violations that involve impermissible earnings of more than $100 Bylaw 13 13.01.4 – Recruiting by Representatives of Athletics Interests 13.02.3 – Contact (Definition and Application)

17. List of Level I Violations The asterisk (*) means violations of that particular bylaw are Level I only in certain circumstances. Examples: *15.3.5 – Renewals and Nonrenewals - *Limited to cases involving nonrenewals and reductions only *Bylaw 16 – *Limited to those Bylaw 16 violations that involve an impermissible benefit with a value of more than $100 13.2 – Offers and Inducements – Level I regardless of value (notice no asterisk)

18. List of Level I Violations *13.1.3 – Telephone Calls to Prospects - *Does NOT include Bylaw 13.1.3.1 violations that involve the first occasion a staff member exceeds the permissible number of calls during a given week when it otherwise is permissible to call on a weekly basis (e.g., two calls during one week of the prospect’s senior year), which are Level II. All other Bylaw 13.1.3 violations are Level I and affect the eligibility of the prospective student-athlete. Call prior to the permissible date; Make more than one impermissible call (e.g., three calls during one week, two calls during one week on more than one occasion, two calls during a month when only one is permitted).

19. Level II Secondary Violations All inadvertent, isolated violations not identified as Level I violations are considered to be Level II violations. All Level II violations are either de minimis (do not affect eligibility) or restitution (repayment of value of impermissible benefit if $100 or less).

20. Level II Prescribed Penalties Some Level II violations require institutions to impose specific penalties. If a Level II violation has a specific penalty, the institution MUST impose it. If an institution believes that the circumstances are such that the prescribed action is not appropriate, it may submit the violation to the staff for processing with an explanation as to why relief from the prescribed action should be provided.

21. Level II Violations For Level II violations for which no prescribed actions are required: Institutions and/or conferences should take whatever corrective and/or punitive actions they believe are appropriate in response to the violations.

22. Level II Reporting Process Problems  Including Level I violations (many of which affect eligibility) on the quarterly reports of Level II violations.  Just because a violation does not affect eligibility, or reinstatement of eligibility is not being sought, does not automatically make it Level II.  Just because a violation is inadvertent does not automatically make it Level II.  Just because a violation seems like “no big deal” does not mean it is Level II.  Not imposing the prescribed penalty for those Level II violations that require a specific penalty;

23. Level II Truths Level I means Level I – Always! Even if a Level I violation is inadvertent, it’s still Level I! If a violation affects eligibility, it affects eligibility! And just because a violation does not affect eligibility, that doesn’t make it Level II! Prescribed penalties must be imposed for a violation to be processed as Level II! Level I violations are not “worse” than Level II violations!

24. Level II Truths  It is not better to have a Level II violation than it is to have a Level I violation. Honest.  It is not worse to have a Level I violation than it is to have a Level II violation. Honest.  The Level I / Level II distinction is only relevant to how the violation is processed. Honest.

25. AMA On-Line Reporting System AMA has developed an on-line reporting system for submitting waivers and reinstatement requests. Eventually, institutions will be able to submit secondary violation reports on-line as well (possibly by summer 2012).NCAA InstitutionConference (Still working on)

26. Level I Violations reports should include the following: 1. The date and location of the violation. 2. A description of the violation, including the rule citation. 3. The identity of the coaches, prospective and enrolled student-athletes and other individuals involved in the violation. 4. The reasons the violation occurred. 5. The means by which the institution became aware of the violation.

27. 7. An acknowledgement that a violation occurred and the institution’s position regarding whether the violation is secondary. 8. A statement indicating whether any eligibility issues need to be resolved and, if so, whether the institution is requesting restoration of eligibility for any prospective or enrolled student-athletes. 6. A list of corrective and disciplinary actions taken by the institution and conference (if any). Level I Violations reports should include the following:

28. 9. Any other information that should be considered in reviewing the case. 10. Date your self reports. Level I Violations reports should include the following:

29. AMA Online Reporting System We need essentially the same information when the secondary infractions group transitions to the AMA online reporting system. It will just be in a different format than your self reports submitted directly to the enforcement department. The system will “walk you through” and prompt you when to enter certain information.

30. Why is self-reporting important? It is an efficient and effective way to handle secondary violations. It is REQUIRED! NCAA constitution 2.8.1 mandates that institutions report all instances of noncompliance with NCAA rules and regulations.

31. Letters of Inquiry At times, the enforcement staff receives information that violations may have occurred at an institution. If information is specific and appears credible, we will send a letter of inquiry to the institution. The institution is required to follow up on such information and respond back to the enforcement staff. Institutions should follow up on such information regardless of whether they received it from enforcement. Anonymous source does not mean it is not a credible source.

32. Enforcement Working Group Propose a multi-level violation reporting and penalty structure. Ensure that the enforcement efforts are focused on those infractions that clearly violate NCAA enduring values. Consider the level and severity of penalties associated with the most egregious violations. Reestablish a sense of shared responsibility with clarified roles among those who participate in, lead and administer intercollegiate athletics.

33. Penalties for Secondary Violations The Committee on Infractions has given the enforcement staff the authority to process cases and impose appropriate penalties using case precedent. Any penalty imposed by the staff is the “minimum threshold” penalty for that violation. Institutions and conferences have the authority to impose more significant penalties than the NCAA minimum.

34. Guidelines for Penalties 1.The penalty should affect the area in which it occurred (e.g., a recruiting violation should result in a recruiting penalty); 2.The penalty should be designed to affect the involved sport program, not just the involved individual. 3. A penalty should be imposed over and above just eliminating the advantage (e.g., 2-for-1).

35. 2-for-1 reduction: Facts: A member of the coaching staff telephones a prospective student-athlete on two occasions during the same one-week period (Bylaw 13.1.3.1). Penalty: The institution should be required to preclude the coaching staff from telephoning the prospective student-athlete for a period of two weeks (twice the number of weeks as the number of impermissible calls that occurred – a 2-for-1 reduction).

36. Resources for Determining Penalties Secondary Infractions Database AMA Online Reporting System Both can be accessed through the NCAA Web site.

37. Resources for Determining Penalties Bylaw 19.5.1 Chris Strobel Renee Gomila

38. Corrective Actions Rules education Improved monitoring procedures

39. Enhanced Penalties for Certain Secondary Violations Penalties currently are enhanced for certain secondary violations in football and men’s basketball. Men’s basketball: As approved by the Division I Board of Directors, certain secondary violations involving Division I men’s basketball programs already result in enhanced penalties. Individuals associated with prospects (IAWPs) cannot be employed by institutions in non-coaching staff positions or in institutional camps/clinics.

40. Enhanced Penalties for Certain Secondary Violations Football: The AFCA identified violations that should result in enhanced penalties: Communication violations (Impermissible phone calls/texts); Impermissible contacts/evaluations; Impermissible recruiters; Provisions of benefits to individuals associated with prospects; Exceeding coaching staff limitations; Use of impermissible recruiting aids; and Game day simulations.

41. Enhanced Penalties for Certain Secondary Violations For these types of violations, enhanced penalties include among other penalties: Significant recruiting restrictions; and Suspension of head coach and/or involved coach from all coaching-related activities for one or more contests.

42. Head Coach Control/Responsibility Bylaw 11.1.2.1 places the responsibility on the head coach to PROMOTE an atmosphere of NCAA rules compliance within his/her program and to MONITOR the activities of his/her staff to ensure compliance with the rules. Under Bylaw 11.1.2.1, a head coach is PRESUMED to have knowledge of what is occurring in his/her program and therefore, can be responsible for the actions of his/her staff and individuals associated with the program. Coach must rebut the presumption.

43. Head Coach Control/Responsibility Head coach and staff have an obligation to report suspected rules violations and actual rules violations. Head coach has an obligation to ensure that his/her program’s monitoring systems are operating properly. Head coach and staff have an obligation to consult with compliance staff to determine if their actions are consistent with NCAA rules. Head coach and staff have an obligation to identify situations where circumstances could result in NCAA violations, alert compliance and monitor the situation closely.

44. NCAA Web site Check it out! http://www.ncaa.org Legislation and Governance Rules Compliance Secondary Infractions

45. Thank You!!