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

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 A) 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 B) 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 Step 1 Immediate notificatio n of possible violation. Step 2 Gather all facts. Determine if violation occurred. Step 3 Was the violation major or secondary? A secondary violation is inadvertent in nature with minimal advantage gained.

23. Investigating Possible Violations Step 4 If perceived as major, notify institutional personnel to facts and upcoming investigation. Step 5 If secondary, impose prescribed penalties and report to conference office. Step 6 Write a detailed report. Include the who, what, when, where and why.

24. Investigating Possible Violations Step 7 Major: Conduct investigation of all involved parties. Investigation committee should all be involved in the interviews. Step 8 At the conclusion of the investigation a report must be written. Provide report to NCAA and conference office. Step 9 Evaluate institutional policies and determine if enhancements are necessary.

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