Compliance Meeting

November 2012

Transfer Waiver ProcessSpecific to waivers requested when a student-athlete wants to return to a school closer to home due to the illness or injury of an immediate family member (e.g., mother, father, sibling, child or legal guardian).

Will consider relief when:• The school presents medical documentation of a

debilitating injury or illness to a SA’s immediate family member that requires ongoing medical care. Previously, the standard had been “life-threatening”

• SA must demonstrate that he or she will be responsible for regular, ongoing caregiving responsibilities. Previously, SA required to be the primary day-to-day caregiver.

• The school is within a 100-mile radius of the immediate family member’s home. Previously, no distance limitation was in place.

• The school to which the SA is transferring must submit a statement from the AD and FAR, confirming that the SA will be relieved of responsibilities to the team in order to care for the family member, which also must be agreed to and supported by the SA’s coach.

Transfer Waiver Process (Cont.)• Additionally, the subcommittee decided if SA’s family

member is given a specific amount of time to live, that potentially outweighs all other guidelines.

• Occasions in which the welfare of the SA takes precedence or other unique circumstances are presented, and those cases should be appealed to the subcommittee.

• Staff will also take into account the timing of the injury or illness diagnosis in relation to the decision to transfer.

• Waivers only affect the ability to play immediately; not financial aid.

• Waiver must include written medical documentation, a letter from the student-athlete and confirmation that external third-parties were not involved with the decision to transfer.

Rationale: “The new guidelines are a more realistic standard for balancing the academic workload, athletics commitments and personal obligations of student-athletes under these circumstances.”

Enforcement ModelThree guiding principles:

1) Fairness – Must be fair to all parties involved in the process and consider the interests of all member institutions that uphold integrity through compliance. Severity of penalties must have a direct correlation with the significance of the violations.

2) Accountability – Must hold institutions, coaches, administrators and student-athletes who violate the rules accountable for their conduct, both at the individual and institutional levels. Emphasis on shared responsibility of compliance, within the institution.

3) Integrity – Must ensure effectiveness and efficiency in the process and its results. Goals: transparency, confidentiality, easy to understand, legitimacy and timely.

Violation Structure• Level I – Severe Breach of Conduct

• Lack of institutional control• Academic fraud• Failure to cooperate in NCAA investigation• Individual unethical conduct• Head Coach’s failure to promote an atmosphere of

compliance• Extra benefits provided by coach, institutional staff

member or booster with the intention to secure the commitment of a PSA

• Third-party recruiting violations, when institution knew or should have known about the involvement

• Reckless indifference to NCAA bylaws• Collective Level II and/or III violations

Violation Structure• Level II – Significant Breach of Conduct

• Failure to monitor (could escalate to Level I)• Multiple recruiting, financial aid or eligibility

violations that do not amount to a lack of institutional control

• Systemic violations that do not amount to a lack of institutional control

• Failure of head coach to promote atmosphere of compliance resulting from an underlying Level II violation by an individual within the sport program

• Collective of Level III violations

Violation Structure• Level III – Breach of Conduct

• Isolated incidents that are limited in nature (not severe)

• Provide minimal recruiting, competitive or other advantage

• Provide minimal impermissible benefit

• Inadvertent violations of NCAA bylaws• Extra-benefit, financial aid, academic eligibility and

recruiting violations, provided they do not create more than minimal advantages.

• Level IV – Incidental Infractions

• Camp brochures• Recruiting Correspondence• IRL infractions – official visit

Violation Guidelines: Competition, Financial and Scholarship

Violation Guidelines: Show-Cause, Head Coach Suspensions, Recruiting

Violation Guidelines: Recruiting Restrictions

Violation Guidelines: Recruiting Restrictions and Probation

Compliance Cup Update – November 14, 2012

Top 10: Points1) Women’s Soccer

24992) Women’s Tennis

24673) Women’s Basketball

23794) Track & Field

23705) Volleyball 23446) Softball

23397) Baseball

23338) Lacrosse

23009) Men’s Tennis

212010)Men’s Basketball

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