Division I Waivers Processed by SAR and Best Practices for Preparing an SAR Request or Appeal'

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Division I Waivers Processed by SAR and Best
Practices for Preparing an SAR Request or Appeal.
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Overview

• General Process.
• Review of all waivers processed by SAR.
• Hardship waiver appeals/ Independent
  institutions.
• Extension requests.
• Season-of-competition waivers.
• Athletics activity waivers.
• Documentation standards.

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General Process

• NCAA SAR staff initial review authority.
• One exception hardship waiver.
• Conference office initial review authority.
• NCAA Division I Committee on Student-Athlete
  Reinstatement appellate body.
• Made up of five individuals from the membership.

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Types of Waivers
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Waivers

• Hardship waiver - appeal.
• Hardship waiver - independent institution.
• Extension of five-year period of eligibility.
• Season-of-competition waiver competition while
  eligible.
• Season-of-competition waiver competition while
  ineligible.
• Athletics activity waiver.
• Submit waiver application to Jennifer Henderson,
• director of academic and membership affairs.
• Fax number 317/917-6736.

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Hardship Waiver Appeals NCAA Bylaw 14.2.4
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Hardship Waiver Appeals

• Criteria
• Incapacitating injury or illness occurs in one of
  four seasons of competition
• Injury or illness occurs in first half of the
  season and
• Injury or illness occurs when the SA has not
  participated in more than three contests or dates
  of competition or 30 percent.

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Items to Consider

• Only a conference may appeal a denied hardship
  decision to staff
• Include conference denial and reason(s) waiver
  was denied
• Appeals that exceed maximum number of contests
  are generally denied by staff
• Burden on institution to demonstrate that injury
  suffered was incapacitating
• SA must compete in order to receive hardship
  waiver and
• Identify unique circumstances that warrant
  setting aside legislation.

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• Extension Requests
• Bylaw 30.6.1

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Extension Requests

• Circumstances WITHIN the control of
• SA or institution participation opportunity.
• Institution does not sponsor sport or SA chooses
  not to participate.
• Redshirt year.
• Transfer year in residence.
• Circumstances BEYOND the control of
• SA or institution denied participation
  opportunity.
• Incapacitating physical or mental circumstances.
• Incapacitating injury or illness of immediate
  family member.

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Items to Consider

• High number of combined contests missed
  throughout career DENIED EXTENSION REQUEST
• Four participation opportunities DENIED
  EXTENSION REQUEST.
• Burden is with institution to demonstrate that a
  particular academic year is deemed a denied
  participation opportunity.
• Granted hardship waiver when competed one
  denied participation opportunity.

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Season-of-Competition Waivers Bylaws 14.2.5and
14.2.6
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Season-of-Competition Waivers

• What was the eligibility status of the SA when
  competition took place?
• Ineligible ? filing a waiver under Bylaw 14.2.5.
• Eligible ? filing a waiver under Bylaw 14.2.6.

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Season-of-Competition Waiver Competition While
Ineligible

• Two categories (violations)
• Erroneous formal declaration of eligibility by
  institution's appropriate certifying authority.
• SA's good faith, erroneous reliance on a coaching
  staff member's decision to put SA into
  competition.

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Season-of-Competition Waiver Competition While
Ineligible, cont.

• Once category selected, the SAs competition must
  meet the following
• NCAA institution
• Within 60 days of the date SA first reported for
  athletics participation and
• Did not participate in more than two events or 10
  percent (whichever is greater) of institution's
  schedule.

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Season-of-Competition Waiver Competition While
Eligible

• Four categories
• Life threatening injury or illness suffered by a
  member of SA's immediate family
• Extreme financial difficulties
• Dropped sport and
• Coach's documented misunderstanding of NCAA
  legislation.

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Season-of-Competition Waiver Competition While
Eligible, cont.

• Requirements established for first three
  categories
• Competition occurred prior to the completion of
  the first half of the championship segment and
• SA did not compete in more than three events or
  30 percent (whichever is greater) of the
  institution's scheduled or completed events.

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Season-of-Competition Waiver Competition While
Eligible, cont.

• Life-threatening injury or illness suffered by a
  family member
• Must be a member of SA's immediate family and
• Contemporaneous medical documentation/objective
  documentation.
• Extreme financial difficulties
• Specific event and
• Objective documentation demonstrating financial
  difficulties.

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Season-of-Competition Waiver Competition While
Eligible, cont.

• Institution drops the sport in which SA has
  competed
• Timing of institution's announcement.
• Reasonable person standard applied to SA's
  decision to cease competing.

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Season-of-Competition Waiver Competition While
Eligible, cont.

• Coach's documented misunderstanding of NCAA
  legislation
• Alumni contest, exhibition contest, scrimmage or
  nonchampionship season contest.
• NCAA institution.
• First 20 percent of the championship segment and
• Two events or 10 percent (whichever is greater)
  of the institution's season.
• Two-for-one withholding condition.

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Athletics Activity WaiversBylaw 14.2.1.4
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Athletics Activity Waiver

• Provides an extension to a SA's five-year clock
  for participation in elite training and
  competition.
• Extension is limited to one time.
• Period of extension may not exceed more than one
  year per SA per sport.

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Athletics Activity Waiver, cont.

• Documentation/other information to be submitted
  with waiver
• The specific legislative participation criteria
  met.
• Type of Activity
• Timeframe date(s) and name(s) of event(s).
• Inability of SA to participate in intercollegiate
  athletics.
• Documentation from appropriate National Governing
  Body.
• Otherwise eligible.

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Documentation StandardsExtensions and Waivers
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Injury or Illness Medical Documentation Standards

• Institution must provide objective documentation
  substantiating incapacitation to demonstrate an
  injury or illness prevented competition and
  resulted in incapacitation for the remainder of
  the season.

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Injury or Illness Medical Documentation
Standards, cont.

• Three key components
• Contemporaneous diagnosis of injury or illness.
• Acknowledgment that injury or illness is
  incapacitating.
• Length of incapacitation.

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Injury or Illness Medical Documentation
Standards, cont.

• Contemporaneous diagnosis of injury or illness.
• Documentation from the time of the onset of the
  injury or illness.
• Operation or surgical report
• Emergency room documents and
• Evaluation/assessment notes from doctor's
  visit(s).
• Acknowledgement Injury or Illness is
  Incapacitating.
• Documentation from medical professional who
  diagnosed the original injury or illness.
• Length of Incapacitation.
• Returning to competition is not possible.
• Training room notes and
• Documentation demonstrating continued doctors
  visits.

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Extreme Financial Difficulties Documentation
Standards

• Specific event
• Negative financial impact and
• SA is unable to participate (i.e., timing).
• Examples of documentation
• Tax forms from immediately before the specific
  event and immediately following the specific
  event
• Tax or property liens
• Bankruptcy fillings and
• Documentation from an employer regarding a
  layoff/downsizing.

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• Case Studies

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Hardship Waiver Appeal Case Study

• Denied by conference office due to mens swimming
  SA having competed in the second half of the
  season.
• Suffered bone contusion in left knee August 26,
  2004, while involved in activities outside of the
  pool.
• Removed from further activity including swimming
  by initial treating physician.
• Coach allowed SA to compete unattached in one
  date of competition during the second half of the
  season.
• Doctor provided statement SA was allowed to
  compete against doctors orders, without medical
  clearance and without the knowledge of the sports
  medicine staff.

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Extension RequestCase Study

• 2002-03 Inst. No. 1 Football SA did not
  compete. Diagnosed with clinical depression in
  2001. SA chose to leave home state and attend
  institution fall 2002. SA was admitted to
  hospital, withdrew from school and moved back
  home. SA continued to receive treatment and take
  medication.
• 2003-04 Inst. No. 2 SA was serving a transfer
  year in residence at institution in locale of
  SAs home and SA was able to continue treatment.
  
• 2004-05 (same) SA competed.
• 2005-06 (same) SA competed.
• 2006-07 (same) SA competed.

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Season-of-Competition Waiver Competition While
Eligible Case Study

• Mens ice hockey SA participated in three of 34
  contests.
• One contest occurred in the second half of the
  season.
• Coach chose to play SA in the last regular season
  contest of institutions schedule.
• Institution/coach not claiming coachs documented
  misunderstanding of legislation.

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Best Practices for Preparing an SAR Request or
Appeal
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Overview

• Points of contact.
• Policies and procedures.
• Best practices for submitting a SAR request.
• Best practices for submitting an appeal.
• Case studies.

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SAR Points of Contact
Secondary Enforcement Cases
Major Enforcement Cases
Student-Athlete Reinstatement (Academic and
Membership Affairs)
Agent, Gambling and Amateurism Activities
Amateurism Certification Process (ACP)
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What does SAR consider when processing
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.

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Spectrum of Impact of Flexible Approach on
Outcome of Cases.(The Analysis for EVERY case
has changed the spectrum considers outcome.)
Professional Salary, Professional Contract,
Professional Competition
Benefits from booster
Competing for institution while ineligible
(transfers, progress toward degree, initial
eligibility)
Providing false information
Five-Year Clock Extensions
Entrance Exam (i.e., ACT, SAT) Fraud
Academic Fraud (e.g., having academic tutor write
paper)
Benefits from sports agent
Prize Money
Financial Aid
Contract w/ agent
Ethical Conduct, Amateurism, Extra
Benefits (Student-athlete acting independent of
institution)
General Eligibility, Financial Aid (Institution
primarily responsible for violation)
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Policies and Procedures, cont.

• Contests used to fulfill reinstatement condition
• Must be otherwise eligible
• Must be medically cleared and
• Must count toward team consideration for
  championship.

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Best Practices

• Review Committee Guidelines
• Guidelines are starting point for analysis.
• Division-specific guidelines available on Web
  site.
• www.ncaa.orggtlegislation governancegteligibility
  recruitinggtSARgtguidelines for case analysis.
• Guideline topics.

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Best Practices, cont.

• How can using case precedent help institutions?
• Provide arguments to assist institutions.
• Provide guidance regarding reinstatement
  conditions.
• Search LSDBi (within rationale search totality
  of circumstances).
• Help an institution formulate corrective
  actions.

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Best Practices, cont.

• Student-athlete reinstatement/waiver
  application or
• memorandum from institution with all
  relevant information.
• Include student-athlete signed Buckley
  Statement.
• Provide clear timeline of events.
• Gather statements from involved parties.
• Review SAR case precedent and guidelines.
• Present mitigation and recommended outcome.

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Best Practices, cont.

• Institutional arguments
• What does institution believe to be appropriate
  reinstatement condition and why?
• Why was no advantage gained?
• How could action have been permissible?
• What is unique about the case?
• Is the student-athlete culpability lessened? If
  yes, why?

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Appeals Process

• Staff decisions are appealed to the committee.
• Staff and committee do not communicate about
  on-going cases.
• Waiver appeals are reviewed via written record.
• Violation appeals are heard via conference call
  or written record.
• Preconference call.

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Best Practices for Submitting an Appeal

• Understand why SAR staff made its decision.
• Is institution in disagreement with each part of
  decision?
• Research case precedent and committee directives.

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Best Practices for Submitting an Appeal, cont.

• Focus on distinguishing this case from case
  precedent and directives.
• Committee has read all the information
  concentrate on arguments.
• SA should make his or her own personal statement.
• Offer alternative outcomes.

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Case Studies Involving Best Practices for
SAR
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Impermissible Books Case Study

• Four SAs received books for classes in which they
  were not enrolled.
• Institutional errors and flawed policies enabled
  student-athletes to receive the impermissible
  books.

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Impermissible Books Case Study, cont.

• SA No. 1 purchased books for a class within his
  major in which he planned to enroll. Due to a
  scheduling conflict, SA did not enroll in the
  class and failed to return the books until the
  end of the semester. Value of the benefit was
  225.
• SA No. 2 used his book scholarship to purchase
  books valued at 125 for a teammate who was not
  on a book scholarship.
• SA No. 3 purchased books for his girlfriend. SA
  used scholarship during both fall and spring
  semesters. Value of the benefit was 560.
• SA No. 4 purchased books over three semesters
  valued at 870 he resold the books for cash.

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Impermissible Books Case Study, cont.

• Guidelines dollar amounts
• Greater than 100-300 10 percent.
• Greater than 300-500 20 percent.
• Greater than 500 30 percent.
• What is culpability of student-athlete?
• Reason to decrease or reason to increase.

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Impermissible Benefits Case Study

• Womens tennis coach and wife allowed
  international SA to stay at their home and
  provided impermissible transportation, meals and
  use of telephone to SA.
• SAs mother contacted tennis coach regarding SAs
  living arrangements following 2006-07 academic
  year.
• SA left dormitory and was staying with teammate
  and needed a place to stay the week before going
  home.
• Neither coach nor SA asked anyone in athletics if
  arrangement was permissible.
• Total value of impermissible benefit was 299.56.
  

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Competing Prior to Certification (Bylaw
12.1.1.1.3)Case Study

• Institution permitted a recruited baseball SA to
  participate in 23 practices and compete in four
  contests prior to receiving final amateurism
  certification from the NCAA Eligibility Center.
• Error by compliance office in not monitoring SAs
  amateur status.
• SA was certified as an academic qualifier.
• SA was subsequently certified as an amateur.

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Progress Toward Degree (PTD)Case Study

• Womens transfer tennis SA competed in 15 dates
  of competition while not meeting PTD.
• SA was a pre-pharmacy major and was admitted into
  institutions pharmacy program August 2007.
• SA lost credits when transferring into
  institutions more restrictive pharmacy program.
• SA was eligible under another major at the
  institution.
• SAs academic history did not impact her
  ineligibility.

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Employment Case Study

• During three year period, five soccer
  student-athletes received wages for work not
  performed within institutions work study
  program.
• SAs were made aware of work study program as part
  of financial aid package during recruitment by
  assistant soccer coach, who oversaw program.
• SAs indicated they were told by assistant coach
  to list 20 hours on time cards but not told to
  identify specific hours worked.
• Inconvenient to track actual times based on
  duties however, significant variance in actual
  hours worked based on weather.

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Employment Case Study, cont.

• SAs listed times included when traveling for
  competition or attending class on time cards.
• SAs believed assistant coach was balancing out
  hours over the year given entering into computer
  system.
• Four SAs were paid for work not performed from
  approximately 1,000 to 5,000 given only worked
  approximately 25 percent of hours recorded,
  although during some weeks SAs worked more than
  20 hours.

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Competition While Less Than Full TimeCase Study

• Mens basketball SA participated in one date of
  competition while enrolled less than full time.
• SA had been enrolled in an incorrect course and
  immediately went to registrars office to add a
  different course.
• SA attempted to fix error himself by going online
  and dropping incorrect course and adding a new
  course.
• Unbeknownst to SA, he was placed on a wait list
  for the new course.
• Schedule showed SA was registered in correct
  course and full time even though SA was not
  officially registered in the new course.

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Questions