Title: Division I Waivers Processed by SAR and Best Practices for Preparing an SAR Request or Appeal'
1Division I Waivers Processed by SAR and Best
Practices for Preparing an SAR Request or Appeal.
2Overview
- 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.
3General 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.
4Types of Waivers
5Waivers
- 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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6Hardship Waiver Appeals NCAA Bylaw 14.2.4
7Hardship 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.
8Items 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.
9- Extension Requests
- Bylaw 30.6.1
10Extension 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.
11Items 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.
12Season-of-Competition Waivers Bylaws 14.2.5and
14.2.6
13Season-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.
14Season-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.
15Season-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.
16Season-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.
17Season-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.
18Season-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.
19Season-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.
20Season-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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21Athletics Activity WaiversBylaw 14.2.1.4
22Athletics 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.
23Athletics 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.
24Documentation StandardsExtensions and Waivers
25Injury 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.
26Injury 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.
27Injury 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.
28Extreme 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.
29 30Hardship 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.
31Extension 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.
32Season-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.
33Best Practices for Preparing an SAR Request or
Appeal
34Overview
- Points of contact.
- Policies and procedures.
- Best practices for submitting a SAR request.
- Best practices for submitting an appeal.
- Case studies.
35SAR 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)
36What 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.
37Spectrum 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)
38Policies 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.
39Best 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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40Best 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.
41Best 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.
42Best 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?
43Appeals 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.
44Best 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.
45Best 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.
46Case Studies Involving Best Practices for
SAR
47Impermissible 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.
48Impermissible 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.
49Impermissible 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.
50Impermissible 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.
51Competing 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.
52Progress 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.
53Employment 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.
54Employment 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.
55Competition 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.
56Questions