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College Athletics Best Practices Alert
Greetings!
Welcome to the September 29, 2011, issue of College Athletics Best Practices Alert, a complimentary publication of the Michael L. Buckner Law Firm. |
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Divisions I, II and III Column:
The NCAA Investigation at the University of South Carolina-Columbia: Strategies to Minimize the Occurrence of Similar Allegations on Your Campus
Author: Michael L. Buckner, Esquire (Shareholder)
NCAA member institutions can use the allegations of rules-violations involving members of the University of South Carolina-Columbia (South Carolina) athletics program to develop strategies to enhance compliance programs and to improve institutional control. On September 19, 2011, the NCAA enforcement staff issued a notice of allegations to South Carolina. Specifically, the enforcement staff alleged:
1. From May 2009 through October 2010, the Whitney Hotel, a representative of the institution's athletics interests, provided extra benefits, an estimated $47,000 to 12 students-athletes, in the form of reduced rent that generally was not available to the regular student population for off-campus housing. Additionally, the Whitney Hotel made special arrangements with nine of the student-athletes to pay their rent at later dates, thereby providing an impermissible loan to the student-athletes.
2. From the spring of 2009 through February 2011, Kevin Lahn and Steve Gordon, representatives of the institution's athletics interests, made impermissible recruiting contacts with, and provided impermissible recruiting inducements to, prospective student-athletes and provided extra benefits to student-athletes through the Student-Athlete Mentoring Foundation, of which they are co-founders. The inducements and benefits totaled over $8,000.
3. South Carolina violated the principles of rules-compliance in that it did not sufficiently monitor student-athlete housing arrangements at the Whitney Hotel, a representative of the institution's athletics interests, or the impermissible activities of Kevin Lahn and Steve Gordon, also representatives of the institution's athletics interests.
We recommend member institutions develop strategies to decrease the occurrence of similar alleged rules-violations. [Note: We acknowledge it may be difficult, if not impossible, to prevent all rules-violations, but the Committee on Infractions requires an institution to demonstrate it fulfilled its duty to conduct "proactive monitoring" to ensure NCAA rules-compliance.] For example, we provide below some of our ideas for your consideration:
- Maintain accurate records of housing arrangements for student-athletes residing off-campus, including: rental agreements; records documenting the disbursement of rental checks for student-athletes residing off-campus; off-campus addresses; contact information for housing facility landlords/managers; and rental rates.
- Conduct due-diligence and monitoring of housing arrangements for student-athletes residing off-campus to ensure the rental rates provided to
- student-athletes are compliant with NCAA legislation (e.g., compare the student-athletes' rates to the going rates for other residents or entities, ensure student-athletes are paying their pro rata share of rent).
- Enhance the rules-education program for student-athletes and local merchants (e.g., apartment and extended-stay hotel managers) with specific information on the NCAA prohibitions on providing reduced, free and specially-arranged benefits to student-athletes.
- Enhance NCAA rules-education program provided to members of the institution's coaching staff and representatives of the institution's athletics program (also known as "boosters") concerning recruiting contacts and evaluations of prospective student-athletes, including a review on the parameters of official and unofficial visits and prohibitions on boosters' recruiting activities.
- Increase the monitoring of unofficial visit recruiting activities, including enhance forms or documentation used during unofficial visits to require detailed description of a prospective student-athlete's lodging, transportation and meal arrangements during the visit.
- Implement (or enhance) compliance procedures relating to the monitoring and reporting of booster involvement in the recruiting of prospective student-athletes.
Contact Michael L. Buckner (954-941-1844; mbuckner@michaelbucknerlaw.com) for additional compliance-related recommendations addressing similar rules-violations as those alleged at the University of South Carolina-Columbia. |
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Divisions I, II and III Column:
Investigation Interview Best Practices: Introduction Statements
Author: Michael L. Buckner, Esquire (Shareholder)
An interview conducted during an internal investigation is one of the most important sources of evidence. Thus, it is crucial for the investigator to obtain all relevant information, as well as to maintain a complete record of the interview. The Michael L. Buckner Law Firm recommends investigators obtain the following statements on the record (either documented through an audio/digital recording, by a court reporter or via handwritten notes) at the beginning of all interviews:
- Obtain the interview subject's knowledge of the presence of a recording device (if one is used), as well as permission and consent to record the interview.
- State the date, time and location of the interview.
- Introduce all parties on the record.
- Review the relevant portions of the institution's ethical code and NCAA Bylaw 10.
- Remind the interview subject and any parties present of the requirement to maintain the confidentiality of the interview.
- Explain the purpose of the interview pursuant to NCAA Bylaw 32.3.7.1.
Contact Michael L. Buckner (954-941-1844; mbuckner@michaelbucknerlaw.com) for additional recommendations for conducting investigation interviews. |
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Division III Column:
Top 5 NCAA Division III Rules-Compliance Audit Tips
Author: Justin P. Sievert (Of-Counsel)
The purpose of a rules-compliance audit is to assist an institution with reviewing and improving its intercollegiate athletics program. However, even the best administered intercollegiate athletics programs cannot eliminate completely an institution's vulnerability to inadvertent NCAA rules-violations or operational deficiencies. A rules-compliance audit can, however, enhance the institution's abilities to identify and address areas in which more focused attention can minimize the occurrence of NCAA infractions or other issues. The following checklist includes the top five tips the Michael L. Buckner Law Firm recommends for conducting an effective rules-compliance audit at the NCAA Division III level:
1. A rules-compliance audit should include all relevant areas concerning NCAA Division III compliance using a systematic approach. In fact, by implementing a schedule to cover various auditable areas over a period of successive audit examinations, institutions will be able to cut costs, save time and provide a greater focus on specific areas. Each audit cycle should not exceed four years in length.
2. An institution should utilize a methodology based on strategies and techniques described in rules-compliance materials, as well as publications concerning NCAA rules-compliance and enforcement processes. In particular, an institution's audit strategy should include a scan of its intercollegiate athletics program's standing in key rules-compliance areas, including: governance and organization; eligibility certification; financial-aid administration; playing and practice season certification; recruiting monitoring; camps and clinics; investigations and self-reporting of rules-violations; rules-education; extra benefits; and commitment of personnel to rules-compliance.
3. The institution's auditor should rely on NCAA audit standards, spot-checks, document reviews,
surveys, research, consulting methods and other auditing techniques to obtain relevant information.
4. A rules-compliance audit report should include an analysis of the institutional and athletics background, the methodology used when conducting the audit, a summary of the activities included in the audit (including a list of the persons interviewed and the materials reviewed), the findings of the audit as it pertains to each key rules-compliance area, a comparison between current institutional practices and audit recommendations, current issues involving NCAA Committee on Infractions and Infractions Appeals Committee cases, and the results of the spot-checks and surveys.
5. Once the audit report has been submitted and accepted, an institution should develop an action plan for implementing the strategies or corrective measures identified in the report's recommendations. This action plan should also include a timeline for progress reports to evaluate the status of any changes implemented as a result of the audit report.
Contact Justin P. Sievert (954-941-1844; jsievert@michaelbucknerlaw.com) for more compliance-related recommendations pertaining to rules-compliance audits. |
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MLBLF Services Update:
High-Profile Athlete and Third-Party Suite of Services
Author: Michael L. Buckner (Shareholder)
The Michael L. Buckner Law Firm is excited to announce the launch of a unique suite of legal, investigative and consulting services designed to proactively identify, monitor, audit and investigate issues involving high-profile athletes and third-parties at NCAA Division I institutions. The firm now offers colleges and universities a targeted solution to NCAA compliance and enforcement issues involving high-profile athletes and third-parties.
What is a High-Profile Athlete?
A high-profile (or "blue-chip") student-athlete describes an individual who is: a "one and done" basketball student-athlete; a prospect who is listed on one or more national recruiting service rankings (e.g., Rivals 250, Scout 300); a student-athlete who generates significant attention from professional scouts, athlete agents, runners, sports marketers, representatives of the institution's athletics interests (also known as "boosters") and/or professional teams; a student-athlete who is projected to be a finalist for, or has already earned, a major national athletics award (e.g., Heisman Trophy, Walter Camp Award, Maxwell Award, Naismith College Player of the Year); a student-athlete who is projected to be selected in a low round of a professional sports league draft (e.g., Rounds 1-2 of the NBA Draft, Rounds 1-3 of the NFL Draft); and/or an athlete with an academic and/or athletics history that cannot be verified through a cursory evaluation (e.g., international prospects).
Who are Third-Parties?
A third-party is any person who maintains (or directs others to maintain) contact with a prospective or enrolled student-athlete, the prospect's or student-athlete's relatives or legal guardians, or coaches at any point during the prospect's or student-athlete's participation in athletics, and whose contact is directly or indirectly related to the prospect's or enrolled student-athlete's: athletic skills and abilities; recruitment by, or enrollment in, an NCAA institution; and/or projected professional sports career. For example, third-parties can describe sports agents, street agents, sports marketers, financial advisors, runners, parents/legal guardians, boosters, high-school coaches and AAU/amateur club coaches.
The Suite of Services
High-Profile Due-Diligence Reviews
The Michael L. Buckner Law Firm is available to assist NCAA member institutions with conducting due-diligence for prospective and enrolled student-athletes. Through the firm's comprehensive due-diligence service, an institution receives a report noting whether a high-profile prospective or enrolled student-athlete complies with NCAA legislation. For instance, we can review a high-profile prospect's academic and athletics histories in the context of NCAA legislation. Further, we can assist an institution with monitoring and conducting due-diligence to confirm high-profile enrolled student-athletes (including the student-athletes' parents, family and significant others) comply with NCAA legislation, especially in the areas of amateurism and awards and benefits.
High-Profile and Third-Party Compliance Programs
The Michael L. Buckner Law Firm is available to assist institutions with developing proactive solutions to address an athletics department's most pressing compliance needs relating to high-profile athletes and third-parties. In particular, our experienced professionals can support athletics departments with complying with NCAA regulations by evaluating athletics operations and processes, as well as developing effective compliance systems. For example, we: design compliance programs, policies and procedures addressing high-profile athlete and third-party issues; and prepare high-profile athlete and third-party procedures for compliance manuals.
High-Profile and Third-Party Compliance Audits
The Michael L. Buckner Law Firm's high-profile athlete and third-party compliance audit service is a top-down evaluation of a compliance program that assists administrators with evaluating the strengths, weaknesses, opportunities and threats based on key components relating to high-profiles and third-parties. Our audits consist of four phases: a pre-visit assessment (which includes a questionnaire, a request for documents and research); an online survey; a four-day campus visit (which includes interviews, a student-athlete group discussion, document review and an athletics facilities tour); and a post-visit assessment (which includes the report preparation and submission).
Rules-Education
The Michael L. Buckner Law Firm works with institutions to develop and conduct education and training seminars and workshops that produce measurable and dramatic results for an athletics department. Our advisors will analyze an athletics department to produce creative presentations and materials that are informative and useful for a variety of university groups and constituencies.
Representation during NCAA Investigations of High-Profile and Third-Party Allegations
The Michael L. Buckner Law Firm's immense knowledge of athletics enforcement processes is available for institutions if it is confronted with allegations of NCAA rules-violations involving high-profile athletes and third-parties. We specialize in solving an institution's athletics enforcement issues in a cost-effective and practical manner. Our expert approach in NCAA enforcement investigation and crisis management matters enables campus and athletics administrators to focus on their daily duties and responsibilities. Further, we represent clients before the NCAA committees on infractions and infractions appeals committees.
Contact Michael L. Buckner (954-941-1844; mbuckner@michaelbucknerlaw.com) for more information on the high-profile athlete and third-party suite of services. |
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About the Firm
The Michael L. Buckner Law Firm is a boutique law firm that assists college and university presidents, general counsel, and athletic administrators with addressing NCAA enforcement investigations, infractions appeals and rules-compliance issues. The law firm website can be found at www.michaelbucknerlaw.com. |
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YouTube Channel
The Michael L. Buckner Law Firm's "Information Nuggets" video newsletter series, which provides in-depth analysis on pertinent NCAA compliance and enforcement issues, can be viewed at the firm's YouTube channel.
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Resources for You
Prior issues of the Best Practices Alert newsletter, as well as other complimentary articles, checklists, toolkits and resources, can be located on our website.
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MLBLF Media Center
Insight and commentary on college sports issues can be found on the Media Center page of the law firm website . The online resource contains links to law firm press releases, media articles and Michael L. Buckner's published books, as well as Mr. Buckner's radio and TV interviews.
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Michael L. Buckner Law Firm
Telephone: 954-941-1844
Facsimile: 954-941-1846
E-mail: mbuckner@michaelbucknerlaw.com
Website: www.michaelbucknerlaw.com
Blog: http://michaelbucknerlaw.wordpress.com
Twitter: @mbucknerlaw
LinkedIn: @michaelbucknerlawfirm
Facebook: http://tinyurl.com/michaelbucknerlaw
YouTube: @michaelbucknerlaw |
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This electronic newsletter, including the information contained therein, is not endorsed or published by the National Collegiate Athletic Association, National Association of College and University Attorneys or the organizations' representatives, but is a legal advertisement from the Michael L. Buckner Law Firm (which is not affiliated with the NCAA or NACUA). Any questions concerning this communication should be directed to Michael L. Buckner (954-941-1844; mbuckner@michaelbucknerlaw.com).
This publication is offered only for general informational and educational purposes. It is not offered as, and does not constitute, legal advice or a legal opinion. This information is not intended to create, nor does the receipt of it constitute, a lawyer-client relationship. This publication contains hyperlinks to other resources on the Internet. These links are provided as citations and aids to help you identify and locate other Internet resources that may be of interest, and are not intended to state or imply that the Michael L. Buckner Law Firm sponsors, is affiliated or associated with, or is legally authorized to use any trade name, registered trademark, logo, legal or official seal, or copyrighted symbol that may be reflected in the links.
The hiring of a lawyer is an important decision that should not be based solely on advertisements. Before you decide, ask us to send free written information about our qualifications and experience.
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