An Interview With Compliance Guy

Submitted by Brian on February 24th, 2010 at 11:29 AM

Bylaw Blog is the "Unofficial Blog of NCAA Compliance," which just goes to show that you can find anything on the internet. Its author is an anonymous employee in the compliance department of a Division I school who pegged Michigan's findings in a totally speculative post that some people got upset about but turned out to be accurate. He goes by Compliance Guy. I flagged him down and asked him a number of questions about where we are now and what's likely to happen in the future.

1. What is the process that Michigan has gone through to reach this point? I might be a little bit fuzzy on the details, but this is what I think has gone on so far:
- Article.
- Notice of Inquiry
- Michigan internal investigation undertaken with assistance/cooperation from NCAA.
- Michigan files report with NCAA
- NCAA responds with Notice of Allegations.
Is this an accurate picture of how the process works?

Flop the notice of inquiry and Michigan's investigation starting and you have the basic order. Michigan would have started the investigation the moment the story broke. At a certain point, either because of what Michigan was telling the NCAA or what the NCAA was hearing from somewhere else, the enforcement staff got involved and issued the Notice of Inquiry.

2. Past this point there are a couple more steps. Michigan will respond. They may or may not issue self-imposed sanctions. And then they'll go in front of the committee. How often do accusations of major violations get degraded to secondary violations in practice? Is the NCAA-issued NOA going to closely resemble the final findings at the committee or is it likely to get walked back? If so, how much?

A major violation case, once it gets to this point, rarely is argued back down to a secondary infraction. To get to a Notice of Allegations, especially in this case, the enforcement staff and Committee on Infractions would have worked very closely to decide if there were major violations, ultimately the COI's decision.

Individual major violations are sometimes downgraded to secondary violations during the response and hearing. In the Kelvin Sampson case at IU, one of the original five major violations--that Sampson and assistant coach Jeff Meyer gave Derek Elston a backpack and t-shirt and recruited him during a camp--was found to be only a secondary violation. Of course, the COI can add too, like the failure to monitor charge that came after the committee hearing.

The final report is going to look very similar. The most likely charge to be downgraded is actually the excessive practice, since it was never grossly beyond the limits like originally alleged by the ex-players. But the lack of documentation at the time makes it difficult for Michigan to prove that the violations were "isolated or inadvertent" and did not result in a "significant competitive advantage."

3. The five accusations:

1) Michigan quality control staffers "monitored and conducted skill development activities," assisted with "warm up and flexibility," watched film with players, and occasionally attended coaching meetings.
2) Similar in nature in points a) and b). c) consists of disciplinary measures after missing class in summer. d) consists of varying but relatively small amounts of excessive mandatory activity.
3) A graduate assistant lied during the process.
4) Rich Rodriguez "failure to monitor."
5) Athletic department "failure to monitor."

Are my characterizations of all these charges correct? If so, how serious are each of them?

#2 is, very generally, excessive practice. Michigan allowed excessive practice in one of three ways:

1) Did not count stretching and warm-up, thus requiring too much CARA (countable athletically related activity);

2) Disciplined players for missing class over the summer, when no required physical activity is permitted for any reason; and

3) Allowing excessive voluntary activity during the summer.

The third type is likely the most bewildering to fans. The NCAA tightly regulates even voluntary activity during the summer in football. The large team peer pressure and culture of discipline in football can cause it to get out of hand, so the NCAA limits how long you can work out with strength coaches in the summer, even voluntarily and sets periods of time where strength coaches cannot work out with football student-athletes at all.

The most serious charge is the failure to monitor charge for the university. It does allow for a wider variety of penalties. The "failure to promote an atmosphere of compliance" charge for Rodriguez means his continued employment at Michigan might change things. The ethical conduct charge is serious, but only really affects Herron. The other two violations are normally secondary in isolated incidents, but went on long enough to be considered major. Of the two, exceeding the coaching limits by a significant amount (11 is the limit with a total of five extra) is more serious.

There's also a sixth violation floating around, as an element of other violations but should be considered almost like a separate violation: the failure to submit practice logs for over a year and a half. Why that happened is going to be one of the COI's burning questions and the lack of the logs makes raising a defense to the charges that much more difficult.

4. On your blog you've recently documented a gradual broadening of "major violations" from serious dolla-dolla-bill ya'll type charges to considerably less severe violations, using the recent Arizona basketball issues as an example. Would these charges have gotten the same amount of scrutiny five, ten, fifteen years ago?

15 years ago, we wouldn't have the 24-hour news cycle that caused the violations to come to light in the first place. In addition, neither the NCAA nor Michigan would have had the resources to devote to discovering just how serious the violations were. Even now, we only know that limits were exceeded "some weeks."

But with larger compliance offices, bigger NCAA staffs, and a Committee on Infractions getting sick of the idea that secondary infractions don't matter, there is increased scrutiny. 15 years ago Michigan might have just reported a vague secondary violation and negotiated how much to reduce the practice time by. Now, just the fact that neither Michigan nor the NCAA has been able to completely quantify how big the violation was is not helping Michigan.

5. During the press conference new Michigan athletic director Dave Brandon downplayed a number of the charges, particularly the hours exceeded. Those were declared a misunderstanding about how stretching and other prep time was classified. It sounded like he was preparing a defense. If the NCAA and Michigan worked together on this, how could they be unfamiliar with this point of view? What is the probability that arguments like "it was a misunderstanding" will have any effect?

Brandon is preparing a defense, but at this point reducing the penalty is the more likely goal rather than winning an acquittal. Secondary violations need to meet two requirements: isolated or inadvertent AND did not produce a significant competitive advantage. Convince the NCAA of both and you have a secondary violation. Convince them of one, and you still have a major violation, but a lesser one.

Trouble is that the NCAA looks at what coaches and administrators "should" have known rather than what they did know. If the NCAA changes a rule, issues an interpretation, or releases an Educational Column (non-binding, technical discussions of the rules), a compliance officer is virtually presumed to have read it. And if the coaches were never educated about the rule, not only does it not save them, but it also becomes an element of bigger institutional charges like failure to monitor and lack of institutional control.

6. Michigan's handling of the situation has been fairly controversial on the internet because Michigan fans, rightly or wrongly, feel that the university's relative openness was detrimental in the Ed Martin case. Michigan has apparently been as accommodating as possible with the NCAA. Is inviting NCAA investigators in asking for trouble or a way to mitigate any potential sanctions? If you were in Michigan's position, what would you have done?

That's a tricky question because as a public institution, Michigan can only be so secretive. A great deal of the investigation can be open to the public via open records laws and the Freedom of Information Act. Look at the fervor caused by one informational meeting with the trustees that Michigan attempted to keep quiet.

What is the measure against which Michigan's openness is being judged? I'm sure most fans are pointing at USC and how the Reggie Bush investigation took five years and it seems like USC is in front of the COI almost out of the blue. But USC is a private institution, and doesn't have to worry about bitter rivals, wronged alumni, and nosy reporters demanding every scrap of paper. Michigan probably hasn't made public anything that wouldn't be made public before.

Looking back to the Ed Martin scandal, Michigan's willingness to cooperate was likely a key consideration in getting the second year of postseason ban overturned on appeal. Cooperating with the NCAA is wrongly portrayed as "going above and beyond vs. defending yourself." It's an obligation of being a member of the NCAA.

Michigan fans like to talk about the integrity and class in the program. If that means anything, it means acknowledging your mistakes, taking your medicine, and working to improve. It doesn't mean being difficult just because it seems USC is.

I think Michigan's handling of the case has been a model of how to deal with a major infractions case so far. And the result will likely be fairer penalties and a case that is disposed of quickly rather than casting a shadow on the program for a number of years.

7. Would one GA lying to the NCAA seriously hurt the university as a whole, assuming that he is then fired?

It's highly unlikely. A single, isolated unethical conduct violation generally hits the person who committed it rather than the institution. The primary tool the COI uses for this is the show-cause penalty, which states that any institution who hires the person must appear before the committee and "show cause" why they should not be punished the same way the previous school was.

As a counterexample, Dave Bliss' unethical conduct, in instructing players and coaches to lie in the Baylor case, is much more serious on an institutional level. When high level administrators (ADs, presidents, etc.), head coaches, or people who should know better (compliance staff) commit unethical conduct, it speaks to institutional control.

8. Is there any possibility Michigan escapes a major infraction at this point? What do you think Michigan's penalties will be? If you think some of the accusations are walked back, what would they be in that case?

It's almost a certainty that come October or November, Michigan will be back on probation. The Committee on Infractions generally doesn't start flimsy cases. Look again at USC. Since the original Yahoo! Sports report about Reggie Bush, the COI could have sent a Notice of Allegations as a fishing expedition. But given the fact that they were dealing with a major football program, they couldn't afford to have the case blow up in their face. So they continued investigating, interview, asking for documentation, and working with USC to develop the case until they had a slam dunk.

I'm also confident the same five charges in the Notice of Allegations will be in the final report. Like I said earlier, the excessive practice is the most likely candidate to be reduced, but Michigan lacks the best tool for doing so: detailed logging of practice time during that period. Consistent and timely logs, though mistaken, would have been the best evidence that the violations were all an honest mistake.

I expect a lengthy list of penalties, but none of which are too severe. Despite Michigan's status as a repeat violator due to the Ed Martin case, the death penalty is clearly not in the cards. [Editor's note: I think this is meant to be reassuring.] Neither are more severe penalties like a postseason or TV ban. In fact, Michigan doesn't even need to vacate wins (unless it self-imposes) because these violations do not affect eligibility. I think you'll see a list like this:

  • A reduction in countable coaches (one coach will have to be reassigned to a noncoaching position);
  • A reduction in practice with a shorter spring season in 2011 and/or reduced hour limits;
  • Possibly recruiting restrictions, including limiting the number of coaches off-campus at any one time;
  • Possibly a reduction of around three scholarships for a year or two;
  • 3-4 years probation (longer due to repeat violator status)

Combined I think they are a setback (which they're intended to be), but they aren't program crushing penalties that will take years to crawl out from like the Ed Martin penalties were.

[Ed: Many thanks to Compliance Guy. Again: Bylaw Blog is his internet home.]



February 24th, 2010 at 1:48 PM ^

This isn't about morality or fairness or who's at fault. This is about results. The road to hell is paved with good intentions and the nicest person on your staff could be a liability.

The fact is, all this drama is a cost associated with RR and his results need to compensate for it. And with this compliance stuff, the stakes just got higher.


February 24th, 2010 at 12:57 PM ^

Couple things...

I think people should take into acount. This is a guy that works in compliance and enjoys it enough to have a blog about it....NERD.

Nerd's take their job way too seriously. Nerd's don't often times make the eventual decision because often times the correct decision needs more thought or tact and not "bylaw 17-4-2.34.5 was violated death penalty!"

In conclusion while the exercise was a fruitful one I think he may have caused a tad more panic than is required. I still say Brandon does a dog and pony show says we didn't know but we fixed it we're sorry. Slap on the wrist, play ball!!

Bando Calrissian

February 24th, 2010 at 1:03 PM ^

Why would you have a problem with, likely, the only totally informed and completely impartial take on this whole situation? It's the equivalent of expert witness testimony. He knows his stuff. It's not his fault if it's not what we want to hear.


February 24th, 2010 at 1:26 PM ^

I just think when you ask an expert in a field they can take things a little too seriously. They don't have the proper perspective. I'm not sure what you do, but I am a controller. Some auditors understand that not being able to balance a $78 dollar variance in a T&E account is nothing and some freak out and want to know why and think fraud is all around and hit the defcon 5 nerd alarm.

A guy blogging about compliance who works in compliance sounds he may be closer to the defcon 5 guy. Just saying.. take it for what it is worth.

sports fan

February 24th, 2010 at 7:13 PM ^

I really appreciate this effort by Brian. It sort of gives me my life back for the next 7-8 months. I don't have to wonder what's going to happen; or even listen to others who don't have the foggiest idea what's going to happen. I'm steeled for the decision. Let's get on with it.


February 24th, 2010 at 1:02 PM ^

I think the worst part of all this is the injustice of it all. Granted, if we were indeed in violation of these rules, then we should pay the price. That is rule of law.

Brian has hinted, as have others on this board, that there were people within the athletic department that had a very substantial role in how all of this played out. Rich Rodriguez was not immediately familiar with UM's proprietary CARA forms and it was the job of the compliance people to educate him. The fact that these forms were either incorrectly submitted, or not submitted at all over a period of time, indicates to me that there were either severely incompetent people or that those same people had an agenda to get RR into trouble.

All of this doesn't add up to RR intentionally violating these rules in order to gain a competitive advantage.

03 Blue 07

February 24th, 2010 at 1:39 PM ^

This is an excellent point. While I am not going to go all tinfoil hat on the conspiracy part of it, I completely agree with the rest of it, everything you say, including the "rule of law" portion. Very well said.

EDIT: Michael's point/post, not the one discussing "institutional control" directly above this which is also in response to Michael.


February 24th, 2010 at 1:18 PM ^

The problem with your take, while not necessarily incorrect, is it promotes the "lack of institutional control" theor, which fortunately the NCAA doesn't seem to think is the case. If the head coach of one team screws up, it's his mistake and his bed to sleep in. If the people responsible for making sure all of the coaching staff follows the rules screw up, well, let's just say I'm okay with Rich Rod taking the blame for the CARA form errors.


February 24th, 2010 at 2:05 PM ^

I agree because, ultimately, it is the responsibility of the head coach to ensure that all of the procedures are correctly followed and that he is properly education on those procedures.

The absence of a lack of institutional control charge may have to do with the minor nature of the offenses. If we were dealing with a USC-type situation, then we would likely see that charge.

Let's hope we can just put this behind us and weather the media storm.


February 24th, 2010 at 1:04 PM ^

Maybe they should turn on the game clock when everyone runs out for warm-ups during game day.
After all, we wouldn't want the little darlings spending too much time on football Saturday when they could be studying!


February 24th, 2010 at 1:09 PM ^

count me out, if Rich gets fired. I will not be a part of any group that undermines one of its own from day one. I did my undergrad at Purdue, but I was raised a Michigan fan. I will go 100% towards the Boilermakers.


February 24th, 2010 at 1:10 PM ^

"The most likely charge to be downgraded is actually the excessive practice, since it was never grossly beyond the limits like originally alleged by the ex-players."


This makes Rosenberg's sources liars. But since they were anonymous, Rosenberg is a liar by proxy.

Headline: "Rosenberg, Freep Commit Major Journalistic Violations"


February 24th, 2010 at 1:13 PM ^

If Stretching = Practicing does getting dressed in the locker room count as practicing too?
The piss you take before getting dressed?
How about the walk to the dressing room from the parking lot?
The drive over to the practice field?
Or am I stretching this a bit?


February 24th, 2010 at 1:12 PM ^

Utterly fantastic work, Brian.

Fantastic interview, appropriate questions, and a clear, concise interview that provides the best information available.

Why you continue to assert that you are "not a journalist" when you are clearly one of the best is beyond me.


February 24th, 2010 at 1:44 PM ^

Incredible work, and a very reassuring read. But yeah... this internet thing has something for everyone. I heard that they now have -porn- on the internet!

Did you decide not to throw in a USC-barb, or did he not want to talk more about USC?


February 24th, 2010 at 1:17 PM ^

Losing records will keep the blue chippers away. Once RR starts wining 8 or more games per season, hopefully starting this season, the top recruits will return. Even if the coaches are limited on the number of recruiting trips they can make

I don't like the fact one penalty could be a reduction in scholarships. Especially if it occurs every season we are on probation! Limiting spring practices will not be too difficult to overcome, as long as we do make a bowl game after the 2010 ( and beyond) season(s) that would help to make up any loss spring practice time.

It is difficult to see the national media pile on us but I think we'll make it through this in good shape. Winning more football games than you lose will go a long way in making things much better. I hope the team plays hard and builds a winning record over the next few years.

Section 1

February 24th, 2010 at 1:36 PM ^

"What do you make of the fact that this all seems to be the product of a newspaper story in the first instance? Moreover, a story that was based entirely on interviews in which the reporter sought out 100% of his subjects? Granted, it is not entirely atypical for a story to begin in the press, and then lead to a formal investigation. But in this case it seems that the reporter began with an internal University Audit memo, which detailed the problem and indicated that corrections had already been made. Do you see ANY of the current allegations as post-dating the University's own memorandum on the subject?"

Section 1

February 24th, 2010 at 2:05 PM ^

The problem with these allegations and this entire format is that there really is no defense. The University's stated and implied position is that, "We're going to change, and thank you for alerting us to these serious matters."

I don't see much "challenge" to the allegations. And that is surely by design, in order to minimize any sanctions.

The Notice of Allegations tosses around "through September 2009" rather casually, and at the one place they actually talk about September specifically, Par. 2(d)(6), that's the now-infamous 20-minute-over allegation.


February 24th, 2010 at 1:39 PM ^

do I hate being right all the time*

Vindication of my 'pessimistic' sense of this case aside, I did find the information herein to be reassuring. At least we have a solid idea of what to expect with regard to the charges. As for penalties, I just hope we are not the the victims of misdirected hostility vis-a-vis the NCAA's impotence regarding USC.

*This is a complete lie

Foote Fetish

February 24th, 2010 at 1:42 PM ^

(1) Compliance and Quality Control gets revamped,
(2) What's-his-nuts grad assistant is fired,
(3) The coaching staff revises their practice schedules to no longer include that 20 minute break for tea and biscuits,
(4) Michigan suffers through a couple of years worth of minor restrictions on practices, size of coaching staff, recruiting practices and possibly scholarships, which will be uncomfortable but not back-breaking.
(5) I refuse all contact with any newspaper, talk radio show or any other media outlet that might cause a spike in my bloodpressure.

Ok, well, could be worse. Just get us a bowl this year. Please.

Penn State Clips

February 24th, 2010 at 1:52 PM ^

Terrific reporting in interviewing Compliance Guy. Great post, very informative.

Possibly a reduction of around three scholarships for a year or two.

Which means you'll probably be able to recruit the full 25 for a couple consecutive years after that to reload.


February 24th, 2010 at 1:55 PM ^

We need to get this MechaGodzilla SuperConference up and running so we can declare independence from the NCAA and move on.

Seriously, they're going to ding us with a MAJOR for being 20 minutes over practice time and checking to see if your players go to class/punish them when they don't?


February 24th, 2010 at 2:14 PM ^

RIP "The Michigan Way".

Now perhaps the holier-than-thou charade can end, and Michigan can finally start playing football, kicking ass and winning football games like Alabama, Florida, Oklahoma, Ohio State, USC and other non-compliant ilk.