Division II Orientation for New Compliance Administrators: Part I

1. Division II Orientation for New Compliance Administrators: Part I Natasha Oakes and Leslie Schuemann

2. Overview • Session Outcomes. • Learning Objectives. • Compliance Concepts. • Resources.

3. Session outcomes • Leave with a better understanding of: • The NCAA national office structure. • The importance of institutional control. • The role and importance of the compliance administrator.

4. Learning objectives • Discuss the structure of the national office. • Define institutional control. • Identify compliance systems. • Discuss compliance committees and identify key individuals. • Identify helpful resources.

5. National office structure • Academic and Membership Affairs (AMA) • Brief description of teams. (1) Interpretations. (2) Legislative Relief (LRT). (3) Student-Athlete Academics (SAA). (a) Initial Eligibility. (b) Progress Toward Degree. (c) Academic Performance Program (Division I) (d) 2-4 Transfers (Division I) (4) Student-Athlete Reinstatement (SAR).

6. National office structure • Other NCAA Departments • Championships • Administer 89 NCAA Championships. • 23 sports. • Three Divisions. • Enforcement • Investigate and process possible violations. • Governance • Provide counsel to the committees in the governance structure.

7. Institutional Control

8. Institutional Control 1. Responsible for conduct of intercollegiate athletics. • Institution; • Conference. 2. Administrative control, faculty control or a combination. Constitution 6.01.1

9. Institutional Control 1. Formal institutional polices and procedures. • Deter violations; • Discover violations. 2. Policies and procedures monitored and enforced.

10. Institutional Control • Your institution’s athletics department should aim to: • Measure commitment to rules compliance; • Explain why violation(s) occurred; • Evaluate the atmosphere of compliance.

11. Institutional Control • Does your institution exhibit institutional control? • No mathematical formula or checklist; • Case-by-case basis.

12. Institutional Control • President or Chancellor; • Faculty Athletics Representative; • Director of Athletics; • Compliance Coordinator; • Coaches; • Individuals outside of athletics.

13. Institutional Control • Four main areas of institutional control. • Compliance systems; • Monitoring/enforcement; • Rules education; • Commitment to compliance.

14. Lack of Institutional Control • Proper system for compliance not established or monitored; • Failure to alter compliance systems; • Compliance duties assigned to an individual that lacks authority; • Failure to make clear the duty to report.

15. Lack of Institutional Control • Failure to make clear that violations of NCAA rules will result in disciplinary action; • Failure to investigate potential rules violations; • Failure to maintain an atmosphere of compliance by head coach. Bylaw 11.1.2.1

16. Compliance Systems

17. Compliance Systems • NCAA rules available for review; • Forms developed for compliance operations; • Procedures for communication established; • Internal monitoring system.

18. Compliance Systems • Compliance education; • Personnel engaged in athletics operations; • Boosters; • Prospective student-athletes; • Student-athletes; • External audit of compliance; • History of self-reporting.

19. Documentation • Compliance duties in job descriptions and performance evaluations; • Policy and procedure manual; • Compliance manual; • Student-athlete handbook; • Compliance forms.

20. Interpretations • How are they requested? • Institutional form; • Email; • Hallway conversations. • Maintain a file of all interpretations. • Question will probably be asked again; • Paper trail.

21. Documentation of Interpretations • Documentation should include; • Who requested interpretation; • Dates; • Clearly stated question and facts; • Answer and source of information.

22. Education • NCAA, conference and institutional rules. • All groups: • Athletics personnel; • Institutional personnel; • Student-athletes; • Boosters.

23. Education • Methods: • Newsletters and brochures; • Meetings; • Presentations; • Policy and procedure manual; • Email reminders; • Refresher course.

24. Shared Responsibility • President or Chancellor. • Faculty Athletics Representative. • Athletics department staff. • Campus personnel involvement.

25. Compliance Committee

26. Who Should Be On The Committee? • No set list of members. • Make it broad based from across campus. • Define the roles of committee members. • Create policies and procedures.

27. Compliance Committee • Potential members include: • Director of athletics; • SWA; • FAR; • Register; • Admission counselor; • Coaches; and • Student-athletes.

28. Elements of a Successful Compliance Committee • Communication. • Cultivate and maintain communication with offices on campus; • How to communicate best with each office; • Keep everyone informed.

29. Elements of a Successful Compliance Committee • Documentation. • Cannot stress record keeping enough. • Keep policies and procedures up to date. • Review annually.

30. Resources

31. Compliance Resources • Compliance Assistant. • LSDBi. • NCAA website. • NCAA Eligibility Center website. • Division II Resource Page

32. Compliance Assistant • Free program to help campus compliance programs. • NCAA required forms. • Program, documentation and technical support. • Areas available: • Financial aid, eligibility, recruiting, athletics personnel and playing and practice seasons.

33. LSDBi • Legislative Services Database for the Internet. • Search proposals in all three divisions; • Search for bylaws; • Search for legislative interpretations; and • Question and answer and education columns.

34. LSDBi • Useful in searching for waiver precedent. • Initial eligibility. • Progress toward degree. • Legislative relief. • Review past infractions cases. • Review student-athlete reinstatement cases.

35. NCAA Website • www.ncaa.org. • Education on demand videos. • NCAA news. • NCAA publications. • Download and purchase NCAA Manuals; • Guide for College Bound Student-Athletes; • Transfer Guide; and • Guide to International Academic Standards for Athletics Eligibility.

36. NCAA Eligibility Center • http://web1.ncaa.org/ECWR2/NCAA_EMS/NCAA.html • Prospective student-athlete registration. • Academic certification. • Amateurism certification.

37. Division II Resources Page • Home ► Governance► Division II► Compliance. • Best Practices. • Sample Forms. • Other Educational Resources.

38. Additional Compliance Resources • Conference office. • Academic and membership affairs. • NCAA Regional Rules Seminars. • Mentor/professional contacts. • Conference contact program.

39. Conference Contact Program • Assist with rules interpretations. • Provide historical resource and consistency. • Compliance/rules presentations at conference meetings.

40. Contacting the NCAA • Phone line for exclusive use of member institutions. • 317/917-6003. • Help with questions on the legislation. • Phone line for member institutions to contact the NCAA Eligibility Center. • 877/544-2950 • 317/223-0706 – all inquiries regarding NLI program.

41. Contacting the NCAA • AMA hours of operation. • Monday, Tuesday, Thursday and Friday • 9 a.m. to 5 p.m. Eastern time. • Wednesday. • 11 a.m. to 5 p.m. Eastern time. • NCAA Eligibility Center hours of operation. • Monday through Friday • 8:30 a.m. to 6 p.m. Eastern time.

42. Contacting the NCAA • Best practices when contacting AMA. • Do your research ahead of time. • Have all the facts ready. • Take notes on the call. • Get NCAA staff member’s name and case number.

43. PART II oVERVIEW • Best practices for: • Monitoring • Conducting Investigations • Developing compliance policies and procedures • Review of Student-Athlete Reinstatement Case. • Developing Reasonable Standards.

44. Questions?