DIVISION II INTRODUCTION TO COMPLIANCE CONCEPTS AND BEST PRACTICES

1. DIVISION II INTRODUCTION TO COMPLIANCE CONCEPTS AND BEST PRACTICES Jess Rigler and Leslie Schuemann

2. Overview • Institutional Control. • Compliance Systems. • Compliance Committee. • Resources.

3. Institutional Control

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

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

6. 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.

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

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

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

10. 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.

11. 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

12. Compliance Systems

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

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

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

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

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

18. Documentation of Investigations • Policies and procedures. • Investigating a violation; • Reporting a violation. • Who should be notified of an investigation. • Resources at ncaa.org.

19. Documentation of Investigations • Policies and procedures. • Should be accessible by everyone; • Educate new and current employees; • Re-evaluate annually.

20. Documentation of Investigations • Evaluate your investigative procedures. • Fresh set of eyes. • Entity outside of athletics; • Other offices on campus; • Conference office.

21. Monitoring • Bylaw 12 Amateurism. • Amateur status (12.1.2); • Professional teams (12.02.4); • Promotional activities (12.5.1). • Bylaw 13 Recruiting. • Phone calls and contacts (13.1); • Official and unofficial visits (13.6 and 13.7).

22. Monitoring • Bylaw 14 Eligibility. • Progress toward degree (14.4); • Outside competition (14.7); • Full-time enrollment (14.1.8); • Bylaw 15 Financial Aid. • Equivalency limits (15.5.2); • Aid from outside sources (15.2.6).

23. Monitoring • Bylaw 16 Awards and Benefits. • Practice and competition expenses (16.8); • Ticket benefits (16.2). • Bylaw 17 Playing Seasons. • Countable athletically related activities (17.02.1); • Playing season; • Declaration of season (17.1.3); • Daily and weekly hour limitations (17.1.6).

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

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

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

27. Compliance Committee

28. 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.

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

30. 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.

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

32. Resources

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

34. 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.

35. 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.

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

37. 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.

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

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

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

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

42. Contacting the NCAA • Phone line for exclusive use of member institutions. • 317/917-6003. • Help with questions on the legislation.

43. Contacting the NCAA • 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. • Exclusive membership times. • 9 a.m. to noon Eastern time. • 4 p.m. to 5 p.m. Eastern time.

44. Contacting the NCAA • Best practices. • 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.

45. Questions?