Natasha Oakes and Leslie Schuemann
1.
Session Outcomes.
2.
Learning Objectives.
3.
Compliance Concepts.
4.
Resources.

Leave with a better understanding of:
a.
The NCAA national office structure.
b.
The importance of institutional control.
c.
The role and importance of the compliance
administrator.
1.
Discuss the structure of the national office.
2.
Define institutional control.
3.
Identify compliance systems.
4.
Discuss compliance committees and identify
key individuals.
5.
Identify helpful resources.

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).

Other NCAA Departments
1.
2.
Championships
a.
Administer 89 NCAA Championships.
b.
23 sports.
c.
Three Divisions.
Enforcement

3.
Investigate and process possible violations.
Governance

Provide counsel to the committees in the governance
structure.
1. Responsible for conduct of intercollegiate
athletics.
a.
Institution;
b.
Conference.
2. Administrative control, faculty control or a
combination.
Constitution 6.01.1
1. Formal institutional polices and procedures.
a.
Deter violations;
b.
Discover violations.
2. Policies and procedures monitored and
enforced.

Your institution’s athletics department should
aim to:
a.
Measure commitment to rules compliance;
b.
Explain why violation(s) occurred;
c.
Evaluate the atmosphere of compliance.

Does your institution exhibit institutional
control?
a.
b.
No mathematical formula or checklist;
Case-by-case basis.
1.
President or Chancellor;
2.
Faculty Athletics Representative;
3.
Director of Athletics;
4.
Compliance Coordinator;
5.
Coaches;
6.
Individuals outside of athletics.

Four main areas of institutional control.
a.
Compliance systems;
b.
Monitoring/enforcement;
c.
Rules education;
d.
Commitment to compliance.
1.
Proper system for compliance not established
or monitored;
2.
Failure to alter compliance systems;
3.
Compliance duties assigned to an individual
that lacks authority;
4.
Failure to make clear the duty to report.
1.
Failure to make clear that violations of NCAA
rules will result in disciplinary action;
2.
Failure to investigate potential rules violations;
3.
Failure to maintain an atmosphere of
compliance by head coach.
Bylaw 11.1.2.1
1.
NCAA rules available for review;
2.
Forms developed for compliance
operations;
3.
Procedures for communication established;
4.
Internal monitoring system.
1.
Compliance education;
a.
Personnel engaged in athletics operations;
b.
Boosters;
c.
Prospective student-athletes;
d.
Student-athletes;
2.
External audit of compliance;
3.
History of self-reporting.
1.
Compliance duties in job descriptions and
performance evaluations;
2.
Policy and procedure manual;
3.
Compliance manual;
4.
Student-athlete handbook;
5.
Compliance forms.
1.
2.
How are they requested?
a.
Institutional form;
b.
Email;
c.
Hallway conversations.
Maintain a file of all interpretations.
a.
Question will probably be asked again;
b.
Paper trail.

Documentation should include;
a.
Who requested interpretation;
b.
Dates;
c.
Clearly stated question and facts;
d.
Answer and source of information.
1.
NCAA, conference and institutional rules.
2.
All groups:
a.
Athletics personnel;
b.
Institutional personnel;
c.
Student-athletes;
d.
Boosters.

Methods:
a.
Newsletters and brochures;
b.
Meetings;
c.
Presentations;
d.
Policy and procedure manual;
e.
Email reminders;
f.
Refresher course.
1.
President or Chancellor.
2.
Faculty Athletics Representative.
3.
Athletics department staff.
4.
Campus personnel involvement.
1.
No set list of members.
2.
Make it broad based from across campus.
3.
Define the roles of committee members.
4.
Create policies and procedures.

Potential members include:
a.
Director of athletics;
b.
SWA;
c.
FAR;
d.
Register;
e.
Admission counselor;
f.
Coaches; and
g.
Student-athletes.

Communication.
a.
Cultivate and maintain communication with
offices on campus;
b.
How to communicate best with each office;
c.
Keep everyone informed.

Documentation.
a.
Cannot stress record keeping enough.
b.
Keep policies and procedures up to date.
c.
Review annually.
1.
Compliance Assistant.
2.
LSDBi.
3.
NCAA website.
4.
NCAA Eligibility Center website.
5.
Division II Resource Page
1.
Free program to help campus compliance programs.
2.
NCAA required forms.
3.
Program, documentation and technical support.
4.
Areas available:

Financial aid, eligibility, recruiting, athletics personnel
and playing and practice seasons.

Legislative Services Database for the
Internet.
a.
Search proposals in all three divisions;
b.
Search for bylaws;
c.
Search for legislative interpretations; and
d.
Question and answer and education columns.
1.
Useful in searching for waiver precedent.
a.
Initial eligibility.
b.
Progress toward degree.
c.
Legislative relief.
2.
Review past infractions cases.
3.
Review student-athlete reinstatement cases.
1.
www.ncaa.org.
2.
Education on demand videos.
3.
NCAA news.
4.
NCAA publications.
a.
Download and purchase NCAA Manuals;
b.
Guide for College Bound Student-Athletes;
c.
Transfer Guide; and
d.
Guide to International Academic Standards for
Athletics Eligibility.
1.
http://web1.ncaa.org/ECWR2/NCAA_EMS/NCAA.html
2.
Prospective student-athlete registration.
3.
Academic certification.
4.
Amateurism certification.
1.
Home ► Governance► Division II►
Compliance.
2.
Best Practices.
3.
Sample Forms.
4.
Other Educational Resources.
1.
Conference office.
2.
Academic and membership affairs.
3.
NCAA Regional Rules Seminars.
4.
Mentor/professional contacts.
5.
Conference contact program.
1.
Assist with rules interpretations.
2.
Provide historical resource and consistency.
3.
Compliance/rules presentations at
conference meetings.
1.
Phone line for exclusive use of member
institutions.
2.
a.
317/917-6003.
b.
Help with questions on the legislation.
Phone line for member institutions to contact the
NCAA Eligibility Center.
a.
877/544-2950
b.
317/223-0706 – all inquiries regarding NLI program.
1.
AMA hours of operation.
a.
Monday, Tuesday, Thursday and Friday

b.
Wednesday.

2.
9 a.m. to 5 p.m. Eastern time.
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.

Best practices when contacting AMA.
a.
Do your research ahead of time.
b.
Have all the facts ready.
c.
Take notes on the call.
d.
Get NCAA staff member’s name and case
number.

Best practices for:
a.
Monitoring
b.
Conducting Investigations
c.
Developing compliance policies and procedures

Review of Student-Athlete Reinstatement
Case.

Developing Reasonable Standards.