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Division II Orientation for New Compliance Administrators: Part I. Natasha Oakes and Leslie Schuemann. Overview. Session Outcomes. Learning Objectives. Compliance Concepts. Resources. Session outcomes. Leave with a better understanding of: The NCAA national office structure.

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Division II Orientation for New Compliance Administrators: Part I

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Division ii orientation for new compliance administrators part i

Division II Orientation for New Compliance Administrators: Part I

Natasha Oakes and Leslie Schuemann



  • Session Outcomes.

  • Learning Objectives.

  • Compliance Concepts.

  • Resources.

Session outcomes

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.

Learning objectives

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.

National office structure

National office structure

  • Academic and Membership Affairs (AMA)

    • Brief description of teams.


      (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).

National office structure1

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.

Institutional control

Institutional Control

Institutional control1

Institutional Control

1.Responsible for conduct of intercollegiate athletics.

  • Institution;

  • Conference.

    2.Administrative control, faculty control or a combination.

    Constitution 6.01.1

Institutional control2

Institutional Control

1.Formal institutional polices and procedures.

  • Deter violations;

  • Discover violations.

    2.Policies and procedures monitored and enforced.

Institutional control3

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.

Institutional control4

Institutional Control

  • Does your institution exhibit institutional control?

    • No mathematical formula or checklist;

    • Case-by-case basis.

Institutional control5

Institutional Control

  • President or Chancellor;

  • Faculty Athletics Representative;

  • Director of Athletics;

  • Compliance Coordinator;

  • Coaches;

  • Individuals outside of athletics.

Institutional control6

Institutional Control

  • Four main areas of institutional control.

    • Compliance systems;

    • Monitoring/enforcement;

    • Rules education;

    • Commitment to compliance.

Lack of institutional control

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.

Lack of institutional control1

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.


Compliance systems

Compliance Systems

Compliance systems1

Compliance Systems

  • NCAA rules available for review;

  • Forms developed for compliance operations;

  • Procedures for communication established;

  • Internal monitoring system.

Compliance systems2

Compliance Systems

  • Compliance education;

    • Personnel engaged in athletics operations;

    • Boosters;

    • Prospective student-athletes;

    • Student-athletes;

  • External audit of compliance;

  • History of self-reporting.



  • Compliance duties in job descriptions and performance evaluations;

  • Policy and procedure manual;

  • Compliance manual;

  • Student-athlete handbook;

  • Compliance forms.



  • How are they requested?

    • Institutional form;

    • Email;

    • Hallway conversations.

  • Maintain a file of all interpretations.

    • Question will probably be asked again;

    • Paper trail.

Documentation of interpretations

Documentation of Interpretations

  • Documentation should include;

    • Who requested interpretation;

    • Dates;

    • Clearly stated question and facts;

    • Answer and source of information.



  • NCAA, conference and institutional rules.

  • All groups:

    • Athletics personnel;

    • Institutional personnel;

    • Student-athletes;

    • Boosters.



  • Methods:

    • Newsletters and brochures;

    • Meetings;

    • Presentations;

    • Policy and procedure manual;

    • Email reminders;

    • Refresher course.

Shared responsibility

Shared Responsibility

  • President or Chancellor.

  • Faculty Athletics Representative.

  • Athletics department staff.

  • Campus personnel involvement.

Compliance committee

Compliance Committee

Who should be on the committee

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.

Compliance committee1

Compliance Committee

  • Potential members include:

    • Director of athletics;

    • SWA;

    • FAR;

    • Register;

    • Admission counselor;

    • Coaches; and

    • Student-athletes.

Elements of a successful compliance committee

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.

Elements of a successful compliance committee1

Elements of a Successful Compliance Committee

  • Documentation.

    • Cannot stress record keeping enough.

    • Keep policies and procedures up to date.

    • Review annually.



Compliance resources

Compliance Resources

  • Compliance Assistant.

  • LSDBi.

  • NCAA website.

  • NCAA Eligibility Center website.

  • Division II Resource Page

Compliance assistant

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.

Lsdb i


  • 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.

Lsdb i1


  • Useful in searching for waiver precedent.

    • Initial eligibility.

    • Progress toward degree.

    • Legislative relief.

  • Review past infractions cases.

  • Review student-athlete reinstatement cases.

Ncaa website

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.

Ncaa eligibility center

NCAA Eligibility Center

  • http://web1.ncaa.org/ECWR2/NCAA_EMS/NCAA.html

  • Prospective student-athlete registration.

  • Academic certification.

  • Amateurism certification.

Division ii resources page

Division II Resources Page

  • Home ► Governance► Division II► Compliance.

  • Best Practices.

  • Sample Forms.

  • Other Educational Resources.

Additional compliance resources

Additional Compliance Resources

  • Conference office.

  • Academic and membership affairs.

  • NCAA Regional Rules Seminars.

  • Mentor/professional contacts.

  • Conference contact program.

Conference contact program

Conference Contact Program

  • Assist with rules interpretations.

  • Provide historical resource and consistency.

  • Compliance/rules presentations at conference meetings.

Contacting the ncaa

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.

Contacting the ncaa1

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.

Contacting the ncaa2

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.

Part ii overview


  • Best practices for:

    • Monitoring

    • Conducting Investigations

    • Developing compliance policies and procedures

  • Review of Student-Athlete Reinstatement Case.

  • Developing Reasonable Standards.



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