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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

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.

(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).

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 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 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.
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.