Staffing zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA & - - PDF document

SLIDE 1

NORTHERN ARIZONA UNIVERSITY Commitment to NCAA Compliance

The Northern Arizona University Department

• f Athletics

and the Compliance Office have the following safeguards in place to ensure that the University maintains a commitment to NCAA compliance.

StaffingzyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA

& Reporting Lines Northern Arizona University maintains a staff

• f two full-time

NCAA Compliance Officers. The department is headed by the Assistant Athletic Director for Compliance, who is assisted by the Compliance Coordinator. The Faculty Athletics Representative at NAU is also closely involved with the NCAA compliance process, including monitoring student-athlete eligibility. In January

• f 2011, reporting

lines for the Compliance Office were moved from the Athletics Department to the President's Office. The Compliance Office now reports directly to Dr. MJ McMahon, who is the Executive Vice President and also serves as NAU's NCAA liaison. The Compliance Office also maintains daily interaction with the coaches, athletics staff and Director

• f Athletics.

Educational Efforts

The NAU Compliance Office relies upon a variety

• f educational

methods to ensure that both coaches and staff members are kept informed and up-to-date

• n NCAA

legislation and other important compliance issues.

• Monthly

Newsletter: Every month the NAU Compliance Office produces a newsletter designed to provide rules education and updates on important dates and topics. The newsletter is distributed to all athletics staff, members

• f the Intercollegiate

Athletics Committee and contacts from offices across campus (Financial Aid, Residence Life, ect),

• Monthly

Coaches Compliance Workshop: Every month the Compliance Office staff prepares an educational presentation related to a different compliance related topic. Each coaching staff is required to have at least one staff member present at the educational session.

• Booster

Education: Two times per year an updated compliance pamphlet is sent out to all members

• f the Lumberjack

Athletic Association (LAA). In August

• f 2011, the NAU

Compliance Office held an educational luncheon for past and present members

• f the LAA Board of Directors.
• Annual Report to the Intercollegiate

Athletics Committee: At the end of each academic year, the Assistant AD/ Compliance presents an annual report to NAU's faculty

• versight

committee, the Intercollegiate Athletics Committee. The presentation serves as an educational session and reports

• n the number
• f secondary

violations reported by the department during the previous academic year.

Outside Review of Compliance

In order to ensure that all NAU policies remain up to date and the department is properly adhering to NCAA rules, the NAU Compliance Office is regularly subject to review from outside groups. In the fall of 201 0, Jaynee Nadolski, Assistant Commissioner for Compliance at the BigSky Conference, conducted a comprehensive review

• f the NAU

Compliance Office's policies and procedures. As part of her review,

• Ms. Nadolski

visited the NAU campus for two days to meet with coaches, athletics staff as well as staff from other departments

• n campus

such as the Financial Aid office and the Admissions

• ffice.

In the spring of 2011 the NAU Compliance Office was subject to a review conducted by the NAU Office

• f Internal

Audit This examination included a complete review

• f student-athlete

financial aid, including tuition, room, board and book expenses. The

• ther area that the auditors

reviewed this spring was student-athlete employment. Both of these reviews have been conducted in addition to the Athletics Departments

• ngoing

efforts to update materials related to the NCAA Self Study.

Monitoring Eligibility

Eligibility issues for all of NAU's student-athletes are monitored by the Eligibility Committee. Members

• f the Eligibility

Committee include the Faculty Athletics Representative, the two Compliance Staff members and NAU's two Academic Advisors. All eligibility changes are tracked

• n the Eligibility

Status Report (ESR). Whenever there is a change for a specific team, a new ESR is created and distributed to the coaching staff, Athletic Training staff, Business Office staff, Equipment Room staff, Weight Room staff, Sports Information staff and the sport supervisor. Directors in each of these areas rely on the ESR when preparing NAU's teams for practice and competition. The Equipment Room staff will not issue a student-athlete gear for practice

• r competition

unless a student is cleared on the ESR. The sport supervisor will not approve travel for a student-athlete not cleared

• n the ESR, and the Business

Office will not issue per diem to a student-athlete that is not cleared on the ESR.

All student-athletes, at the conclusion of their athletic eligibility, participate in an oral exit interview. The interviews are conducted

by the Faculty Athletics Representative and either the Director

• f Athletics
• r the designated

sport supervisor. Exit interviews allow student-athletes the opportunity to reflect

• n their athletic

experience and offer feedback

• n areas where the Athletics

Department is successful as well as areas in which it can improve.

SLIDE 2

Monitoring ActivitieszyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA The NAU Compliance Office has measures in place to monitor all departmental activities. The focus ofNAU's monitoring efforts lies in five key areas, phone logs, recruiting pre-approval, contactzyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA & evaluation logs, official visits and playing & practice seasons. The following efforts are in place to monitor these areas:

• Phone Logs: All NAU coaches are required to submit phone logs to the Compliance Office on a monthly basis. Each month

the Compliance Coordinator selects phone logs from several coaches for a detailed review.

• Recruiting Pre-approval:

As part of departmental travel policy, coaches must receive prior approval of all travel activities. When the travel is recruiting related, the Compliance Office is copied on the communication to ensure the recruiting will be during a permissible recruiting period.

• Contact & Evaluation Logs:

The Assistant AD/Compliance signs off on all departmental travel reconciliation forms. Coaches must submit a completed contact log for each recruiting trip. Travel reconciliation forms will not be processed by the Business Office without a completed contact log and the Compliance Office keeps records of all logs that are submitted.

• Official Visits:

Approval for all official visits must come from both the Compliance Office and the Academic Services

• Office. All visits must be approved at least seven days prior to the visit, this ensures that the prospective student-athlete is

registered for the NCAA Eligibility Center, the visit will occur during a permissible recruiting period and that a complete review of the student's academic potential is evaluated.

• Playing & Practice Seasons: Prior to the start of each academic year, the Compliance Office requires each team to submit a

playing season declaration form. This form determines what dates a team will be in-season. The number of dates a team declares as in-season is then verified against the number of allowable dates per NCAA Bylaw 17. Each team also submits documentation on the number of contests they have scheduled for the upcoming academic year. The NAU Compliance Office has a strong system in place to monitor the weekly countable athletically related activities (CARA) for each team. All teams are required to submit practice logs to the Compliance Office on a weekly basis. Practice logs must list the time spent in CARA activities for each individual student-athlete. Additionally the logs must be submitted with the signature of a team captain. Each month a random selection of student-athletes will be called in to the Compliance Office to provide additional verification

• n the accuracy of the practice logs.

As a final safeguard, members of the Compliance Office regularly attend practices for all ofNAU's athletic teams. Financial Aid Financial aid agreements for NAU all student-athletes are created by the Compliance Office and processed by the NAU Financial Aid Office. Any aid received by an NAU student-athlete is logged in the NCAA Compliance Assistant program by the Financial Aid Office. The Compliance Assistant program allows the department to accurately track the financial aid limits for both individual student-athletes as well as team financial aid limits. In addition to the above measures, the NAU Compliance Office has the following safeguards in place to ensure that financial aid is disbursed in accordance with NCAA regulations:

• Outside Aid Reporting Form:

All incoming student-athletes are required to submit an outside aid reporting form to the Compliance Office prior to initially enrolling at NAU. This form helps to determine if a student-athlete is receiving a scholarship from an outside entity, such as a local High School Booster club. Having this information in advance helps to determine ifthat scholarship needs to count towards the individual or team limits.

• Monthly Stipend Checks:

NAU student-athletes who chose to live off-campus receive the room and board portion of their scholarships via a monthly stipend check. Distributing the stipend monthly helps to avoid over-awards in situations where aid is cancelled in the middle ofthe semester.

• Textbook Accounts: NAU textbook scholarships are issued in the form of an account credit at the Follett's Bookstore on the

NAU campus. The accounts do not permit the holder to use the credits for anything but textbooks and the Compliance Office receives original copies of register receipts from all book account transactions.

• Student-Athlete Employment:

All NAU student-athletes are issued an employment form twice per year, once at the start of the academic year and again at the end of the academic year. Students can also request an employment form at any point during the year. The Compliance Office verifies hourly rates for all employed student-athletes and does spot checks on timecards and pay stubs.

SLIDE 3

University

• f Arizona

Athletics Compliance

• A. Mission: "Integrity is indispensable

to an intercollegiate athletics program, for without it sport loses its true meaning. The University Of Arizona Department Of Intercollegiate Athletics believes that administrators, coaches, and student-athletes in concert with all members of the University community, must share a total commitment to abiding by the rules and regulations of the NCAA, the allied conference and the institution, in their endeavor to be successful."

• B. Compliance

Department provides an administrative mechanism for ensuring institutional control and integrity through the system of checks and balances involving several entities within the University responsible for the various aspects of University, NCAA and Pacific-I 2 Conference rules and regulations [e.g., Financial Aid, Eligibility, Recruiting, etc.].

• C. Compliance

Goals and Responsibilities:

• I. Develop through education an active awareness and understanding
• f "compliance"

within the ranks of the University of Arizona's coaches, staff members, student-athletes [their parents], and representatives

• f

the institution's athletics interest [boosters].

• 2. Provide Compliance Monitoring

including, but not limited to: NCAA Squad Lists, Team and Individual Student-Athlete Financial Aid Limits, Eligibility for Practice and Competition, Recruiting, Institutional Camps/Clinics, Playing and Practice Seasons, Coaches Activities in Local Sports Clubs, Coach's Athletically Related Income, and the institution's National Letter ofIntent participation.

• 3. Provide Administrative

Services to Staff, Coaches and Student-Athletes including, but not limited to: Student-Athlete Financial Aid, Book Scholarship Program, Drug Testing Program, Student-Athlete Eligibility, Recruiting (e.g., Approval of Official Visits, Recruiting Phone Calls, Complimentary Admissions and Permissible Recruiters), Liaison with NCAA Eligibility Center and providing Rule Interpretations to coaches, staff, etc.

• 4. The Compliance Department

cooperates fully with NCAA and Pac-12 investigations, and takes appropriate corrective actions when infractions involving NCAA, Pac-12 and Institutional regulations

• ccur. The Compliance Department has the responsibility
• f acting as the Primary Internal Investigator

involving Secondary Infractions.

• D. Audits and Evaluations:
• 1. NCAA Annual-Agreed

Upon Procedures Audit of Revenue and Expenses.

• 2. NCAA Self-Study and External Peer Review covering Governance

and Compliance, Academic Integrity and Diversity, and Student-Athlete Well Being; Every 10 years; last certification completed in 2008; UA received a 100% score, no recommendations. (Note: NCAA has restructured the certification program recently - details to be announced).

• 3. NCAA Rules Compliance Evaluation; once every 4 years; results provided to ABOR; last evaluation

performed in 2008 with no significant recommendations; next evaluation to be completed in 2012.zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA

• E. Compliance

Staff: Bill Morgan (Associate

• ,Alt..D. for Compliance),

Lisa G. Watson (Compliance Coordinator Financial Aid), Gretchen Bouton (Compliance Coordinator Eligibility), Preston Wages (Compliance Coordinator Monitoring) and Stella Montante (Program Coordinator).

SLIDE 4

Arizona Board of Regents Audit Committee Arizona State University Athletics Compliance Program November 30, 2011zyxwvutsrqponmlkjihgfedcbaZYXWVUTSRQPONMLKJIHGFEDCBA

ARIZONA STATE UNIVERSITY ATHLETICS COMPLIANCE

1. COMPLIANCE STAFF STRUCTURE. The president delegated athletics compliance responsibility to the Office

• f General

Counsel which provides advice and counsel to the athletics department through its compliance staff. OGC has assigned the oversight

• f the compliance

staff to a newly created position, the Executive Director of Athletics Compliance. The staff is further comprised

• f an Associate

Athletics Director (.50 FTE), Assistant Athletics Director, Compliance Manager, Compliance Assistant, and a full-time Management Intern. II. COMPLIANCE MEASURES. The objective of ASU's compliance program is to deter and detect violations

• f NCAA

legislation through:

• Established athletics compliance standards and procedures.
• Communication
• f standards and procedures to institutional

athletics stakeholders through all-coach meetings, newsletters, e-mail and one-on-one consultations.

• Determination
• f adherence thereto through monitoring and auditing systems.
• Prompt

and effective investigation and reporting

• f

potential NCAA and conference violations.

• Assignment of sport oversight to individuals within the athletics administration.

To accomplish this, ASU conducts rules education for departmental staff through various formats and has established practices for monitoring adherence to athletics compliance standards and procedures, including, among other things, newly acquired compliance software, electronic and written logs, administrative and compliance staff

• n-site

assessments, interpretation request protocol and comprehensive student-athlete forms. III. AUDIT FUNCTIONS. The Pacific-12 Conference Office conducts an on-site review

• f the

department's compliance systems

• nce

every four years as required under NCAA legislation. Additionally, ASU requested and receives continuous athletics department auditing from its University Audit staff. The staff regularly performs audits on the following areas of the compliance program: Awards and Extra Benefits, Camps and Clinics, Coaching Staff Limitations, Complimentary Admissions, Eligibility, Financial Aid, Booster Club Expenses, Playing and Practice Seasons, Recruiting, Employment, Team Travel, Telephone Contacts and Ticket Office Procedures. Typically, three to four areas are audited each year.