INSTITUTIONAL COMPLIANCE PROGRAM

Transcription

1 INSTITUTIONAL COMPLIANCE PROGRAM Compliance with NCAA, Atlantic Coast Conference and institutional rules is a shared responsibility requiring the support of numerous constituencies both on- and off-campus. In directing this cooperative effort, the University of Maryland Athletics Compliance Office serves to educate key groups and stakeholders about relevant rules and regulations, coordinate policies and procedures to effectively adhere to these rules and regulations, and implement systems to monitor the effectiveness of these policies and procedures. The NCAA Constitution dictates that the University of Maryland is responsible for the actions of its coaches, administrators, staff, student-athletes, alumni, fans, and friends. With that in mind, it is expected that all persons associated with the University of Maryland make a concerted effort to adhere to all pertinent NCAA, ACC and institutional rules and policies. Even inadvertent violations can result in penalties for student-athletes and the University. Therefore, we urge everyone to Ask Before You Act. Mission Statement The University of Maryland Athletics Compliance Office is charged with coordinating, monitoring, and verifying compliance with all NCAA, Atlantic Coast Conference, and institutional rules and regulations, while serving to educate the various internal and external constituencies of the University about these rules and regulations. The Athletics Compliance Office is committed and compelled to the principle of institutional control in the operation of the athletics department in a manner that is consistent with the rules and regulations of the NCAA, ACC and the University. Vision Statement 1. Conduct the athletics program with the utmost integrity to best ensure compliance with the letter and spirit of NCAA and ACC rules through a combination of education, sound policies and procedures, monitoring, and when necessary, proper investigative measures. 2. Educate our boosters, student athletes, coaches and staff through in-person educational presentations and wide distribution of NCAA rules to best ensure compliance and no major violations due to "lack of institutional control." 3. Self report any violations to the ACC office and/or NCAA, as appropriate, in a timely and responsible manner. 4. Utilize committee and subcommittee meetings of the campus-wide Committee of the Whole to oversee areas of responsibility to ensure NCAA compliance via use of appropriate processes and policies. 5. Review any alleged violations with the goal of securing accurate data and responding, if warranted, via communications to the NCAA staff regarding such reviews and possible findings. These reviews are done in coordination with the UMCP Legal Office and the Faculty Athletics Representative, along with the Director of Athletics and the Associate Director of Athletics for Compliance, utilizing a specific, approved University process. Institutional Comp liance Prog ram Page 1

2 Compliance Principles Principle of Institutional Control It is the responsibility of each member institution to control its intercollegiate athletics program in compliance with the rules and regulations of the NCAA. The institution's chief executive officer is responsible for the administration of all aspects of the athletics program, including approval of the budget and audit of all expenditures. Principle of Institutional Responsibility The institution's responsibility for the conduct of its intercollegiate athletics program includes responsibility for the actions of its staff members and for the actions of any other individual or organization engaged in activities promoting the athletics interests of the institution. Principle of Rules Compliance Each institution shall comply with all applicable rules and regulations of the NCAA in the conduct of its intercollegiate athletics programs. It shall monitor its programs to assure compliance and to identify and report to the NCAA instances in which compliance has not been achieved. In any such instance, the institution shall cooperate fully with the NCAA and shall take appropriate corrective actions. Members of an institution's staff, student-athletes, and other individuals and groups representing the institution's athletics interests shall comply with the applicable NCAA rules, and the member institution shall be responsible for such compliance. Education Utilize a variety of educational methods (newsletters, in person sessions, team & coach meetings, etc.) Provide key constituencies with updated information on new rules, current violations Maintain high level of access to compliance staff Continually evaluate quality and effectiveness of educational programming Institutional Comp liance Prog ram Page 2

3 Policies & Procedures Clearly outline and communicate roles and responsibilities to all constituencies Utilize technological advances to improve and streamline all forms and procedures Review and update all policies and procedures on an annual basis Monitoring Review athletics program activities according to an annual audit plan Implement a standard and comprehensive system of audits and log requests for each sport Enforcement Investigate in a thorough and timely manner all allegations regarding rules violations Apply consistent and appropriate penalties to any violations discovered Ensure all corrective actions are completed Institutional Compliance Committee of the Whole The University of Maryland Compliance Committee of the Whole is intended to serve as an issues and education forum for the myriad of campus departments that engage in the daily operation of the athletics compliance process. The Committee is charged with reviewing and evaluating the overall compliance procedures for the University and making future recommendations based on these observations. The Committee of the Whole will be required to meet at least once per semester. Current members of the Institutional Compliance Committee of the Whole include: Dan Trump, Senior Associate Athletics Director of Compliance, CHAIR Alex Eaton, Assistant Director of Compliance Cody Gambler, Assistant Director of Compliance Mathew Franck, Assistant Director of Compliance Dr. Nicholas Hadley, Faculty Athletics Representative Chris Uchacz, Associate Athletics Director/ASCDU Jennifer Riggs, Associate Registrar, Certifying Officer Ernest Cartledge, Assistant Registrar Sarah Bauder, Assistant Vice-President, Director of Financial Aid Jill Bordatto, Assistant Director of Financial Aid Mike Gore, Bookstore Michael Landi, Bursar Britt Reynolds, Director of Undergraduate Admissions The Committee of the Whole will include two sub-committees that will meet at the discretion of the chair for each sub-committee and convene as necessary. These sub-committees will include the Financial Aid Sub-Committee and the Eligibility/Certification Sub-Committee. Additional sub-committees may be added in the future upon the recommendation of the Committee of the Whole. Each sub-committee will be responsible for making recommendations to the Committee Institutional Comp liance Prog ram Page 3

4 of the Whole that are intended to improve the compliance process relating to their specific area of focus or concern. Additionally, each sub-committee will be responsible for conducting an annual review of the policies, procedures, forms, and documentation that compromise their specific area of focus. Each subcommittee, where appropriate, should establish calendars and/or flow charts that will illustrate and delineate their tasks. The Athletics Compliance Office will always be available to assist in the completion of sub-committee initiatives. A chair will be assigned for each sub-committee. The chair will be responsible for scheduling and arranging sub-committee meetings and informing its members. Prior to the start of each meeting, the chair must appoint one person to record the minutes from the sub-committee meeting and provide them for file in the Athletics Compliance Office following the meeting. Each sub-committee chair will be responsible for an annual report that will be presented at the conclusion of the spring semester during a meeting of the Committee of the Whole. Annual reports will be kept on file in the Athletics Compliance Office. Financial Aid Sub-Committee Purpose: Responsible for setting institutional policies and procedures for the administration of athletically-related aid in concert with NCAA and Atlantic Coast Conference rules and regulations. Current Members: Sarah Bauder, Financial Aid, CHAIR Jill Bordatto, Financial Aid Michael Landi, Bursar Dan Trump, Athletics Alex Eaton, Athletics Eligibility/Certification Sub-Committee Purpose: Responsible for implementing institutional policies and procedures regarding the eligibility and certification of student-athletes in concert with NCAA and Atlantic Coast Conference rules and regulations. Current Members: Jennifer Riggs, Registrar s Office, CHAIR Ernest Cartledge, Registrar s Office Dr. Nicholas Hadley, Faculty Athletics Representative Britt Reynolds, Admissions Dan Trump, Athletics Matthew Franck, Athletics Rules Education Program The University of Maryland Athletics Compliance Office is a strong proponent of NCAA rules education and believes that education is the most effective means of preventing rules violations. The rules education program is designed to provide a working knowledge of the rules. Therefore, as institutional staff members, coaches, and student-athlete become better educated, they also assume greater responsibility and accountability for their actions. Institutional Comp liance Prog ram Page 4

5 Each month, the Athletics Compliance Office will hold a rules education meeting on a specific compliance-related topic. Attendance at these meetings is open to any institutional staff member, however, the meetings will be directed towards coaches, whose attendance at these meetings is mandatory. Coaches who are unable to attend should notify their sport supervisor or the Director of Athletics directly. Meetings are held once per month. In addition to review of selected topics, the meetings will also serve to provide pertinent legislative and administrative updates related to athletics compliance. In addition to these meetings, all Athletics Department staff members will receive the monthly InTERPreter newsletter from the Athletics Compliance Office. The focus of the newsletter is to highlight important legislative updates, review athletics compliance-related topics, and remind recipients of important upcoming dates and events. Along with Athletics Department staff members, all members of the Institutional Compliance Committee of the Whole will also receive the newsletter. These persons will be responsible for disseminating any pertinent information to colleagues in their respective departments. Student-athletes receive a rules education presentation at required preseason team meetings. In addition, the Athletics Compliance Office will periodically supply student-athletes with a compliance newsletter designed to address issues and topics specific to them. Furthermore, the Athletics Compliance Office has developed an informational brochure directed at representative of athletics interests, or boosters, which has been distributed by the Terrapin Club and Ticket Office (in conjunction with season ticket distribution). Lastly, the athletics compliance web page on the Athletics Department web site provides educational pieces and links to pertinent information for all internal and external constituencies of the University of Maryland. Requesting Rules Interpretations Any individual may request a rules interpretation, to include all University employees and even members of the general public. Interpretation requests may occur verbally or in writing; whether it is via , phone call, in-person, etc. Written requests are strongly encouraged, however, when complicated issues arise in order to minimize the chance for potential misunderstandings of the question or answer. All questions or interpretations concerning NCAA legislation should be coordinated through the Office of Athletics Compliance. Please refer to the Bylaw responsibilities chart on who best to send your question. Reporting an Alleged or Potential Rules Violations Any individual, regardless of their affiliation with the University, may report an alleged or suspected rules violation. Such allegations or suspicions may be reported to the Athletics Compliance Office, the Director of Athletics, the Faculty Athletics Representative, or any Assistant or Associate Athletics Director. Should an alleged or suspected rules violation be communicated to any institutional staff member other than those previously mentioned, this staff member has an obligation to immediately notify the Senior Associate Athletics Director for Compliance or the Director of Athletics. Institutional Comp liance Prog ram Page 5

6 The University of Maryland is solidly committed to preserving and maintaining the integrity of its entire intercollegiate athletics program and those associated with it. As part of this commitment, each individual staff member of the University is obligated to report any violation of NCAA, Atlantic Coast Conference, or institutional rules should they become aware that a violation exists. Furthermore, intent to suppress such knowledge or the willful violation of an NCAA, ACC and/or University regulation regarding intercollegiate athletics may subject institutional staff members and officials to immediate disciplinary action or termination of employment. Likewise, student-athletes found to have violated any NCAA, ACC and/or University regulation will be subject to disciplinary actions pursuant to University policies and procedures, in addition to penalties handed down from the appropriate athletics governing body. NCAA Bylaw 10.1 mandates that all institutional employees will fully cooperate with any investigation by the NCAA, ACC or University of Maryland staff member of suspected rules violations. In accordance with NCAA rules and regulations, all suspected or alleged violations of NCAA rules shall be investigated. If it is determined that a violation has occurred, appropriate and adequate corrective measures will be taken, and a report of the violation will be submitted to the NCAA and/or the Atlantic Coast Conference, dependent on the nature of the violation. Keep in mind that due to the complexity and continually evolving nature of NCAA legislation, it is understood and all but expected that rules violations classified as "secondary" in nature will occur. In fact, the self-reporting of several inadvertent secondary violations annually is expected by both the NCAA and the Atlantic Coast Conference, and is viewed as evidence that compliance monitoring systems are in place and functioning both properly and effectively. Procedures for Investigating and Self-Reporting a Secondary Violation Once informed of an alleged violation, the Senior Associate Athletics Director for Compliance will conduct a preliminary investigation to gather the basic facts surrounding the incident. The Senior Associate Athletics Director for Compliance will notify the corresponding sport supervisor or department head, and all parties involved in the incident will be contacted directly and questioned about the matter. Based on the information gathered during the preliminary investigation, the Senior Associate Athletics Director for Compliance will determine whether or not a rules violation has occurred. If it is determined that no violation has occurred, a summary of the matter will be permanently filed in the Athletics Compliance Office and no further action is required. This summary of the incident should include: the date of the alleged violation and by whom it was reported, names of all persons involved, a synopsis of the investigatory actions, and the rationale for concluding that the allegation was inaccurate or that the situation did not constitute a violation of NCAA regulations. If the preliminary investigation reveals that a violation has occurred, the Senior Associate Athletics Director for Compliance will initiate a comprehensive investigation into the matter. As part of this investigation, all parties involved in the incident will be interviewed and written notes of the interviews and the investigation will be maintained. At the conclusion of the investigation, the Senior Associate Athletics Director for Compliance will meet with the appropriate sport supervisor or department head and the Director of Athletics to review the matter and determine appropriate punitive and corrective actions. Once the punitive and corrective actions have been Institutional Comp liance Prog ram Page 6

7 determined, the Director of Athletics Compliance will prepare the written self-report to be submitted to the NCAA and ACC. The written report should include: the date and relevant timeline of the violation, the names of all persons involved and what role they played in the violation, the means by which the institution became aware of the violation, an explanation of the circumstances surrounding the violation, any mitigating factors, the cause of the violation, and a list of corrective and/or punitive actions taken by the institution in response to the violation. If the secondary violation is determined to be Level II in nature, the institution will self-impose any necessary penalties specifically prescribed by the NCAA, and the violation will be included on the self-reporting chart regularly submitted to the Atlantic Coast Conference on a monthly basis. If the secondary violation is deemed to be Level I in nature, the violation will be selfreported to the NCAA immediately, along with any student-athlete reinstatement requests should the violation require such action. The Senior Associate Athletics Director for Compliance shall be responsible for ensuring that all corrective actions are clearly communicated to the appropriate individuals and that they are carried out. Procedures for Investigating and Self-Reporting a Major Violation During the course of an investigation into a possible rules violation, if it is discovered that the potential exists for a major violation, the Senior Associate Athletics for Compliance will immediately notify the Director of Athletics, Faculty Athletics Representative and University General Counsel. In such cases, the Director of Athletics should promptly arrange a meeting that includes, at a minimum, the University President, Director of Athletics, Faculty Athletics Representative, University Counsel and the Senior Associate Athletics Director for Compliance. The President and Director of Athletics may include any other person in this meeting at their discretion. The purpose of this meeting will be to discuss the scope and severity of the potential violation and to assemble an institutional review committee responsible for thoroughly investigating the potential violation. The size and composition of the institutional review committee will be determined by the aforementioned group, but must include the University Counsel and the Faculty Athletics Representative. This committee will be charged with detailed fact gathering regarding the incident and shall move to study the reported violation and to understand the severity of the infraction. It is imperative that all information gathered is transcribed in writing, to include interviews with any persons involved in the incident. The institutional review committee has the discretion to solicit investigatory support from the NCAA and/or Atlantic Coast Conference if they choose. If it is discovered that no violation exists, a complete written summary of the review team s findings will be permanently filed in the Athletics Compliance Office and no further action will be required. If it is determined that a violation exists, but it is only secondary in nature, the Senior Associate Athletics Director for Compliance will ensure that the violation is self-reported in the appropriate manner as outlined above. If the findings suggest the potential for a major rules infraction exists, the President will be notified immediately and the Director of Athletics Compliance will report the incident to the NCAA enforcement staff. This same process will Institutional Comp liance Prog ram Page 7

8 apply for any potential major violation that is alleged by the NCAA against the institution. Alleged Violation Involving Other NCAA Institutions If any individual possesses knowledge of an alleged or suspected violation that involves another NCAA member institution, they may report this information to the Senior Associate Athletics Director for Compliance. The Senior Associate Athletics Director for Compliance will determine the best course of action for addressing the allegation based on the information provided. This course of action may include direct contact with the Athletics Compliance Office at the accused member institution to request that the alleged violation be investigated. Other responses may include contacting the Atlantic Coast Conference or the NCAA enforcement staff and requesting that they contact the accused institution or that institution's conference office. Any reported alleged violation of another institution must include pertinent and substantiated information in order for the allegation to be forwarded (e.g. who, what, why, where, when) Institutional Comp liance Prog ram Page 8