Compliance Lessons from January-March 2011 Infractions Decisions  

The NCAA Division I Committee on Infractions issued four infractions reports during the January 7, 2011, to March 10, 2011, period. The Committee on Infractions decisions reinforced NCAA member institutions' obligation to organize, fund and operate proactive rules-compliance programs.

INFRACTIONS REPORTS SUMMARY

Southern Methodist University (March 10, 2011)
Disposition Method: Summary disposition
Violation Summary: Violations involving impermissible text messages sent by members of the men's basketball staff to parents of prospective student-athletes.

University of California-Berkeley (February 25, 2011)
Disposition Method: Hearing
Violation Summary: Violations of NCAA legislation governing recruiting telephone calls committed by members of the men's basketball coaching staff. 
 
University of Connecticut (February 22, 2011)
Disposition Method: Hearing
Violation Summary: Violations of NCAA legislation involving: impermissible recruiting of a prospect by a representative of the institution's athletics interests; impermissible phone calls and text messages; impermissible inducements; impermissible entertainment; unethical conduct; failure to promote an atmosphere for compliance; and failure to monitor by the institution.

Texas Tech University (January 7, 2011)
Disposition Method: Summary disposition
Violation Summary: Violations of NCAA legislation regarding impermissible text messaging sent by members of the men's golf, football and softball staffs resulting in failure to promote an atmosphere for compliance.

BEST PRACTICES AND SOLUTIONS

Presidents/chancellors, general counsel and athletics administrators should consider implementing the following best practices, strategies and tactics to minimize the rules-violations identified by the Committee on Infractions in the cases described above: 

• Incorporate (on a monthly basis) items concerning NCAA legislation and interpretations regulating text messages into the institution's rules-education program. The institution can use case studies, newsletter columns, e-mail reminders, hypotheticals, small-group discussions, video presentations, outside speakers and other techniques to address all scenarios and issues that could implicate NCAA text message legislation (e.g., messages sent during official paid visits, "informational" and "logistical" messages, messages delivered after a prospect verbally commits).
• Incorporate a provision concerning the institution's expectations for compliance with NCAA Bylaw 11.1.2.1 (head coach monitoring provision) into head coaches' employment agreements. 
• Enhance the rules-education program for head coaches with a greater emphasis on the coaches' duty to uphold NCAA Bylaw 11.1.2.1 (head coach monitoring provision). In particular, the institution can provide head coaches with strategies and techniques to comply with the legislation during head coaches compliance workshops or individual meetings with the compliance staff.
• Consider the purchase, and use of, commercially-available athletics management software to assist the institution with tracking, monitoring and auditing telephone contacts and text messages between coaches, athletics staff and prospective student-athletes.
• Conduct more frequent verifications, spot-checks, cross-references and audits of recruiting logs and telephone records.
• Identify an administrator responsible for coordinating the institution's compliance with self-imposed or NCAA-mandated penalties. The administrator also should be responsible for providing the president and director of athletics with a report (e.g., quarterly, biannually) summarizing the institution's compliance with outstanding penalties.
• Implement policies and procedures to conduct due-diligence reviews of high-profile prospective student-athletes during the recruiting process and/or prior to initial full-time enrollment.
• Provide an ethics education and training program for all institutional personnel with athletically-related responsibilities (with emphasis on NCAA ethical-conduct legislation).

The complete infractions reports can be reviewed and downloaded on the NCAA website, www.ncaa.org.

Spring Webinar: "Top Ten Things to Consider When Your University is Confronted with an NCAA Enforcement Investigation"

Date: Wednesday, April 27, 2011
 

Time: 12 noon to 1:00 pm EDT (9:00 am to 10:00 am PDT)

Course Summary: A telephone call or letter from the NCAA enforcement staff to a college or university concerning the staff's receipt of an alleged rules-violation is the start of a complex, daunting and high-profile investigative and administrative process. The webinar will provide participants with the "top ten things" presidents, general counsel, athletics administrators and other institutional employees should consider before and during the NCAA enforcement process. In fact, over the course of the 60-minute web-based workshop, the participants will review the best practices, techniques and strategies to place their colleges and universities in the best position prior to, and during the course of, an NCAA infractions case.

Click here to find out more information on, or to register for, this workshop. 

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