Follow us on Twitter!
@GaelsCompliance
Saint Mary’s College Coaches & Athletic Administration Newsletter ∙ November 2013
IMPORTANT DATES

November 11-14 –
Dead Period

November 13-20 –
Signing Date for All
Sports Except
Soccer/Cross
Country/Track
This Month in
Compliance:

Head Coach Control:
Who’s Responsible?
3 Tips for Living
Within Bylaw 11.1.2.1

NLI Signing Publicity
Reminders

NLI Signing

Compliance Tip:
Scouting

November Reminders

Did you Know…?
KNOW THE RULES… Head Coach Control:
Who’s Responsible? 3 Tips for Living
Within Bylaw 11.1.2.1
Published by: Ice Miller LLP
Most NCAA Division I athletics leaders and head coaches are aware of the
new NCAA Division I enforcement model's heightened emphasis on head
coaches' personal responsibility for NCAA violations in their programs.
However, some athletics leaders and head coaches neither appreciate the
severity of potential penalties associated with this heightened emphasis nor
understand how head coaches can best minimize their exposure to these
penalties.
NCAA Bylaw 11.1.2.1 (Responsibility of a Head Coach) applies to all
Division I head coaches, not just football and basketball coaches. The bylaw
mandates that a head coach "shall promote an atmosphere of compliance" and
"shall monitor the activities of all assistant coaches and administers who
report directly or indirectly" to the head coach. The head coach is "presumed
to be responsible" for the compliance misconduct of his or her assistant
coaches and administrative staff members. Consequently, if an assistant coach
or staff member of any Division I program commits a Level I or Level II
violation, that program's head coach is presumed to be subject to personal
sanctions for a corresponding violation of Bylaw 11.1.2.1. These sanctions
include a suspension from coaching for up to a full season for a Level I
aggravated violation and a half season for a Level II aggravated violation,
even when the head coach is not personally involved in the underlying
impermissible conduct. In order for a head coach to prevent the application of
Bylaw 11.1.2.1, the head coach must overcome the bylaw's presumption of
responsibility.
Overcoming Bylaw 11.1.2.1's presumption of responsibility for compliance
misconduct by assistant coaches and staff members requires demonstrated
personal action by a head coach. A head coach cannot simply rely upon the
efforts of a school's athletics compliance office (no matter how good that
compliance office is) to demonstrate the head coach's commitment to
compliance. As explained by the NCAA enforcement staff, "That's why it's
called 'head coach control' and not 'compliance office control.'" Similarly,
although a head coach can delegate specific compliance duties to assistant
coaches or staff members, the head coach must regularly follow-up regarding
those duties. For example, a head coach is unlikely to get credit for assigning
an assistant coach to monitor and record a program's practice hours if the head
coach cannot document following-up with the assistant coach regarding the
monitoring and recording process.
1
Head Coach Control cont…
Bylaw 11.1.2.1 does not provide a "safe harbor" whereby a head coach can take specific actions to automatically
overcome the bylaw's presumption of responsibility for compliance misconduct by assistant coaches and staff members.
As explained by the NCAA enforcement staff, a head coach's demonstrated efforts to promote and monitor compliance
can be "all for naught" if the head coach "becomes aware of 'red flags' and does not report them" to the school's athletics
compliance office. However, head coaches can act to best position themselves to overcome Bylaw 11.1.2.1's
presumption of responsibility. Plus, even if a head coach's actions fail to prevent the application of Bylaw 11.1.2.1, they
can positively influence the Committee on Infractions and help mitigate the severity of the sanctions imposed upon the
head coach. To build a basis for overcoming Bylaw 11.1.2.1's presumption that a head coach is responsible for
compliance misconduct by assistant coaches and staff members, the head coach must act in three broad areas that the
NCAA enforcement staff will scrutinize: communication, monitoring and documentation.
Communication– At least annually, a head coach should meet with his or her school's CEO about compliance. The
school's AD and top athletics compliance officer should also attend this meeting, which can be a group meeting with
other head coaches. If the CEO is unavailable, it is important for a coach to document a meeting request (through, for
example, an email to the AD). At least annually, a head coach should also meet with the school's AD and faculty
athletics representative (FAR) to discuss the AD and FAR's compliance expectations, the compliance resources available
to the head coach's program, the notion of "shared compliance responsibility" and the head coach's compliance
education and monitoring plans. Each semester, a head coach should meet with the school's top athletics compliance
officer to review the topics discussed with the AD and FAR and to discuss how to alert the athletics department's
compliance office about "red flags," how to obtain NCAA bylaw interpretations and how to pursue waivers of NCAA
legislation. Each semester, a head coach should meet with his or her assistant coaches, staff members and studentathletes to discuss the head coach's compliance expectations; the CEO, AD and FAR's compliance expectations;
cooperation with the athletics department's compliance office; and promptly reporting compliance "red flags." Beyond
these specific compliance-focused meetings, a head coach should establish a habit of regularly mentioning the
importance of compliance in (i) coaching staff and team meetings; (ii) booster, alumni group and civic appearances; (iii)
TV/radio shows and webcasts; and (iv) camps and clinics.
Monitoring – A head coach's compliance monitoring activity must evidence a commitment to maintaining awareness
about compliance "red flags" and promptly reporting identified red flags to the athletics department's compliance office.
A head coach should schedule regular presentations by the athletics department's compliance office to the head coach
and his or her assistant coaches, staff members and student-athletes. These presentations should focus on awareness of
"hot button" issues like booster conduct, third-party recruiting involvement and other topics selected by the compliance
office. The head coach should regularly ask assistant coaches and staff members questions to gage their awareness of
potential compliance red flags and should solicit their questions and concerns about compliance issues. A head coach
should establish a procedure for reporting identified compliance red flags to the athletics department's compliance office
and communicate the procedure to assistant coaches and staff members in writing. If a compliance red flag is spotted,
the head coach should make sure the established reporting procedure is promptly followed. Other compliance
monitoring steps a head coach can take include designating a primary program liaison to the athletics department's
compliance office and delegating specific compliance duties to particular assistant coaches and staff members (e.g.,
specific individuals to monitor CARAs, recruiting calls, PSA official and unofficial visit travel arrangements, etc.).
However, the head coach must regularly follow-up regarding any delegated duties. Additionally, a head coach should
make sure that rules compliance is addressed in annual evaluations of assistant coaches and staff members.
Documentation – A head coach's contemporaneous, or simultaneous, documentation of his or her compliance
communication and monitoring activity is essential to overcoming Bylaw 11.1.2.1's presumption that the head coach is
responsible for compliance misconduct by assistant coaches and staff members. As explained by the NCAA
enforcement staff, "If it's not documented, it doesn't exist," and, "If it's not contemporaneous, it's not worth as much."
The types of compliance activity a head coach should contemporaneously document include (i) compliance-focused
meetings with the school's CEO, AD, FAR and top athletics compliance officer; (ii) compliance-focused meetings with
assistant coaches, staff members and student-athletes; (iii) the establishment of compliance monitoring and reporting
procedures; (iv) the delegation of compliance duties and subsequent follow-up; and (v) all communication with the
athletics department's compliance office. The form of the documentation is not as important as its contemporaneous
creation and retention. Agendas or brief notes from meetings in which compliance is a subject can be saved in a binder,
and compliance related emails to or from anyone in a head coach's program can be electronically copied to a designated
email address or saved in an on-line folder. The key is for the head coach and his or her assistant coaches and staff
members to habitually document their compliance communication and activity.
Although it is impossible to guarantee that a head coach's specific actions will overcome Bylaw 11.1.2.1's presumption
NLI Signing Publicity
Reminders

Media releases are NOT
limited in number or content
and can be released to media
outlets normally used by the
institution.

A coach may participate in
media activities (e.g.,
interview) devoted
exclusively to discussing a
signed PSA provided the
institution does not initiate
or arrange the media
activity.

It is not permissible for a
coach to make any comment
on a PSA who has not
signed a NLI or accepted a
written offer of admission
and/or financial aid with the
institution or by making a
deposit.

Booster clubs or “friends” of
the program are generally
not considered normal
media outlets. It is not
permissible to send copies
of press releases with
information regarding
signees to these individuals.

An institution may show
video clips of a PSA during
its announcement of the
PSA’s signing, provided
such publicity occurs
AFTER the PSA has signed
a NLI or accepted an
institution’s written offer of
admission/financial aid.
Other PSAs may appear in
the video clips, provided the
focus of the clips is related
to the PSA who has
committed to the institution.

Subsequent to the initial
release on the official SMC
website, a coach is permitted
to release information on
other websites (i.e. social
networking sites).
National Letter of Intent Signing
The signing date for all sports except soccer and cross country begins
Wednesday, November 13 – November 20, 2013. The PSA must sign the NLI
within this period, otherwise the NLI is invalid. In addition, SMC must file the
NLI with the WCC office within 21 days of the final signature. The PSA must
be registered with the NCAA Eligibility Center, placed on the IRL, completed
their Amateurism Certification questions (see new rule below), and reviewed by
admissions prior to issuing a NLI or athletic financial aid agreement.
Requirements Before Providing an NLI to a Prospective Student-Athlete
A PSA, including a two-year
college transfer, must register
with the NCAA Eligibility Center
and be on an Institutional Request
List (IRL) before an institution
can provide an NLI to the PSA.
In Division I, a prospective
student-athlete must also
omplete the Eligibility Center
amateurism (sport participation)
questions.
NOTE: Do NOT release the names
of your signees until you are
positive the NLIs are valid. All
press releases related to signees
must have compliance approval
prior to being released to the media.
When an NLI is declared valid by
the WCC, Compliance will
contact the Head Coach and the
Associate A.D. for
Communications.
Compliance Tip: Scouting
The soccer coaches at Ocean State University (OSU) would like to go watch a
first round game in the NCAA soccer tournament. An institution in the area is
hosting a team that OSU will be playing this spring during the nonchampionship segment.
Is it permissible for the OSU coaches to attend the NCAA tournament game
since they will be playing one of the teams in the spring?
Yes. NCAA Staff Interpretation- 8/13/13- Scouting Restrictions not
Applicable to NCAA Championships (I) - states that the off-campus, inperson scouting prohibition does not preclude an institution's coaching staff
from attending an NCAA championship contest in which a future opponent
3
participates (e.g., an opponent on the institution's non-championship segment
schedule participates in a fall NCAA championship).
Saint Mary’s College Compliance Staff
Stephanie Shrieve
Assistant A.D. for
Can
Compliance
Piper Brewster
Coordinator of Compliance
and Athletic Eligibility
PHONE:
(925) 631-4952
PHONE:
(925) 631-4956
E-MAIL:
[email protected]
EMAIL:
[email protected]
2013-14 NLI SIGNING DATES
SPORT
INITIAL
SIGNING DATE
FINAL SIGNING
DATE
Basketball (Early
Period)
Basketball
(Regular Period)
Soccer & Cross
Country
All Other Sports
(Early Period)
All Other Sports
(Regular Period)
November 13, 2013
November 20, 2013
April 16, 2014
May 21, 2014
February 5, 2014
August 1, 2014
November 13, 2013
November 20, 2013
April 16, 2014
August 1, 2014
November Reminders
Squad List Update – ADDITIONS/REMOVALS
Now available on www.SMCGaels.com/Compliance - Squad
List Additions form and Squad List Removals Form. Please use
these anytime someone quits or is cut from the team or is
attempting to add to the team. For additions, the SA must first
meet with Compliance, then Student Services and then Athletics
Training. Only then will they be officially added to the squad
list. For removals, the SA must first meet with the sports
administrator, then Athletics Training and then Compliance.
Financials Aid and terms of a release should be discussed by the
head coach with Compliance prior to the SA meeting with
Compliance.
Spring Transfers
Let compliance know about any Spring transfers or incoming
SAs so that we can make sure that we have all documentation
that we need (e.g., permission to contact, tracer report,
transcripts, etc.).
Admissions Forms
Please remember to use the updated purple and green sheets
when requesting PSA evaluations from Admissions & Financial
Aid. Make sure to completely fill in all information. Also, make
sure to have all PSAs complete to Net Price Calculator.
Saint Mary’s College Athletics Compliance Office
1928 Saint Mary’s Rd
Moraga, CA 94556
Fax: (925) 376-7049
www.SMCGaels.com
Fall Recruiting Calendar
(Sports Subject to Recruiting Calendar)
Baseball:
November 1-10
November 11-14
November 15-30
Contact Period
Dead Period
Quiet Period
Men’s Basketball:
November 1-10
November 11-14
November 15-30
Contact Period
Dead Period
Contact Period
Women’s Basketball:
November 1-10
November 11-14
November 15-30
Evaluation Period
Dead Period
Evaluation Period
Softball:
November 1-10
November 11-14
November 15-27
November 28-30
Contact Period
Dead Period
Contact Period
Quiet Period
Cross Country:
November 1-22
November 23-24
November 25-30
Contact Period
Dead Period
Contact Period
Volleyball:
November 1-10
November 11-14
November 15-30
Contact Period
Dead Period
Contact Period
Lacrosse:
November 1-10
November 11-14
November 15-26
November 27-30
Contact Period
Dead Period
Contact Period
Quiet Period
DID YOU KNOW?
NCAA Bylaw 16.11.1.6 states that
an institution may provide student-athletes
with reasonable refreshments (e.g., soft
drinks, snacks) for student-athlete
educational and business meetings and,
on an occasional basis, for celebratory
events (e.g., birthdays). [R] (Adopted:
10/28/99)
Office of Athletics Compliance is
located in Madigan Gym.
Follow us on Twitter:
@GaelsCompliance