The following policies and procedures are to be used when allegations of NCAA rules violations occur and are designed to ensure the highest standards of ethical conduct and integrity in intercollegiate athletics.
A. Reporting of alleged violations
It is the responsibility of all coaches, staff, administrators, and persons associated with intercollegiate athletics, or any member of the university community, to report any incidents, which appear to be violations of NCAA rules. Failure on the part of any athletic department coach or staff member to report a violation is itself considered a violation of this policy. All alleged violations should be reported to the Director of Compliance for the Department of Athletics, unless such violation involves the Director of Compliance. Under such circumstances, the allegations may be reported to the Director of Athletics, Faculty Athletics Representative, or the Provost. The Director of Compliance is required to keep a written log of any such allegations, including the date, person involved, person making the allegation, and a description of the alleged violation. The Director of Compliance informs the Director of Athletics, the Faculty Athletics Representative and the Director of Legislative Services at the Conference Office both verbally and in writing of the allegations.
B. Processing and investigating alleged violations
In the case of an alleged secondary violation of NCAA rules, the Director of Compliance consults with the Director of Athletics, the Faculty Athletics Representative and the Atlantic 10 Conference Director of Legislative Services to establish a plan for investigating the allegations, including persons to be interviewed, documents to be obtained, etc. The Director of Compliance is responsible for conducting and completing the investigation. The findings of this investigation are then reviewed with the Director of Athletics, the Faculty Athletics Representative and the Atlantic 10 Conference Director of Legislative Services for determination as to whether or not a secondary violation occurred. In the event that there is substantive evidence to support the alleged violations, the Director of Compliance, Director of Athletics, and Faculty Athletics Representative develop a set of recommendations regarding corrective actions to be taken. These corrective actions are presented to the Provost for his or her approval prior to their implementation. A written summary of the violation and course of action is completed and distributed to the President, Provost, the Director of Athletics, the Faculty Athletics Representative and the Atlantic 10 Conference Director of Legislative Services.
In the case of an alleged major violation of NCAA rules, the Director of Compliance immediately notifies the President, the Provost, the Atlantic 10 Conference Director of Legislative Services, University Legal Counsel, the Director of Athletics, and the Faculty Athletics Representative. The President will then establish a committee to investigate the allegations. The committee should be chaired by the Faculty Athletics Representative and include University Legal Counsel, the Director of Athletics, the Provost, and the Director of Compliance for the Department of Athletics. In the event that such allegations involve any member of the compliance investigative committee, that person shall not serve on such committee and a replacement will be named by the President. The committee will meet and establish an investigative plan, including persons to be interviewed, documents to be obtained, etc. The committee will also assign investigative responsibilities. Upon conclusion of the investigation, the committee will meet and make a determination as to whether or not substantive evidence exists to indicate that a major violation has occurred. There will be a vote of all members of this committee, which will be recorded. In the event that a majority indicates that substantive evidence exists to support the allegations, the committee will then establish a set of recommendations for disciplinary actions. A final report indicating the investigative processes, findings, and recommendations will be forwarded to the President for final determination and disposition.
C. Communication to the NCAA
All violations are reported to the NCAA and correspondence regarding secondary violations must be co-signed by the Director of Compliance and the Director of Athletics with copies sent to the President, the Provost, the Faculty Athletics Representative, and the Atlantic 10 Conference Director of Legislative Services. In the event of major infractions, all correspondence must include the signature of the University President, the Faculty Athletics Representative, and Legal Counsel.
