Operating Principle

1.3 Rules Compliance

Membership in the Association places the responsibility on each institution to assure that its staff, student-athletes, and other individuals and groups representing the institution’s athletics interests comply with the applicable Association rules and regulations. Consistent with this responsibility, the institution shall demonstrate that:

1. It has in place a set of written policies and procedures that assign specific responsibilities in the areas of rules compliance to the individual the chief executive officer assigns overall responsibility for the athletics program.
2. In critical and sensitive areas, institutional compliance procedures provide for the regular participation of persons outside of the athletics department.
3. Rules compliance is the subject of an ongoing educational effort.
4. A clear and unambiguous commitment to rules compliance is a central element in all personnel matters for individuals involved in the intercollegiate athletics program.
5. At least once every three years, its rules-compliance program is the subject of evaluation by an authority outside of the athletics department. [Note: The effective date of this requirement is January 1998.]

Self-Study Items

1. Describe how the activities of the institution's athletics booster groups, support groups and other representatives of the institution's athletics interests are maintained under the clear control of the institution, including whether institutional personnel serve on booster-club, support group or foundation boards.

The Montana State University-Bozeman's Director of Intercollegiate Athletics’ Office has developed a brochure (See Appendix I-F) on the activities that the Booster Club can engage in without jeopardizing Big Sky Conference and NCAA compliance. This brochure is distributed to new Booster Club members and taken on road trips by coaches and the Director of Intercollegiate Athletics when visiting supporters throughout the state and nation. Additional information for operation procedures between the Athletic Department and the Booster groups can be found in Operating Principle 3.1 Financial Practices.

2. Identify, using an organizational or flowchart, how the institution has organized itself to maintain compliance with NCAA rules. Specify the individual (other than the institution's compliance officer/coordinator) who the CEO designates as being responsible for the institution's rules compliance. Also, include a description of the reporting lines for and responsibilities assigned to the faculty athletics representative, director of athletics, compliance coordinator (if any), coaches, and other key individuals inside and outside athletics (e.g., administrator monitoring permissible recruiting activities, registrar, financial aid officer, admissions director, internal auditor) who are responsible for documenting and monitoring compliance with NCAA rules.

While President Gamble holds ultimate responsibility for decisions regarding Montana State University-Bozeman’s athletics programs, he works closely with the Vice President for Student Affairs and the Director of Intercollegiate Athletics (AD). In tandem with this arrangement the AD and staff carry out the primary responsibilities for policy development and implementation through consultation with the President and Vice President for Student Affairs. (See Figure I-2, Montana State University-Bozeman's Organizational Chart.) During the past three-to-four years the Athletics Committee has seldom been consulted or asked to participate in policy development, evaluation of the effectiveness of existing policies and standards, or issues of student-athlete eligibility.

Determination of student-athlete eligibility, rules violation investigations, student-athlete reinstatement and regular reporting requirements are the primary responsibility of five individuals: the Director of Compliance/Senior Woman Administrator; the Assistant Director of Compliance; the Faculty Athletics Representative (FAR); the Athletics Academic Coordinator, who is a representative of the Registrar’s Office with the specific responsibility for monitoring student-athlete academic standing; and the Financial Aid Administrative Assistant, who is a representative of the Financial Aid Office with specific responsibility of monitoring grants-in-aid. The FAR has regular meetings with the President to keep him up-to-date on the University’s intercollegiate athletic programs’ compliance. The Assistant Director of Compliance files the requisite reports on time to both the NCAA and the Big Sky Conference and submits copies to the Director of Intercollegiate Athletics and FAR but has done so on her own initiative. The Athletics Academic Coordinator maintains current records of student-athletes’ grade-point averages and progress towards degree, reporting this information to the FAR. (See Academic Integrity Figure II-2)

Additionally, the coaching staff is also responsible for playing a role in monitoring, and staying compliant with NCAA guidelines. Their activities are guided by an awareness of NCAA guidelines and the University's academic standards. Coaches also frequently seek advice from the FAR and the Compliance Officer about specific situations if there are questions before taking any action. In addition, the coaches monitor the academic progress of their student-athletes. Section 4 of the "Compliance/Operations Manual" draft further defines the specific roles of those involved in the compliance process.

Until recently, neither the Athletics Academic Coordinator (the Registrar’s representative) nor the Assistant Director of Compliance had documented procedures for the reporting of potential rules violations. The Department of Intercollegiate Athletics has recently developed a "Compliance/Operations Manual" in which the reporting responsibilities of any suspected violation of NCAA or Big Sky Conference rules are defined. (Appendix I-G, page 9.4 of "Compliance/Operations Manual")

3. Describe the institution's rules-education efforts for student-athletes, Department of Intercollegiate Athletics staff members, other institutional staff members and representatives of the institution's athletics interests.

All student-athletes are required to go through the annual certification process before practice or participation in their sport. Students attend a meeting where they complete and sign the NCAA S-A Statement and NCAA drug testing consent form. Following, were the dates for the 2001-2002 season:

1. August 8, 2001 – Football
2. August 9, 2001 – Volleyball
3. August 29, 2001 – Men’s and Women’s Cross Country
4. August 30, 2001 – Women’s Golf
5. September 4, 2001 – Men’s Basketball and Men’s Tennis
6. September 5, 2001 – Men’s and Women’s Track
7. September 6, 2001 – Women’s Skiing
8. September 10, 2001 – Men’s and Women’s Track
9. January 22, 2002 – All new spring semester athletes in all sports

Students who are unable to attend the meetings at the designated time meet with the Assistant Director of Compliance individually. All students must be cleared to participate, and coaches receive a roster (Appendix I-H) to confirm the eligibility status of their student-athletes.

Pages 42-45 of the Student-Athlete Handbook include:

1. Booster assistance prohibitions
2. Athletic eligibility
3. Maintaining your amateur status
4. Hosting a prospective student-athlete
5. Transferring
6. Use of Department of Intercollegiate Athletics’office equipment

Appendix C (The Big Sky Fact Sheet) in the Student-Athlete Handbook states that all students are required to sign the conference historical questionnaire and required NCAA documents.

Appendix A in the Student-Athlete Handbook summarizes the NCAA regulations for Division I.

One source of education is through the NCAA recruiting test. Recruiting tests were taken on June 12, 2001; June 15, 2001; July 24, 2001; and November 1, 2001.

In addition, the Director of Compliance is in frequent contact with the Assistant Commissioner of Compliance for the Big Sky Conference to answer questions, provide interpretations, and learn about new legislation. Recent education procedures that have been implemented are monthly presentations by the Director of Compliance at all staff and coaches meetings concerning new NCAA legislation. In addition, all legislative updates are routinely distributed to staff members by the Assistant Director of Compliance.

4. Describe the procedures used by the institution to monitor student-athlete employment in compliance with NCAA legislation.

On pages 13-14 in the Student-Athlete Handbook, the NCAA legislation on earning legitimate on- or off-campus income is described. On page 14 it is stated that all student-athletes must check with coaches and the compliance office if the student is receiving any financial assistance in addition to partial or full grant-in-aid.

5. Describe, using specific examples, how the institution ensures that rules compliance is a central element in personnel matters. Also, please provide the following items for individuals inside and outside the Department of Intercollegiate Athletics who are involved in rules-compliance activities:

(a) Job Descriptions

Job descriptions are available on file in the office of the Director of Compliance. Two examples of position descriptions are provided (Appendix I-I). In the men’s assistant basketball coaches’ sample there are three examples that refer to rules compliance: 1) Number 2A states that the coach must comply to NCAA clearinghouse regulations; 2) Number 2H states that the coach must monitor for NCAA compliance; and 3) Number 8 states that "All duties must be completed within the confines of NCAA, Big Sky Conference, state of Montana, MSU and departmental rules and regulations."

(b) Contracts or Letters of Appointment

Contracts and letters of appointment are also available on file in the office of the Director of Compliance, and one example of each is provided. (Appendices I-J and I-K) The contract very specifically refers to and is subject to a job description and an attached "Special Terms and Conditions." The "Special Terms and Conditions" specifically require staff (coaches) to comply with NCAA, and Big Sky "laws, regulations, rules and guidelines." The letter of appointment includes the above "Special Terms and Conditions" as well.

(c) Personnel Evaluation Criteria

There is no evidence that the Department of Intercollegiate Athletics personnel have been periodically reviewed. In addition, no criteria for such reviews were found.

(d) Philosophy statements and other applicable section of policy manuals.

The Athletics Department Compliance/Operations Manual (draft) includes several statements illustrating Montana State University-Bozeman's commitment to rules compliance.  Evidence is found in Objective 10 of "MSU Department of Intercollegiate Athletics Objectives" stating that "all student-athletes and department staff complies with NCAA rules and regulations." (page 2.2).  In addition, an entire section of the manual is devoted to the organization, structure, enforcement, and commitment to rules compliance (pages 4.1-4.16). Additional documents that indicate the University’s commitment to rules compliance are found in the following documents:

1. Student-Athlete Handbook
2. Big Sky Conference Manual
3. Brochure given to Boosters--"A Guide to NCAA Rules
   for Alumni, Boosters, and Friends"

This commitment is not reflected in the Department’s web page and the Committee suggests that the University’s commitment to NCAA rules compliance be added.

6. Please attach written policies and step-by-step procedures that include assignment of specific responsibilities pertaining to the area of rules compliance in critical and sensitive areas, including, but not limited to, eligibility certification, investigation and self-reporting of rules violations, monitoring financial aid and monitoring recruiting.

In MSU's Department of Intercollegiate Athletics' Compliance Organizational Chart (Figure I-3), the individuals with responsibilities pertaining to the area of rules compliance are identified.

Formal documentation on continuing eligibility processes and procedures are currently being developed. The flowchart in the Academics Integrity section, Figure II-2 reflects the actual process. While not formally documented, a process does exist and is reflected in the following: 1) Eligibility certification is done using a roster checklist (Appendix I-H); 2) An example of monitoring financial aid is provided in Appendix I-L; and, 3) Monitoring recruiting includes auditing phone logs, official visit forms, and recruiting travel documentation. An example of a phone log is provided in Appendix I-M.

Procedures for the Student-Athlete Grievance Hearing are located in Appendix G in the Student-Athlete Handbook and describe the process used in sensitive areas regarding student-athletes. The procedure is documented and set in place, but has not been necessary to use.

A sample letter (Appendix I-N) is provided to demonstrate how student-athletes are notified of financial aid cancellation. Coaches must provide student-athletes with this document and have it signed to inform students if their financial aid is being cutback or withdrawn.

7. Please attach documentation related to periodic evaluation of the institution’s rules-compliance program by an authority outside of athletics.

Please refer to Appendices I-O and I-P for the 1997 and 2001 NCAA review.