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Head Coach Control and Guidance

1. HEAD COACHES' RESPONSIBILITIES
Per Bylaw 11.1.2.1, a head coach is presumed to be responsible for the actions of all assistant coaches and administrators who report, directly or indirectly, to him or her.

The head coach shall promote an atmosphere of compliance within his or her program and shall monitor the activities of all personnel involved with the program who report, directly or indirectly, to him or her.

2. LEVEL I & II
(I)These are severe breaches of conduct, violations that seriously undermine or threaten the integrity of the NCAA collegiate model.. including any violation that provides or is intended to provide a substantial or extensive recruiting, competitive or other advantage, or a substantial or extensive impermissible benefit.

(II)Significant breaches of conduct, violations that provide or are intended to provide more than a minimal but less than a substantial or extensive recruiting, competitive or other advantage; includes more than a minimal but less than a substantial or extensive impermissible benefit; or, involves conduct that may compromise the integrity of the NCAA collegiate model.

If a head coach violates Bylaw 11.1.2.1, because of a Level I or II violation, he/she may be suspended, pursuant to a show-cause order, for an entire season for a Level I and half of a season for a Level II violation. Exact time would depend on the mitigating and/or aggravating circumstances surrounding the violation.

Scenarios:

  • Engaging a third party in the recruiting process. If the head coach becomes aware of a booster having impermissible telephone and in-person off campus recruiting contacts with PSAs but fails to stop/discourage the activities or report the violation.
  • Impermissible benefits to SAs. An assistant coach, who previously worked for an agent, aids agent in recruitment of a SA by arranging telephone calls between agent and SA and helping organize off-season training for SA with agent's preferred trainer. During this time, head coach fails to ask any questions of assistant coach regarding his relationship with agent.
  • Impermissible inducement to PSAs. A booster provides six football SAs with payment for work not performed at booster's business. After violations were discovered by compliance, it was determined that head coach learned of the violations but failed to take any action other than telling the SAs to "keep their nose clean."
  • Multiple impermissible recruiting contacts. Over the course of a year, football coaching staff had several early and off-campus contacts with PSAs and their families. Two assistant coaches and head coach, collectively, had seven impermissible recruiting contacts, including two off-campus meals during unofficial visits, four early contacts with a sophomore and two juniors, and an off-campus meeting with a junior PSA's father and uncle after a junior day camp.
  • Examples of Level I: lack of institutional control; academic fraud; failure to cooperate in an NCAA enforcement investigation; individual unethical or dishonest conduct; or head coach responsibility violation by a head coach resulting from an underlying Level lI violation by an individual within the sport program.
  • Examples of Level II: violations that do not rise to the level of Level I violations and are more serious than Level III violations; failure to monitor; systemic violations that do not amount to a lack of institutional control; multiple recruiting, financial aid, or eligibility violations that do not amount to lack of institutional control; or collective Level lII violations.

3. LEVEL III
Breach of Conduct, are isolated or limited in nature; provide no more than a minimal recruiting, competitive or other advantage; and, do not include more than a minimal impressible benefit. Remember that multiple Level IV violations may be considered a breach of conduct.

Penalties can include suspension of the head and/or the involved assistant coach from all coaching related activities for one or more contests and significant recruiting restrictions.

Enhanced penalties for ALL SPORTS can be given for certain violations

  • In-person, off-campus contacts during a dead period, especially an NLI dead period
  • Exceeding the permissible number of contacts with a PSA
  • Intentional or significant game-day simulations and/or impermissible recruiting aids
  • Providing team gear or other inducements to PSAs
  • Violations that occur as a result of engaging nonscholastic third parties in the recruiting process
  • Impermissible benefits to SAs or inducements to PSAs by third parities that the coaching staff knows about or is involved with
  • Collective recruiting violations and/or other intentional recruiting violations
  • Providing written offer of athletically related financial aid to a PSA prior to Aug 1 of the PSA's senior year in high school.

Enhanced penalties for FB can be given for certain violations

  • Holding 7-on-7 events on institution's campus and/or otherwise attending or being involved in nonscholastic events

Enhanced penalties for MBB can be given for certain violations

  • Employment of IAWPs in noncoaching staff positions
  • Employment of an IAWP in institutional or men's basketball staff member's camp or clinic
  • Institutional camp or clinic offers a different participation, registration procedure, fee structure, advertisement and/or logistical experience than other camps
  • Institution or staff member provides money to a nonprofit foundation that expends the funds for the benefit of a nonscholastic team PSA(s) or an IAWP
  • Institution or staff member provides a consulting fee to an IAWP or to a consulting firm in which an IAWP has a proprietary or financial interest
  • Provision of event tickets to IAWPs in violation of NCAA legislation
  • Hosting of and/or involvement in nonscholastic events
  • Subscription to a recruiting services in violation of NCAA legislation

4. PROMOTING AN ATMOSPHERE OF COMPLIANCE
Head coach should communicate with and understand the expectations of the Superintendent, Athletic Director and senior compliance administrators and then communicate those expectations to the rest of the program's staff.

Head coach should regularly discuss potential red flags with the staff and seek assistance from the compliance staff when red flags are identified. The head coach is expected to ask questions if/when suspicious activity is identified.

The head coach should document all communication on and resolution of compliance and monitoring efforts with their staff.

Ultimate determination of whether a head coach has exercised proper control over his/her program rests with the Committee on Infractions, and a failure to promote an atmosphere of compliance and/or failure to monitor determination will be examined within the unique facts and circumstances of each case.

5. AGGRAVATING AND MITIGATING CIRCUMSTANCES
Examples of aggravating factors the committee will look at to impose penalties: multiple Level I violations by the institution or involved individual; a history of Level I, Level II or major violations by the institution, sport program or involved individual; lack of institutional control; obstructing an investigation or attempting to conceal a violation; unethical conduct, compromising the integrity of an investigation, failing to cooperate during an investigation or refusing to provide all relevant or requested information; or, violations that were deliberate premeditated or committed after substantial planning.

Examples of mitigating factors affecting penalties: prompt self-detection and self-disclosure; prompt acknowledgement of the violation, acceptance of responsibility and (for an institution) imposition of meaningful corrective measures and/or penalties; affirmative steps to expedite final resolution of the matter; an established history of self-reporting Level III or secondary violations; implementation of system of compliance methods designed to ensure rules compliance and satisfaction of institutional/coaches control standards; and, exemplary cooperation.

6. HOW WILL COMPLIANCE HELP?

a. Annual Meeting. Athletic Director will establish the expectation regarding rules compliance and awareness. Review institutional policies and procedures.
b. Monthly Coaches Meetings. Compliance will provide rules education on new and current NCAA legislation, review policies and procedures and discuss ongoing issues/questions.
c. Interpretations/Educational Information. New NCAA interpretations and educational columns as necessary will be sent out to all staff.
d. NCAA Manual/Compliance Manual. Delivered to all coaches and administrators in the fall.
e. Weekly Compliance Item. Provide interpretations, articles on current issues or other compliance related information sent out on a regular basis.