GOVERNANCE AND COMMITMENT TO RULES COMPLIANCE

Draft 2 – September 9, 2002

 

Previous Certification Self-Study Item 1:

 

List all “corrective actions,” “conditions for certification” or “strategies for improvement” imposed by the NCAA Division I Committee on Athletics Certification in its first-cycle certification decision (if any) as they relate to governance and commitment to rules compliance issues.

 

Required Strategy for Improvement

 

Institute a process for conducting a regular review of the institution’s rules compliance program by an entity outside the athletics department.

 

Action Taken to Meet the Required Strategy for Improvement

 

On January 11-12, 2001, Dell Robinson, the MAC Associate Commissioner/Legislative and Compliance Services, conducted a conference-administered compliance review of the Eastern Michigan University Department of Athletics. Based on the NCAA’s current recommended schedule for external review, the next one would be scheduled during the 2003-2004 academic year.

 

In addition, beginning in the 2000-01 academic year, the EMU Intercollegiate Athletics Advisory Committee (IAAC) established a Compliance Subcommittee whose purpose is to assist the Athletics Department by providing additional oversight to the compliance operation. Specific responsibilities include auditing all student-athlete vehicle registration forms, all practice logs, student-athlete employment records, and coaches' phone logs.

 

Previous Certification Self-Study Item 2:

 

List all actions the institution has completed or progress it has made regarding all plans for improvement/recommendations developed by the institution during its first-cycle certification process in the governance and commitment to rules compliance area. Also, describe any additional plans for improvement/recommendations developed by the institution since the first-cycle certification decision was rendered by the Committee on Athletics Certification.

 

Institutional Plan for Improvement 1:

 

The statement of role and mission for the Athletics Department will be reviewed and revised to reflect the revised Policy on Intercollegiate Athletics and the University’s Commitment to minorities and differently-abled student-athletes and staff. The revised statement will be reviewed and endorsed by the Intercollegiate Athletic Advisory Committee (IAAC), the President and the President’s Cabinet.

 

 

 

 

Action Taken to Meet Institutional Plan for Improvement 1:

 

The statement of role and mission for the Athletics Department was reviewed and revised to reflect the revised Policy on Intercollegiate Athletics and the University’s Commitment to minorities and differently-abled student-athletes and staff. This action was completed by June 30, 1996. In addition, the current athletics administration reviewed and revised the mission statement in 2001 and received endorsement of the new policy by the Intercollegiate Athletic Advisory Committee, the President and the President’s Cabinet during the winter semester, 2002. The Athletics Director was responsible for completing this action.

 

Institutional Plan for Improvement 2:

 

The revised mission statement for athletics will be printed, framed and displayed in all athletic administrators’ and coaches’ offices, the booster room and the E-Club Room.

 

Action Taken to Meet Institutional Plan for Improvement 2:

 

Strategy 2 was initially completed by August 1, 1996. When the mission statement was revised in 2001, all athletics department staff received a framed copy. The framed mission statement is displayed in all administrators’, coaches’ and training offices, the Convocation Center Athletics Suite, Rynearson Stadium Athletics Club Box, and the E-Club Room. The Sports Information Director was responsible for completing this action.

 

Institutional Plan for Improvement 3:

 

The revised mission statement for athletics will be incorporated into athletic publications, i.e., media guides, the Eastern Michigan Athletic Club brochure, the Brochure titled “Winning the Right Way – Your Part,” competition programs, the Student-Athlete Handbook, recruitment materials, etc.

 

Action Taken to Meet Institutional Plan for Improvement 3:

 

The revised mission statement for athletics was incorporated into the EMU Football Media Guide by August 1, 1996. A review of other publications revealed that the mission statement had not been included; the reason for this appears to be that there was no centralized coordination of publications, but instead each area of athletics was responsible for publishing its own materials. The Sports Information Director has now been assigned the responsibility of making sure the current mission statement, revised in 2001, is in every appropriate athletic publication by the beginning of the 2002-2003 academic year. In addition, the mission statement will be given to each board member of the athletic club and the IAAC, and a copy will be mailed to all season ticket holders.

 

Institutional Plan for Improvement 4:

 

The Athletic Department Policies and Procedures Manual will be expanded to incorporate policies and procedures assigning specific responsibility in the area of rules compliance.

 

 

Action Taken to Meet Institutional Plan for Improvement 4:

 

Strategy 4 was initially completed by April 30, 1996. Since that time, the Department of Athletics Policies and Procedures manual was again revised in 2001. In addition, a new Assistant Athletics Director/Compliance position was approved and filled in 2001. This staff person oversees the specific rules compliance policies and procedures outlined on pages 89-90 of the revised Athletic Department Policies and Procedures Manual. The Associate Athletics Director was responsible for completing this action.

 

Previous Certification Self-Study Item 3:

 

List all actions the institution has completed or progress it has made regarding required actions identified by the NCAA Committee on Athletics Certification during the institution’s interim report process (if applicable) as they relate to governance and commitment to rules compliance.

 

This section does not apply since Eastern Michigan University did not participate in an interim report process due to where the institution fell in the certification cycle. The Institution did participate in its first certification self-study in 1995.

 

 

OPERATING PRINCIPLE 1.1 Mission of the Athletics Program and the Institution.

 

Maintaining intercollegiate athletics as an integral part of the educational program is a basic purpose of the Association. Consistent with this fundamental policy,

a. The institution shall demonstrate that the mission and goals of the athletics program:

(1) Relate clearly to the mission and goals of the institution;

(2) Support the educational objectives, academic progress and general welfare of

student-athletes;

(3) Support equitable opportunity for all students and staff, including women and minorities;

(4) Embrace the Association’s principles of sportsmanship and ethical conduct;

(5) Are widely circulated among the institution’s internal and external constituencies.

 

b.     The institution shall demonstrate that the actual practices of the institution’s athletics

program are consistent with the athletics program mission and goals.

 

Self-Study Item 1.1.1 - Provide mission statements of the institution and athletics program and indicate the date of their last revision.

 

Development of the University Mission Statement

 

Eastern Michigan University, under the leadership of President Samuel Kirkpatrick, introduced the idea of strategic planning during his inaugural address in October 2000, with the year-long process starting shortly thereafter. The process involved hundreds of participants from within and outside of the University and has resulted in six strategic directions and dozens of initiatives to advance those directions. As a part of this process, the University developed the following mission statement, institutional values and guiding principles; they were formally approved on January 15, 2002 by the Board of Regents.

 

University Mission Statement

 

Eastern Michigan University is committed to excellence in teaching, the extension of knowledge through basic and applied research, and creative and artistic expression. Building on a proud tradition of national leadership in the preparation of teachers, we maximize educational opportunities and personal and professional growth for students from diverse backgrounds through an array of baccalaureate, master's and doctoral programs. We provide a student-focused learning environment that enhances the lives of students and positively affects the lives of students and the community. We extend our commitment beyond the campus boundaries to the wider community through service initiatives and partnerships of mutual interest addressing local, regional, national and international opportunities and challenges.

 

Institutional Values                                                                

 

Guiding Principles

·      Accessibility

·      Relevancy

·      Responsiveness to Change

·      Flexibility

·      Quality

·      Collaboration

·      Accountability

·      Affordability

 

Development of the Department of Intercollegiate Athletics Mission Statement

 

The Department of Intercollegiate Athletics developed a revised mission statement that was approved by the Athletics Director and presented to the athletics department staff in September 2001. When the Board of Regents adopted the revised university mission statement in January 2002, the athletics mission statement was again reviewed by athletics department members during the Winter 2002 semester to make sure that it was compatible with and supported the university’s mission statement. The conclusion after this additional review was that the athletics mission statement needed no further revisions, so it was forwarded to the IAAC, the President and the President’s Cabinet for endorsement.

Department of Intercollegiate Athletics Mission Statement

 

The mission of the Department of Intercollegiate Athletics at Eastern Michigan University is to

complement and supplement the overall mission of the institution. The intercollegiate program is committed to enriching the intellectual and physical growth and development of all student-athletes.

The program will strive to provide competitive opportunities to a wide range of student-athletes at the conference, regional and national levels, and will engender support for the institution among many constituents, including students, faculty, alumni, friends and local communities.

The Department of Intercollegiate Athletics is committed to building the program based on the following principles:

Self-Study Item 1.1.2 - Explain how the mission of the athletics program relates to that of the institution as a whole.

 

One of the advantages of bringing in a new Athletics Director and a new University President within a relatively short time of each other was that, almost simultaneously, they implemented new planning processes and developed new directions for their respective areas. The Athletics Director took this opportunity to analyze the revised university mission statement and to develop a new athletic program mission statement that fully supported the university’s mission and paralleled a number of the key values and principles espoused in its mission statement. The first sentence of the athletics department mission statement declares this intent by stating that “the mission of the Department of Intercollegiate Athletics at Eastern Michigan University is to complement and supplement the overall mission of the institution.”

 

A comparison of the language of each mission statement reveals the significant level of overlap and consistency between the two. They both use language that espouses a commitment to educational growth and opportunities for students, diversity, human dignity and respect, community and commitment to service. Conceptually, both mission statements underscore the institution’s commitment to providing a positive learning environment, acting with integrity, achieving excellence, and having a positive impact on students

 

Self-Study Item 1.1.3 - Describe how and to whom the athletics program’s mission statement is circulated.

 

The revised mission statement is circulated in a wide variety of venues. It is currently published in and/or will be published in every future edition of all appropriate athletics publications, including the EMU Athletics Department Policies and Procedures Manual, the EMU Student Athlete Handbook, media guides, Athletic Club brochures, and competition program. All athletics department staff received a framed copy of the revised mission statement for their offices, and the framed mission statement is displayed in the offices of all athletics administrators and coaches, as well as in the training offices, the Convocation Center Athletics Suite, Rynearson Stadium Athletics Club Box, and the E-Club Room. The mission statement is also included on the Department of Athletics’ website (http://www.emich.edu/goeagles/general/mission.html). In addition, the mission statement will be given to each board member of the Athletic Club and the IAAC, and a copy will be mailed to all season ticket holders.

 

Self-Study Item 1.1.4 – Describe briefly, using specific examples, how the athletics program’s missions and goals are or are not supported by the actual practices of the athletics program.

 

The department’s mission to “enrich the intellectual and physical growth and development of all student-athletes” and to provide “competitive opportunities…” and to “engender support for the institution among many constituents…” is predicated on a commitment to five key principles. The subcommittee gathered a vast array of materials and examined them to evaluate whether the Department of Athletics’ practices supported the departmental mission and goals in each of the five areas. By the end of this process, the subcommittee members were confident in concluding that there was indeed a strong correlation between the department’s stated mission and its actual practices.

 

Commitment to Compliance: The Athletics program’s commitment to compliance at Eastern Michigan University actually begins at the CEO level. The former University President, William Shelton, reorganized his cabinet to include the Athletics Director as a member and made that position a direct report in order to keep the senior administrative level of the university consistently informed about athletic issues and concerns. The current President, Sam Kirkpatrick, attended a rules meeting with the EMU coaching staff in order to stress the institution’s commitment to rules compliance. Both the Athletic Director and the President emphasized their commitment to rules compliance and their total support of the NCAA self-study process at the NCAA self-study kick-off meeting held with the coaches and athletics department staff during the Winter 2002 semester.

 

In a further commitment to compliance, the Department of Athletics created a new position, Assistant Athletics Director/Compliance on February 5, 2001. The sole function of this staff member, Melody Reifel, is to administer compliance operations for the athletics program. The complete description of the duties on this position is located in the Athletics Policy Manual, Section I: Administration.

 

Another example of this commitment can be found in the personnel-related materials applicable to the coaching staff. Personnel contracts include a “zero tolerance” for any rules violation. In addition, the performance evaluation instrument for all coaches includes a rules compliance section with 0-20 points out of a possible total score of 200 points dedicated to this area. A low score on this item can impact the total performance score in a manner sufficient to lower the overall evaluation level and impact the potential salary increase given to each coach. The Assistant Athletics Director/Compliance is the staff member authorized to determine the rating on this particular item.

 

Commitment to Equity and Diversity: The athletics program’s practices that support its commitment to equity and diversity obviously will be analyzed in-depth in the NCAA self-study report of the Equity, Welfare and Sportsmanship Subcommittee. However, one key initiative pertinent to gender equity should be mentioned here. The University had a history of being one of 25 institutions with the greatest disparity between the proportions of female undergraduates (61%) to female athletes (36.6%). Upon his arrival, Athletic Director David Diles implemented a roster management policy and made adjustments in EMU’s sports offerings. In two years, these changes resulted in a gender ratio of 51% male athletes to 49% female athletes as of the 2001-02 academic year.

 

Commitment to Education: The athletics program’s practices that support its commitment to education will be analyzed in-depth in the NCAA self-study report of the Academic Integrity Subcommittee. An examination of practices by the Rules/Governance subcommittee also found strong support of this particular commitment, as summarized below:

 

1.     Former Associate Athletics Director, Lee Reed, indicates that Eastern Michigan University graduates our student-athletes at a rate that is 10% higher than that of the general student body.

2.     The Athletics Director spearheaded the creation of an assistant athletics director for academics position, which is responsible for the academic well-being, and support of EMU athletes.

3.     Under the direction of the new assistant athletics director for academics, there have been notable statistical improvements in this area:

a.                  The department gpa for the winter 2002 term was 3.04, an increase of .16 over the previous year.

b.                  63% of the teams, as opposed to 56% previously, have cumulative 3.0+ gpas.

c.                   55% of the teams increased their team cumulative gpa.

d.                  There was a significant reduction in the total class withdrawal hours for student athletes in sports where this had previously been an issue.

 

Commitment to Service: The Athletics Department consistently involves its entire staff and student-athletes in community service throughout the Ypsilanti and Ann Arbor area, as well as helping out at campus-based activities and events, such as EMU Freshman Move-In Day. In fact, a high priority of the athletics department has been to stress to all EMU athletes the importance of them being involved in campus activities and service projects, as well as being viewed as student leaders on campus. The Eagle Outreach program resulted in the participation in a record number of more than 50 projects during the last two years. Staff and student-athletes participated in a wide range of activities, including the United Way Day of Caring, the March of Dimes Walk America, Christmas in April, SOS Toy Drive for Kids, the Thanksgiving Day dinner handout, a canned food drive, a charity softball game benefiting Special Olympics, and a wheelchair ramp building project, plus 18 other activities.

 

Commitment to Sportsmanship: Numerous examples were found by this committee to support the athletic program’s commitment in this area. Melody Reifel, Assistant Athletics Director for Compliance, meets with each team to discuss sportsmanship both on and off the courts and playing fields. The team members sign a statement of responsibility that covers sportsmanship. It is also emphasized by the administration that coaches should consistently stress sportsmanship on a daily basis with his/her team. This concept is also supported at athletic events where a statement about the importance of good sportsmanship at EMU is announced at the start of the event.

 

Athletes in the football and the basketball program complete surveys in their theory of coaching courses asking for their views on whether or not their coaches support sportsmanship. For purposes of the self-study, this subcommittee decided to ask a random group of athletes this same questions about their coaches’ support of sportsmanship. Their responses deserve mention:

 

Ryan Prillman, men’s basketball, states that: “Whether in practice, off the court, or in the game we understand the importance of representing EMU in a first class manner. My team will not cross the line of competition that our coaches constantly address with each of us individually and together as a team. The commitment to sportsmanship is a requirement at EMU.”

 

Jeff Crooks, football, states that: “Sportsmanship is stressed everyday in football because everything we do as an individual is being monitored. It affects us, our family, and our sport. Our coaches tell us constantly that our good sportsmanship is critical to our overall success.”

 

Jen Nighswander, Volleyball, states that: “Our commitment to sportsmanship is displayed through many actions. First, Coach Berrington requires our team to attend other EMU sporting events to show our support to all teams. We are also required to show our greatest respect to each of our opponents. We have rules on how to act, including our physical attire, our language and our actions on and off the court. The athletics department also displays its commitment to sportsmanship by its show of support for us. We see our athletics director, other coaches, and other student-athletes at our games.”

 

 

OPERATING PRINCIPLE 1.2: Institutional Control, Presidential Authority and Shared Responsibilities.

 

The Association's principle of institutional control vests in the institution the responsibility for the conduct of its athletics program, including the actions of its staff members and representatives of its athletics interests. In fulfilling this principle, the institution shall demonstrate that:

a.     The institution's governing board provides oversight and broad policy formulation for intercollegiate athletics in a manner consistent with other units of the institution.

b.     The chief executive officer is assigned ultimate responsibility and authority for the

           operation and personnel of the athletics program.

  1. Appropriate campus constituencies have the opportunity, under the purview of the chief executive officer, to provide input into the formulation of policies relating to the conduct of the athletics program and to review periodically the implementation of such policies.

 

Self-Study Item 1.2.1 – Based on the institution’s experience in the last three years, list the decisions related to intercollegiate athletics in which the institution’s governing board or individual board members have been significantly involved (if any).

 

During the period of the NCAA self-study, the only major involvement of the governing board was on January 15, 2002 when the Board of Regents approved the revision of the Intercollegiate Athletics Mission Statement at its regularly scheduled meeting. In addition, the Chair of the Board of Regents interviewed finalists for the positions of Head Football Coach and Head Men’s Basketball Coach.

 

As part of the Board’s agenda throughout the school year, they sometimes adopt a number of resolutions honoring student-athletes and/or teams for their accomplishments during a particular athletic season, and they routinely approve personnel hires and separations from the athletics department during their meetings. Although these two activities do not involve any decision-making or significant involvement on the part of the board, they are mentioned here because they do involve athletics.

 

 

Self-Study Item 1.2.2 - Based upon the institution's experience in the last three years, list the decisions related to intercollegiate athletics in which the institution's chief executive officer has been significantly involved.

 

has been significantly involved in the following decisions related to intercollegiate athletics:

 

In addition to the involvement described above, the President has also been involved in providing counsel, advice and management assistance on the following issues related to intercollegiate athletics:

 

 

 

 

Self-Study Item 1.2.3 - Describe the process by which the institution makes major decisions regarding intercollegiate athletics. In so doing, describe the role and authority of the institution's governing board, the chief executive officer, the athletics board or committee (if one exists), the faculty athletics representative(s), the director of athletics, and any other appropriate campus constituencies (e.g., faculty, students, institutional personnel involved in rules‑compliance activities) in this process. Please provide the composition of the athletics board or committee (including titles and positions).

 

The Department of Intercollegiate Athletics benefits from strong institutional support from the two highest entities involved in running the university: its governing board (i.e. The Board of Regents) and its chief executive officer, President Samuel Kirkpatrick. In terms of the actual decision-making process, the Director of Intercollegiate Athletics reports directly to the President of the university and is a member of the President’s Cabinet. This arrangement allows the President not only to be directly involved in issues and decisions involving athletics but also provides an opportunity for him to get feedback on those issues and decisions from other cabinet members who are all key senior administrators of the university. For example, the cabinet includes all of the Vice-Presidents and the University General Counsel. Certain decisions regarding athletics are also presented to the Board of Regents by the President, some for informational purposes and some for board approval.

 

In making decisions, the Athletics Director routinely meets with and seeks input from a variety of campus and athletics-related groups in addition to the President’s Cabinet. Input is sought from University Faculty Counsel, the Intercollegiate Athletics Advisory Committee, the Faculty Athletics Representative, the Student Athlete Advisory Committee, the EMU Athletic Club Board, and the E-Club. In addition, the Athletics Director seeks input from staff and administrators on athletics matters that pertain to their particular departmental areas. For example, the Director of Student Judicial Services and the Director of the University Health Center were involved in the development and implementation of a Department of Athletics Drug and Alcohol Testing Policy.

 

The specific roles and authority of the groups and individuals involved with athletics are described below:

 

Institution’s Governing Board (EMU Board of Regents):

 

The role and scope of authority of the EMU Board of Regents is granted by the State of Michigan in the Constitution of the State of Michigan which states that the board “shall have general supervision of the institution and the control and direction of all expenditures from the institution’s funds.” It also states that “the Board shall…elect a President of the institution under its supervision.”

 

The Board’s specific oversight of athletics is addressed in the Eastern Michigan University Policy Manual, Section 10: Intercollegiate Athletics. The complete policy will be available for review during the self-study visit, but it essentially outlines the university’s commitment to the athletics program, sets standards and practices that the university will adhere to and assigns the responsibility for administration of the policy.

 

Chief Executive Officer (University President):

 

As per the EMU Board of Regents Bylaws, the President of Eastern Michigan University serves as the

University’s chief executive officer, who “shall exercise such powers as are inherent in the position in promoting, supporting, or protecting the interests of the university and in managing and directing all of its affairs.” In terms of overseeing athletics, the Board of Regents policy on intercollegiate athletics assigns to the President responsibility for implementation of the policy and assigns to the Athletics director responsibility for administration of the policy.

 

Director of Intercollegiate Athletics:

 

The Director of Intercollegiate Athletics, Dr. David Diles, is directly responsible to the President for the overall administration and management of the department in a manner consistent with the mission of the university. A major responsibility in this position is to establish an environment where compliance and rules education remains a paramount consideration. The Director demonstrates the department’s commitment to compliance and institutional control by emphasizing rules compliance consistently to student-athletes, coaches, administrators and boosters, commits departmental resources for compliance efforts and programming, utilizes compliance as a key performance criteria in personnel evaluations and hiring, withstands pressures to relax compliance efforts, and by acting swiftly and decisively in the event of any violations.

 

Senior Associate Athletics Director:

 

The Senior Associate Athletics Director reports to the Director and is responsible for the women’s sports programs. A major responsibility of this position is to assure compliance with all NCAA, Mid-American Conference, and Eastern Michigan University rules, regulations and operational procedures.

 

Associate Athletics Director for Internal Affairs:

 

The Associate Athletics Director for Internal Affairs reports to the Athletics Director. One of the major roles of this staff member is to assure compliance with all NCAA, Mid-American Conference, and Eastern Michigan University rules, regulations and operational procedures.

 

Assistant Athletics Director for Compliance:

 

The Assistant Athletics Director for Compliance, who reports to the Athletics Director functions as a member of the Intercollegiate Athletics management team to provide administrative leadership for institutional compliance with NCAA, MAC and University rules. This staff member also has a secondary reporting line directly to the University President. This staff member performs reporting requirements of violations to appropriate bodies and provides on-going rules education to athletic administrators, coaches, alumni, and key EMU Senior Administrators.

 

 

Athletics Board (Intercollegiate Athletics Advisory Committee):

 

The Board of Regents Policy on Intercollegiate Athletics states that an Intercollegiate Athletics Advisory Committee (IAAC) shall be appointed as a standing committee of Faculty Council. The IAAC was established in the 1991-92 academic year. This Committee is chaired by a Faculty Council member who is nominated by the Council President and ratified by a majority vote of the Council. The current chair is Jeff Armstrong, the Graduate Coordinator of the Sports Medicine program at EMU. In addition to the Chair, the IAAC includes the Faculty Athletics Representative (who is serving as the IAAC Vice-Chair), three faculty council members, two student athletes, four members of the athletics department (i.e. the Athletics Director, Senior Women’s Athletics Director, Assistant AD for Academics and Assistant AD for Compliance), one representative from the Division of Business and Finance and one representative from the student services area. The current Business and Finance representative is the University Controller and the current student services representative is the Vice President for Enrollment Services.

 

The role of the IAAC is to encourage the proper balance between athletics and academics, to advise the athletics director on matters involving athletics, to review operational procedures and practices, and to monitor the athletics program. Some of the areas that may be reviewed by the IAAC include the athletics budget, current or proposed policies and practices, plans for renovated facilities, changes in the policies of regional and national organizations, long range plans and personnel searches.

 

Faculty Athletics Representative:

 

The Board of Regents Policy on Intercollegiate Athletics states that the University shall appoint a Faculty Athletics Representative (FAR) in accordance with NCAA policy. The Faculty Athletics Representative is selected by the President for a three-year term. At EMU, the Faculty Athletics Representative is Bob Okopny, Professor of Accounting. A major role of the FAR is to communicate faculty concerns to the Director of Intercollegiate Athletics and to the President. In addition, the FAR should communicate and solicit meaningful faculty input on issues related to the program.

 

The FAR performs a variety of functions including certifying initial and continuing eligibility, processing self-reported rules violations, identifying recipients for NCAA Post Graduate Scholarship nominations and administering the NCAA Coaches Certification Examinations. The Faculty Athletics Representative serves as vice chair of the Intercollegiate Athletics Advisory Committee and on other University Mid-American Conference committees. The Faculty Athletics Representative also attends the annual NCAA Convention, an annual NCAA Rules Compliance Seminar and Mid-American Conference meetings.

 

Student Athlete Advisory Committee:

 

The Student Athlete Advisory Committee was established to provide student input on all matters impacting student-athlete experiences. The council meets at least twice each semester with the purpose of providing open communication between administration and student-athletes.

 

Self-Study Item 1.2.4 – Please attach an institutional organizational chart and an athletics department organizational chart.

 

 

***THESE WILL BE ADDED TO THE REPORT***

 

 

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:

 

a.     It has in place a set of written policies and procedures that assign specific responsibilities in the areas of rules compliance, including assignment of direct accountability for rules compliance to the individual the chief executive officer assigns overall responsibility for the athletics program.

  1. In critical and sensitive areas, institutional compliance procedures provide for the regular participation of persons outside of the athletics department.
  2. Rules compliance is the subject of an ongoing educational effort.
  3. A clear and unambiguous commitment to rules compliance is a central theme in all personnel matters for individuals involved in the intercollegiate athletics program.
  4. At least once every three years, its rules-compliance program is the subject of evaluation by an authority outside of the athletics department.

 

Self-Study Item 1.3.1 – 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.

 

Major fundraising endeavors at Eastern Michigan University, including those in support of EMU athletics, are typically handled by the EMU Foundation, a private, nonprofit corporation that increases private support and manages endowment assets for the benefit of Eastern Michigan University. One of the Foundation’s top priorities is to “ensure operational funds for our men's and women's programs and encourage gifts to athletics scholarships.” Previously operating as a more autonomous entity, President Sam Kirkpatrick brought the foundation under his control soon after his arrival at EMU in 2000. In addition, a Foundation staff member, the Development Director for Intercollegiate Athletics, is hired exclusively to maintain development activities for athletics.

 

There are two athletics-related groups that support Eastern Michigan University’s Athletics Department: the EMU Athletic Club and the E-Club. Each one works closely with institutional personnel so that EMU can maintain clear control of the group while encouraging the work each one does in support of EMU athletics.

 

The EMU Athletic Club serves the Department of Intercollegiate Athletics as a group whose purpose is to broaden the base of support for the program through elevated private support, improved season ticket sales and increased volunteer participation. The membership includes EMU faculty and staff, alumni and other friends of the institution. Information on the Athletic Club is included on the Department of Athletics website http://www.emich.edu/goeagles/ and lists the types of contributions/support that one may give to the department. Ongoing campaigns include an EMU Men's Basketball Donor Dedication Program that will recognize a great past and help build a promising future.

 

Under the direction of AD Dave Diles, the Athletic Club Board reorganized and replaced its old bylaws with new operating guidelines in order to gain more control of the group by the institution. The following are examples of how the institution now maintains control over the Athletic Club:

 

 

Although the Athletic Club is the only official booster group for intercollegiate athletics, the Athletics Department also has the E-Club. Established in 1931 as the Letterwinners Club, this club consists of athletic letter winners, coaches, team managers, and honorary members, selected/voted on by the E-Club Board of Directors. The mission of the E-Club is to seek out and stimulate the interest of any Eastern Michigan University varsity intercollegiate athletics letter winner by:

·      Providing the initiative and leadership that will promote and preserve tradition, pride and loyalty among the athletic letter winners of Eastern Michigan University;

·      Providing Eastern Michigan University letter winners with current athletic news;

·      Recognizing and honoring letter winners who have brought distinction to themselves and their University through induction in the EMU Athletic Hall of Fame;

·      Recognizing outstanding academic achievements among current EMU athletes through the annual scholar-athlete recognition program."

The club is an affiliate of the Alumni Association of Eastern Michigan University and became an alumni chapter in 1974. Institutional control is maintained by assigning an Athletics Department staff member, Jim Streeter, Sports Information Director, as liaison to the E-Club. This staff member attends all E-Club events. Another athletics staff member, Mike Malach, Assistant Athletics Director for Business, monitors expenditures and fund-raising activities of the E-Club on a regular basis.

 

The Athletic Club guidelines are included in Appendix _???__and the E-Club Bylaws are included in Appendix _???__.

 

Self-Study Item 1.3.2 - Identify, using an organization or flow chart, 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.

 

Eastern Michigan University sees compliance to NCAA rules as a shared responsibility institutionally, although the University President has designated the Director of Intercollegiate Athletics as being officially responsible for this function. In carrying out this role, the Director has worked hard to create a culture in Athletics where self-reporting is encouraged. The system is set up so that allegations of rules violations can be reported by anyone and can be reported to one of three staff designated as being integrally involved in compliance efforts: the Assistant Athletics Director for Compliance, the Faculty Athletics Representative or the Director of Intercollegiate Athletics.

 

The following is a list of key individuals and a description of their responsibilities in terms of rules compliance for the university:

 

University President: As Chief Executive Officer of the institution, Dr. Kirkpatrick has the ultimate responsibility for compliance with all applicable NCAA and conference rules and regulations.

 

Director of Intercollegiate Athletics: The Director reports directly to the President and is charged with the daily operation of the athletics program. The Director of Athletics is responsible for supervising the development and implementation of all aspects of rules compliance. The Director of Athletics is also one of three individuals to whom an allegation of a violation may be reported.

 

Senior Associate Athletics Director: The Senior Associate Athletics Director reports to the Director and is responsible for the women’s sports programs. A major responsibility of this position is to assure compliance with all NCAA, Mid-American Conference, and Eastern Michigan University rules, regulations and operational procedures.

 

Associate Athletics Director for Internal Operations: This individual reports to the Director of Intercollegiate Athletics and has oversight responsibilities for compliance. In addition, this person support and enforces rules compliance in his role as Sports Administrator for men’s Olympic sports and financial aid.

 

Assistant Athletics Director for Compliance: This individual reports to the Athletics Director for Internal Operations and is directly responsible for the daily operation of the University’s compliance efforts. This person coordinates the initial eligibility in conjunction with the NCAA Clearinghouse. This person also creates and maintains a comprehensive rules education program and investigates and processes all institutional secondary violations. In addition, this person establishes specific duties and responsibilities of other departmental and University staff that relate to compliance and institutional control.

 

Faculty Athletics Representative: The Faculty Athletics Representative (FAR) is recommended by Faculty Council and is then appointed by and reports to the University President. The FAR is the conduit for communicating faculty concerns to the Director of Intercollegiate Athletics and to the President. In addition, the FAR must communicate regularly with the faculty, both to provide information and to solicit meaningful faculty input. In terms of compliance, the FAR performs various functions, including:

 

  1. Attending to any compliance concerns identified and reported by institutional staff;
  2. Spot checking athletics intercollegiate department records;
  3. Verifying and approving documents required by the institution, conference and the NCAA;
  4. Serving as Vice-Chair on the Intercollegiate Athletics Advisory Committee; and
  5. Attending professional meetings, conferences and conventions when available.

 

Intercollegiate Athletics Advisory Committee (IAAC): The IAAC is a standing committee of the Faculty Council. While not directly involved in rules compliance, the scope of the IAAC in overseeing and monitoring athletics as it relates to academics makes it an important entity in the possible identification and reporting of potential compliance issues.

 

Head Coaches: Each Head Coach is responsible for his/her program’s adherence to NCAA rules and regulations, including being held accountable for the actions of the student-athletes in his/her program, the actions of assistant and/or volunteer coaches, and the actions of any other individuals working with his/her sport. The coaches must pass a national standardized test covering NCAA rules and regulations before conducting off-campus recruiting activities. Other compliance-related duties and expectations include:

 

1.     Keeping records which document actions and events (e.g., telephone logs, practice logs, official visit records);

  1. Consistent participation in the rules education program; and
  2. Self-reporting of any suspected rules violations.

 

Vice President for Enrollment Services: This Vice President reports directly to the University President and oversees three major departments involved with athletics: Admissions, Financial Aid, and Records and Registration. Each department is administered by a Departmental Director who reports to the Vice President, and each of those three areas has at least one staff position that works with athletics, in compliance-related areas as described below:

 

Assistant Director of Admissions for Special Populations: This person, reporting to the Director of Admissions, is responsible for overseeing the admission of student-athletes, in compliance with NCAA regulations. Any special admits must be reviewed by this individual. There is also an athletics admissions review committee of which this staff person is a member.

Assistant Director for Academic and Athletic Scholarship: This person reports to the Associate Director of Financial Aid and is responsible for helping to develop and supervise the University’s financial aid awards policies and procedures. In addition, this person supervises the Accounts Specialist assigned to work on athletics financial aid.

 

Account Specialist – Financial Aid: This person reports to the Assistant Director for Academic and Athletic Scholarships and is responsible for overseeing the awards for both individual athletes and teams as a whole. She also makes sure that no single student athlete or team is over-awarded and works with the Athletics Compliance Officer in areas related to financial aid and student employment earnings eligibility.

 

Coordinator of Athletic Certification and Transfer Records System: This person, reporting to the Director of Records and Registration, is responsible for certifying the academic eligibility of student-athletes. The general summary of this person’s duties is to “coordinate and provide assistance to student-athletes, coaches, and athletics administration in the areas of admission, initial and continuing academic eligibility.”

 

In summary, while the responsibility for compliance is based on the strong participation of key members of the Department of Athletics administration, the University’s compliance structure also emphasizes collaboration and checks/balances among a number of other offices on campus. In addition, the University has also sought to provide independent compliance oversight by having two additional entities be chosen and report to someone other than athletics department staff (i.e. the Faculty Athletics Representative and the IAAC.

 

The flow chart on the next page depicts Eastern Michigan University’s compliance reporting lines.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Eastern Michigan University

Compliance Reporting Lines

 

 

 

 

 

 

Board of Regents
 
 


Faculty Council
 
 

 

 

 

 


Director of Intercollegiate Athletics
 

E Club and Athletics Board

Club
 
 

 


IAAC
 
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Self-Study Item 1.3.3 - Describe the institution’s rules-education efforts for student-athletes,
Department of Athletics staff members, other institutional staff members and representatives of the institution’s athletics interests.

 

Eastern Michigan University is committed to providing on-going, comprehensive rules education to every key group and individual involved in EMU athletics. The University coordinates its efforts through Melody Reifel, Assistant Athletics Director for Compliance. This individual is responsible for developing, coordinating, implementing and monitoring rules education as well as administering the actual athletics compliance efforts. The Compliance Officer schedules and conducts rules education meetings with the following groups:

 

During these comprehensive training sessions, the Compliance officer covers a wide range of rules and compliance issues, including recruiting, eligibility, procedures for reporting rules violations, instructions for obtaining rules interpretations, principles of institutional control, financial aid legislation, extra benefits, newly adopted and proposed legislation, employment rules, promotional activities, camps and clinics, summer leagues, general academic eligibility requirements, complimentary-ticket regulations and clearinghouse issues.

 

In addition to face-to-face meetings, the Compliance Officer regularly educates on rules issues by:

of violations are made and when questions are raised during the exit survey with athletes.

 

Self-Study Item 1.3.4 - Describe the procedures used by the institution to monitor student-
athlete employment in compliance with NCAA legislation.

 

The responsibility for monitoring student-athlete employment is assigned to the Assistant Athletics Director for Compliance who works closely with a staff member in the Financial Aid office in charge of monitoring student athlete scholarships. The Compliance Officer has developed a procedure and a number of forms to aid her in monitoring this particular area of compliance. Copies of these forms are located in Appendix ???. and the process is described below:

  1. A student-athlete must complete a “Student Employment Written Statement” before beginning any employment. The form includes information on the employer, a job description, pay rate, indication of earnings limitations and the role (if any) of athletics department personnel or other interested representative in arranging employment. The form is signed by the student-athlete, the coach and the employer and is maintained by the Compliance Officer.
  2. The Financial Aid staff member in charge of student athlete scholarships is contacted about the athlete’s employment. She authorizes the amount the student-athlete can earn per semester and notifies the Compliance Officer. This authorization is attached to the student-athlete’s record.
  3. A “Student Athlete Employment Agreement” is also given to the student-athlete and lists 10 compliance statements to which the student agrees to abide.
  4. The employer must complete an “Employer Agreement” to be signed by the employer that lists steps the employer must take to help the student-athlete remain in compliance with NCAA rules.
  5. The Compliance Officer also maintains a “Student-Athlete Employment Checklist” and an earning log for the academic year. The student-athlete must turn in pay stubs each pay period which are copied and maintained by the Compliance Officer.
  6. All rules violations in this area are handled by the Compliance Officer.

 

The coaching staff participates in monitoring their own student-athletes to ensure their adherence to the rules regarding employment. The Compliance Officer does random spot checks to verify the legitimacy of the employment. In addition, copies of the following student-athlete employment guidelines are distributed to coaches and staff each year for use in informing the student-athletes about employment.

 

Student-Athlete Employment Guidelines

 

Per NCAA Bylaw 15.2.6.1, student-athletes may receive earnings from legitimate on or off campus employment during semester or term time in combination with other financial aid included in the student-athletes individual limit up to the value of a full grant plus $2,000 provided the student-athlete is or has been in residence at the institution for at least one academic year and the student-athlete is academically eligible for competition.

 

As a student-athlete at Eastern Michigan University, you will be expected to know and understand the information below regarding academic year employment.

Student-Athlete Employment Procedures:

1.     If you want to work you must first seek approval from your head coach.

2.     You must see the Assistant Athletics Director/Compliance prior to beginning employment to see if you are eligible for employment and how much you are eligible to earn.

3.     Prior to beginning employment, the athletics department must have a written statement on file from your employer.

4.     Coaches and staff from the athletics department are allowed to help you secure employment but the employment cannot be in the athletics department.

5.     If you begin work before seeing the Assistant Athletics Director/Compliance and having a written statement from you employer, you will be immediately ineligible for competition.

6.     You will be required to bring in check stubs once per month to the Assistant Athletics Director/Compliance so that we can monitor the amount you are earning.

 

Self-Study Item 1.3.5 - 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 athletics department who are involved in the rules-compliance activities: (a) job descriptions, (b) contracts or letters of appointment, (c) personnel evaluation criteria and, (d) philosophy statements and other applicable sections of policy manuals.

 

Eastern Michigan University sets clear expectations that commitment to rules compliance is a central element in personnel matters; examples of this commitment as it pertains to personnel within the athletics department are described below. Backup documentation such as job descriptions, a sample contract, coaching evaluation form, and applicable policy manual sections can be found in Appendix ??.

 

Hiring Process – Compliance issues are covered during the interview with each potential coaching candidate and reference checks of potential coaches include questions about compliance.

 

Job Descriptions – EMU Job Classification Specifications for athletics department staff involved with compliance includes this area either in the general summary of the position or lists it as an essential duty. For example, the Director of Athletics job specification lists as the very first essential duty the responsible to “interpret and assure compliance with all National, Conference, and University regulations relating to Athletics.” The Job Classification Specifications for all coaching positions, with the exception of the Head Coach for Golf and Tennis, lists as a required qualification for the job “knowledge of NCAA policies.” The apparent oversight of this phrase in the one head coaching position description will be amended to include compliance responsibilities.

 

Coaching Contracts – The Athletics Coach Employment Agreement directly addresses compliance and states that violations in this area may be considered as just cause for termination.

 

Job Expectations – The EMU Department of Athletics Policies and Procedures Manual page 90 specifically addresses the institution’s expectations for head coaches in the compliance area as well as setting expectations for self-reporting of rules violations.

 

Performance Evaluations - Adherence to compliance issues is included in pay for performance evaluations for all coaches with 20 points out of a possible 200 points assessed for compliance. As discussed in another section of this report, the Assistant Athletics Director for Compliance is responsible for reviewing each coach’s performance in this area.

 

Although, in practice, the rules compliance responsibilities of staff members outside the athletics department are taken seriously, a review of those Job Classification Specifications did not directly mention rules compliance. Only one, the Coordinator of Athletic Certification and Transfer Records System, specifically addressed rules compliance as an essential duty and listed knowledge of NCAA policies as a desired qualification for the position. The other position descriptions are being modified to include their responsibilities related to athletics, especially in the area of rules compliance. Those positions include Account Specialist and Assistant Director of Academic and Athletics Scholarships (Office of Financial Aid) and the Assistant Director of Admissions for Special Populations (Office of Admissions).

 

Self-Study Item 1.3.6 - Please provide 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 (if not included elsewhere in the report).

 

Step-by-step written policies and procedures that assign specific responsibilities in the area of

rules compliance in critical and sensitive areas such as eligibility certification, investigation and self-reporting of rules violations, monitoring financial aid, and monitoring recruitment are presented in this report, in the locations stated below. Note that most of the policies and procedures are located in both the EMU Department of Athletics Policies and Procedures Manual and the Department of Athletics Compliance Manual, which will be available as a part of the self-study documentation.

 

Assignment of Compliance Responsibilities:

 

The institution’s commitment to compliance and the responsibilities of each person/group responsible

EMU Department of Athletics Policies and Procedures Manual, pages 88-90 and the Department of Athletics Compliance Manual, pages 1-3.

 

Eligibility Certification:

 

There are three sets of procedures in the area of eligibility certification: initial eligibility of freshmen student-athletes, continuing eligibility of enrolled student-athletes, and initial eligibility of transfer student-athletes. The policies governing these three areas can be found in the EMU Department of Athletics Policies and Procedures Manual, pages 91-93. The step-by-step procedures covering the certification of initial eligibility of transfer students and the certification of continuing eligibility of enrolled student-athletes are included in this report under Operating Principle 2.1, Self-Study Item Response #4 and #5, respectively, pages 8-11.

 

The process of certifying initial eligibility of freshmen student-athletes is listed below:

 

Step 1: Each student-athlete must register with the NCAA Initial Eligibility Clearinghouse. The Coordinator of Athletics Certification is provided access to the Clearinghouse web status reports, which gives restricted access to student’s eligibility data.

Step 2: After the Clearinghouse has evaluated the official high school transcript and ACT/SAT test scores, an initial eligibility certification report (48-C) is mailed to the Coordinator of Athletics Certification. The certification report reveals the student’s initial eligibility status for Division I and Division II institutions. The certification report also lists the student’s test scores, a list of the student’s core courses, and the student’s NCAA core course grade point average.

Step 3: The information from the certification report is transferred to the Eastern Michigan University Initial Eligibility spreadsheet. These spreadsheets include information such as: student ID number, number of credits enrolled for initial semester, recruit status, initial eligibility status, core course grade point average, ACT/SAT test score, and an indication if the student is eligible for financial aid, practice, and/or competition.

Step 4: The coordinator signs and dates the spreadsheet after completion. The Director of Records and Registration reviews the spreadsheets and also signs and dates. The Faculty Athletics Representative is the last to review the spreadsheet and signs and dates.

Step 5: The spreadsheet is filed according to sport and each head coach is given a copy of his or her team’s report.

Step 6: After determining each student-athlete’s eligibility status, the Coordinator of Athletics Certification inputs his/her status on each team’s squad list using the NCAA compliance assistant software.

Step 7: Each team’s squad list is produced and distributed for the following signatures:

▪Athletics Award Specialist – reviews accuracy of financial aid

▪Coordinator of Athletics Certification - reviews accuracy of eligibility       ▪Head Coach – Reviews accuracy of student-athletes listed

 

Investigation and Self-Reporting of Rules Violations:

 

The EMU policy and procedures for investigating and self-reporting rules violations can be found in the EMU Department of Athletics Policies and Procedures Manual on page 90 and in the Department of Athletics Compliance Manual, page 4.

 

Monitoring Financial Aid:

 

The EMU policy and procedures on monitoring financial aid can be found in the EMU Department of Athletics Policies and Procedures Manual, pages 95-103 and in the Department of Athletics Compliance Manual, pages 16-21. The policies and procedures under this heading include:

·      Athletics Grant-In-Aid

·      Student-Athlete Employment Guidelines and Procedures

·      Credit Hour Limitation

·      Spring/Summer Financial Aid

·      Fifth-year Aid

·      Financial aid for non-athletes

·      Medical Hardships

·      Permanent Medical Exemption Procedure

·      Gradation/Termination of Athletic Aid

·      Athletic Grant-In-Aid Appeal

·      NCAA Special Assistance Fund

·      Mid-Year Grant-in-Aid Recommendation

 

Three step-by step procedures used in the Financial Aid office to monitor financial aid are included in Appendices ??? and include (a) the process covering the NCAA Compliance/Financial Aid Squad List, (b) the Squad List Preparation and Certification of Student-Athletes Procedures, and (c) Fall/Winter Athletic Aid Procedures.

 

 

 

Monitoring Recruiting:

 

The EMU policy and procedures on monitoring recruitment can be found in the EMU Department of Athletics Policies and Procedures Manual on 59-86 and in the Department of Athletics Compliance Manual, pages 23-30. This section includes policies and/or procedures on Permissible recruiters, Activities that Constitute Recruitment, Documentation of Recruiting Activities, NCAA Graduation Rates Disclosure, Official Visits, Unofficial Visits, Telephone Calls, Contacts, Evaluations, Practice Logs, and Phone Logs.

 

Self-Study Item 1.3.7 – Please attach documentation related to periodic evaluation of the institution’s rules-compliance program by an authority outside of athletics.

 

Attached is a copy of the Mid-American Conference (MAC) Conference Compliance Review

conducted by Dell Robinson, the MAC Associate Commissioner/Legislative and Compliance

Services on January 11-12, 2001.