NCAA DIVISION I ATHLETICS CERTIFICATION PROGRAM

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NCAA DIVISION I ATHLETICS CERTIFICATION PROGRAM
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The Purpose of Athletics Certification

• Athletics certification is meant to ensure the
  NCAA's fundamental commitment to integrity in
  intercollegiate athletics. The program is
  structured to achieve its goal in several ways.
  Three key ways are

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The Purpose of Athletics Certification

• 1 By opening the affairs of athletics to the
  university community and the public. 
• Key campus constituent groups must be
  meaningfully involved in the institution's
  self-study.
• Self-study reports are evaluated by teams of peer
  reviewers from other institutions and conference
  offices.
• Decisions of the Committee on Athletics
  Certification related to an institution's status
  are announced publicly.

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The Purpose of Athletics Certification

• 2 By setting standards (called operating
  principles) for the operation of Division I
  athletics programs. 
• These operating principles were adopted
  overwhelmingly at the 1993 NCAA Convention. They
  cover four basic areas - governance and
  commitment to rule compliance, academic
  integrity, fiscal integrity, and equity, welfare
  and sportsmanship.

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The Purpose of Athletics Certification

• In preparation for the second cycle of the
  athletics certification program, the operating
  principles in each of those four areas were
  reworked and revised as necessary to complement
  and supplement information obtained by
  institutions during their first cycle
  self-studies. Following revision by the Division
  I membership, these changes were approved in 1998
  by the Division I Management Council and Board of
  Directors.

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The Purpose of Athletics Certification

• 3 By putting tough sanctions in place for
  institutions that fail to conduct a comprehensive
  self-study or to correct problems.

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The Purpose of Athletics Certification

• Athletics certification is intended to help an
  institution, not harm it. For this reason, the
  program allows ample time for an institution to
  consider its programs, to identify problems and
  to correct them. Institutions that fail to make
  an honest effort face serious consequences
  ineligibility for NCAA championships and,
  eventually, removal from active membership in the
  Association.

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The Benefits of Self-Study

• The core of athletics certification is the
  institution's self-study, in which campus-wide
  participation is critical. An effective
  self-study benefits the institution by providing

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Self-awareness

• The self-study offers a unique opportunity to
  educate individuals across the campus about the
  athletics program's goals and purposes, the many
  challenges facing athletics and the ways in which
  athletics supports the institution's mission.

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Affirmation

• Athletics certification is couched in the
  affirmative - its aim, after all, is to certify -
  and the self-study process will reveal many
  aspects of the athletics program worthy of
  praise.

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Opportunities to improve

• Even an outstanding program can be better, and
  problems will be identified routinely as part of
  any institution's self-study. As these problems
  come to light, the self-study process will offer
  a forum for suggestions from individuals with a
  wide range of experience

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Revisions to the Program

• Actions taken by the NCAA Division I Management
  Council and NCAA Board of Directors in January
  2004.
• Changes include
• Elimination of five operating principles
• Elimination of interim report requirement

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Elimination of Operating Principles

• Operating Principle 1.1
• Mission of the athletics program and institution.
• Why removed?
• Membership expressed frustration that the
  Committee on Athletics Certification was
  dictating content, rather than evaluating
  practices.
• End result
• Institutions have discretion to develop goals.
• Athletics mission statement still requested as
  background information.

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Elimination of Operating Principles

• Operating Principle 3.1
• Financial Practices
• Why removed?
• Already mandated by NCAA Constitution 6.2.3.
• End result
• Institutions still required to conduct annual
  external audit of athletics program.

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Elimination of Operating Principles

• Operating Principle 3.2
• Fiscal Management and Stability
• Why removed?
• Already addressed by Division I membership
  requirements.
• End result
• Institutions still must fulfill membership
  requirements and submit Equity in Athletics
  Disclosure Act (EADA) reports.

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Elimination of Operating Principles

• Operating Principle 3.3
• Established Fiscal Policies
• Why removed?
• Institution must monitor extra benefits and
  inducements in the rules compliance area.
• End result
• Institutions must still have rules-compliance
  policies and procedures in place in critical and
  sensitive areas.
• Will be monitored by Operating Principle 1.3.

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Elimination of Operating Principles

• Operating Principle 4.4
• Sportsmanship and Ethical Conduct
• Why removed?
• Area addressed by NCAA Sportsmanship and Ethical
  Conduct Committee and conferences.
• End result
• Institutions should be following best practices
  set forth by aforementioned bodies.

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Incorporation of Operating Principle

• Operating Principle 2.3
• Scheduling
• Where incorporated?
• Operating Principle 2.1 (Academic Standards)
• The academic standards operating principle
  focuses on student-athletes being held to the
  same standards as students generally.

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Incorporation of Operating Principle

• Why incorporated?
• Scheduling policy must be in place to reduce a
  student-athletes conflict with class time and
  examination periods.
• Designed to ensure that student-athletes have the
  same opportunities as students generally to
  attend class and progress toward a degree.
• The academic standards operating principle
  focuses on student-athletes being held to the
  same standards as students generally.

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Summary of Eliminations/Incorporations

• Eliminated operating principles
• 1.1 Athletics mission
• 3.1 Financial Practices
• 3.2 Fiscal Management and Stability
• 3.3 Established Fiscal Policies
• 4.4 Sportsmanship and Ethical Conduct
• Incorporated operating principles
• 2.3 Scheduling
• Incorporated into 2.1 Academic Standards

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Elimination of Interim Reports

• Why removed?
• Few institutions were required to respond to
  Committee on Athletics Certification concerns.
• Membership expressed frustration with midpoint
  review.
• This year concludes interim reports between first
  and second cycles.
• Increases efficiency.
• End result
• Streamlines program and decreases costs.
• Less bureaucratic.

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Revised Certification Program

• Procedural Changes
• Timeline
• Legislated operating principles

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Procedural Changes

• Institution participates in the orientation and
  begins its self-study process.
• The institution will have six to eight months to
  conduct self-study and write report.

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Procedural Changes

• Peer reviewers are identified to participate in
  evaluation visit.
• Peer-selection subcommittee will initially
  identify a maximum of four peer-review team
  members and send appropriate number to address
  issues.
• Chief executive officer (CEO) will generally will
  serve as chair.

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Procedural Changes

• Self-study report completed and submitted via
  secure Web-based system.
• Resulting in formatted and shorter document.
• Password protected.
• Appendices and attachments will stay on campus
  for review by the peer-review team.

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Procedural Changes

• Staff conducts preliminary review of
  institutions self-study report for completeness
  and conformity with operating principles.
• Review based on measurable standards established
  by the Committee on Athletics Certification.

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Procedural Changes

• Committee on Athletics Certification reviews and
  identifies issues (areas of nonconformity).
• Based on the number and type of issues, a
  peer-review team will be identified.
• Issues forwarded to institution and peer-review
  team on Web-based system.
• Evaluation visit based on list of issues.

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Procedural Changes

• Focused peer-review team visits campus.
• Peer-review team writes report on Web-based
  system.
• Report based on issues identified by the
  Committee on Athletics Certification.
• Campus evaluation visit will last two to three
  days.

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Procedural Changes

• Peer-review team report sent to institutions CEO
  via Web-based system.
• Institution provides factual clarifications and
  response to peer-review team issues.
• Two weeks allotted for response.

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Procedural Changes

• Committee on Athletics Certification reviews the
  following materials
• Self-study report.
• Peer-review teams report.
• Institutions response.
• Committee on Athletics Certification forwards
  final decision to institution via Web-based
  system.

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Timeline
Step No. 3 Self-study report submitted via Web
12 weeks before committee review
Step No. 1 Orientation visit and institution
begins self-study process
Step No. 2 Peer-reviewers scheduled 6 months out
Report developed Months 1 7
Month 7
Step No. 4 NCAA staff liaison reviews report for
preliminary issues
Step No. 6 Peer-review team conducts campus
visit and writes report on Web-based system
Step No. 5 Full CAC approves issues
Months 8 9
Months 10 11
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Timeline
Step No. 7 PRT report styled at NCAA office
Step No. 8 PRT report sent to CEO for response
on Web-based system
Month 11
Step No. 9 CAC deliberates and issues a final
decision
This timeline shortens the process from
approximately 24 months to 12 months.
Month 12
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Legislated Operating Principles

• Governance and Rules Compliance
• Operating Principle 1.1
• Institutional control, presidential authority and
  shared responsibilities.
• Institutions must identify a group external to
  athletics that has the opportunity to
• Provide input into the formulation of athletics
  department policies and
• Periodically review athletics department
  operations.

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Legislated Operating Principles

• Governance and Rules Compliance
• Operating Principle 1.2
• Rules compliance
• Institutions must have written policies and
  procedures for rules compliance
• Compliance procedures must provide for regular
  participation of persons outside of athletics
  and
• Rules compliance must be the subject of an
  ongoing educational effort.

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Legislated Operating Principles

• Governance and Rules Compliance
• Operating Principle 1.2
• Rules compliance
• To demonstrate a commitment to rules compliance
  as a central element to all personnel matters,
  compliance responsibility must be referenced in
  all of the following documents
• CONTRACT/LETTER OF APPOINTMENT
• JOB DESCRIPTION
• EVALUATION FORM

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Legislated Operating Principles

• Governance and Rules Compliance
• Operating Principle 1.2
• Rules compliance
• Comprehensive rules-compliance evaluation by an
  individual who is external to athletics and is
  knowledgeable in NCAA legislation and compliance
  practices.
• At least once every four years.
• The evaluation must ensure that an
  institutions rules-compliance program is
  ENGAGED and FUNCTIONING.

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Legislated Operating Principles

• Academic Integrity
• Operating Principle 2.1
• Academic standards.
• Admissions policies.
• Responsibility for eligibility certification,
  declaration of good academic standing must be
  vested with same agencies as for students
  generally.

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Legislated Operating Principles

• Academic Integrity
• Operating Principle 2.1
• Academic standards.
• Graduation rates of student-athletes as a whole
  and of student-athlete subgroups must be
  analyzed.
• Review three-class averages, note disparities,
  comment on magnitude and, if necessary, develop a
  plan.
• Institutions must have written policies to
  minimize conflicts with class time and/or final
  exam periods due to athletics participation.
• Policies must be clearly communicated.

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Legislated Operating Principles

• Academic Integrity
• Operating Principle 2.2
• Academic support.
• Adequate academic support services must be
  provided and communicated.
• Student-athletes must be encouraged to reach
  academic goals of their choice.
• Institutions must provide for student-athletes
  with special academic needs.
• Support services must be reviewed and approved
  periodically (once every three years) by academic
  authorities external to athletics.

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Legislated Operating Principles

• Equity and Student-Athlete Welfare
• Operating Principle 3.1
• Gender Issues
• Institutions must show implementation of
  first-cycle gender-equity plan.
• Insufficient funds and/or personnel changes are
  not acceptable reasons for failure to implement
  first-cycle plan.
• Demonstrate commitment to fair and equitable
  treatment of male and female student-athletes and
  staff.
• EADA reports for three years.
• Review 13 program areas.

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Legislated Operating Principles

• Equity and Student-Athlete Welfare
• Operating Principle 3.1
• Gender Issues
• Institutions must formally adopt a plan for the
  future that meets all committee requirements.
• All 13 program areas must be addressed.
• Develop a plan to monitor and maintain your
  status.
• Minimum of five years, with ongoing assessments.
• Active at all times.

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Legislated Operating Principles

• Equity and Student-Athlete Welfare
• Operating Principle 3.2
• Minority Issues
• Institutions must show implementation of
  first-cycle minority-opportunities plan.
• Insufficient funds and/or personnel changes are
  not acceptable reasons for failure to implement
  first-cycle plan.
• Demonstrate commitment to fair and equitable
  treatment of all minority student-athletes and
  staff.
• Completion of diversity charts.
• Review of eight program areas.

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Legislated Operating Principles

• Equity and Student-Athlete Welfare
• Operating Principle 3.2
• Minority Issues
• Formally adopt a plan for the future that meets
  all committee requirements.
• All eight program areas must be addressed.
• Develop a plan to monitor and maintain your
  status.
• Minimum of five years, with ongoing assessments.
• Active at all times.

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Legislated Operating Principles

• Equity and Student-Athlete Welfare
• Operating Principle 3.3
• Student-Athlete Welfare
• Designate individual responsible for oversight of
  student-athlete welfare efforts.
• Active Student-Athlete Advisory Committee.
• Evaluation mechanism for treatment of
  student-athletes.
• Conduct exit interviews per Constitution 6.3.2.
• Written grievance/appeal procedures available to
  all student-athletes in appropriate areas and
  communicated to student-athletes and staff.

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Legislated Operating Principles

• Equity and Student-Athlete Welfare
• Operating Principle 3.3
• Student-Athlete Welfare
• Mechanisms (e.g., athletic training, emergency
  medical procedures) to ensure health and safety
  of student-athletes must be periodically
  reviewed.
• Medical plan for competition and practice must
  protect health and provide safe environment for
  student-athletes.
• Designate administrator responsible for
  institutional awareness of health, safety and
  sports medicine policies.

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Legislated Operating Principles

• Equity and Student-Athlete Welfare
• Operating Principle 3.3
• Student-Athlete Welfare
• Travel policies must be reviewed to ensure
  protection of student-athletes health and
  provision of safe environment for
  student-athletes.
• Travel policies must be communicated to all
  athletics department staff and student-athletes.
• Review of four program areas.

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Measurable Standards

• Established by the Committee on Athletics
  Certification.
• Clarify expectations for each operating
  principle.
• Bring more consistency to the process.
• Provided to
• Institution (during orientation visit)
• Peer-review team
• Committee on Athletics Certification.

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Web-based System

• Benefits
• Increases efficiency
• Reduces costs
• Adds greater consistency
• Auto-formatting
• Standardized look
• Provides program requirements
• ID and password-protected

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CONFERENCE OFFICE INVOLVEMENT

•   Conference offices' involvement in athletics
  certification is optional but encouraged by the
  committee.  The role of an institution's
  conference office is determined by the
  institution.

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Opportunities afforded to campus groups to offer
comments

•  Steering and subcommittee members are
  representatives of constituent groups on
  campus.  They will need to demonstrate that
  various groups (as well as individuals) had the
  opportunity to provide comments.  This also
  reflects the institution's commitment to ensuring
  that its self-study was broad-based in nature

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Are Historically Black Colleges and Universities
(HBCUs) exempt from having to complete a minority
opportunities plan?

•   

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• Legal research confirms that HBCUs are not exempt
  from affirmative action requirements.  Thus, the
  committee has agreed to apply its standards and
  expectations equally across all Division I
  institutions.  Therefore, all Division I
  institutions are required to develop a
  minority-opportunities plan for improvement as
  part of their self-study report.

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SUBSTANTIAL CONFORMITY

• What is the definition of "substantial
  conformity" and how is it determined?

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SUBSTANTIAL CONFORMITY

• "Substantial conformity" is a subjective
  term.  The meaning of the phrase is tied to the
  operating principles.  After an institution has
  analyzed its responses to the self-study items,
  it should have a clear understanding of its
  substantial conformity with an operating
  principle.  

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SUBSTANTIAL CONFORMITY

• Once an institution has determined its
  substantial conformity, the peer-review team will
  make its own determination of substantial
  conformity based on written materials and the
  campus visit. 

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SUBSTANTIAL CONFORMITY

• Finally, the Committee on Athletics Certification
  will make its determination of an institution's
  substantial conformity by reviewing written
  materials submitted by both the institution and
  the peer-review team.

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Questions?