Compliance Policies - Syracuse University Athletics

Syracuse University Athletic Compliance Policy Statement

Syracuse University is committed and obligated to the principle of institutional control in operating its athletics program in a manner that is consistent with the letter and the spirit of NCAA, conference and University rules and regulations.  The University's commitment is to maintain control of its athletics programs through the responsible administrators, faculty, and institutional bodies; to educate coaches, staff, student-athletes and other individuals involved with the athletics program in their institutional responsibilities under the rules; to develop operating systems within the athletics department and the University that provide guidance in how to work within the rules; and to discover and report any violations of the rules that occur.

Each individual involved in intercollegiate athletics is obligated to maintain competency in knowledge of the rules; to act within his or her realm of responsibility in full compliance with the governing legislation; and to report any violation of NCAA, conference and/or institutional rules of which he or she is aware.  It is the University's policy that no violation is so minor that it need not be reported.  In responding to rule violations, the University will look at such factors as whether the violation is intentional, whether any advantage is gained (e.g., recruiting, competitive, or for the student-athlete involved), whether a student-athlete's eligibility is affected, and whether violations are recurring.  The University's goals in responding will be to encourage communication, to seek consistency and accountability and, above all, to send a strong message that the University is unequivocally committed to rules compliance.

Information concerning violations will be forwarded to the Director of Athletic Compliance who will examine the situation and communicate with the Director of Athletics and the Senior Vice President for Business, Finance, and Administrative Services. When it is determined by the Director of Athletic Compliance that a violation of the rules has occurred, the University will report the violation and correct the situation that led to the problem.  Rule violations will be reported to the appropriate athletics governing body (i.e., NCAA, Atlantic Coast Conference and/or ECAC) with copies to the Director of Athletics, Senior Vice President for Business, Finance, and Administrative Services, Chancellor, Faculty Athletics Representative, University Legal Counsel, the Conference Office, and any involved staff members.

Conduct of Athletic Department and University Personnel

As the Department of Intercollegiate Athletics strives for academic and athletic excellence, it must always seek the highest standard of ethical conduct, especially from our university staff members.  As someone who works closely with members of the University's athletic programs, employees need to be aware of their responsibilities, the extra accountability to which they are held, and the limitations on the interactions which they may have with Syracuse's student-athletes.

NCAA rules prohibit University employees from providing any extra benefit(s) to a currently enrolled student-athlete (or their family or friends).  Examples of non-permissible extra benefits include, but are not limited to, holiday gifts, free or reduced merchandise or services unless that free or reduced cost item is also available to the general public, or a meal at a restaurant as the guest of an athletic booster or a University employee.  The acceptance by a student-athlete of any extra benefit is a violation of NCAA regulations and places the student-athlete's eligibility for intercollegiate competition in immediate jeopardy and could result in restrictions placed upon the employee's involvement with the University's athletics program and/or disciplinary or corrective action as set forth in both University policy and the provisions of the NCAA enforcement procedures.  Unethical conduct by a University employee may include, but is not limited to:
·         Refusal to furnish information relevant to an investigation of a possible violation of an NCAA regulation when requested to do so by the NCAA or the University.
·         Knowing involvement in the acceptance of or arranging for fraudulent academic credit or false transcripts for a prospective or an enrolled student-athlete.
·         Knowing involvement in the acceptance of or offering and/or providing a prospective or enrolled student-athlete an improper inducement or an extra benefit.
·         Knowingly furnishing the NCAA or the University false or misleading information concerning the individual's involvement in or knowledge of matters relevant to a possible violation of NCAA rules.
·         Receipt of benefits by an institutional staff member for facilitating or arranging a meeting between a student-athlete and an agent, financial advisor or a representative of an agent or advisor (e.g., "runner").

The University is responsible for insuring that all student-athletes, University employees and representatives of the University's athletics interests abide by NCAA rules and regulations.  Any inappropriate, even inadvertent, activity by an employee could result in:

·         A currently enrolled student-athlete being declared ineligible to participate for Syracuse.
·         The eligibility of a prospective student-athlete(s) being jeopardized.
·         Violations of NCAA regulations and sanctions placed on the University and the athletics programs.
·         Restrictions placed upon the employee's involvement with the University's athletics program.
·         Disciplinary or corrective action as set forth in both University policy and the provisions of the NCAA enforcement procedures.

Policy for Requesting a Rules Interpretation

Requesting a Rules Interpretation.
·         Any individual (e.g., athletic department staff member, student-athlete, university employee, representative of the University's athletics interests, member of the community) may request a rules interpretation.
·         The individual may request the interpretation verbally or in writing.

To Whom Shall a Request for a Rules Interpretation be Directed.
·         All requests for interpretation of NCAA regulations should be handled through the Office of Athletic Compliance.  In the event that the Director of Athletic Compliance, the Assistant Director of Athletic Compliance and the Compliance Coordinator are unavailable and the situation necessitates an immediate resolution, one of the other designated individuals may be contacted to request an appropriate interpretation (see below).
·         The Office of Athletic Compliance shall maintain a written record of all requested interpretations.  The record shall consist of the following:
            a)          Date that the request was made and by whom.
            b)         Detailed summary of the nature of the request.
            c)          Detailed summary of the response.

Requests for Interpretive Support from the NCAA and Atlantic Coast Conference (ACC) Offices

The five individuals who have been designated by the institution and are authorized to request interpretations from the NCAA national office are:
                                the NCAA Faculty Athletics Representative
                                the Deputy Director of Athletics - SWA
                                the Director of Athletic Compliance
                                the Assistant Director of Athletic Compliance
                                the Compliance Coordinator

These same individuals have been designated by the institution and are authorized to contact the Atlantic Coast Conference office for rules interpretations.

Please be advised that the provisions of the NCAA's regulation combined with institutional policy would preclude a member of the coaching staff from contacting either the national office or the conference office to request a rules interpretation.

Policy for Reporting NCAA Violations

In accordance with NCAA rules and regulations, all suspected or alleged violations of NCAA rules shall be investigated.  If the Director of Athletic Compliance determines that a violation has occurred, the Director of Athletic Compliance or the Assistant Director of Athletic Compliance will report the violation (or possible violation) to the NCAA national office and/or appropriate conference officials.

Reporting a Violation

Any individual (e.g., athletic department staff member, student-athlete, prospective student athletes, university employee, representative of the University's athletics interests, member of the community) may report an alleged, rumored, or suspected violation.

The individual may report the alleged, rumored, or suspected violation verbally or in writing.  He/She may report an alleged violation anonymously.

To Whom Shall an Alleged Violation be Reported

If an alleged or rumored violation is communicated to any athletic department staff member, the staff member has an obligation to notify the Office of Athletic Compliance of the violation in a timely manner.

Individuals other than athletic department staff members are encouraged to report an alleged violation to any or all of the following persons:
                The Director of Athletic Compliance or the Assistant Director of Athletic Compliance.
                The Director of Athletics, an Associate Director of Athletics or a Deputy Director of Athletics.
                The Faculty Athletics Representative.

Conducting an Investigation of an Alleged Violation

The Director of Athletic Compliance (in conjunction with the University's legal counsel) is responsible for conducting investigations.  The Senior Vice President for Business, Finance, and Administrative Services is responsible for overseeing institutional investigations of an alleged violation.  The Director of Athletic Compliance or the Senior Vice President for Business, Finance, and Administrative Services may request the assistance of the Faculty Athletics Representative, the Faculty Oversight Committee, and the Office of Audit and Management Advisory Services to conduct or to assist in the conduct of an investigation into an alleged violation.

The Office of Athletic Compliance shall maintain a written record of all alleged violations.  The record shall consist of the following:
a)          Date that the alleged violation was reported to the Director and by whom the violation was reported.
b)         Detailed summary of the nature of the alleged violation, including the names of all persons involved in the alleged violation.
c)          Chronology of actions taken by the University in the investigation of the alleged violation.
d)         Rationale for concluding whether the allegation was or was not determined to be a violation of NCAA regulations.
e)          If a violation has occurred, the Director will keep on file a copy of the report of the violation and subsequent correspondence with the Conference and the NCAA staff.  Copies of the self-report will be sent to the following: Senior Vice President for Business, Finance, and Administrative Services; Director of Athletics; Faculty Athletics Representative; University Legal Counsel; the Conference Office; and involved staff member(s).
f)           The Office of Athletic Compliance will maintain the reports of alleged violations for a period of six years.  Records and reports of confirmed violations will be maintained in the office's permanent files.
g)         Any alleged violations regarding a student-athlete or a prospective student-athlete that are potential major violations, or academic matters or eligibility violations, will be immediately brought to the attention of the Senior Vice President for Business Finance and Administrative Services, the Director of Athletics and the Faculty Athletics Representative.


Finding that a Violation Occurred

The Director of Athletic Compliance shall determine that a violation occurred whenever the preponderance of the evidence, considered as a whole, establishes the occurrence of the violation.  It shall be the responsibility of the Director in assessing the evidence to determine what weight and credibility will be given to it.

Information to be Included in the University's Self-Report

The NCAA Enforcement staff recommends that the following information be included in an institution's report of a violation:

·         The date and location of the violation.
·         The identities of involved student-athletes, coaches, staff members and any other individuals involved in the violation.
·         The means by which the institution became aware of this information.  Note: If a newspaper article alerted the institution, a copy of the article shall be included.
·         The cause of the violation (e.g., lack of knowledge, human error, etc.), an explanation of the circumstances surrounding the violation and any mitigating circumstances that may exist.
·         A list of corrective and/or punitive actions taken by the institution in response to the violation.
·         The institution's position regarding the violation and surrounding circumstances.  The institution will indicate whether it believes a violation occurred and the specific legislation it believes has been violated.

Alleged Violations Involving Other NCAA Institutions

If an individual has knowledge of an alleged violation that involves another NCAA member institution and impacts the University, he/she shall report the alleged violation(s) to the Director of Athletic Compliance and/or the Director of Athletics.

The Director of Athletic Compliance will discuss the violation and desired plan of action to address the situation with the Director of Athletics and the appropriate coaching staff members who have lodged the accusation.  The Office of Athletic Compliance may then contact the athletics director at the accused member institution to request that the alleged violation be investigated.  The Director of Athletic Compliance in conjunction with the Director of Athletics may contact the Big East Conference or the NCAA staff and request that the Conference office or NCAA staff contact the accused institution or that institution's conference.

Whom to Call with NCAA Questions

It is extremely important for Syracuse University that its employees be aware of and abide by all NCAA regulations.  If an employee has any questions regarding NCAA rules, they should contact an athletic administrator or the Office of Athletic Compliance before doing something that may jeopardize a student-athlete's eligibility to participate in intercollegiate athletics. Don't be afraid to ask!  The University wants to ensure success both on and off the fields and/or courts; but, everyone's full cooperation is needed to ensure that SU wins the right way.  NCAA questions can be addressed by contacting:  Office of Athletic Compliance, Manley Field House, Syracuse, NY  13244-5020.
315/443-1265 (Phone)          315/443-1441 (FAX)