Official Site of the Southeastern Conference

The Challenge

The SEC has enjoyed exceptional success in athletics competition in recent years and has experienced significant growth in revenue derived from that success. However, no amount of success will compensate for the damage done to the reputation and integrity of Conference schools if the SEC continues to experience serious rules compliance difficulties.

Over the past several years the NCAA infractions process has involved SEC members more frequently than institutions from any other conference. Equally important is that some of the current cases not only fall within the definition of major violations under NCAA rules, but are of such a serious nature that reports of the cases have found their way to national network news and national news publications. The damage that has been done to the reputation of the Conference and its academic institutions is real. The chief executive officers of the SEC have mandated that problems related to athletics rules compliance be addressed immediately, both within the Conference office and among the member institutions.

It is a primary goal of the SEC to have no institutions on NCAA probation within five years.

Chronology and Methodology

The Task Force Committee on Compliance and Enforcement (Committee) was appointed in October of 2002. The work of the Committee is an important step in a Conference-wide effort to improve the SEC's compliance programs.

Members of the Committee include:

• Robert Khayat, Chancellor, University of Mississippi, Chair
• Gene Marsh, Professor of Law and Former Faculty Athletics Representative, University of Alabama
• Mike McGee, Athletics Director, University of South Carolina
• David Housel, Athletics Director, Auburn University
• Larry Templeton, Athletics Director, Mississippi State University
• Glada Horvat, Senior Woman Administrator, University of Georgia
• Carolyn Peck, Head Women's Basketball Coach, University of Florida
• Houston Nutt, Head Football Coach, University of Arkansas

The SEC Commissioner, Executive Associate Commissioner and an Associate Commissioner also participated. The group met in person and by telephone conference call beginning October 2002.

In its efforts to develop and review information related to NCAA compliance and enforcement, the Committee invited individuals with specific expertise to present information related to enhancing the SEC's efforts to operate within the expectations of NCAA rules.

During its meetings, the Committee reviewed numerous documents, including:

• Summary of major NCAA infractions cases occurring since 1953
• Report listing all Division I institutions currently on NCAA probation
• Enforcement procedures and rules compliance initiatives from major Division I athletics conferences
• Written guidelines on enforcement procedures in the SEC
• Florida Law Journal article co-authored by a Committee member
• Principles of Institutional Control As Prepared by the NCAA Division I Committee on Infractions, 1996-1997

Principles

Rules compliance is a central component of an academic institution's integrity. This reality is no less true in athletics than in any other area of the university. In an effort to enhance the SEC's compliance efforts, the Committee established the following principles:

• The primary responsibility for rules compliance rests with the chief executive officer, athletics director, compliance coordinator and each sport's head coach.
• All individuals affiliated with the program, including faculty, staff, students, alumni and fans, share responsibility for compliance with SEC and NCAA rules.
• Every institution in the SEC must have detailed written procedures in place to protect the integrity of its athletics program.
• The employment of coaches and administrators who conduct themselves with integrity, and who demand that others associated with their program fulfill the high expectations for integrity, is fundamental to safeguarding the integrity of intercollegiate athletics programs within the SEC.
• Campus leaders must clearly communicate on a regular basis the importance of rules compliance to all coaches, student-athletes, institutional employees and supporters.
• Individuals who intentionally violate rules or fall into a pattern of carelessness should be treated severely through punitive actions.

Recommendations

This report includes recommendations intended to address common compliance activities. Although there is no single model for compliance and enforcement that will work for all conferences; education, evaluation and accountability are central to any compliance effort.

Chief executive officers, athletics directors, senior woman administrators, faculty athletics representatives, athletics administrators and coaches, as individuals and professional groups, need to pledge cooperation for building a more constructive and healthy compliance climate in the SEC. The intensity of athletic competition that exists within the SEC must not spill over into the compliance area. When it comes to dealing with agents, boosters, recruiting, academic fraud and other problems, the fortunes of all SEC member institutions are bound together. Without a cooperative effort, an untreated problem on one campus today may well appear on another campus tomorrow.

Recommendation 1

Reports of Allegations From Another Conference Institution

Prior to forwarding allegations to the SEC office, the institution's chief executive officer or athletics director shall determine if there is sufficient information to support the allegation. Allegations submitted to the Commissioner by members of the Southeastern Conference shall be accepted from an institution's chief executive officer or athletics director. Other individuals (e.g., coaches) who report information to SEC staff shall be directed to contact the appropriate campus personnel for submission of the allegation(s).

Allegations deemed to be credible, or deemed to include sufficient information meriting a response, shall be forwarded from the Commissioner to the chief executive officer and athletics director at the institution where the violations have been alleged and, when appropriate, to the NCAA. This information shall include details of the allegation(s), and related SEC or NCAA bylaws, but shall not name the source of the information. The athletics director shall be asked to provide the Commissioner with a response to the allegations within 30 days. In its response, the institution shall also be asked to provide all relevant information. The institution shall also be asked to determine if it believes a violation occurred.

Upon receipt of an institution's response, the Commissioner shall review the information to determine:

• If the institution conducted a thorough investigation;
• If the determination made by the institution is consistent with the information developed in its review of the allegations;
• If the information substantiates that a violation of SEC and/or NCAA rules has occurred; and,
• What, if any, penalties should be imposed by the Conference.

When it is determined a violation of NCAA rules has occurred, the full report shall be forwarded to the NCAA national office.

Following review of an institution's report, including requests for additional information following an institution's initial response, the Commissioner shall report the determination to the institution from which the allegations were originally reported.

In accordance with the existing SEC Code of Ethics, any rumors or complaints made by coaches or administrators shall not be made in public. Institutions are required to provide coaches and administrators with the proper procedures for reporting allegations.

These guidelines are not intended to preclude informal communications among athletics directors or campus compliance personnel related to possible rules infractions. Informal communication may be appropriate in many circumstances and should be pursued as deemed proper on each campus.

Recommendation 2

Reports of Allegations from Outside the SEC

Allegations received by the Conference office from sources outside the Southeastern Conference membership (e.g., conference office, institutions, individual parties) shall be evaluated by the Commissioner.

Allegations deemed to be credible, or including sufficient information meriting a response, shall be forwarded from the Commissioner to the chief executive officer and athletics director at the institution where the violations have been alleged and, when appropriate, to the NCAA. This information shall include details of the allegation(s), and related SEC or NCAA bylaws, but shall not name the source of the information. The athletics director shall be asked to provide the Commissioner with a response to the allegations within 30 days. In its response, the institution shall also be asked to provide all relevant information. The institution shall also be asked to determine if it believes a violation occurred.

Upon receipt of an institution's response, the Commissioner shall review the information to determine:

• If the institution conducted a thorough investigation;
• If the determination made by the institution is consistent with the information developed in its review of the allegations;
• If the information substantiates that a violation of SEC and/or NCAA rules has occurred; and,
• What, if any, penalties should be imposed by the Conference.

A review of an institution's report shall be conducted by the Commissioner, and requests for additional information may be made by the Conference office.

If the allegations were reported to the SEC by a conference office or other established organization, appropriate information related to the institution's response shall be shared with the organization that provided the original information.

When it is determined a violation of NCAA rules has occurred, the full report shall be forwarded to the NCAA national office.

Recommendation 3

Role of the Conference Office

When an institution is involved in an investigation related to alleged violations of NCAA rules, the Conference office will serve in an advisory role, and will ensure thorough inquiries are conducted with the utmost integrity. Rather than conducting its own investigations, the Conference office may recommend, among other options, outside resources to work with the institution in developing necessary information.

Consistent with NCAA policy, the Conference office also serves to process infractions deemed to be secondary in nature. This process includes a review of an institution's report by the Commissioner and, in accordance with SEC Bylaw 19.12.4, assessing penalties when deemed appropriate.

Recommendation 4

Due Diligence in Hiring Practices

The NCAA Division I Committee on Infractions has provided a written explanation of the concept of "institutional control." The Committee on Infractions has cited numerous issues that may indicate an institution is lacking institutional control over its athletics program. According to the Committee on Infractions, a lack of institutional control may exist when an institution "fails to make clear, by its words and its actions, that those personnel who willfully violate NCAA rules, or who are grossly negligent in applying those rules, will be made subject to discharge." Similarly, SEC member institutions should exercise great care prior to employing head and/or assistant coaches who are found to have engaged in NCAA rule violations. This is especially true for individuals who have engaged in unethical conduct as defined within the NCAA Bylaws, or who have participated in activity that resulted in a finding as part of a major infractions case. Only in extenuating situations, when the evidence on behalf of the coach is clear and convincing, should such individuals be considered for employment within the SEC.

Recommendation 5

Conference Orientation Programs

1. The Committee endorses the existing SEC New Coaches Orientation Program and encourages additional focus on the concepts of institutional control.
2. The Committee recommends development of an orientation program for new university chief executive officers in the SEC. The purpose of the orientation program is to provide an overview of compliance principles and procedures in the SEC, with a special focus placed on involving the CEO in oversight of compliance matters.
3. The Committee recommends development of an orientation program for new athletics directors within the SEC. The purpose of the orientation program is to provide an introduction to the SEC, its policies and procedures, and to emphasize the important role of an athletics director in establishing high expectations for compliance with Conference and SEC legislation.
4. The Committee recommends development of a new orientation program for the leadership of campus governing boards (trustees) to provide education on matters related to institutional control and NCAA rules compliance. The leaders of the governing boards from each SEC institution will be invited to a meeting at the SEC office for an introduction to the SEC, its history, staff and resources, with a focus on effective rules compliance programs. After the initial meeting at the SEC office, Conference staff would then visit with individual university governing boards on an invitation basis.
5. The Committee recommends each SEC member institution be required to conduct a program of ongoing rules education that involves coaches, administrative staff and support personnel.

Recommendation 6

Reviews of Institutional Compliance Programs

The Committee endorsed continuing the Conference office efforts to conduct periodic reviews of the compliance programs in place on the campus of each SEC member institution.

Rather than continue the past practice of having Conference staff serve as the only resource for these reviews, the Committee supports the establishment of a relationship with an outside firm that will partner with the Conference in conducting these reviews. The outside firm will conduct interviews and document reviews in conjunction with Conference staff, and will also prepare the report forwarded to each institution in a timely manner.

A four-year rotation of compliance reviews will be established, with each SEC institution being reviewed on two occasions during this four-year period. The first series of reviews will include a comprehensive analysis of an institutional compliance program, including recruiting, eligibility, financial aid, and the administration of practice and playing seasons. The second series of reviews will be focused on the needs of each institution, based on the results of the first compliance review.

In addition to participating in these reviews, the Committee recommends the Conference adopt a policy requiring each institution file a written response with the Conference office following receipt and review of the compliance review report. This written response should address the issues identified in the report, and will be required for submission to the SEC commissioner within 90 days of receiving the report.

Recommendation 7

Communication of Compliance and Enforcement Principles on Each SEC Campus

The Committee recommends the SEC Commissioner conduct visits to each SEC member institution during the summer and fall of 2004 for the purpose of providing in-person communication on compliance matters.

The campus visits will be made by the SEC Commissioner and other selected Conference office staff, and scheduled at a time that permits maximum attendance of university and athletics administrators, head and assistant coaches, and clerical and secretarial staff from the athletics department. In addition, student-athlete leaders may be included as participants in meetings associated with the Commissioner's visit.

Campus visits will be focused on communicating the message of this report, including a review of the challenge facing the SEC, principles adopted by the Conference, and a presentation of the Committee's recommendations. In addition, each meeting will include a review of the common challenges each SEC member faces in enhancing expectations for operating within the boundaries of SEC and NCAA legislation.

Recommendation 8

Annual Review of Violations

The Presidents and Chancellors, Faculty Athletics Representatives and Athletics Directors will conduct an annual review of NCAA and SEC rules violations occurring in the Conference during the preceding year. The purpose of this review is to enhance institutional accountability among those primarily responsible for rules compliance. Information developed during these annual reviews will also be used during Conference Orientation Programs and throughout the year during meetings of Southeastern Conference head coaches.

Conclusion

From its leadership position, the Southeastern Conference has the opportunity to raise the standard of excellence for integrity both within the Conference and throughout intercollegiate athletics. No matter how well intentioned, changing the SEC's culture of compliance, and raising the standard of excellence will not be achieved simply through development of recommendations by a committee. It is necessary for the Conference and its member institutions to act in a manner consistent with these recommendations.

Southeastern Conference members are aware of the challenges faced in operating athletics programs within the boundaries of SEC and NCAA policy. The leadership of every SEC university must refocus efforts on enhancing expectations for institutional integrity. The leadership needed to achieve a new standard of excellence must be provided by the Conference's Presidents and Chancellors, Faculty Athletics Representatives, Athletics Directors, Athletics Administrators, Coaches, and Student-Athletes.

The Committee believes this report represents an important initial step in a formal process of establishing a new standard of compliance excellence within the Southeastern Conference.