Category: Collegiate Compliance

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Proactively Avoiding the NCAA Enforcement Process

College coaches can proactively avoid the National Collegiate Athletic Association (“NCAA”) enforcement process.  A judicious college coach works both during the season and in the off season to prevent violations from occurring.

One of the most strategic and shrewd ways to prevent violations is working with attorneys experienced and knowledgeable in NCAA compliance.  During the period when a coach has no indication that a violation has occurred, an experienced attorney will provide the coach with the opportunity to proactively reduce violation risks in a number of ways.  For example, the attorney can update the coach and his/her assistants regarding recent developments and changes with NCAA compliance.  The attorney can also monitor the coach’s implementation of enforcement staff suggestions demonstrating “coach control.”  In addition, an experienced attorney can serve as an additional resource for NCAA compliance advice.

This approach dramatically reduces the likelihood of unintentional NCAA rules violations, and helps the coach demonstrate an effort to “promote an atmosphere of NCAA rules compliance.” Consequently, if a violation still occurs in the coach’s program, the Committee on Infractions (“COI”) will be less likely to find a “lack of coach control” and more likely to mitigate the severity of the sanctions imposed upon the coach and program.

If a coach learns of a potential violation, an experienced attorney can help the coach properly report information, therefore meeting obligations under both NCAA bylaws and the coach’s employment agreement.  If the information indicates a Level III violation, legal counsel can help the coach evaluate potential self-imposed penalties and propose those penalties to appropriate school leaders. If the information indicates a potential Level I or Level II violation, a legal expert can advise the coach on how to proceed to prevent new violations but not prejudice likely institutional or enforcement staff investigations and not appear to be covering-up existing violations.  An experienced attorney can also educate the coach about the investigative process should a future violation occur and discuss potential courses of action.    

The Diefenbach Group understands the NCAA infractions enforcement process and is here to help coaches proactively avoid the NCAA enforcement process and mitigate its negative consequences.  Call the Diefenbach Group today and allow one of our experts to give you the tools you need to succeed.

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NCAA Enforcement Process

The National Collegiate Athletic Association (“NCAA”) infractions enforcement process can often be confusing and labor intensive, as well as reputation and career threatening. If you are a coach or a student-athlete and find yourself involved in this process, legal counsel can help you navigate the process and mitigate negative consequences.

The NCAA is a voluntary association of colleges and universities that govern college athletic competitions among its members. NCAA schools and their coaches, as well as student-athletes who sign a National Letter of Intent, agree to abide by NCAA bylaws. The NCAA bylaws address issues such as amateurism, recruiting, financial aid, academic eligibility, and parameters of practice and competition. NCAA bylaws also establish procedures whereby the NCAA enforces compliance with its bylaws. These compliance procedures are generally called the enforcement process.  The enforcement process consists of four phases – investigations, charging, hearings, and penalties. 

A coach or student-athlete becomes involved in the enforcement process when their school discovers a potential bylaw violation or when the NCAA enforcement staff (the NCAA’s staff tasked with investigating potential bylaw violations), becomes aware of a potential violation. Once the enforcement process begins, its course depends upon whether the school or the enforcement staff concludes that a violation occurred and, if so, the perceived severity of the violation.

The NCAA currently categorizes violations as “Level I,” “Level II” or “Level III.”

If a Level III violation appears to have occurred, a school will generally submit a self-report regarding the violation and resulting self-imposed sanctions to the enforcement staff. The enforcement staff concludes the case by accepting the school’s report, sometimes imposing additional sanctions.

If a Level I or Level II violation is suspected to have occurred, the enforcement staff issues a Notice of Allegations setting forth the alleged violation, and the process continues on one of four paths: Negotiated Resolution; Summary Disposition; Committee on Infractions (“COI”) Hearing; or, if the case is deemed complex, Independent Accountability Resolution Process.

NCAA bylaws regarding the “obligations of membership,” the “responsibility to cooperate,” and “unethical conduct” set conduct expectations for schools, coaches and student-athletes during the infractions enforcement process. Failure to meet these expectations may cause increased sanctions. Even though the NCAA does not have subpoena power, the enforcement staff possess significant investigative leverage during the infractions enforcement process. NCAA bylaws require schools, coaches and student-athletes to “cooperate” or affirmatively assist the enforcement staff with its investigation of suspected violations, even if the cooperation negatively affects the school, coach or student-athlete.

The Diefenbach Group understands the NCAA enforcement process and is here to help navigate the process and mitigate its negative consequences.  Our team of attorneys and support staff are always available to assist by independently investigating the potential misconduct, researching and applying NCAA legislation and case precedent, preparing coaches or student-athletes for interviews and hearings, advocating for our clients’ before the COI, and/or providing proactive risk management advice. 

The Diefenbach Group can also assist with meeting the NCAA’s investigative conduct expectations during the enforcement process to avoid additional sanctions for perceived uncooperativeness.

If you are faced with an NCAA infractions investigation, don’t go it alone. Call the Diefenbach Group today and allow one of our experts to give you the tools you need to succeed.

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NCAA Transfer Exceptions and Waivers

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Little is more important to student-athletes than their eligibility to compete at his or her respective sport.  Navigating the National Collegiate Athletic Association’s (“NCAA”) transfer process is complex and often very confusing due to the NCAA’s intricate web of rules and regulations that determine not only when and where student athletes can transfer, but also whether they can receive a scholarship and when they are eligible to compete. 

Typically, undergraduate student-athletes who compete at a Division I school and transfer to another Division I school must complete an NCAA-mandated academic year-in-residence before taking the field for their new team.  Despite this mandate, NCAA rules and regulations do permit some exceptions to this general rule, which allow eligible student-athletes who qualify and/or receive waivers to compete for their new schools immediately.    

Below is a list of NCAA legislated exceptions and waiver requests a student-athlete and his or her new school may file to obtain immediate eligibility for the student athlete to compete:

  • One-Time Transfer Exception
  • Graduate Transfer Exception
  • Graduate Transfer Waiver
  • Family Hardship Waiver
  • Discontinued Academic Program Exception
  • Military Service Exception
  • Discontinued/Non-sponsored Sport Exception
  • Two-Year Non-Participation/Minimal Participation Exception
  • Return to Original Institution without Participation or with Minimal Participation Exception
  • Non-recruited Student Exception
  • Documented Mitigating Circumstances Outside Student-Athlete’s Control Waiver

If the student-athlete meets one of the above legislated exceptions, it means the specific regulation will not apply to the student-athlete.  However, one only need read the college sports headlines to realize just meeting one of these exceptions does not automatically make a student-athlete eligible to compete immediately. 

The Diefenbach Group understands that little is more important to a student-athlete than his or her eligibility to compete.  The Diefenbach Group is here to help student-athletes, coaches and institutions navigate the figurative minefield of the NCAA transfer process. 

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Why College Coaches Need Legal Counsel

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“College … coaches, even successful ones, are no longer untouchable in regard to their players’ off-field issues.  As CEOs of their programs, they are going to be held accountable for everyone’s actions.”

Paula Lavigne and Mark Schlabach, Violated:  Exposing Rape at Baylor University Amid College Football’s Sexual Assault Crisis, 293 (Center Street 2017)

Similar to a CEO, working as a coach at the collegiate level is an enormous responsibility, which can be both rewarding and lucrative. Like CEOs, collegiate coaches are decision makers.  In order to be successful, the collegiate coach must quickly process all available information and make critical decisions that often have a long-term impact. 

However, unlike a CEO, coaches are often under close scrutiny by their institutions, the National Collegiate Athletic Association (“NCAA”), the media, and sometimes law enforcement authorities.  In fact, coaches can face undue pressure and/or allegations of misconduct even when they have done nothing wrong.

Unfortunately, with that scrutiny, issues can and do arise with the law and/or the NCAA. These issues can lead to problems that affect a coach’s professional future and personal reputation; such as disciplinary action, termination of employment, and criminal charges. 

Unlike college coaches, CEOs have the benefit of a general counsel and in-house legal team to help prevent decisions that may lead to a negative outcome. Although the need for legal counsel is just as vital for coaches, they are left to fend for themselves when it comes to making decisions with legal implications. 

While it is true most colleges and universities have a team of lawyers, those lawyers represent the institution and not the coach.  Communications between a coach and the university’s lawyers will rarely, if ever, be protected under attorney client privilege from the NCAA or from law enforcement.  Just like a CEO, coaches need an advocate who will put them in position to make the best decisions for their athletic program, their student-athletes, and themselves.   

The Diefenbach Group is here to help.  Our team of attorneys and support staff have a broad range of experience advising and counseling coaches, student-athletes, CEOs, institutions, government officials and military commanders. We are here to assist with anything from routine matters to serious legal issues. 

The Diefenbach Group will put the college coach in position to make the best off-field decisions for his or her career and athletic program.  With the Diefenbach Group, the college coach has a tactical advantage when it comes to legal and compliance issues, allowing them to focus on what they do best – coaching and developing their student-athletes. 

539 W. Commerce Street, Suite 205, Dallas, TX 75208 | Tel: (469) 284-0860 | Email: attorneys@diefenbachgroup.com