DIVISION III

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DIVISION III COMPLIANCE CONCEPTS Azure Davey
and Katie Willett Academic and Membership affairs
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Session Overview

• Compliance Responsibilities and Tasks.
• Timing and Calendars.
• Rules Education.
• Forms.
• Affiliated Personnel.
• Resources and How to Utilize.

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Session Overview The Theme
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July Compliance Tasks Individuals Involved

• Monitor playing and practice seasons.
• Continue inputting information in the sports
  sponsorship and demographic form.
• Review recruiting legislation with coaches for
  the upcoming academic year.
• Work with training room to ensure documentation
  standards account for hardship standards.
• Rules Education Add-drop and full-time
• enrollment.

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August Compliance Tasks Individuals Involved

• Administer rules test.
• Administer SA compliance paperwork/forms.
• Verify rosters and walk ons.
• Confirm SA eligibility.
• File all SA compliance and affirmation forms.

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SA Compliance and Affirmation Forms

• Summary of Regulations  (Optional)
• Form 09-1 Certification of Compliance for
  Institutions (Due 9/15)
• Form 09-2 Certification of Compliance for Staff
  Members of Athletics Departments (Due 9/15)
• Form 09-3c Student-Athlete Statement (Before
  Competition)
• Form 09-3f Drug-Testing Consent Form -
  Championships Segment (Before Competition)

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SA Compliance and Affirmation Forms

• Form 09-4c Student-Athlete Affirmation of
  Eligibility (Before Competition)
• Form 09-10c General Amateurism and Eligibility
  Form for International and Select
  Student-Athletes (Before Competition)
• Permission to Contact Self-Release Form
• HIPPA/Buckley Amendment Consent/Waiver Form

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Division III Compliance Forms Page
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August Compliance Tasks Individuals Involved

• Finalize the sports sponsorship and demographic
  form.
• Check membership database to ensure institutional
  designees are correct.
• Monitor official and unofficial visits.
• Double check financial aid office.

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Look Familiar?
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August Compliance Tasks Individuals Involved

• File summer camps and clinics forms.
• Rules Education Recruiting activities.

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Rules Education

• LSDBi Resources Section
• AMA Education on Demand.
• Regional Rules PowerPoints.
• Other Education.
• Getting In the Game Web Site
• Student-athlete reinstatement scenarios.

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September Compliance Tasks Individuals
Involved

• Roster changes.
• Continually confirm SA enrollment status.
• Monitor official and unofficial visits.
• Monitor playing and practice season activities.

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September Compliance Tasks Individuals
Involved

• Review gambling and ethical conduct with active
  SAs.
• Required forms
• Compliance for staff members of athletics
  department.
• Certification of compliance for institutions.
• Rules Education Financial aid.

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Chute!
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September Chute

• You discover a mens soccer SA was enrolled in 12
  hours and then the following happened
• SA withdrew from a course per institutional
  policy.
• SA withdrew from a physics class, however is on
  the waiting list for a chemistry course.
• SA attends the chemistry class.
• SA participated in seven practices and three
  competitions.

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September Chute

• Was SA eligible for practice and competition?
• No. SA never officially enrolled in the
  chemistry course so not enrolled full time.
• What steps should the institution take next?
• Enroll SA full time.
• Complete student-athlete reinstatement request
  (LSDBi).
• File secondary violation (NCAA).
• Review procedures for checking full-time status.

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October Compliance Tasks Individuals
Involved

• Roster changes.
• Continually confirm SA enrollment status.
• Monitor official and unofficial visits.
• Monitor playing and practice season activities.
• Financial aid report due.

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October Compliance Tasks Individuals
Involved

• Continue/certify winter sport SA eligibility.
• Track on injured fall SAs for hardship purposes.
• Review travel expenses and benefits with those
  fall sports that qualify for postseason.
• Rules Education Benefits and expenses.

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October Chute

• The FAR at your institution is retiring.
• The president would like to designate a marketing
  professor who also serves on an institutional
  financial aid committee.
• Would this be permissible?

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Ladder!
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October Ladder

• You gathered all the facts Rung One.
• The NCAA Division III Manual Rung Two.
• NCAA Interpretative Assistance Rung Three.

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Ladder Seeking Interpretive Assistance

• Has the question been answered?
• Search LSDBi.
• Does your conference have a preferred
  interpretations process?

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Ladder Seeking Interpretive Assistance

• NCAA Division III conference contact program.
• Who it is intended for.
• How it works.

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Ladder Seeking Interpretive Assistance

• Interpretations hotline
• Member institutions - 317/9176003.
• Open 9 a.m. to 5 p.m. Eastern time
• Monday through Friday.
• Available to institution's "top six." Need
  institutional code.
• Not available to NCAA coaches.

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Ladder Seeking Interpretive Assistance

• Tips when calling
• Identify yourself and position.
• Be clear and complete in facts one word can
  change administrator's thought process or answer.
• Always write down administrator's name and case
  number.
• Internal tracking system will now help reference
  old calls.
• Know best times to call.

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October Ladder

• The FAR at your institution is retiring.
• The president would like to designate a marketing
  professor who also serves on an institutional
  financial aid committee.
• Would this be permissible?
• Yes 9/19/05 Official Interp.

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November Compliance Tasks Individuals
Involved

• Roster changes.
• Continually confirm SA enrollment status.
• Monitor official and unofficial visits.
• Monitor playing and practice season activities.
• Review proposed legislation.

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November Compliance Tasks Individuals
Involved

• Review legislation regarding permissible outside
  competition during vacation.
• Grant permission to contact and review incoming
  transfer releases.
• Rules Education Continuing eligibility.

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December Compliance Tasks Individuals
Involved

• Begin certification checks for mid-year
  enrollees.
• Continuing eligibility checks.
• Monitoring playing and practices season
  activities.
• Roster changes.
• Rules Education Proposed legislation.

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Chute!
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December Chute

• You discover that a DI student scheduled a visit
  with your admissions department.
• The student is currently enrolled and is not a
  student-athlete at the DI school.
• The student would like to play basketball at your
  school and notifies the coach that he will be on
  campus.
• The coach and student meet during his visit to
  discuss him joining the team.

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December Chute

• What steps would need to be taken for this to be
  permissible?
• Permission to contact?
• How would you determine eligibility?
• Transfer exception(s).
• No previous participation.
• Academically and athletically eligible.
• Best practices.

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January Compliance Tasks Individuals
Involved

• Roster changes. Be aware of winter and spring
  walk ons.
• Orientation and compliance paperwork with
  mid-year enrollees.
• Review camp brochures and literature are SAs
  featured?

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January Compliance Tasks Individuals
Involved

• Confirm full-time enrollment.
• Monitor, monitor, monitor.
• Rules Education Adopted legislation.

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Chute!
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December/January Chute

• At your institution to be in good academic
  standing students must maintain a 2.0 GPA.
• A first-year swimmers GPA drops below 2.0 after
  the fall term.
• Your institution generally reviews SA eligibility
  two weeks prior to the start of the spring term.

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Ladder!
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December/January Chute

• Has there been a change in the SAs eligibility?
• Yes.
• When would the SA become ineligible to compete?
• The date her eligibility is officially certified.
• Not later than the first day of classes of
  following semester.
• What if institution discovers SA has an EID?
• AIS Waiver.

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February Compliance Tasks Individuals
Involved

• Advise SAs to ensure meeting institutional
  academic requirements of major.
• Finalize all eligibility certification for spring
  sport SAs.
• Review travel expenses and benefits with those
  winter sports that qualify for postseason.
• Monitor, monitor, monitor.
• Rules Education Gambling.

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Preseason Practice Resources

• Practice start date calculator.
• Fall Preseason Practice Formula.
• Preseason Football Practice Chart.

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Preseason Practice Resources
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March Compliance Tasks Individuals Involved

• Review travel expenses and benefits with those
  winter sports that qualify for postseason.
• Begin filling student-athlete advisory committee
  open positions for next year.
• Monitor, monitor, monitor.
• Rules Education Transfers.

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Chute!
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March Chute

• Golf team is playing in a road trip over spring
  break.
• After scheduling the tournament the coach
  realized the competition sites could not be
  secured for practice.
• The coach found two practice sites that are not
  on a direct route between the two competition
  sites.

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Ladder!
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March Ladder

• What should the institution do?
• Waive NCAA Division III Bylaw 16.7.4.
• File a SLR waiver (LSDBi).
• Key points.
• Team flights and lodging financial impact.
• Attempt to secure additional opponent/permissible
  practice site.
• Actions to prevent situation in the future.

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April Compliance Tasks Individuals Involved

• Review legislation regarding permissible outside
  competition during vacation periods.
• Discuss post-enrollment amateurism legislation in
  preparation for summer activities.
• Review travel expenses and benefits with those
  spring sports that qualify for postseason.
• Monitor, monitor, monitor.
• Rules Education Camps and clinics.

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May Compliance Tasks Individuals Involved

• Conduct end-of-year academic review of SAs in
  preparation for next academic year.
• Review all SA participation records, file and
  store.
• Review summer competition rules with SAs.
• Collect official and unofficial visit records.
• Provide roster list to Financial aid.
• Rules Education Playing and
• practice seasons.

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Chute!
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May Chute

• One of your golf SAs, requests his coach call the
  pro at the local golf club so he can receive free
  rounds of golf during the summer.
• Coach arranges for SA to play free of charge
  because of an alumni connection.
• Golf club offers discount rates for college-age
  students during the summer.

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May Chute

• Would the coachs arrangement constitute a
  violation?
• Yes, other college students are not able to play
  for free.
• If so, extra benefit or preferential treatment?
• Extra benefit, because of institutional staff
  member involvement.
• Would the arrangement still be a violation if the
  coach was not involved?
• Yes, violation would be preferential treatment.

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June Compliance Tasks Individuals Involved

• Touch base with coaches to review list of
  incoming SAs.
• Begin review of international SAs.
• Review SAs semester use to ensure all are clear
  and aware of options going into next academic
  year.

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When Are The Tasks Completed?

• Confirm SA Eligibility Status

• January

• SA Full-Time Enrollment

• August/September

• Coaches Test

• August/January

• Monitor Playing and Practice Seasons

• August/Ongoing

• Education Adopted Rules

• Ongoing

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Staff Education Synopsis.

• August Recruiting activities.
• September Financial aid.
• October Benefits and expenses.
• November Continuing eligibility.
• December Proposed legislation.
• January Adopted legislation.

• February Gambling.
• March Transfers.
• April Camps and clinics.
• May Playing and practice seasons.
• June Fundraising.
• July Add-drop and full-time enrollment.

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Questions?