ARTICLE TWENTY-FIVE

NCAA RULES INTERPRETATION, CERTIFICATION, AND COMPLIANCE

Section & Page

Introduction [25-2]

Section 1. Objectives [25-3]

1. Prevent Infractions
   
2. Infraction Occurrence

    

Section 2. Individual Responsibilities [25-3]

1. Director of Athletics
   
2. Compliance Coordinator
   
   1. Financial Aid Counselor
      
   2. Director of Ticket Operations
      
   3. Associate Director of Athletics for Business and Finance
      
   4. Director of Athletics Marketing and Alumni Affairs
      
   5. Sports Information Director
      
   6. Head Strength and Conditioning Coach
      
   7. Head Athletics Trainer

       

3. All Staff Members

    

Section 3. Institutional Statement and Commitment [25-5]

Section 4. Calendar [25-5]

Section 5. Education [25-6]

1. Coaches
2. Staff Members
3. Student-Athletes
4. Boosters
5. Prospects

    

Section 6. Interpretations [25-8]

Section 7. Monitoring [25-9]

1. Initial Eligibility
2. Continuing Eligibility
3. Financial Aid
4. Recruiting
5. Complimentary Admissions
6. Promotions and Publications
7. Playing and Practice Seasons
8. Extra Benefits
9. Institutional Control

Section 8. Responding to Potential Infractions [25-17]

Section 9. Review of Compliance Program [25-19]

1. NCAA Guidelines for Ticket Office Personnel
2. University of Richmond Intercollegiate Athletics Continuing Eligibility Model
3. University of Richmond Intercollegiate Athletics Recruiting Model
4. NCAA Guidelines of Sports Information Personnel
5. University of Richmond Coaches' Guide to Sports Camps and Clinics

    

Introduction

Article Twenty-five, NCAA Rules Interpretation, Certification, and Compliance, is part of the University of Richmond Intercollegiate Athletic Policies and Procedures Manual. The purpose of this article is to provide athletic coaches, athletic staff members, student-athletes and members of the University community a concise basic reference on matters about NCAA rules interpretation, certification, and compliance.

The materials and information presented here are a condensation of several policies, procedures, and references about NCAA rules interpretation, certification and compliance. Make note of any information in the manual that conflicts with existing University, NCAA, or conference policies, procedures, or legislation. Submit noted conflicts or recommended changes and comments that may improve the manual to the Assistant Director of Athletics for Compliance, Robins Center, University of Richmond, VA 23173. Key information submitted to the specific page, paragraph and line of text. Provide reasons for each comment to insure understanding and complete evaluation. Each page of this manual is numbered and dated to aid in revisions and additions.

Section 1. Objectives

1. Prevent infractions
   1. Institutional statement and commitment
   2. Education/interpretations
   3. Monitor
2. Once infraction has occurred, have institution in best possible position
   1. Provide evidence of institutional statement and commitment, education/interpretation, and monitoring procedures
   2. Thoroughly investigate any "red flags" picked up through monitoring procedures
   3. Self-discover infractions
   4. Impose conference/institutional penalty
   5. Self-report violations to conference and/or NCAA

Section 2. Individual Responsibilities

1. Director of Athletics
   The Athletics Director, through the Assistant Director of Athletics for Compliance, is responsible for the overall development, implementation, and review of the University of Richmond NCAA Compliance Program.
2. Compliance Coordinator
   The Assistant Director of Athletics/Compliance is hereafter in this article is referred to as the Compliance Coordinator. The Compliance Coordinator is responsible for coordinating the education, interpretations, and monitoring procedures of all areas. Specifically, the Compliance Office shall handle all eligibility matters, administer all NCAA, Colonial Athletic Association and Atlantic 10 Conference forms and coordinate the implementation of all other compliance matters through the following individuals who also have specific compliance responsibilities:
   1. Financial Aid Counselor (a designee of the Director of Student Financial Aid). This individual monitors the day-to-day procedures applicable to financial aid and is the liaison to the Compliance Coordinator.
   2. Coordinator of Ticket Operations. This individual is monitors the day-to-day procedures in place in the ticket office and is the liaison to the Compliance Coordinator [See Appendix A, NCAA Guidelines for Ticket Office Personnel]
   3. Associate Director of Athletics for Business and Finance. The Associate Director of Athletics for Business and Finance, hereafter referred to as the Business Manager, monitors the day-to-day procedures in place in the Department of Athletics Business Office and is the liaison to the Compliance Coordinator,
   4. Assistant Director of Athletics For Development. This individual monitors the education of all representatives of the University's athletics interests and is the liaison to the Compliance Coordinator.
   5. Sports Information Director. This individual monitors the day-to-day procedures in place dealing with institutional publications, promotions involving student-athletes, and publicity surrounding the recruitment of prospective student-athletes and is the liaison to the Compliance Coordinator. [See Appendix E, NCAA Guidelines for Sports Information Personnel]
   6. Head Strength and Conditioning Coach. This individual is monitors the day-to-day procedures in place regarding out of season conditioning programs and is the liaison to the Compliance Coordinator.
   7. Head Athletics Trainer. This individual monitors the day-to-day procedures regarding drug testing and medical and rehabilitation expenses provided student-athletes and is the liaison to the Compliance Coordinator.
   8. All Staff Members. Ultimately, every employee of the Department of Athletics is responsible to see that his/her conduct is in compliance with all NCAA, Colonial Athletic Association, Atlantic 10 and institutional rules and regulations. All staff members are responsible for knowing the basic rules involving their particular areas. If there is any doubt as to the permissibility of a particular act, the staff member is responsible for asking for an interpretation before proceeding with the act. While honest mistakes are made, ignorance is no excuse.

       

Section 3. Institutional Statement of Commitment

1. The University President has clearly set forth the University's policy regarding rule infractions. This policy reads as follows:

   The University of Richmond is committed to academic integrity, institutional control and rules compliance in all matters relating to intercollegiate athletics.

   1. All prospective student-athletes must be admitted through the Office of Admission and must meet the admissions requirements stated in the University's catalog. The University will not accept partial qualifiers or nonqualifiers [NCAA Bylaw 14.3.2]. Student-athletes enrolled in the University will meet all satisfactory academic progress requirements established by the University and administered by the academic deans. Failure to meet satisfactory academic progress will result in termination of athletics eligibility and athletics related grant-in-aid.
   2. The University of Richmond has an NCAA Compliance Program that insures NCAA legislation is interpreted and enforced correctly and with consistency. All NCAA violations will be reported to the Conference or NCAA.
   3. Student-athletes who violate NCAA rules will be declared athletically ineligible.
   4. An inquiry into the violations history of a prospective coach or other prospective athletics personnel will be made to learn whether the individual previously has violated NCAA regulations. Prospective candidates with a record of NCAA regulations violations will not be hired. Athletics administrators and coaches acknowledge in their employment contracts that rules compliance is a condition of employment. Failure to comply with NCAA rules will be cause for termination of employment.

       

2. At the beginning of each academic year, the Director of Athletics shall meet with all Department of Athletics members and personally emphasize the importance of rules compliance and the consequences associated with noncompliance.
3. It is the Department of Athletics' policy to consult with the NCAA before hiring any coach or key administrator.

    

Section 4. Calendar

Prior to the beginning of each academic year, a compliance calendar will be presented to all individuals with specific compliance responsibility. It will then be that person's responsibility to see that the appropriate people in their areas are informed of the relevant dates on the calendar. The Compliance Coordinator is responsible for preparing the compliance calendar.

Section 5. Education

1. Coaches
   1. The Compliance Office has primary responsibility for educating coaches.
   2. The Compliance Office conducts periodic meetings with coaches on compliance issues. The Compliance Office informs coaching staffs of upcoming evaluation, contact, or signing periods and provide relevant rule and interpretations; and discusses and reviews any recruiting issues, financial aid, eligibility and other questions.
   3. The Compliance Office is responsible for providing coaches with written education materials as appropriate. Many of these written educational materials will be generated from the CAA offices, but the Compliance Coordinator is responsible to see that the materials get to the appropriate coaches.
   4. All coaches shall attend the annual rules meeting conducted by the CAA.
   5. All coaches will be provided with access to the current NCAA manual.
   6. All coaches will be provided access to a subscription to The NCAA News.
   7. The Compliance Office shall coordinate a rules orientation program for new coaches.
   8. The Compliance Office shall be responsible for getting all proposed CAA and NCAA legislation to the head coaches for their feedback prior to the vote on such legislation.

       

2. Staff Members
   1. The Compliance Office shall have primary responsibility for the education of staff members regarding all compliance matters. Where applicable, this shall be done through the individual with specific compliance responsibilities in a particular department (e.g. if the information deals with a complimentary admission issue, through the Coordinator of Ticket Operations.)
   2. Appropriate staff members shall attend the annual rules meeting conducted by the CAA.
   3. Individuals with specific compliance responsibilities in a particular department or area shall be responsible for educating staff members in their department or area of relevant rules and interpretations.
   4. The Compliance Office shall be responsible for providing writing educational materials and interpretations to the appropriate staff members as needed.
   5. All individuals with specifically stated compliance responsibilities in their department or area shall be provided with access to The NCAA News.

       

3. Student-Athletes
   1. The Compliance Office shall conduct a rules seminar with all student-athletes (broken down by sport as necessary) at the beginning of each year.
   2. The Compliance Office is responsible for providing student-athletes with newsletters regarding relevant rules and interpretations as needed.

       

4. "Boosters"
   1. The Compliance Coordinator shall have primary responsibility for the education of representatives of the University's athletics interests.
   2. Assistant Director of Athletics for Development shall be responsible to see that the "booster" brochure goes out to all known representatives of the University's athletics interests annually.

       

5. Prospects

   The Compliance Office shall have primary responsibility for educating prospects, their families, and high schools. Specifically, the Compliance Coordinator shall insure that all Sports Office Recruiting Coordinators:

   1. Make available the "Guide to the College-Bound Student-Athlete " to all identified prospects and their high schools.
   2. Send a graduation rate report with all letters confirming official visits.
   3. Contact prospects, families and high schools to disseminate information as needed.
      

   Section 6. Interpretations

   1. All staff members and coaches shall direct rule questions and interpretations to the Compliance Office.
   2. If the appropriate staff member cannot provide an adequate interpretation, then the Compliance Office shall contact the CAA for an official interpretation.
   3. If the CAA is unsure about a particular interpretation, then the Compliance Office or the CAA shall contact the NCAA to get an official interpretation.
   4. Once an official interpretation has been issued, the questions and answer shall be put in writing and presented to the individual who originally asked the question and to anyone else who could be affected by the interpretation.

       

   Section 7. Monitoring

   1. Initial eligibility (Compliance Office-Registrar, Academic Counselors and Sports Offices Coordinator).
      1. As soon as a prospect has been identified as a legitimate (to be recruited) recruit, the head coach of that sport, or his/her designee, shall inform the Sports Office Recruiting Coordinator of that fact. In those sports that do not have recruiting coordinators, this is the responsibility of the head coach.
      2. Once the coach has identified a legitimate prospect to the Sports Office Recruiting Coordinator, it is the Sports Office Recruiting Coordinator's responsibility to see that appropriate academic information (e.g. transcripts, test scores) is requested from the recruit.
      3. The recruiting and admission of prospective student-athletes shall follow the detailed procedures outlined in Article Six, Student-Athletes, of the Policies and Procedures Manual.
      4. Immediately after a potential transfer has been identified by a coach, the Compliance Office shall be responsible for communicating with the institution from which the student is attempting to transfer and obtaining all necessary releases before the transfer may be recruited.
      5. The Compliance Office, in coordination with the sports offices, shall be responsible for obtaining all necessary academic, admission, and eligibility information from both transfers and potential walk-ons.
      6. The University's Admission Office shall be responsible for officially certifying the eligibility/admission status of transfers and walk-ons.
      7. The Compliance Office shall be responsible for certifying temporary participation in practice for recruits, transfers, or walk-ons pending the completion of all information needed for full certification. Additionally, it shall be the Compliance Coordinator's responsibility to inform the respective coach of a student-athlete's failure to provide complete information in a timely manner, requiring the coach to withhold the student-athlete from further practice participation.
      8. The Compliance Office shall be responsible for administering the NCAA student-athlete statement to all incoming recruits, transfers, and known walk-ons prior to each sports season.
      9. The Compliance office is the liaison with the NCAA Initial Eligibility Clearinghouse.

          

   2. Continuing Eligibility (satisfactory progress) [Compliance Office, faculty representative, academic counselors]. [See Appendix B, University of Richmond Intercollegiate Athletics Continuing Eligibility Model]
      1. The Compliance Office shall be responsible for maintaining an up-to-date NCAA squad list form for each sport.
      2. All head coaches, or their designees, shall constantly inform the Compliance Coordinator of any changes (additions or deletions) to its squad roster.
      3. The Compliance Coordinator will monitor the full-time enrollment status of all student-athletes. If it is determined that a student-athlete has dropped below a full load, the respective head coach will be notified. The student-athlete must then be withheld from both practice and competition until otherwise notified.
      4. The Assistant Director of Athletics for Academics is required to maintain an updated academic file on each scholarship and walk-on student-athlete.
      5. The Compliance Coordinator is responsible for reviewing each student-athlete's academic status at the end of each semester and determine any eligibility deficiencies in the student-athlete's academic record.
      6. If the student-athlete has not met all eligibility requirements by the end of the regular academic year, the academic counselor shall be responsible for counseling the student-athlete on summer school and preapprove any courses to be taken at another institution during the summer.
      7. The Compliance Coordinator shall be responsible for monitoring the declaration of a degree by all third-year students.
      8. The Assistant Director of Athletics for Academics shall maintain up-to-date information on the various degree requirements and initially verify all courses that can be considered toward a student-athlete's eligibility.
      9. The Compliance Office shall, prior to each sport season, coordinate with the University's Faculty Athletics Representative and Registrar, who are ultimately responsible for certifying the continuing eligibility of student-athletes.
      10. The Compliance Office shall be responsible for coordinating the administration of the NCAA student-athlete statement to all enrolled student-athletes.
      11. The head coach shall be responsible for requesting any medical hardship exemptions. This request shall be made to the Compliance Coordinator who will request the exemption from the conference office.
      12. The Compliance Office shall maintain a file to include all continuing eligibility issues of a student-athlete.

           

   3. Financial Aid (Financial Aid Officer, Compliance Coordinator, Coaches) [See Appendix D, University of Richmond Intercollegiate Athletics Financial Aid Model]
      1. The Compliance Office shall be responsible for preparing NCAA squad list forms for each program prior to the beginning of the respective sports season.
      2. The Compliance Office shall be responsible for initially reviewing the squad list forms of each sport to ensure that all team and individual scholarship limits have not been exceeded.
      3. The University's Director of Student Financial Aid or his/her designee, shall be ultimately responsible for ensuring that all team and individual scholarship limits have not been exceeded.
      4. The head coaches, or their designee, shall be responsible for notifying the Compliance Office of any term-time employment of their student-athletes.
      5. The Compliance Office shall monitor all earnings from term-time employment, making sure that the combination of scholarship monies and income from term-time employment do not exceed NCAA limits.
      6. Head coaches are responsible for notifying the Compliance Office in writing, on or before May 31 of each year, of the renewal or non-renewal of student-athletes aid for the upcoming year.
      7. The Compliance Office is responsible for seeing that each head coach meets the May 31 deadline.
      8. The Director of Student Financial Aid, or his designee, is responsible for developing, and maintaining, procedures for the appeal of non-renewals of financial aid.
      9. The Business Manager is responsible for monitoring procedures for distribution of scholarship checks to student-athletes.
      10. At the end of each year, the Compliance Coordinator shall be responsible for providing the head coach of each sport with information regarding the equivalency and/or head count numbers.

           

   4. Recruiting
      1. When a coach identifies that a prospective student-athlete is under consideration for recruitment, the Sports Office Recruiting Coordinator shall be notified and an individual file shall be started for that recruit. The head coach, or his designees, must maintain a log of all communications between the University and a recruit.
      2. The Compliance Office shall be responsible for periodic checks of these logs to ensure that they are being maintained in a timely fashion.
      3. The Sports Office Recruiting Coordinator is responsible for maintaining an up-to-date log of all personal contacts between the University and a prospect.
      4. The Compliance Coordinator is responsible for periodic checks of this contact log to make sure it is maintained in a timely manner.
      5. Once a program has exhausted its permissible number of contacts (whether on the high school, campus or off the high school campus), the Sports Office Recruiting Coordinator shall immediately notify the head coach and the recruiting coach, if applicable, of that fact.
      6. The Sports Office Recruiting Coordinator shall coordinate all prearranged unofficial visits to the University's campus.
      7. Any correspondence requesting a prospect to make an unofficial visit to the University's campus shall be handled through the Sports Office Recruiting Coordinator's office.
      8. All official visits must be scheduled through the Compliance Coordinator's offices.
      9. The head coach, or his/her designee, shall provide the Compliance Coordinator with a completed "official visit form" and the Sports Office Recruiting Coordinator shall be responsible for arranging and monitoring the expenses for the visit (i.e. transportation, logging, meals).
      10. At least one week prior to the official visit, the head coach, or his designee, shall be responsible for providing the Sports Office Recruiting Coordinator with additional information (i.e. the student host, location of meals, individuals to attend meal functions) in order to provide a written itinerary of the visit.
      11. The Compliance Coordinator shall be responsible for providing the recruit with the official visit letter, with a summary of the official visit rules attached, to the recruit prior to the actual visit.
      12. The Sports Office Compliance Coordinator shall be responsible for preparing an itinerary of each official visit and presenting it to all individuals involved in the visit at least one day prior to the visit.
      13. The Compliance Coordinator shall prepare a student host form for each student hosting a prospect on an official visit.
      14. The Compliance Coordinator is responsible for seeing that each student hosts signs the student host form prior to receiving any entertainment money.

           

   5. Complimentary Admissions (Coordinator of Ticket Operations)

      The use of complimentary admissions for prospective and enrolled student-athletes shall follow the detailed procedures outlined in Article Thirteen, Complimentary Ticket Policy, of the Policies and Procedures Manual. Also, see Appendix 25-A

   6. Promotions and Publications (Sports Information Director, in coordination with the Compliance Coordinator).
      1. All newly developed written materials, with the exception of personal correspondence, to be provided a prospective student-athlete, must receive approval of the Sports Information Director before it can be provided to the prospect.
      2. After approval, all publications to be mailed to prospects shall be handled through the Sports Offices Recruiting Coordinators' offices.
      3. All requests for student-athlete involvement in charitable activities shall be approved by the Compliance Coordinator.
      4. The Compliance Coordinator shall be responsible for documenting the legitimacy of the charitable organization and event prior to approving a student-athlete's participation.
      5. The Sports Information Director shall be responsible for organizing and monitoring the appropriate release of information regarding the signing of a prospect.
   7. Playing in Practice Seasons
      1. The following strategies are designed to aid in planning and monitoring the amount of time student-athletes spend in countable athletically related activities.
         1. Countable hours must be recorded on a daily basis for each student-athlete regardless of whether the student-athlete is participating in an individual or team sport. Any countable individual or group athletically related activity must count against the time limitation for each student-athlete who participates in the activity but does not count against time limitations for other team members who do not participate in the activity. Activity is reported weekly on the form provided by the Compliance Coordinator.
         2. The Faculty Athletics Representative will have access to practice/playing reports and will perform periodic reviews.
         3. Those student-athletes who differ in the amount of time spent in certain activities will be noted on the practice/playing reports.

             

      2. All head coaches will provide the Compliance Office by August 1st or the beginning of practice, whichever is sooner, their officially designated playing season.
      3. The Head Strength and Conditioning Coach shall be responsible for monitoring off-season conditioning programs.

          

   8. Extra Benefits (Compliance Coordinator)
      1. The Compliance Office shall annually coordinate the administration of the NCAA student-athlete statement.
      2. The Athletics Administrators shall interview all student-athletes leaving their assigned athletic programs prior to the completion of their athletic eligibility and, further, interview selected student-athletes who have completed their athletic eligibility.

          

   9. Institutional Control (Compliance Coordinator)

      In monitoring and enforcing the overall Athletics Compliance Program, the Compliance Coordinator will follow the philosophy and objectives listed in Article One, Athletics Philosophy and Objectives, and Article Two, Administrative Control, of the Policies and Procedures Manual.

Section 8. Responding to Potential Infractions

1. Each year all coaches and appropriate staff members are required to sign the NCAA Certification of Compliance For Staff Members of Athletics Departments form. In doing this, the individual signing the form certifies to the President of the University that he/she has reported any known violations of NCAA legislation involving the University of Richmond. Accordingly, all staff members are required to report any potential violations of NCAA, CAA, Atlantic 10 Conference or institutional rules and regulations to either the Director of Athletics or the Compliance Coordinator.
2. As soon as possible, after immediately reporting a potential infraction, the individual must put all relevant information in writing to the Compliance Office. The reporting staff member will have then fulfilled his/her reporting obligation and the matter will be out of his/her hands, other than to provide additional information as necessary.
3. After receiving the initial information, the Compliance Office shall conduct a preliminary review of the matter and, after consulting with the Director of Athletics, determine what further investigate action is warranted. Depending on the nature of the potential infraction, the Director of Athletics will determine whether to involve outside counsel in an investigation.
4. All individuals associated with the University are expected to fully cooperate with any review, whether conducted from within the Department or by outside counsel.
5. If a secondary violation is confirmed, the University, after consulting with the CAA Office, will impose its own penalties and report all findings and penalties to the CAA and NCAA.
6. Potential violations disclosed by a public source shall be reported to the CAA and NCAA as determined by the Director of Athletics, after consulting with the Compliance Office.
7. As soon as possible after a potential infraction has been reported, the Compliance Office shall report the information to the President and Executive Assistant to the President, via the Director of Athletics.
8. If the confirmed infraction is considered "major" the University will submit to the CAA and NCAA a detailed report with the goal being to set forth specific reasons that will justify the NCAA Committee on Infractions accepting the University imposed penalties and foregoing the required penalties set forth in the NCAA enforcement procedures.
9. Any staff member found to have knowingly violated an NCAA rule will be subject to the termination of his/her employment.
10. Any student-athlete found to have been knowingly involved in a major NCAA rules infraction will be immediately declared ineligible and no appeal will be made by the University for restoration of such eligibility.
11. Any student-athlete found involved in a secondary rule infraction will be immediately declared ineligible. After consulting with the CAA office and assessing its own penalty upon the ineligible student-athlete, the University will initiate a request for restoration of the student-athlete's athletics eligibility.

     

Section 9. Review of Compliance Program

1. The Compliance Coordinator shall be responsible for an ongoing review of the compliance program.
2. At the end of each academic year, the Faculty Athletics Representative, on behalf of the Athletics Council, will conduct a personal review of the overall effectiveness of this program. This review shall include discussions with the Director of Athletics, Compliance Coordinator and all other individuals with specific compliance responsibilities within their departments or areas.
3. At the completion of the Faculty Athletics Representative's review, he or she shall report the findings and recommendations to the entire Athletics Council.
4. Additionally, subsequent to this review, the Faculty Athletics Representative, along with the Director of Athletics and the Compliance Coordinator, shall meet with the University President to discuss the effectiveness of this program.
5. Once every five years, the Director of Athletics shall appoint a committee, composed of members outside the Department of Athletics to conduct an institutional self study.