The ABC's of Compliance

119 Pages·2013·1.66 MB·English

The ABC’s of Compliance
“Know the Rules”

Amateurism. Only amateur student-athletes are eligible for participation in intercollegiate
athletics. Student-athletes may lose their amateur status and eligibility by using their athletics
skill for pay, competing on a professional team, entering into an oral or written agreement with
an agent or professional team, or by promoting or endorsing a commercial product.

Boosters. Also known as “Representatives of Athletics Interests”. You are a booster if you are or
have ever been a member of a booster organization that supports Navy Athletics; have made any
financial contributions to any area of the Academy; have made any annual or life time
membership commitment to a booster organization; or have ever been involved with the
recruitment of a prospect; have provided or are providing benefits to an enrolled student-athlete
or their relatives or friends; provided or helped arrange employment for student-athlete; are the
parent of a student-athlete; are or have ever been a season ticket holder; or have otherwise been
involved in promoting Navy Athletics. Remember, once a booster, always a booster!

Complimentary Admissions. Student-athletes may receive complimentary admissions to home
and away athletics events in their sport. Complimentary admissions must be provided through a
pass list. “Hard tickets” may not be issued. It is impermissible for student-athletes or any
individual receiving complimentary admission to sell or exchange the admission for any item of
value.

Degree Requirements. A student-athlete must maintain progress toward a degree to remain
eligible for competition. This requires student-athletes to complete a minimum number of
courses per semester and per academic year, as well as maintain a minimum grade-point average
each term. Beginning with the third year of enrollment, student-athletes must also satisfy the
annual percentage of degree requirement.

Exhausted Eligibility. In Division I, a student-athlete has five years from his or her initial full-
time enrollment at any institution to compete in up to four seasons of intercollegiate competition.

Fruits, Nuts & Bagels. Have gone away..so the NAAA may provide fruits, nuts and bagels to a
student-athlete at any time. And they can include butter, peanut butter or cream cheese.

Gambling. In any sport sponsored by the NCAA, student-athletes, coaches and NAAA staff are
prohibited from soliciting or accepting bets on intercollegiate or professional athletic contests.
This includes wagers for money or any other tangible item of value. Also, it is impermissible to
provide information to individuals involved in organized gambling activities concerning
intercollegiate athletics.

Honesty & Sportsmanship. All NAAA coaches, staff and student-athletes must act with honesty
and sportsmanship at all times, so as to uphold the integrity of our athletics program. This
includes an obligation to report any potential violations of NCAA, Patriot League or institutional
rules to the Athletic Compliance Office. Failure to act ethically may result in a loss of eligibility or
other sanctions from the NCAA or the NAAA.

Initial Eligibility. All prospective student-athletes who want to participate in intercollegiate
competition must register with the NCAA Eligibility Center. The Eligibility Center evaluates
prospective student-athletes’ academic records, including core courses, grade point average and
standardized test scores, to determine eligibility for practice, competition and athletic aid. They
also evaluate a prospect’s amateurism status.
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Junior College & Four Year Transfers. A transfer student is one who comes to
the Naval Academy after being enrolled full-time at another college or university.
A two-year college transfer may not have contact with a coach during the first year of enrollment
if they are not a qualifier. While the four-year transfer student’s current institution must give
permission for an NAAA coach to contact the student-athlete. Once permission is granted, the
student-athlete becomes a prospect again. Upon transferring to USNA, the student-athlete may
have to spend a year in residence before becoming eligible.

Know the Rules! Your commitment to understanding the importance of adhering to NCAA,
Patriot League and institutional rules helps us maintain our “Expect to Win” tradition. Got
Questions, Call Compliance.

Letter of Intent. The National Letter of Intent (NLI) is a binding agreement between the prospect
and an institution. An NLI must be accompanied by a written offer of athletics aid. All colleges
and universities that participate in the NLI program agree not to recruit a prospect who has
signed an NLI with another institution. Navy doesn’t subscribe to the NLI.

Meals, but Only Occasional. A booster may provide a student-athlete or an entire team with an
occasional home meal. Occasional would be sporadic and infrequent. Occasional meals must be
held in the home of the booster, not at any other location and may be catered.

Nonqualifier. A nonqualifier is a prospect who did not meet the minimum core course, grade
point average or standardized test score requirements established by the NCAA Eligibility Center.
As a nonqualifier, the prospect may not practice, compete or receive athletics aid during his or
her first academic year in residence.

Outside Competition. During the academic year, student-athletes may not compete for a team
that does not represent the Naval Academy’s athletics program without jeopardizing their
eligibility. However, student-athletes may compete for an Olympic or national team during the
academic year.

Playing and Practice Season. In the interest of student-athlete welfare and competitive equity,
the NCAA has established daily and weekly limits on athletics participation. For the length of a
team’s playing season, student-athletes may not participate in athletically related activities for
more than four hours per day and 20 hours per week. Student-athletes must receive at least one
day off each week. Outside the playing season, student-athletes are limited to eight hours of
required weight-training, conditioning and skill instruction per week, with at least two days off
each week.

Qualifier. A qualifier is a prospect who meets the minimum core course, grade point average and
standardized test score requirements established by the NCAA Eligibility Center. A qualifier is
eligible to practice and compete during his or her first academic year in residence and may
receive athletics aid.

Recruiting Coaches. Only coaches who are able to recruit may correspond with, evaluate, phone
or contact prospects to recruit them to the Academy. The NCAA regulates coaches’ recruiting
activities. Coaches must pass a written recruiting exam prior to participating in recruiting
activities and must follow all NCAA rules during the recruiting process.

Student-Athlete Assistance Fund. To improve student-athlete welfare, the NCAA established
the Student-Athlete Assistance Fund which assists student-athletes in meeting financial needs
that may unexpectedly arise. This fund may be used for student-athlete or family emergencies,
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enrollment in an academic curriculum or other uses as directed by the
conference office. See the Compliance Office for further assistance.

Tobacco Products. The use of tobacco products by a student-athlete is prohibited during
practice and competition. A student-athlete who uses tobacco products during a practice or
competition shall be disqualified for the remainder of that practice or competition. Also, using
tobacco products is prohibited by all game personnel (e.g., coaches, trainers, managers and game
officials) in all sports during practice and competition.

Unethical Conduct. Unethical conduct by a prospective or enrolled student-athlete or a current
or former institutional staff member (e.g., coach, professor, tutor, teaching assistant, student
manager, student trainer) may include, but is not limited to, the refusal to furnish information
regarding a possible NCAA violation, knowingly furnishing false information to the NCAA or
institution regarding a possible violation, knowing involvement in providing extra benefits to a
current or prospective student-athlete, or knowing involvement in academic fraud for a current
or a prospective student-athlete. Unethical conduct may result in a loss of eligibility for the
prospect or student-athlete and disciplinary or corrective action for the institutional staff
member.

Visits. Prospects may make unofficial or official visits to campus. Unofficial visits are unlimited
and may occur at any time. A prospect may receive up to three complimentary admissions (five if
a non-traditional family) to home athletics contests, but is responsible for all other expenses
related to the visit. Prospects may make five official visits during their senior year of high school
(in men’s basketball visits may occur during the junior year), but no more than one to a
particular institution. During an official visit, the institution may pay for the prospect’s
transportation to and from campus, room and meals for the prospect and his or her parents and
reasonable entertainment expenses including a maximum of three complimentary admissions
(five if a non-traditional family) to a home athletics contest.

Waivers. The NAAA may request a waiver of the application of NCAA or Patriot League rules for
special circumstances such as a student-athlete who suffered an incapacitating injury or illness
to regain a year of eligibility.

Xtra Benefits. An extra benefit is any special arrangement to provide a prospect or a student-
athlete or their relatives or friends a benefit not expressly authorized by the NCAA. Examples of
extra benefits include, but are not limited to: cash or any type of gift; loans or cosigning of loans;
a vehicle or the use of a vehicle; payment for or arrangement of transportation costs; free or
reduced cost goods or services; free or reduced cost housing; or concert or sporting event tickets.

Year in Residence. Before a transfer student is permitted to compete at the Naval Academy, that
student-athlete must spend one academic year enrolled full-time at the Academy. Certain
circumstances, such as the one-time transfer exception, may allow the year in residence
requirement to be waived.

Zzzzzz…Don’t doze off!! Pay attention to the rules! Compliance is a shared responsibility. By
learning the compliance terms and understanding NCAA, league/conference and institutional
rules, you can help maintain the integrity of Navy Athletics.

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Head Coach Control
Bylaw 11.1.2.1

NCAA Division I Bylaw 11.1.2.1 places the responsibility on the head coach to promote an atmosphere of NCAA rules
compliance within his or her program and to monitor the activities of their staff to ensure compliance with the rules.
This bylaw was enacted in 2005.

Pursuant to Bylaw 11.1.2.1, a head coach is presumed to have knowledge of what is occurring in his or her program
and therefore, can be responsible for the actions of his or her staff and the individuals associated with the program.
In other words, if an allegation of Bylaw 11.1.2.1 is made against a head coach, then the coach must rebut the
presumption that s/he had knowledge of what was occurring in his or her program and show that s/he did in fact set
a proper tone of compliance and reasonably monitored the activities of his or her program.

The action plans described below may assist a head coach in setting a proper tone of compliance and monitoring his
or her program in order to meet the obligations imposed by Bylaw 11.1.2.1.

Action Plan-Communication
A head coach should demonstrate a commitment to compliance through ongoing communication with his or
her athletic director, compliance staff and coaching staff. The outline below was created to assist a head
coach with managing this dialogue.
 Know the expectations for NCAA rules compliance.
 Meet with your athletic director to discuss his expectations for NCAA rules compliance. Suggested
talking points:
o Athletics director’s philosophy and expectations on rules compliance.
o Compliance resources for your program.
o Program’s shared responsibility with compliance staff.
o Establish a plan for continued dialogue with athletic director to discuss the institution and
program’s compliance environment and expectations.
 Meet with your compliance administrator to discuss her expectations for NCAA rules compliance.
Suggested talking points:
o Compliance administrator’s philosophy and expectations on rules compliance.
o Compliance resources for your program.
o Discuss compliance staff and program’s expectations for submitting rules interpretations and
waiver requests and determine how to best resolve any disagreements over the submission of
such requests.
o Program’s shared responsibility with compliance staff.
o Expectations for reporting actual and suspected NCAA rules issues (e.g., immediate action;
reporting lines).
o Establish a plan for continued dialogue with compliance administrator to discuss the
institution and program’s compliance environment and expectations (e.g., regularly scheduled
meetings, etc).
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o Establish a plan for ongoing dialogue between coaching staff and
compliance staff to discuss key issues facing the sport and program (e.g.,
agents, initial eligibility, pre-enrollment amateurism, etc).
 Meet with your staff to discuss your expectations for NCAA rules compliance. Suggested talking
points:
o Program’s ethical standards.
o Expectations for reporting actual and suspected NCAA rules issues (e.g., immediate action;
reporting lines).
o Review athletic director and compliance administrator’s philosophy and expectations for rules
compliance.
o Expectations for regular communication between coaching staff and the compliance staff.
o Establish a plan for continued dialogue with staff to discuss the institution and program’s
compliance environment and expectations (e.g., regularly scheduled meetings, etc).
o Establish ongoing dialogue with staff to review any issues involving prospective student-
athletes and current student-athletes (e.g., agents, initial eligibility, pre-enrollment
amateurism, etc).
Action Plan- Monitoring
A head coach should also demonstrate a commitment to compliance through monitoring his or her staff’s activities in
consultation with the compliance staff. The outline below was created to assist a head coach with managing his
monitoring responsibilities.
 In consultation with the compliance administrator, create procedures to ensure your staff is monitoring your
program’s rules compliance. Suggested procedure:
o Assign a staff liaison to the compliance office.
o Assign staff members to monitor specific areas of compliance (e.g., recruiting contacts, initial
eligibility, amateurism, telephone contacts).
o Regularly evaluate staff members to ensure their areas of compliance are monitored and that all
responsibilities are executed in a timely manner.
o Ensure that the entire program has adequate and on-going compliance training and that there is a
plan in place for discussion of important information.
o Determine reporting lines for resolving actual and suspected NCAA rules issues.
o Determine reporting lines to alert compliance staff of issues involving prospective student-athletes
and current student-athletes (e.g., agents, initial eligibility, pre-enrollment amateurism, etc).
 Regularly solicit feedback from your staff members concerning their areas of compliance and the program’s
overall compliance environment in order to ensure that the monitoring systems are functioning properly.
 Ensure that the program immediately notifies the compliance staff when concerns or red flags occur related
to suspected NCAA rules violations. A lack of immediate action by the head coach will be a significant factor
in determining whether the head coach met the obligations imposed by Bylaw 11.1.2.1.

Things to Remember
 The head coach and staff have an obligation to report suspected rules violations and actual rules violations to
the administration.
 The head coach has an obligation to ensure his or her program’s monitoring systems are operating properly.
 The head coach and staff have an obligation to consult with the compliance staff to determine if their actions
are consistent with NCAA rules. Ask the compliance office before acting, especially in areas of grey.
 The head coach and staff have an obligation to identify situations where circumstances could result in NCAA
violations, alert compliance and monitor the situation closely.

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GENERAL

INFORMATION

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Item Originator First Recipient Second Recipient Action
Application Prospect Admissions Office
PSA- A Form Prospect, online Admissions Coach AIS Module PSA PNOMed in system
Unofficial Visit Form Coaches Compliance Kept on file
Official Visit Form Coaches Compliance Business & Ticket Office Ensure sport coded, transcripts and test
scores in; registered with eligibility
center;tickets and host money requested
Official Visit itinerary Coaches PSA Compliance Kept on file in PSA file and Compliance
Office
Recruiting Itinerary Head Coach Compliance Filed
Graduation Rates NCAA Institutional Compliance Information sent by Compliance Office
Research
Drugs and Supplements NCAA PSA All student-athletes Information sent by Compliance Office
Student-Host Business Office Student Host Compliance Kept on file in Compliance Office
Instructions/receipt
PSA Complimentary Coaches Compliance Ticket Office Submitted with Official/Unofficial visit
Pass List request; List generated, to Ticket Office
prior to event.
Complimentary Pass Coaches/Student- Website Ticket Office Complete on line by prescribed time.
List Athletes Filed in Ticket Office
Recruiting Logs Coaches Compliance Reviewed and kept on file
Weekly Status Report Eligibility Center Compliance Coaches Review and get necessary information,
complete file
Transfer Release Compliance Previous Institution Coach Form kept on file in Compliance
Student-Athlete Compliance All student-athletes Kept on file for six years
Statement
Drug Testing Statement Compliance All student-athletes Kept on file for six years
International Student- Compliance Foreign student- Review credentials; kept on file
Athlete Questionnaire athlete
& Statement
Roster Head Coach NAAA Admissions Compliance Maintain squad lists in MIDS/CAi
Declaration of Season Head Coach Compliance Due mid/late July; Kept on file
Game Schedule Head Coach AD/Sport Team Support Office Reviewed and approved, dates input to
Administrator calendar
Movement Orders & Head Coach Team Support Coord., Academic Liaison Input to system and approved
Itinerary O-Rep
NCAA Squad List Compliance Head Coach signature AD signature Review and send to conference office by
July 31
Roster Changes Head Coach NAAA Admissions Compliance Remove SA from system, modify
roster/squad list
Grades Dean Academic Liaison Coaches Used to go to the Academic Boards
Special Assistance Fund Compliance Student-Athlete Conference SA provides information for funds,
submitted to conference
Hardship Waiver Head Coach Trainer, Team Doctor Compliance/AD/FAR Compliance sends to conference, notifies
involved of response, files
Graduation Success NCAA Compliance Compile information; NCAA releases
Rate Report official report
Exit Interview Institutional Compliance EAC Info compiled and reviewed
Research
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Basic Compliance Due Dates

ITEM DUE DATE WHO’S RESPONSIBLE
Coaches Certification Exam June and July All Head, Assistant and
Volunteer Coaches, Sport
Specific Staff Members
Playing and Practice Season Form Mid July Head Coach
Outside Income Form August 1 All NAAA Staff
Staff Declarations August 1 Head Coach
Initial Team Meeting August, meeting dates are Head Coach
first come, first serve
Squad Lists Before First Competition Compliance Office, signed
by Head Coach & AD
Certification of Compliance, Staff By September 15 All NAAA Staff
Certification of Compliance, By September 15 Compliance/Superintendent
Institution
MBB Staff Disclosure Form By September 15 Men’s Basketball Coaches
Contact/Evaluation/Phone/Practice Oct 1 All Coaches
Logs from July 1- Sept 30
Participation Lists for Fall Sports Jan 1 Head Coach or designee
Contact/Evaluation/Phone/Practice Jan 1 All Coaches
Logs from Oct 1- Dec 31
Contact/Evaluation/Phone/Practice April 1 All Coaches
Logs from Jan 1- March 30
Participation Lists for Winter April 1 Head Coach or designee
Sports
Contact/Evaluation/Phone/Practice July 1 All Coaches
Logs from April 1- June 30
Participation List for Spring June 30 Head Coach or designee
Sports
Monthly Time Accountability First Wednesday for Head Coach or designee
previous month
Camp Brochures Prior to printing or Camp Director
posting on line
Student-Athlete Camp Forms Prior to camp start Student-Athlete

***Note: This list is not inclusive. Other forms may be required.

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Procedures for Reporting a Rules Violation

It is expected that all staff, coaches, student-athletes, and boosters of the Naval Academy Athletic
Association will report any and all potential violations of NCAA Bylaws and/or institutional policy. All
suspected or alleged violations will be quickly and fully investigated. The Senior Compliance Administrator
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 Senior Compliance
Administrator to assess the evidence to determine what weight and credibility will be given to it.

A. Reporting a Violation.
1. Any individual (e.g., athletic department staff member, student-athlete, Academy employee,
representative of the Academy's athletics interests, member of the community) may report an alleged,
rumored, or suspected violation.
2. The individual may report the alleged, rumored, or suspected violation verbally or in writing. He/she
may also report an alleged violation anonymously.

B. To Whom Shall an Alleged Violation be Reported.
1. If an alleged or rumored violation is communicated to any athletic department staff member, the staff
member has an obligation to notify the Compliance Office of the violation in a timely manner.
2. Individuals other than athletic department staff members may report an alleged violation to any or all
of the following persons:
a. The Senior Compliance Administrator or
b. The Director of Intercollegiate Athletics

C. Conducting an Investigation of an Alleged Violation.
1. The Senior Compliance Administrator is responsible for conducting investigations.
2. Should the violation be of a Level I (severe breach) or Level II (significant breach), the Compliance
Office will bring in an outside investigator to assist in the investigation. This may include the Faculty
Athletic Representative or an outside agency. A Level III (breach of conduct) or Level IV (incidental
infraction) will be investigated solely by the Senior Compliance Administrator.
3. A written record of the alleged violation will be kept on file in the Compliance Office. The record
shall consist of the following:
a. Date that the alleged violation was reported to the Compliance Office and who reported the
violation, if known.
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 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.
4. If a violation has occurred, the Compliance Office 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: Director of Athletics; Faculty Athletics Representative; the
Conference Office; and involved staff member(s).
5. Records and reports of confirmed violations will be maintained in the permanent files of the
Compliance Office.

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D. Information to be Included in the Academy’s Self-Report.
The NCAA Enforcement staff recommends that the following information be included in an institution's self-
report of a violation:
1. The date and location of the violation.
2. The identities of involved student-athletes, prospective student-athletes, coaches, staff members and
any other individuals involved in the violation.
3. 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.
4. 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.
5. A list of corrective and/or punitive actions taken by the institution in response to the violation.
6. The institution's position regarding the violation and surrounding circumstance. The institution will
indicate whether it believes a violation occurred and the specific legislation it believes has been
violated.

E. Alleged Violations Involving Other NCAA Institutions.
1. If an individual has knowledge of an alleged violation that involves another NCAA member
institution and impacts the NAAA/Academy, he/she shall report the alleged violation(s) to the Senior
Compliance Officer and/or the Director of Athletics.
2. The Senior Compliance Officer 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 Compliance Office may then contact the compliance administrator or the athletics
director at the accused member institution to request that the alleged violation be investigated. If the
alleged violation is significant breach of NCAA legislation, the Senior Compliance Officer may
contact the NCAA.

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