COMPLIANCE PROCESSES & PROCEDURE MANUAL
The following NCAA Rules are listed and explained on the NCAA.org website
Our staff is committed to protecting North Carolina State University from violations that would result from the actions of student-athletes, coaches, staff, boosters and prospects that violate NCAA rules.It is the goal of the Compliance Office to maintain an educationally empowered environment throughout the University. The Compliance Office is committed to not only creating awareness of the rules of the University, the ACC and the NCAA, but also to explain the application of the rule and provide examples of current enforcement issues. The Compliance Office is aware of the vital role it has in creating such an environment and takes its duties seriously while providing a friendly and welcoming atmosphere, and encouraging interaction with all individuals affected by the rules.
The Functions of NC State Compliance
The Compliance Office has several functions, which include educating, monitoring, developing policies and procedures as well as enforcing the rules and regulations of NC State, the ACC and the NCAA. The Compliance Office works to identify and reduce areas of risk within the athletic program that could negatively impact NC State University. If a problem arises, it is the responsibility of the Compliance Office to determine how the problem occurred, how it could have been prevented and how to reduce the chances of it occurring in the future.
All components within an athletic program must work together and each function properly, effectively and efficiently to ensure compliance. Compliance is a shared responsibility. Each person interested in NC State University Athletics assists the athletic program by knowing and complying with NCAA rules.
Policies and Procedures
It is necessary for the University to function as a whole in order to help maintain institutional control of the athletics operation.
The Chancellor has ultimate responsibility and final authority for the conduct of the athletics program.The Director of Athletics reports directly to the Chancellor.The Compliance Office ultimately reports to the Director of Athletics, with a dotted line to the Chancellor.
Maintaining Institutional Control
Violations generally do not result from a lack of institutional control if:
NCAA Bylaw Processes:
Declaration of Coaching Staff
The Compliance Office requires the Head Coach for each sport to complete the Declaration of Coaching Staff form by July 31 of each year. This form provides the Compliance Office with a complete roster of the coaches that will serve in the coaching capacity during each academic year.All head coaches, assistant coaches, volunteer coaches, and graduate assistant coaches must be identified as defined in NCAA Bylaw 11 for that year.
NCAA rules state that as an employee of an athletic department, one is “required to provide a written detailed account annually to the President or Chancellor for all athletically related income and benefits from sources outside NC State.” This includes all EPA employees, non-EPA employees, SPA employees (excluding secretarial and clerical), and part-time employees. After the end of the fiscal year (June 30th) the Compliance staff sends an email to all affected employees and requests such data on the Athletically Related Outside Income Form that is attached to the email and requires the form to be filled out (even if the dollars earned are zero) by the end of July.
Annual Certification to Recruit Off Campus
The coaches’ annual certification procedure includes the requirement that the coaches pass a standardized national test developed by the NCAA covering NCAA recruiting legislation.Each year, the Compliance Office facilitates the administration of the NCAA Coaches’ Certification Test. Coaches are required to pass the test prior to recruiting off campus.
The Compliance Office will schedule a rules review session for all coaches and athletic department staff who wish to take the Coaches Exam.This session will include discussions of newly passed legislation. In addition to the study sessions, the Compliance Office encourages use of the online practice tests through the NCAA website. The study session is typically scheduled in May and the test will be administered on dates to be determined by the ACC & Faculty Athletics Representative (FAR).No coach will be allowed to recruit off-campus beginning August 1 should they not pass the test, and they will be notified if this is the case.
Transfer Procedures for Current Student-Athletes
Release to Schools
Coaches and the University have the authority to grant permission for current student-athletes to contact specific schools while denying permission to other institutions.If the University chooses to deny part of or all of a student’s request, we are required to inform the student-athlete of NC State’s appeal process.
NC State Transfer Appeal Process
Student-athletes will be notified in writing by the Compliance Office should they be denied permission to speak with other institutions regarding the possibility of transferring or utilizing the one-time transfer exception. This written notice will inform the student-athlete that upon a written request from the student-athlete a hearing will be conducted to appeal the decision of the athletic department. The decision of the committee is final. The following procedures govern the hearing process:
International Transfer Student-Athletes
An international transfer student-athlete who did not take a standardized test before enrolling full-time at an international collegiate institution shall be immediately eligible for financial aid, practice and competition at the certifying institution, provided the student-athlete meets all NCAA four-year college transfer requirements and the student-athlete was not recruited prior to enrolling full-time at the international collegiate institution.The student must demonstrate foreign residency and attendance at the foreign institution.
Please note, the international student-athlete cannot have been recruited by ANY Division I or II institution, and this student-athlete will be considered a non-qualifier by NCAA rules and will have only 3 seasons of competition at any Division I NCAA institution.The compliance staff will need to submit an initial-eligibility waiver in order for the student to regain his/her fourth season of competition.
Official Visit Procedures
Before The Official Visit
The Official Visit Pre-Approval Form should be completed prior to any official visit to campus.In addition to the form, for high school prospects, it is required that a copy of the high school transcripts and test score be submitted.For transfer prospects, it is required only that a college transcript be submitted.THE OFFICIAL VISIT IS NOT APPROVED UNTIL THE RECRUITING COACH WHO SUMBITTED THE PRE-APPROVAL RECEIVES APPROVAL FROM THE COMPLIANCE OFFICE.
During the Official Visit
During the official visit the coaching staff will need to keep detailed receipts for all meals.
Also during the prospect’s visit coaches need to make sure that the prospect signs the Prospect Declaration Form. This form is used to verify compliance with NCAA regulations and to ensure that no violations occurred while the prospect was on campus.
If NC State is reimbursing the prospect for travel to campus, coaches should complete the Official Visit Prospect Reimbursement Form. The social security number of the prospect is necessary to issue a reimbursement check for the mileage.
After the Official Visit
Following the visit, any student host must complete the Student Host Instructions and Activities Reconciliation Form. This form is used to affirm all policies and rules were followed and no extra or impermissible benefits were provided to the prospect during the visit.
Coaches should complete the Official Visit Summary & Reimbursement Form and submit all receipts in addition to the Prospect Declaration Form, the Student Host Instructions and Activities Reconciliation Form and the Official Visit Prospect Reimbursement Form.The Official Visit Reconciliation Form needs to be turned in to the Compliance Office no later than 10 days from the first of the following month. This form needs specific information about travel, meals and lodging.If there is not enough room on the form to complete this information, include an itinerary for the official visit.
Official visit paperwork will be reviewed immediately upon submission and forwarded to the Business Office. At the end of each month, any outstanding paperwork will result in holds on recruiting reimbursements.
Unofficial Visit Paperwork
The Compliance Office requires coaches to record all unofficial visits that were pre-arranged or resulted in comp tickets being issued.Completed unofficial visit forms should be kept on file in the coach’s office should the Compliance Office have any questions.
NCAA Squad Lists
Student-Athlete Leaves Team
Coach fills out a Change of Status Form and submits to the Compliance immediately so that the student-athlete’s status can be changed on the squad list.Compliance will notify various offices in the athletic department (equipment, sports medicine, ASPSA, etc.) so the benefit of their services may be discontinued.Compliance is responsible to notify the Financial Aid Office of the change if their athletics aid is to be adjusted.
Student-Athlete Walks on to Team/Student-Athlete Tryout for Team
The student-athlete must come to the Compliance Office and obtain the Walk-On/Tryout Verification Form and fill out all sections prior to being allowed to try out for a team.
Medical Hardship Procedures
The Compliance Office is responsible for filing medical hardship petitions for all sports.At the conclusion of each playing season, the Compliance Office sends an email requesting the Head Coach complete a participation form where they would indicate any potential medical hardship waivers.The Compliance Office confirms the sport’s total number of completed contests/dates of competition, the total number of dates of competition/contests the student-athlete participated and all other appropriate calculations necessary to complete the ACC Hardship Waiver form.Once approved by the Team Physician, the ACC Hardship Waiver Form, with physician’s statement attached, the form is forwarded to the Director of Athletics and the Faculty Athletics Representative for approval.The ACC Hardship Waiver is then forwarded to the ACC for approval.
NC State Athletic Department Academic Policies
GPA Requirement for Walk-On Students
All walk-on students must have a 2.00 cumulative grade point average to be a member of a team. A 2.00 cum GPA must be maintained each semester.
If a student joins the team as a first semester freshman, he or she will be allowed 2 semesters to earn a 2.00. It must be maintained each semester subsequently.
Postseason Certification between Terms – NC State Policy
NC State student-athletes are required to meet ALL appropriate NCAA continuing eligibility requirements to be eligible to participate in postseason competitions that occur between regular terms (including summer) (e.g. 6 hours, 18 hours, 24 hours, percentage towards degree, grade point average).
Please note: Any late (LA) grades or incompletes (IN) with potential impact on a student-athlete’s postseason eligibility will be reviewed by the Faculty Athletics Representative and the Chair of the Faculty Academic Committee of the Council on Athletics to ensure the grades were issued in compliance with university policies and procedures.
Timing of Certification
Per Bylaw 18.104.22.168.2, NC State is required to certify a student-athlete’s eligibility for a postseason event occurring between regular terms (including summer) based on the grades available at 5:00pm local time on the day prior to the start of the postseason event.
(Policy reviewed by the Provost’s Roundtable Fall ’06, Revised Spring ’07, Revised Fall ’08)
Once a student-athlete is determined to be ineligible for postseason competition between terms for failing to meet the NC State Post-Season Certification Policy, an appeal request may be submitted to the Faculty Athletics Representative (FAR).The appeals process is for students not meeting the eligibility requirements who have exceptional circumstances.The request must be submitted in writing to the FAR documenting the circumstances.
Appeals will be reviewed by the Faculty Athletics Representative and the Chair of the Faculty Academic Committee of the Council on Athletics in a timely manner.Information to be considered during the review includes:
Appeal decisions made will be communicated to Compliance staff and Head Coach.
Summer School Attendance for Incoming Students
Incoming freshmen and/or transfers may attend summer school on scholarship prior to enrollment.The amount awarded is typically equal to the percentage of award the student will be receiving during the upcoming academic year.
Students must be admitted to NC State, deemed a final qualifier in the Eligibility Center, and have all final, official documents submitted and evaluated prior to the first day of summer school. Students who do not meet the above requirements must be granted an appeal in order to attend summer school.
The appeals committee is comprised of the Associate Athletics Director for Compliance, the Assistant Athletics Director of Compliance, the Director of ASPSA, and the Eligibility Coordinator.
Financial Aid Renewals/ Non-renewals
The Compliance Office will provide each Head Coach/team with their current financial aid spreadsheet, which they will update and provide back to Compliance by mid-April of each year.Once approved, financial aid agreements are created through a mail merge program.Recommendations for decrease or non-renewals will be submitted to the Compliance Office for review and approval.All decrease and non-renewal letters are created and sent to the student-athlete by the Director of Scholarships and Financial Aid.
NC State Financial Aid Decrease and Non-Renewal Appeal Process
If a student-athlete’s athletics aid is decreased or not renewed, a student-athlete will be notified in writing by the Director of Financial Aid and Scholarships. This written notice will inform the student-athlete that upon a written request from the student-athlete an appeal hearing will be conducted to appeal the decision of the athletic department. The following procedures govern the hearing process:
National Letter of Intent Signing Process
Step One: Evaluation of Academic Information
Prior to the National Letter of Intent being prepared, Academic Support for Student-Athletes (ASPSA) must complete the Pre-Admission Evaluation section of the Official Visit Pre-Approval Form.ASPSA has a copy of each prospect’s Official Visit Pre-Approval Form and transcript if the prospect has taken an official visit.ASPSA automatically send the forms to the Compliance Office.If the prospect has not taken an official visit, a test score and transcript will need to be provided so that ASPSA has an opportunity to review the prospect’s transcript(s) and test scores prior to a NLI being prepared and sent to the prospect.ASPSA will forward all evaluations to the Compliance Office.
Step Two: Preparation of NLI and Athletic Scholarship Agreement
The Compliance Office will prepare the NLIs and Athletics Scholarship Agreements. To request a National Letter of Intent, a Requests for NLI/Initial Award Form must be completed. Basic information, such as full name, address, NCAA Eligibility Center ID number and date of birth are required for an NLI and Financial Aid Agreement to be prepared. If prospects are living away from home, the address must reflect their permanent address.
Summer School Financial Aid
The availability of athletic department summer school aid for students who have not yet attended NC State during the regular academic year (i.e., incoming prospective student-athletes) is for the purpose of allowing the student to gain a “head start” on his or her academic career at the university.It is a valuable experience for the student to have the opportunity to experience the academic culture of the university, while concentrating on a limited number of classes.The focus of this initial summer school attendance shall clearly be for the purpose of advancing academically, rather than getting a head start on athletic activities.
Who is Eligible to Receive Aid?
The recipient shall be admitted to NC State in accordance with regular, published entrance requirements and shall have provided all final, official documentation required by both the NCAA Eligibility Center and NC State’s admissions office.The student must have been determined to be a high school qualifier for an incoming freshman.For incoming transfer students, a preliminary review of records must indicate that the student should be eligible for competition for the upcoming academic year (i.e., the student appears to meet transfer requirements), unless he or she would be required to serve an academic year in residence pursuant to Bylaw 14.5.5 (four-year college transfers).
Students will be permitted to attend one of the two summer sessions, but not through distance education.
The recipient will be enrolled in a minimum of six hours of academic course work (other than physical education activity courses) that is acceptable degree credit toward any of NC State's degree programs. Remedial, tutorial and noncredit courses may be used to satisfy the minimum six-hour requirement, provided the courses are considered by NC State to be prerequisites for specific courses acceptable for any degree program and are given the same academic weight as other courses offered by NC State.
ALL schedule revisions must be approved by ASPSA, who will notify the sport administrator and the Compliance Office.During the summer term or orientation period, the recipient shall not engage in any organized athletic practice activities (Bylaw 17.02.1); and summer coursework may not be used for the purpose of completing initial-eligibility (i.e., prospects with learning disabilities) or continuing-eligibility (i.e., transfer eligibility, progress toward degree) requirements.
Academic responsibilities take priority over athletic activities at ALL times.No academic responsibility (e.g., orientation) shall be missed to engage in athletic activities.
Current student-athletes may receive athletic aid for summer school provided the amount is at the same proportion or less as compared to their grant-in-aid in the previous year.Student-athletes must contact their academic advisor to initiate the process in April prior to the summer term in which they wish to enroll.They will be provided a form that must be completed in order for their aid to be approved.
Student-Athlete Opportunity Fund
The Student-Athlete Opportunity Fund (SAOF) is money provided by the NCAA to member institutions in an effort to provide student-athletes with direct benefits.As required by the NCAA, the Student-Athlete Opportunity Fund cannot be used to finance salaries, grants-in-aid (other than summer school), capital improvements, stipends and outside athletic development opportunities for student-athletes (e.g., participation in a sports camp or clinic, private sports-related instruction, green fees, batting cage rental, outside foreign tour expenses).
SAOF can be used by student-athletes for many necessities including, but not limited to: The cost of clothing, travel from campus to home during holidays and vacation periods during the academic year, expendable academic course supplies (e.g., notebooks and pens) and purchase of computer equipment or other educational equipment, medical expenses not covered by another insurance program (e.g., hearing aids, glasses, contacts, tooth extractions, dental fillings, psychological counseling); and costs associated with family emergencies.
All SAOF funds are provided as reimbursements for a student-athlete’s purchases.Depending upon the amount of money awarded to an individual student-athlete, the student can request a short-term loan from the Office of Scholarships and Financial Aid in order to facilitate the purchase of a more expensive item (e.g., winter coat, laptop).The student-athlete must bring all receipts (no copies) to the Athletics Department for approval, and the staff will communicate with the Director of Financial Aid the amount of money to be reimbursed to the student-athlete.
Playing and Practice Seasons
Declaration of Playing Season
NCAA Bylaw 17 details specific practice and playing season restrictions for each sport.The Compliance Office requests that all declarations be completed and submitted to the Compliance Office no later than July 15th.This includes the Declaration of Week, Declaration of Playing Season, and Maximum Dates of Competition Forms. Changes in the declaration must be given to the Compliance Office immediately and prior to the start of the season.Each sport’s season will be kept on file in the Compliance Office.Each team will be responsible for complying with the declared practice and playing season.
Countable Athletically Related Activities:
Documentation of Countable Athletically Related Activities must be completed and submitted to the Compliance Office on a monthly basis.This form is available in the Compliance Office, and logs must be signed by the head coach and at least one student-athlete to verify the information provided.
NC State is responsible for monitoring the eligibility status of its student-athletes.Part of this is ensuring student-athletes do not engage in more than four seasons of competition in any one sport.These four seasons must be completed within a five-year time period beginning with initiation-full time enrollment.
To monitor the seasons of competition used, the Compliance Office distributes a Participation Form for each Head Coach to complete at the end of each season.The Compliance Office is responsible for maintaining and filing participation lists for all sports.The Compliance office is responsible for updating the NCAA Compliance Assistant software with this information.
The Compliance Office reviews the participation information and compares it to the official statistics provided to the Compliance Office by the Media Relations Office. Any discrepancies are addressed and reconciled at this time.
All suspected or alleged violations of NCAA rules, whether secondary or major, shall be investigated in accordance with NCAA rules and regulations.At no time shall any rules violation go unreported to the Compliance Office.If the Associate Athletic Director of Compliance determines that a violation has occurred, it will be reported to the ACC or NCAA.
Any individual may report an alleged, rumored, or suspected violation to the Compliance Office.
This report may be verbal or in writing.Any violation may be reported anonymously.If anyone communicates an alleged or rumored violation to any staff member, that staff member has an obligation to notify the Compliance Office of the violation in a timely manner.
All University staff members are required to report any potential violations of University, ACC, or NCAA regulations concerning intercollegiate athletics to a member of the Compliance Office.In addition, all individuals associated with NC State are expected to fully cooperate with any review, whether conducted by a member of the Compliance Office, outside counsel, an ACC official, or the NCAA.
If an individual defined by NCAA regulations as a "representative of the University's athletic interests" knowingly violates any NCAA regulation, that individual may be officially disassociated from the University for a period of time determined by the Athletic Director after consulting with the Chancellor and the Associate Athletic Director for Compliance.
Investigating Potential Major Violations
When information is received by the Compliance Office that could possibly be a major violation of University, ACC, or NCAA regulations, the following process shall take place:
If the investigation reveals that a secondary violation of NCAA regulations occurred, the athletic department may, with input from appropriate athletic department and/or University staff members, impose penalties and the Associate Athletic Director for Compliance reports the violation to the ACC and/or the NCAA.
If loss of eligibility is applicable in a secondary violation of NCAA regulations, the declaration of ineligibility shall be done immediately upon discovery. The University may appeal to the NCAA Student-Athlete Reinstatement Subcommittee for reinstatement of the student-athlete's or prospective student-athlete's eligibility, based on the severity of the violation.
The following personnel will be copied on all reports of NCAA violations:Chancellor, ACC, Faculty Athletics Representative, Director of Athletics, Supervisor, Coach (if applicable) and student-athlete file (if applicable).
If the investigation reveals that a violation of ACC regulations occurred (no NCAA violation), the violation is reported to the ACC and, in consultation with Conference officials, appropriate remedial actions are taken.If the investigation reveals that a violation of University (no ACC or NCAA violation) policy occurred, the violation is handled in accordance with NC State policies and procedures.
Should the athletic department, the University, or the NCAA impose sanctions on any athletic department or University staff member, representative of the University's athletic interests, or student-athlete, the Associate Athletic Director for Compliance will oversee the implementation of those sanctions and files the appropriate documentation with the NCAA.
The Compliance Office maintains documentation of all NCAA violations (major and secondary) and is made available to the Chancellor upon request and at the end of each academic year.