1. NCAA Division III Introduction to Compliance Concepts (Part 3)
Kristin DiBiase
Joni Williamson

2. Agenda Transfer Certification. Certification Case Scenarios.
Declaration of Playing Season.

3. Transfer Certification

4. General Undergraduate Transfer Rule
A student-athlete who transfers to a member institution from any collegiate institution is required to complete an academic year in residence at the certifying institution before being eligible to compete or receive travel expenses, unless the student satisfies the applicable transfer requirements or receives an exception or waiver.
NCAA Division III Bylaw

5. Transfer Student-Athletes
Is the SA a transfer? Yes, if at least one of the following occurs:
Enrolled in a minimum full-time program of studies and attended class.
Reported for a regular squad practice.
Practiced or competed while enrolled as a part-time student.
Bylaw

6. Information Needed
Requests for information about a transfer SA should include these key elements:
Previous collegiate enrollment history.
All transcripts.
Complete participation history, including activities when not enrolled.
Tracer form (Supplement No. 13)
Compliance tip: Why is SA ineligible at the previous institution?
Now that you have determined if a student is considered a transfer student you will need to gather some key information. What is the student’s previous collegiate enrollment history? Gather the student’s previous transcripts. Gather his/her participation history, including activities when not enrolled. Take a look at supplement 13 for an example of a tracer form. When sending this form it is important to find out why and if the student-athlete was ineligible at the previous institution and make sure they do not have an unfulfilled year of residence.

7. Tracer Form – Supplement No. 13

8. Transfer Student-Athletes
Create a timeline.
Identify type of transfer.
Multiple transfers.
(4-2-4).
(2-4).
Locate the correct legislation.
Two-year or college transfer.
Bylaw
Four-year college transfers.
Bylaw
Once you gather all of the information create a timeline. This will allow you to determine what type of transfer you have. You will want to look at Bylaw for two-year college transfers and Bylaw for four-year college transfers. If you have a student-athlete who has transferred multiple times you will want to look at the last two institutions they were previously at. So if you have a transfer they are in fact a transfer. If you have a transfer they are in fact just a 2-4 transfer.

9. Transfer Student-Athletes
If a transfer SA meets an exception:
The SA may practice and compete.
If a transfer SA does not meet an exception:
The SA may practice, but may not compete until he or she has completed an academic year of residence.
If the SA practices, he or she will still use a season of participation if practice occurs during or after first contest in the traditional segment.
Bylaw

10. Supplement No. 14
Take a look at supplement 14 to help breakdown the transfer exceptions. The first section helps you determine if a student-athlete is a transfer student.

11. Two-Year Transfers
A student who transfers from a member institution from a two-year college must complete an academic year of residence unless the student qualifies for an exception.
Bylaw
The second section has two-year college transfer information. If a student transfers from a two-year college he or she must complete an academic year of residence unless he or she meets an exception. Take a look at the exceptions.

12. Two-Year Transfers (2-4)
Transfers from two-year schools may be eligible if an exception applies. For 2-4 transfers:
Has not practiced or competed in intercollegiate athletics.
Would have been academically and athletically eligible had the student remained at the two-year school.
Bylaw
This side is strictly referring to a 2-4 transfer. A two-year transfer may be eligible if he or she has not practiced or competed in intercollegiate athletics. The next option is number 2 a and b. If the student would have been academically and athletically eligible had the student remained at the two-year school he or she would meet this exception. Additionally, if the student exhausted their eligibility at the two-year, but would have been eligible otherwise the student-athlete would meet this exception.

13. Two-Year Transfers (4-2-4)
Exceptions for transfers:
Has not participated in intercollegiate athletics.
Had the student remained at the previous four-year institution, would have been athletically and academically eligible at the time of transfer; or
Completed 24-semester or 36-quarter transferable-degree credit hours and two full-time semesters or three full-time quarters.
Bylaw

14. Two-Year Transfers Two-Year Nonparticipation Exception.
For a consecutive two-year period immediately before participation, has neither practiced nor competed in the sport in intercollegiate competition; and
Has neither practiced nor competed in organized noncollegiate amateur competition while enrolled as a full-time student in a collegiate institution.
Bylaw

15. Certification Checklist
Supplement No. 15
This checklist will provide you with the key questions you need to ask in order to certify eligibility.

16. Certification Checklist
Supplement No. 15
Student is admitted as a regularly enrolled, degree seeking student.
In good academic standing.
Meets a transfer exception.
This checklist is broken down into the areas you need to look at for incoming, continuing and transfer student-athletes. It has a list of areas to check yes or no. For transfer certification look at the bottom transfer section. It starts off by making sure the student is admitted as a regularly enrolled degree seeking student. It checks to make sure the student is in good academic standing, meets a transfer exception and does not have an unfulfilled year of residence.

17. Certification Checklist
Supplement No. 15
Is enrolled full time.
Meets amateur status.
Meets all conference office rules pertaining to eligibility.
Seasons of participation remaining.
The student-athlete must be also be enrolled full-time, must meet amateur status, meet all conference office rules and make sure they have seasons remaining.

18. Two-Year Transfer Case Study No. 1
Supplement No. 16a transfer case.
Supplement No. 16b tracer form.
Take a look at supplement 16a/b together. Supplement 16a is a 2-4 transfer case. Supplement 16b is the tracer form.

19. Two-Year Transfer Case Study No. 1
Kevin Hershey.
2-4 transfer student.
Sweet College - Fall 2015, Spring 2016.
Chocolate College – Fall 2016.
Review transfer chart (Supplement No. 14).
Review certification checklist (Supplement No. 15).
Review college information (Supplement No. 16a).
Review the tracer form (Supplement No. 16b).
Kevin Hershey is a 2-4 transfer student. He was at Sweet College for academic year and is now going to Chocolate College. Review the tracer form, checklist, transfer chart and college information.

20. Two-Year Transfer Case Study No. 1
Does Kevin meet a transfer exception?
What additional information is needed in order to make sure Kevin is eligible for practice and competition?

21. Two-Year Transfer Answer
Meets transfer exception: Kevin would have been academically and athletically eligible had he remained at the two-year school.
Kevin meets transfer exception 2a, he would have been academically and athletically eligible had he remained at the two-year school. Check the list to determine if you need any additional information.

22. Two-Year Transfer Answer
Has Kevin been admitted as a regularly enrolled, degree seeking student?
Is Kevin in good academic standing?
What is Kevin’s amateur status?
Does Kevin meet all conference rules?
Does Kevin have seasons of participation remaining?
Walk through the checklist (supplement No. 15). This information is not provided in this scenario. Each institution will want to make sure to check “yes” on each question.

23. Two-Year Transfer Case Study No. 2
Supplement No. 17a – transfer case.
Supplement No. 17b – tracer form.
Group Exercise – Talk through the scenario in groups. Discuss what additional information is necessary for the student-athlete to be eligible. One person will be the scribe and one person will report out.
Supplement 17a is a transfer case. Supplement 17b is the tracer form. Talk through the scenario at your table. Discuss what additional information is necessary for the student-athlete to be eligible.

24. Two-Year Transfer Case Study No. 2
Suzie Payday is a transfer.
Cookie University – Fall 2014.
Candy University – Spring 2015, Fall 2015, Spring 2016.
Tootsie College – Fall 2016.
Review transfer chart (Supplement No. 14).
Review certification checklist (Supplement No. 15).
Review the college history information (Supplement No. 17a).
Review the tracer form (Supplement No. 17b).

25. Two-Year Transfer Case Study 2
Does Suzie meet a transfer exception?
What additional information is needed in order to make sure Suzie is eligible for practice and competition?

26. Two-Year Transfer Answer
Transfer exception: Suzie completed 24 semester transferrable degree credits and two full time semesters.
Suzie meets the 3b exception. She completed 24-semester transferrable degree credits and two full-time semesters. Suzie is enrolled full-time.

27. Two-Year Transfer Answer
Is Suzie admitted as a regularly enrolled degree seeking student?
Is she in good academic standing?
What is Suzie’s amateur status?
Does Suzie meet all conference rules?
Does Suzie have seasons remaining?
Walk through the checklist (supplement No. 15). This information is not provided in this scenario. Each institution will want to make sure to check “yes” on each question.

28. Four-Year Transfers
A transfer student from a four-year institution must complete an academic year of residence unless the student qualifies for an exception.
Bylaws and
A four-year transfer student must complete an academic year of residence unless the student qualifies for an exception. Here is another list of exceptions.

29. Four-Year Transfers (4-4)
Transfers from four-year schools may be immediately eligible if an exception applies.
Has not practiced or competed in intercollegiate athletics.
SA would have been both academically and athletically eligible, at the time of transfer, had the SA stayed at the previous school.
If previous school did not sponsor the sport.
Completed 24-semester or 36-quarter transferable-degree credit hours and two full-time semesters or three full-time quarters.
Bylaw

30. Four-Year Transfers Two-Year Nonparticipation Exception.
For a consecutive two-year period immediately before participation, has neither practiced nor competed in the sport in intercollegiate competition; and
Has neither practiced nor competed in organized noncollegiate amateur competition while enrolled as a full-time student in a collegiate institution.
Bylaw

31. Four-Year Transfer Case Study
Supplement No.18a transfer case.
Supplement No. 18b – 4-4 tracer form.
Supplement No. 18c – .
Group Exercise – Talk through the scenario in groups. Discuss what additional information is necessary for the student-athlete to be eligible. One person will be the scribe and one person will report out.

32. Four-Year Transfer Case Study
Lola Juice is a 4-4 transfer.
Taffy College – Fall 2015, Spring 2016.
HC Tech – Summer 2016, Fall 2016.
Review transfer chart (Supplement No.14).
Review certification checklist (Supplement No.15).
Review the college history information (Supplement No.18a).
Review the tracer forms (Supplement Nos.18b and 18c).

33. Four-Year Transfer Case Study
Does Lola meet a transfer exception?
What additional information is needed in order to make sure Lola is eligible for practice and competition?

34. Four-Year Transfer Case Study
Transfer exception: Lola would have been both academically and athletically eligible had she remained at the previous four year school at the time of transfer to HC Tech.
This case is a little tricky in that Lola was not considered eligible had she remained at Taffy College (first four year school). After she completed her summer classes at HC Tech she transferred them back to the Taffy College and before she officially started her fall term Taffy College provided an to confirm that she would be considered athletically and academically eligible. This example was provided to show what we mean by “time of transfer”.

35. Four-Year Transfer Answer
Is Lola admitted as a regularly enrolled degree seeking student?
Is she in good academic standing?
What is Lola’s amateur status?
Does Lola meet all conference rules?
Does Lola have seasons remaining?
Walk through the checklist (supplement No. 15). This information is not provided in this scenario. Each institution will want to make sure to check “yes” on each question.

36. Declaration of playing season
Now we will discuss another important part of your compliance duties—declaring the playing season.

37. Declaration of Playing Season
Period of time between the date of an institution’s first officially recognized practice session and the date of the institution’s last practice session or date of competition, whichever occurs later.
Athletically related activities may occur during the playing season.
Bylaws and
The playing season encompasses the period of time between your first practice and the date of your last practice or competition, whichever is further out in time. With a few exceptions, the playing season is the only time that athletically related activities can take place.

38. Declaration of Playing Season
Determine playing season for each sport.
Prior to the beginning of the playing season.
Keep on file in writing in the department of athletics.
Any changes should also be kept on file.
Bylaw
Prior to the start of the season, you are required to determine your playing season and keep the information and any changes you might make on file. Note—because there are a lot of different teams, you are not required to declare the playing season for all of the teams at the same time. If necessary, you can declare the season for your teams on a rolling basis, as long as it is done in enough time for your staff to make appropriate plans.

39. Declaration of Playing Season – Gathering Information
Sport.
Practice start date.
First date of competition.
Traditional segment.
Nontraditional segment.
Number of contests.
Signatures.
Season calendar.
Bylaw
Before you declare your playing season, gather all of the information you’ll need to complete the declaration form. For each sport, you’ll be declaring the first date of practice, the first date of competition for both the traditional segment and the nontraditional segment (if the sport has one), the number of contests or dates of competition. You’ll also need to have the form signed, and provide a calendar that lays out your season.
We’ve included a sample form in your packet; this is Supplement No. 19.

40. Declaration of Playing Season
See Supplement No. 19.
This is what Supplement 19 looks like.

41. Declaration of Playing Season
Length of Playing Season.
Fall Sports: maximum of 18 weeks.
Winter Sports: maximum of 19 weeks.
Spring Sports: maximum of 19 weeks.
Bylaw
The playing season is limited to a certain number of weeks for each sport. Fall sports can have a maximum of 18 weeks, while winter and spring sports may participate for up to 19 weeks.

42. Fall Preseason Practice Formula
In fall sports other than football, the first permissible date of preseason is determined by counting out 16 units.
A unit is simply a counting device. The number of units assigned to a particular day doesn’t dictate how you conduct practice.
There are no “one-a-days” and “two-a-days.” A team may practice however many or few times per day as is desired.
Sundays don’t get included in the counting formula, but a team can still practice on Sundays.
Bylaw
Declaring the season in fall sports is more difficult than declaring winter and spring sports. To determine when the season begins, NCAA legislation has a preseason practice formula in Bylaw For all sports in the fall other than football, the first permissible date of preseason is determined by counting out 16 units, in a combination of one- and two-unit moves.
A unit is simply a counting device that is used to move you backward in the calendar until you reach the first date you can start practice. The number of units assigned to a particular day doesn’t dictate how you conduct practice. There is no such thing as a “one-a-day” or “two-a-day.” Just because a day is counted with a 1, that doesn’t mean you can only practice one time that day, or two times on a day with a 2 count. The counts are there solely to calculate days. You can practice as much or as little as you would like as long as you take a day off each week.
The same idea applies to how Sundays play into the counting. When the counting formula is done, Sundays are skipped in the counting, but that doesn’t mean you have to take Sunday as your day off.

43. How to Count – Supplement No. 20
Skip Sundays when counting the units.
Skip any preseason day when the dorms are closed, you cannot be on campus and no practice takes place.
First 6 Units: Count one unit each on the six calendar days that lead up to the first regular scheduled contest (skip Sundays).
Do not count back from a preseason scrimmage/exhibition.
Count starting from your actual first contest, not the first permissible date.
Remaining 10 Units:
A) Assign one unit to each day on or after the first day of classes.
B) Assign two units to each day before the first day of classes.
Stop when the counting adds up to 16 units. This is the start day.
Bylaw
Now, let’s go through how to count to calculate your preseason start date. As we go over this, you will want to follow along on Supplement 20.
The first two rules are “skips.” You should always skip Sundays when you count. You should also skip any preseason day when the dorms are closed, you can’t be on campus, and there is no practice.
Next, you count out your first 6 units. You’ll count one unit each on the six calendar days that lead up to the first regular scheduled contest. Don’t count back from the first date you are allowed to play, or from a preseason scrimmage or exhibition--count back from your actual first contest date.
For the 10 units that are left, count one unit on each day on or after the first day of classes, and then count two units on each day before the first day of classes, until your counting adds up to 16 units. Whatever day you’re on in the calendar when you hit 16, that is the start day.

44. Declaration of Playing Season – Supplement No. 20
Review the season for Nougat College’s men’s soccer team.
First date of classes – August 22.
First date of competition – September 1.
So let’s see it in action by going through the formula for Nougat College’s men’s soccer team.
The first day of classes at Nougat is August 22, and the first contest is September 1.

45. How to Count – Supplement No. 20
First 6 Units: Count one unit each on the six calendar days that lead up to the first regular scheduled contest.
First, don’t forget that we’re skipping Sundays. Go ahead and put the skips down on the calendar before you even start counting.
Next, we’ll count out the first six units. For our purposes here, these units are shown in purple. You count back the six days immediately leading up to your first contest.

46. How to Count – Supplement No. 20
Remaining 10 Units: A) Assign one unit to each day on or after the first day of classes.
For the 10 units that are left, first we count one unit on each day on or after the first day of classes. Here, I’ve represented those units in orange.
Just a note--when you calculate your own institution’s calendar, you may not have any orange units at all. This is because many institutions start their first day of classes less than a week before the first contest takes place.

47. How to Count – Supplement No. 20
Remaining 10 Units: B) Assign two units to each day before the first day of classes. Stop when the total number of units adds up to 16.
For the remaining units that are left, you’ll count two units on each day before the first day of classes, until your counting adds up to 16 units.
When you go back to campus and calculate your start date, some of you may have an academic calendar that falls a certain way and causes your two-unit count to end on 17, not 16. That is okay—even if the two-unit count takes you past 16, you’ll still start on whatever day the 16th unit falls.

48. Declaration of Playing Season – Supplement No. 20
Review the season for Nougat College’s men’s soccer team.
First date of classes – August 22.
First date of competition – September 1.
First permissible practice date: August 17.
As you can see, after using the formula, we have determined that the first day of preseason for the soccer team is August 17.

49. Football Preseason Formula
In football, the first permissible date of preseason is determined by counting out 25 units.
Counting usually starts from the first scheduled intercollegiate game, but if the first contest is scheduled on a Thursday, counting starts from the following Friday (the next day).
The number of units assigned to a particular day don’t dictate how you conduct practice. There are separate limits elsewhere in the legislation that regulate how often you can practice.
Some Sundays do get included in the counting formula, but not all of them.
Note: Football has now changed from Bylaw 17.9 to
Bylaw
Declaring the season in football has its own separate formula. The first permissible date of preseason is determined by counting out 25 units.
Just like in the other sports, the number of units assigned to a particular day doesn’t dictate how you conduct practice. However, there are separate rules in the football legislation that do govern how you may practice for part of the preseason.
Sundays have their own special rules in the football counting formula. Some Sundays are skipped in the counting, but others aren’t.
As a note—because beach volleyball was added as a sport in Division III, all of the sports were bumped down one number in the bylaws. This means that now football has moved from Bylaw 17.9 to Bylaw

50. How to Count in Football
Sundays:
Skip Sundays after the opening day of classes when counting the units.
Do not Skip Sundays before the opening day of classes when counting the units.
Skip any preseason day when the dorms are closed, you cannot be on campus and no practice takes place.
First Set of Units:
Start on the first day of classes. Count one unit on each day that leads up to the first regular scheduled intercollegiate game, and each day classes are not in session during the week of the first contest.
Second Set of Units:
Continue counting and alternate two units and one unit until you have counted out the 20th unit.
Count starting from your actual first contest, not the first permissible date.
Remaining 5 Units:
Assign one unit each to the five days before the 20th unit.
Stop when the counting adds up to 25 units. This is the start day.
Bylaws and
Now, let’s quickly walk through counting the start date for football.
First is the Sunday skips. You should only skip Sundays if they are after the first day of classes. Any Sundays before classes start are not skipped. You should also skip any preseason day when the dorms are closed, you can’t be on campus, and there is no practice.
Next, count out the first section of units. Starting on the first day of classes, you’ll count one unit on each day that leads up to the first regular scheduled contest.
Then continue where you left off and add the second set of units by alternating every other day, counting back two-one-two-one until you’ve gotten to 20.
For the five units that are left, count back one unit on each day before the 20th unit until you reach 25 units. This is the start day. I’ve given you an example on the next slide.

51. How to Count in Football
With the first day of classes on August 24 and the first contest on September 3, the first practice date is August 12.

52. Playing/Practice Season Calculator
See Supplement 6
Use the playing and practice seasons tool to double-check your start date calculation.

53. Declaration of Playing Season Activity – Supplement No. 21
Declare the preseason for Nougat College women’s volleyball.
First date of classes – August 18.
First contest – September 3.
When is the first permissible practice date?
Now, it is time for you to try this yourselves at your tables. Look at Supplement 21 to review the season for Nougat College’s women’s volleyball team and determine the start of preseason.

54. Declaration of Playing Season Activity – Answer
The first permissible practice date is August 17.

55. Questions?