1. NCAA DIVISION III
INTRODUCTION TO COMPLIANCE CONCEPTS
(PART 2)

2. Agenda Certification. Required Eligibility Forms.
Academic Requirements.
Seasons and Semesters/Quarters.
Certification Case Scenarios.

3. Certification Checklist
Required Eligibility Forms.
Academic Requirements.
Seasons and Semesters/Quarters.

4. Compliance Forms ncaa.org
The compliance forms can be found by going to our main website If you go to Division III, located at the top, a drop down box will appear. Click on “compliance”.
ncaa.org

5. Compliance Forms ncaa.org/compliance?division=d3
That will take you to this page. In the bottom right corner there is a link that says “ Division III Compliance Forms”. Click on that link and it will take you to the list of compliance forms. The updated forms for the academic year will be put on the web in the middle of June.
ncaa.org/compliance?division=d3

6. Required Eligibility Forms
Prior to Practice
Mandatory medical examination.
Sickle Cell Trait Status.
International student-athlete form (Form 16-10c).
Prior to Competition
Summary of regulations.
Drug-testing consent.
SA statement.
SA affirmation of eligibility.
Voluntary
HIPAA/Buckley Consent Waiver Form.
All forms are to be kept on campus for six years in the athletic director’s office.
NCAA Division III Bylaws , , , , and

7. Other Requirements Certification of insurance coverage.
Certification of compliance for institutions (Form 16-1).
Certification for staff members of athletic departments (Form 16-2).
Bylaws and

8. Eligibility Forms – Supplement No. 8
This supplement breaks the last two slides down with the applicable bylaws.

9. Financial Aid - Supplement No. 9
The resource was created by the FA committee and is intended to facilitate communication across your campus with how the institution awards FA.

10. Certification Checklist
Required Eligibility Forms.
Academic Requirements.
Seasons and Semesters/Quarters.

11. Academic Requirements Satisfactory Progress
Admission
Bylaw
Academic Standing
Bylaw
Satisfactory Progress
Bylaw
FT Enrollment
Bylaw
Must be admitted as regularly enrolled, degree-seeking student.
Per regular, published policies.
Must be in good academic standing per institution.
Meet conference requirements.
Must maintain satisfactory progress toward a degree per institution.
Meet conference requirements.
Must be enrolled in no less than 12 hours for competition, FT for practice.
Final term exceptions.
Now that we’ve gotten our start-of-season forms squared away, your next certification focus should be on academic requirements for your student-athletes.
As we go along, you’ll notice that the core of the legislation tied to academic certification continually refers to institutional policy. This is for a reason, and it is tied directly to the Division III Philosophy. Specifically, a pillar of the Division III Philosophy is institutional autonomy, particularly in the academic realm. In Division III, we believe that no one knows the academic needs and standards of your student-athletes better than you do, so when it comes to their academic status, your institution’s own rules are nearly always what rule the day.
With that said--there are four main areas that should be reviewed when certifying a student-athlete’s eligibility: admission, academic standing, satisfactory progress and full-time enrollment.

12. Who Are You Certifying? First-time undergraduates.
Continuing undergraduates.
Graduate and post-baccalaureate continuing students.
Transfer students.
You’ll have to complete all of those certification requirements we just discussed for all of your first-time SAs, continuing students, grad and post-baccalaureate students, and transfers. The only area where you don’t have to certify everyone is satisfactory progress—you won’t have this information for your first-time undergrad students.
Question: Do I have to certify an incoming SA who was enrolled in summer school after graduating from high school?
Answer: Your registrar’s office will need to review the information for admissions and degree auditing purposes, but summer coursework prior to initial enrollment in college will likely not have an impact on the SA’s current full-time enrollment status as a first-semester freshman.
Question: Do I have to certify a transfer SA whose credits aren’t accepted at my institution?
Answer: Your registrar’s office will need to review the information for admissions and degree auditing purposes. As the compliance officer, you might also need to review the information to determine whether the SA meets transferable credit requirements. We’ll discuss transfers in Session 3.

13. Eligibility Between Terms
To be eligible between terms a student-athlete shall:
Have been registered in a full-time course load at the end of the term immediately before the competition (continuing students only); or
Accepted for enrollment as a regular full-time student for the next regular term (continuing students or enrolling students).
Bylaws and
NOTE: provide an example of a SA to explain the two bullet points above.
Now we’ll discuss eligibility between terms. There are two ways that a SA can be eligible between terms.
First, for any student who is continuing their enrollment, if they were full-time at the end of the term that just ended, they can still be eligible between then and the next term.
Second, and this applies for continuing students and students who are enrolling—if they are accepted for enrollment as a regular full-time student for the next regular term. Regular term means normal semesters, quarters, trimesters. Generally, at most institutions, summer doesn’t count as a regular term.

14. Change in Eligibility Status
When eligibility changes at the end of a term, the SA becomes eligible or ineligible on the date that specific SA's eligibility is officially certified.
Certification of eligibility does not have to occur on the same day for all SAs.
Bylaw
Staff Interpretation, January 8, 2003
If a SA’s eligibility is going to change at the end of a term—if the SA is going to become eligible or is about to become ineligible—that change happens on the date that you officially certify that SA. You don’t have to certify all of your SAs on the same day.

15. Change in Eligibility Status
When eligibility changes at the end of a term and the SA becomes eligible, the earliest certification may occur is the day after the institution’s last scheduled final exam.
When eligibility changes at the end of a term and the SA becomes ineligible, the latest certification may occur is the first day of classes for the next regular academic term.
Bylaw
Staff Interpretation, January 8, 2003
Depending on whether your SA is becoming eligible or ineligible, you have options as to when you can certify that SA.
If you have a SA who is currently ineligible but will become eligible, the fastest you can certify that SA is the day after the last date of final exams for the whole institution (not just that particular SA’s last day of finals).
If you want a SA who is going to be ineligible to stay eligible as long as possible (for example—perhaps there is a contest that will be taking place during the break between terms), you can wait until the first day of the next regular term to certify.

16. Change in Eligibility Status Activity
Scott is a men's lacrosse player enrolled in 12 credits in the spring 2017 term. At the end of the term, Scott fails three classes and earns a GPA. The minimum GPA requirement to stay academically eligible at Winding River University each semester is a 2.0.
Let’s put the certification timing into action. Scott is a lacrosse player at Winding River University. He enrolled in 12 credits in the spring and failed three of his classes. His GPA is a 1.79, which is below the minimum GPA requirement. So here, we know that Scott is about to become ineligible.

17. Question The last day of finals is May 20.
The first day of fall term is August 15.
Because Scott did not meet the GPA requirement, when must the institution certify him as ineligible?
A = May 20
B = May 21
C = August 15
D = Anytime between May 21 and August 15
The last day of finals at Winding River U. is May 20.
The first day of spring term is August 15.
When does Winding River U. have to certify Scott as ineligible? Choose the best answer now with your clickers.

18. Answer The last day of finals is May 20.
The first day of fall term is August 15.
Because Scott did not meet the GPA requirement, when must the institution certify him as ineligible?
A = May 20
B = May 21
C = August 15
D = Anytime between May 21 and August 15
Winding River U. may certify Scott at any point between May 21 (the day following the last day of classes) and August 15 (the first day of the fall term), unless there is an institutional policy that requires that certification must take place on a specific date. However, as a best practice, you should do an informal review of the SA’s records early on in order to provide the SA with guidance if necessary (for example—in this scenario, it may benefit Scott to take summer school to get his GPA up before the fall).

19. Final Semester or Quarter Exception
A SA may practice or compete while enrolled in less than a full-time course load during the final semester or quarter of his or her degree program if the SA is enrolled in the final credits necessary to complete the degree requirements.
Bylaw
As we discussed earlier, to be able to practice and compete in athletics, your SA has to be enrolled full time and in at least 12 credits—but there are re some exceptions. One of the main exceptions to that requirement is the final semester or quarter exception.
This exception lets a SA participate while enrolled in less than a full-time course load if it’s the SA’s last term AND the SA is enrolled in the final credits that are necessary to complete the degree requirements.
In shorthand, we talk about when a SA “graduates,” but it’s important to know exactly what that means here. “Graduation” is when the SA completes the final credits for the degree—not when commencement happens or the SA files the paperwork.

20. Cooperative Educational Work Experience Programs
SAs may participate in athletics while enrolled in the institution’s cooperative educational program that is part of the SA’s academic program.
Does not have to carry credits, but must be considered full-time enrollment by the institution.
Examples: co-op, internship, practicum, student-teaching.
Bylaw
There is another exception to the 12-credit rule for cooperative educational programs.
A SA may still participate in athletics while he or she is in a co-op that is part of the academic program, if the institution considers it full-time enrollment. Some examples here would be a co-op, internship, student teaching, practicums, etc.
This is a change to the legislation. Previously, this legislation only permitted a SA to do this if the program carried course credit. Now, as long as it is considered full-time enrollment by the institution, it does not matter whether the course carries credit or not.

21. Final Term Scenario – Carly
Academic year:
Expected graduation May 2017.
Volleyball student-athlete.
An education major.
Only eight credits and a student teaching experience are left to graduate.
Carly is going to graduate in May at the end of the year and she has only eight credits left to graduate. She must also complete a one-semester student teaching requirement. She does not want to take the credit courses at the same time as the student teaching.

22. Final Term Scenario – Carly
Is required to do semester-long student teaching to earn her degree.
A full-time course load at Winding River University is 12 credits.
Student teaching does not carry class credit, but Winding River classifies it as a full-time course load.
Carly does not want to take the eight credits and student teach at the same time.

23. Question Which of the following options would work for Carly?
A = Fall – 8 credits, Spring – student teaching.
B = Fall – student teaching, Spring – 8 credits.
C = Either option one or two.
Which of these options does Carly have if she wants to be eligible for the entire year?

24. Answer Which of the following options would work for Carly?
A = Fall – 8 credits, Spring – student teaching.
B = Fall – student teaching, Spring – 8 credits.
C = Either option one or two.
Carly’s only option is to take the practicum in the fall and complete the credits in the spring, option B.
Carly cannot take the credits in the fall and the practicum in the spring and still be eligible for both terms. This is because she is enrolled in less than 12 credits in the fall and has no exception available. To be in less than 12 credits, she would need to be in her last term of enrollment. Her last term is the spring term during the practicum.

25. Eligibility After Completion of Degree Requirements
There are three ways to remain eligible after completing degree requirements:
Postseason participation after completion of degree.
Early graduation.
Graduate/Postbaccalaureate participation.
SA must have been eligible during the term to continue participating in athletics.
Bylaw
There are three different ways a SA can stay eligible to keep playing after completing his or her degree:
Postseason participation, early graduation, and graduate student/postbaccalaureate participation.

26. Postseason Participation After
Completion of Degree
The “60-Day” Rule:
A SA may continue participation in athletics through the conclusion of the season if a postseason event begins within 60 days after the end of the term and the SA was eligible during the term.
Bylaw (a)
One way to continue playing after graduating is casually known as the “60-day” rule. If the SA was eligible during the term, he or she can keep participating until the end of the season if a postseason event starts within 60 days of the SA’s graduation.
As we mentioned before—“graduation” is when the SA completes the final credits for the degree—not when commencement happens.
Now, let’s go into the elements of this rule more deeply.
NOTE: Be prepared for push-back on winter sport SAs and the 60 day limit.

27. Postseason Participation After
Completion of Degree
SA must have been eligible during the final term.
A postseason event must begin within 60 days of the final day of the term, or the must stop participating on the last day of the term.
Conference championships are not considered postseason competition.
Continued participation includes any practice activities or regular season competition preceding the event.
Getting 60 extra days to play is not automatic. A postseason event has to start within 60 days of graduation or the SA's eligibility immediately ends. It’s okay if the championship doesn’t end before 60 days, as long as it started within 60 days. Conference championships are not considered postseason competition.
The SA has to have been eligible during the term to be able to continue playing, and the SA’s eligibility must be certified immediately after the final day of the term.
The participation also includes any practice and competition that happen before the postseason event or NCAA championship. SAs can keep playing with the team in regular-season play.
If the SA cannot use the 60-day exception, the SA must stop participating on the last day of the term.

28. Postseason Participation After
Completion of Degree
The rule was designed for fall and spring sports. In this example, Ben’s institution is participating in the championship on May 25. He is able to continue participating in athletics until the end of the championship, because the championship occurs before the 60-day mark on July 1.
ADD…. MENTION FIRST DATE OF NCAA CHAMPIONSHIP, NOT FINAL DATE.

29. Postseason Participation After
Completion of Degree
The rule generally does not assist winter sports. In this example, Derek graduates on December 18, and must stop participating in athletics immediately. The men’s basketball championship doesn’t occur until February 21, which is past the 60-day mark on February 16.
Question: This seems unfair to winter sports. Is there a waiver available?
Answer: Waivers for this scenario are rarely approved. This is because the 60-day extension itself is already adding an exception to the rule that requires the SA to stop participating immediately. At times, waiver requests may note that the championship occurs only a few days after the end of 60 days; however, the Subcommittee for Legislative Relief has drawn a bright line at the 60-day mark.

30. Early Completion of Degree
A SA who completes the requirements for the degree in less than four consecutive years is allowed to continue participating through the conclusion of the season.
SA must have already triggered the use of a season that year.
Bylaw (b)
One special exception for participation after completing a degree applies to SAs that complete the degree in less than four consecutive years. Those SAs are permitted to keep participating through the end of the season, even if they are no longer enrolled in classes.
The reasoning here is that student-athletes who graduate early should not be punished for excelling at academics, and are permitted to complete their full season if they’d already been participating.

31. Graduate/Postbaccalaureate Student Participation
A SA is allowed to continue participating if he or she is continuing enrollment based on the graduate/postbaccalaureate student exception in Bylaw , based on the eligibility between terms legislation.
Bylaw
Bylaw (c)
One special exception for participation after completing a degree applies to SAs that complete the degree in less than four consecutive years. Those SAs are permitted to keep participating through the end of the season, even if they are no longer enrolled in classes.
The reasoning here is that student-athletes who graduate early should not be punished for excelling at academics, and are permitted to complete their full season if they’d already been participating.

32. Graduate/Postbaccalaureate Student Participation
After completing the undergraduate degree, a SA may continue to participate in athletics as a graduate student or while completing coursework that would apply toward a second baccalaureate degree, ONLY if the SA is continuing at the same institution where he/she earned the undergraduate degree. This means a SA may not transfer to another institution and participate in athletics as a graduate or post baccalaureate student.
Bylaw
A SA can only keep participating in athletics as a grad student or as a postbaccalaureate student if the SA is doing so at the same institution where he or she earned the undergraduate degree. A SA cannot transfer to another institution as a grad or postbaccalaureate student and participate in athletics.

33. Graduate/Postbaccalaureate Student Participation - Waiver
SA must graduate in less than four consecutive years from initial collegiate enrollment;
With no breaks in enrollment during undergraduate program; and
Graduate with a grade-point average of 3.0 or higher.
Subcommittee for Legislative Relief Directive
for Waivers of Bylaw
ncaa.org/sites/default/files/DIII_SLR_Guidelines_August_2016_ pdf
There is a limited waiver of Bylaw available through the Subcommittee for Legislative Relief for graduate transfer SAs if they are able to meet three requirements under the subcommittee directive:
SA must graduate in less than four consecutive years from initial collegiate enrollment;
With no breaks in enrollment during undergraduate program; and
Graduate with a grade-point average of 3.0 or higher.
The waiver requirements are very strict. The following are examples of situations that will not get a waiver:
SA has never participated in sports before.
The previous school didn’t have the sport.
SA is coming from a different division and has seasons left in that division.
The Division III membership reviewed the legislation at the 2017 Convention to consider making it permissible to play as a graduate student, and voted the proposal down, so this is where the legislation currently stands.
Question: What if a SA was injured and got a hardship waiver from another school?
Answer: If a SA has a situation involving injury or illness, the SA must demonstrate at least two missed opportunities that were outside of his or her control. Receiving a hardship waiver for only one year would be only one missed opportunity and would not warrant a waiver.

34. Certification Checklist
Required Eligibility Forms.
Academic Requirements.
Seasons and Semesters/Quarters.

35. Seasons, semesters and quarters

36. Seasons and Semesters/Quarters
Four seasons of participation.
10-semsters/15-quarter rule.
Use of a semester or quarter.
Use of a season.

37. Four Seasons of Participation
A student-athlete shall not engage in more than four seasons of intercollegiate participation in any one sport.
Bylaw 14.2

38. 10-Semester/15-Quarter Rule
Student-athlete shall complete his or her seasons of participation during the first 10 semesters or 15 quarters of full-time collegiate enrollment.
Bylaw

39. Use of a Semester/Quarter
Student attends class while enrolled full-time in a regular term during an academic year; or
Student represents institution in competition.
Bylaw

40. Use of a Season of Participation
Student-athlete participates (practices or competes) during or after the first contest in the traditional segment.
Bylaw

41. “Use of a Season” Exceptions
A season is NOT used:
If SA competes during nontraditional segment in the following: baseball, field hockey, lacrosse, soccer, softball and volleyball.
If SA competes in preseason scrimmages, exhibitions or alumni contests conducted before the first regular-season contest.
Bylaw

42. Certification Checklist
Required Eligibility Forms.
Academic Requirements.
Seasons and Semesters/Quarters.

43. amateurism

44. Continuing Undergraduate
Amateurism
First-Time Enrollee
Transfer Students
Continuing Undergraduate
Continuing Graduate
Who?
This may not be an area that you automatically think about when certifying eligibility, but it is also important for you to be checking each student-athlete’s amateur status. Who? Everyone which includes first-time enrollees, continuing and transfer students.

45. Amateurism Expenses and Prize Money. Professional Involvement.
Outside Competition History.
Promise of Pay.
Preferential Treatment.
Agents.
Skills for Pay.
Look at Bylaws 12.1, and for specific rules pertaining to before and after initial full-time collegiate enrollment.
Bylaw 12.1, and

46. Amateurism Checklist
ncaa.org/sites/default/files/2017DIII_Amateurism_Checklist_ pdf

47. Certification
case scenarios

48. Academic Requirements Satisfactory Progress
Admission
Bylaw
Academic Standing
Bylaw
Satisfactory Progress
Bylaw
FT Enrollment
Bylaw
Must be admitted as regularly enrolled, degree-seeking student.
Per regular, published policies.
Must be in good academic standing per institution.
Meet conference requirements.
Must maintain satisfactory progress toward a degree per institution.
Meet conference requirements.
Must be enrolled in no less than 12 hours for competition, FT for practice.
Final term exceptions.
Now that we’ve gotten our start-of-season forms squared away, your next certification focus should be on academic requirements for your student-athletes.
As we go along, you’ll notice that the core of the legislation tied to academic certification continually refers to institutional policy. This is for a reason, and it is tied directly to the Division III Philosophy. Specifically, a pillar of the Division III Philosophy is institutional autonomy, particularly in the academic realm. In Division III, we believe that no one knows the academic needs and standards of your student-athletes better than you do, so when it comes to their academic status, your institution’s own rules are nearly always what rule the day.
With that said--there are four main areas that should be reviewed when certifying a student-athlete’s eligibility: admission, academic standing, satisfactory progress and full-time enrollment.

49. Certification Checklist –
Supplement No. 10

50. Certification Checklist
Admitted as a regularly enrolled student to a program of studies leading to a baccalaureate degree.
Check participation in organized competition before initial enrollment.
Good academic standing.
Maintaining satisfactory progress.
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. On this form it starts off by making sure the student is admitted as a regularly enrolled student to a program of studies leading to a baccalaureate degree. It also has you check participation in organized competition before initial enrollment. You will need to make sure a student-athlete is in good academic standing and maintaining satisfactory progress.

51. Certification Checklist
Enrolled full time.
Meets amateur status.
Meets all conference office rules pertaining to eligibility.
Seasons of participation remaining.
Semesters/Quarters remaining.
The student-athlete must be enrolled full-time, must meet amateur status, meet all conference office rules and make sure they have seasons and semesters/quarters remaining.

52. Scenario No. 1 – Supplement No. 11
Check college history information.
After looking at this information we know that Audrey is an incoming student, she graduated from high school in 2016 and she enrolled in 12 credit hours at State Park College for fall 2017.
The student-athlete must be enrolled full-time, must meet amateur status (check participation prior to initial collegiate enrollment), meet all conference office rules and make sure the student have seasons and semesters/quarters remaining.

53. Certification Scenario No. 1 Review Certification Checklist
Has Audrey been admitted as a regularly enrolled degree seeking student?
Is Audrey in good academic standing as defined by the institution?
Is Audrey enrolled full-time?
Let’s start off by looking at supplement 10 and going through our checklist. What do we know?
Yes - she has been admitted as a regularly enrolled degree seeking student.
Yes – in good academic standing.
Yes - Is enrolled full-time.
What else do we need to know?

54. Certification Scenario No. 1 Review Certification Checklist
Did Audrey use a season of participation prior to enrollment?
Does Audrey have seasons of participation remaining?
Has Audrey’s amateur status been certified?
Does Audrey meet conference eligibility rules?
Let’s look at the other areas on the checklist.
Did Audrey use a season of participation prior to enrollment? Probably not since she graduated one year ago.
Does Audrey have any seasons of participation remaining. Yes, four.
Has Audrey’s amateur status been certified? Probably not yet, but will need to be.
Does Audrey meet conference eligibility rules? That will be determined by the school.

55. Certification Scenario No. 2
Review certification checklist (Supplement No. 10).
Review college history information (Supplement No. 12).
Take a couple of minutes to talk through the scenario. One person will be the scribe and one person will be the reporter.
Discuss what additional information is needed in order for the student-athlete to be eligible.

56. Certification Scenario No. 2
Tom is a continuing graduate student. He has been at National College Park for 9 semesters. Take a look at supplement 10 to cross check the certification list and look at supplement 12 to review his college history information.

57. Certification Scenario No. 2
What additional information is needed in order to make sure Tom is eligible for practice and competition?
What information is needed in order to make sure Tom is eligible for practice and competition.
You know:
He is in good academic standing and meeting satisfactory progress.
Meets conference rules.
Amateur status is fine.
He is in his final semester.
Is continuing enrollment at the institution where he earned his baccalaureate degree.
Need to know:
Is he enrolled FT?
Does he have seasons and semesters remaining? Yes

58. Certification Scenario No. 2 Answer
Is Tom considered full-time as determined by the institution for all graduate students?
If yes, Tom is eligible to compete in his final semester.
The institution will need to make sure Tom is enrolled full-time as determined by the institution for all graduate students.

59. Questions?