• 2.1 NCAA Principle of Institutional Control
• 2.2 NCAA Principle of Rules Compliance
• 2.3 Compliance Policy
• 2.4 Compliance Coordinator
• 2.5 Rules Interpretations
• 2.6 Rules Education
• 2.7 Policy on Violations of NCAA Rules
• 2.8 Compliance Directory
• 2.9 Compliance Flow Chart
• 2.10 Rules Compliance Forms

In accordance with the NCAA Constitution, an institution has a responsibility to control its intercollegiate athletics program in compliance with NCAA rules and regulations. The institution is responsible for the actions of all its staff members and for the actions of any other individual or organization engaged in activities promoting the athletics interests of the institution. The institution's chief executive officer is responsible for the administration of all aspects of the athletics program.

Per the NCAA Constitution, a member institution will comply with all applicable NCAA rules and regulations. An institution is also responsible for monitoring its athletics programs to assure compliance for identifying and reporting all instances in which compliance has not been achieved.

It is the policy of IUPUI to adhere to all applicable NCAA, Conference and University rules and regulations in the conduct of its athletics programs. It is the obligation and responsibility of all Department of Athletics staff members to act within all applicable rules and regulations at all times.

All Department of Athletics coaching and administrative staff members are required by NCAA Bylaws to sign the NCAA Certification of Compliance annually in good faith.

The Compliance Coordinator for the Department of Athletics reports directly to the Registrar.

Student-athletes, coaches, administrators, prospective student-athletes, athletics representatives and any other constituents are encouraged to ask questions of the Compliance Coordinator. When in doubt, ask before acting. Interpretations prepared by the Compliance Coordinator are to be explicitly followed at all times unless subsequent re-interpretations are obtained from the Conference and/or NCAA Legislative Services.

All rules-related questions asked of the Compliance Coordinator will be responded to as quickly as possible and will be recorded, along with the response given. If the issue must be referred to the Conference and/or the NCAA for assistance in answering, the response may be delayed accordingly.

The Director of Athletics, the Assistant Director of Athletics/Senior Woman Administrator, Faculty Athletics Representative and the Compliance Coordinator are the only IUPUI employees authorized to make calls to the NCAA and the Conference. Coaches may not make such calls at any time.

Coaches are encouraged to regularly read the Legislative Assistance column in the NCAA News, an official weekly NCAA publication (biweekly in the summer), and The NCAA Register, a monthly collection of NCAA Committee and/or Council reports of interest. These both are excellent sources for additional interpretation information.

All personnel in the Department of Athletics have the responsibility to become knowledgeable of applicable NCAA, Conference, IUPUI and Department of Athletics rules and regulations. This should be done by reading the appropriate information and materials as they are provided, e.g., NCAA Manual, IUPUI Intercollegiate Athletics Staff Policies and Procedures Handbook, IUPUI Department of Athletics Guide to Rules Compliance, and the IUPUI Jaguars Student-Athlete Handbook, attending scheduled rules education sessions and asking questions.

Each academic year the Compliance Coordinator, will coordinate and conduct ten rules education sessions for coaches, athletics administrators, athletics support staff, student-athletes and the university community.

Rules education sessions may be conducted with other appropriate University personnel, e.g., admissions, financial aid, registrar, etc., as is deemed necessary. These sessions will be supplemented by pertinent rules education information and materials circulated to the appropriate constituents when available or necessary.

In addition to the above methods, rules education information will be disseminated by the Compliance Coordinator via various mediums, which specifically target alumni and representatives of the athletics interests of IUPUI. The Compliance Coordinator will also use every opportunity to meet personally with these constituents for rules education purposes.

Coaches also have responsibility to inform student-athletes and other representatives of athletics interests, i.e.., note Section 5, who are close to their program of rules as they pertain to them. It is also the responsibility of each coach to be aware of the activities of these representatives in regard to student-athletes and their relationships with these representatives.

The NCAA Constitution requires, as an obligation of membership, and institution to monitor its athletics programs to assure compliance with NCAA rules and to identify and report to the NCAA instances in which compliance has not been achieved. To operate within the letter of NCAA rules and fulfill this membership obligation, IUPUI has established a stringent policy regarding violations.

REPORTING A VIOLATION

Any individual (e.g., athletics department staff member, student-athlete, university employee, representative of the university’s athletics interest, members of the community) upon learning of a violation or suspected violation of NCAA regulations shall immediately report such occurrence to the Compliance Coordinator. Such report may be given in writing or verbally.

INVESTIGATION PROCEDURES

Upon receipt of the report, the Compliance Coordinator will evaluate the allegation. If the Compliance Coordinator can confirm that a violation has occurred, such violation will be self-reported by the Compliance Coordinator to the Conference and the NCAA. For unconfirmed violations, the following procedures will be followed:

1. The Compliance Coordinator will notify the Director of Athletics and the Faculty Athletics Representative that a potential violation as been reported and that an investigation will commence. The Compliance Coordinator is responsible for conducting the appropriate investigation.
2. The Athletics Director, at his/her discretion, will notify those persons involved with the alleged violation that an investigation will be conducted.
3. During the investigation, the Compliance Coordinator shall maintain a written record of all relevant information. The record shall include the following:

 
1. Date that the alleged violation was reported to the Compliance Coordinator and who reported the violation.
2. Detailed summary of the nature of the alleged violations, including the names of all persons involved.
3. Chronology of actions taken by the University in the investigation of the alleged violation.
4. Rationale for concluding whether the allegation was or was not determined to be violation of NCAA regulations.
    
4. The Compliance Coordinator’s findings will be reviewed and evaluated by the Director of Athletics, the Faculty Athletics Representative, and the Compliance Coordinator to determine if a violation occurred. If necessary, additional assistance may be obtained from the conference or other authoritative source.
5. If it is determined that a violation did occur, the Director of Athletics, the Faculty Athletics Representative, and the Compliance Coordinator will determine what, if any, corrective action will be taken concerning the person(s) involved in the violation. Other university officials may also be consulted when warranted. Also at this time, the Vice-Chancellor for Administration & Finance will be notified by the Director of Athletics.
6. The violation will then be self-reported to the Conference and the NCAA by the Compliance Coordinator. The self-report will provide at least the following information:

 
1. Statement of action including date and location.
2. Identification of involved student-athletes, coaches, prospective student-athletes, administrators or other persons.
3. Means by which the violation was disclosed or otherwise made known.
4. Reasons the violation occurred
5. Institution's position as to whether a violation occurred and citation of specific legislation it believes has been violated.
6. Corrective action(s) taken by the institution.
7. Mitigating circumstances, if appropriate.
    
7. The following persons will be copied on all self-reports made to the NCAA: Chancellor, Vice Chancellor for Administration & Finance, Director of Intercollegiate Athletics, Assistant Director of Intercollegiate Athletics/SWA, Faculty Athletics Representative, Compliance Coordinator and any involved coach(s) or other Department of Athletics staff member.
8. The Compliance Coordinator will provide the Chancellor, the Faculty Athletics Representative and the Director of Athletics with a yearly written summary of all self-reported violations and all subsequent NCAA responses/actions.

POLICY ON POTENTIAL SERIOUS/MAJOR VIOLATIONS OF NCAA RULES

1. The Compliance Coordinator, after gathering initial information, notifies the Vice Chancellor for Administration & Finance, Faculty Athletics Representative, and Athletics Director.
2. The Vice Chancellor for Administration & Finance notifies the IUPUI Chancellor.
3. The Infractions Committee shall be formed consisting of the Vice Chancellor for Administration & Finance, Faculty Athletics Representative, Athletics Director, Registrar, Compliance Coordinator, and IUPUI’s university counsel. The committee is charged with determining the process and timeline for the investigation and the review of the results of the investigation. If a student-athlete is involved, the Dean of Students will participate on the Infractions Committee.
4. The internal investigation is conducted by the Compliance Coordinator.
5. If there is evidence of a major violation, the Mid-Continent Conference and/or NCAA is notified by the Athletics Director.
6. Should the investigation determine that a major or secondary NCAA violation has occurred, the range of institutional sanctions which may be imposed are identified by the committee. The Athletics Director makes the determination of institutional sanction with the concurrence of the Vice Chancellor for Administration & Finance. In the event of a complaint against a student-athlete, the Dean of Students will be consulted. Should there be consideration of staff being disciplined, the Personnel Subcommittee of the Athletics Committee will be consulted and a report made to the Athletics Committee, consistent with university policies.
7. The violation is self-reported to the Conference and the NCAA by the Compliance Coordinator.
8. The disposition of the violation is reported back to individuals involved consistent with university policies.
9. Official statements, when necessary, are drafted by the media relations director and an appropriate spokesman for the IUPUI campus is appointed by the Vice Chancellor for Administration & Finance.

FORM 2A - Compliance Letter to Coaches

To be given to coaches with their annual salary letters/contracts

FORM 2B - Interpretation Request Form (IRF)

To be used by the Compliance Coordinator for a written response to a question.