National Collegiate Athletic Association
NCAA News Archive - 2007
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Panel considers process for new compliance audits
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By Jack Copeland
The NCAA News
The NCAA News
The Division III Membership Committee — responsible beginning later this year for monitoring Division III members’ compliance with requirements ranging from sports sponsorship to attendance at Conventions and regional seminars as the result of the adoption of 2007 Convention Proposal No. 10 — began work toward implementing the legislation during its January 25-26 meeting in Tampa, Florida.
As part of its responsibility for developing policies and procedures for monitoring compliance, the committee considered criteria for conducting audits of institutionally submitted sports-sponsorship information and Institutional Self-Study Guides.
It also discussed implementation of other aspects of Proposal No. 10, which is effective August 1 — including ways of checking compliance with the Convention/regional-seminar attendance requirement, and establishing formats for Division III rules tests that head coaches and administrators with compliance responsibilities must complete annually under the legislation.
In its audit of compliance with sports-sponsorship requirements, the committee expects to draw a sample of institutions from among those reporting sponsorship of less than 16 sports (eight per gender). The purpose of the audit is to verify that the sports-sponsorship information submitted by institutions — including information about completed contests and participating student-athletes — is valid.
It also expects to randomly select 10 percent of institutions that are due to complete the Institutional Self-Study Guide in a given year and review those institutions’ ISSG results — including action plans for addressing deficiencies.
In both audits, the committee also expects to select institutions for “cause” — ranging from probationary status resulting from a previous failure to comply with membership requirements to indicators such as frequency of reporting secondary infractions (including failure to report).
The committee agreed to complete and make available to the membership policies and procedures for the audits — including procedures for appealing findings of apparent violations revealed by an audit — before the effective date of the legislation.
Under Division III legislation, an institution that fails to comply with membership requirements is assigned to probationary membership, and then is required to complete an athletics program assessment administered by the Membership Committee.
Institutions failing to achieve compliance during the probationary period are subject to assignment to restricted membership, which includes loss of various membership privileges. Continuing failure to achieve compliance could result in assignment to corresponding membership status.
Committee members also agreed on various other policies for monitoring requirements resulting from the adoption of Proposal No. 10, including:
Requiring annual attendance at the Convention and once every three years at a regional rules seminar.
The committee agreed that each Division III institution must cast a vote at the Convention, and must register for and then retrieve a registration packet at a regional seminar, to fulfill the attendance requirements.
In a related action, the committee formally requested that Division III increase funds available through Tier I of the strategic-initiatives grant program to help fund attendance at the Convention and regional seminars. It also urged that Division III regularly schedule regional seminars in centrally located cities.
Requiring completion of the Division III rules test.
The committee agreed to offer versions of the test aimed separately at administrators and coaches, in order to vary the tests’ range of questions and ensure their educational value.
February 25-26/Tampa, Florida
As part of its responsibility for developing policies and procedures for monitoring compliance, the committee considered criteria for conducting audits of institutionally submitted sports-sponsorship information and Institutional Self-Study Guides.
It also discussed implementation of other aspects of Proposal No. 10, which is effective August 1 — including ways of checking compliance with the Convention/regional-seminar attendance requirement, and establishing formats for Division III rules tests that head coaches and administrators with compliance responsibilities must complete annually under the legislation.
In its audit of compliance with sports-sponsorship requirements, the committee expects to draw a sample of institutions from among those reporting sponsorship of less than 16 sports (eight per gender). The purpose of the audit is to verify that the sports-sponsorship information submitted by institutions — including information about completed contests and participating student-athletes — is valid.
It also expects to randomly select 10 percent of institutions that are due to complete the Institutional Self-Study Guide in a given year and review those institutions’ ISSG results — including action plans for addressing deficiencies.
In both audits, the committee also expects to select institutions for “cause” — ranging from probationary status resulting from a previous failure to comply with membership requirements to indicators such as frequency of reporting secondary infractions (including failure to report).
The committee agreed to complete and make available to the membership policies and procedures for the audits — including procedures for appealing findings of apparent violations revealed by an audit — before the effective date of the legislation.
Under Division III legislation, an institution that fails to comply with membership requirements is assigned to probationary membership, and then is required to complete an athletics program assessment administered by the Membership Committee.
Institutions failing to achieve compliance during the probationary period are subject to assignment to restricted membership, which includes loss of various membership privileges. Continuing failure to achieve compliance could result in assignment to corresponding membership status.
Committee members also agreed on various other policies for monitoring requirements resulting from the adoption of Proposal No. 10, including:
Requiring annual attendance at the Convention and once every three years at a regional rules seminar.
The committee agreed that each Division III institution must cast a vote at the Convention, and must register for and then retrieve a registration packet at a regional seminar, to fulfill the attendance requirements.
In a related action, the committee formally requested that Division III increase funds available through Tier I of the strategic-initiatives grant program to help fund attendance at the Convention and regional seminars. It also urged that Division III regularly schedule regional seminars in centrally located cities.
Requiring completion of the Division III rules test.
The committee agreed to offer versions of the test aimed separately at administrators and coaches, in order to vary the tests’ range of questions and ensure their educational value.
Other highlights
Division III Membership Committee
February 25-26/Tampa, Florida
- Noted the withdrawal from provisional membership of Lincoln Christian College and Seminary and the withdrawal from reclassifying membership of the University of Minnesota, Crookston.
- Reviewed the recent NCAA Executive Committee action permitting establishment of processes by the three divisions to admit a limited number of Canadian four-year universities and colleges to NCAA membership, and discussed various factors for consideration in establishing a process for achieving Division III membership. The committee noted that there have been no inquiries to date from Canadian institutions about Division III membership, and that a current moratorium on accepting new members provides ample time to address concerns that may arise — including a concern raised by committee members about the impact of border security on movement of teams between the United States and Canada.
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