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A/PPS 01.03 - Compliance


A/PPS No. 01.03 (1.1)
Issue No. 1
Effective Date: 1/02/2017
Next Review Date: 11/01/2020 (E3Y)
Sr. Reviewer: Athletics Director


    1. The University is committed to the principles of institutional control in operating its athletics program in a manner consistent with the letter and the spirit of the NCAA, Sun Belt Conference and University rules and regulations. The Athletics Compliance Office directs this effort and acts as a resource center concerning NCAA regulations and compliance issues. The primary functions of the Athletics Compliance Office are to oversee and verify the accurate and timely completion of NCAA-required procedures and to provide educational programming and interpretive support to ensure that all individuals involved with the athletics program fully understand the University’s compliance expectations.

    1. The NCAA opposes all forms of legal and illegal sports wagering, which has the potential to undermine the integrity of sports contests and jeopardizes the welfare of the student-athletes and the intercollegiate athletics community. NCAA legislation states that Department of Athletics staff members, student-athletes and staff with affiliation with Athletics (e.g. President, FAR) shall not knowingly: Provide information to individuals involved in organized gambling activities concerning intercollegiate athletics competition; Solicit a bet on any intercollegiate team; Accept a bet on any team representing the institution; Solicit or accept a bet on any intercollegiate competition for any item that has tangible value; or Participate in any gambling activity that involves intercollegiate athletics or professional athletics, through a bookmaker, a parlay card, or any other method employed by organized gambling.

    1. All prospective representatives (agents, etc.) wishing to communicate with currently enrolled student-athletes must be registered with the State of Texas and the Athletics Compliance Office. Texas state law permits athlete-agents to send correspondence regarding services to student-athletes provided copies of such correspondence are also provided to the Athletics Compliance Office. Student-athletes are expected to notify the Athletics Compliance Office when a prospective representative initiates direct contact with them. Agents are otherwise prohibited from initiating contact with student-athletes without notifying the Athletics Compliance Office prior to the contact.

      A student-athlete may contact an agent to schedule a meeting. The agent must notify that Athletics Compliance Office of the proposed meeting. Additionally the agent must be registered with the Texas Office of the Secretary of State within seven days of contacting the student-athlete.


    1. The Assistant AD-Compliance assists the Athletics Business Manager is annual reporting for EADA, NCAA sport sponsorship and revenue distribution.

    1. In accordance with NCAA rules, all suspected or alleged violations shall be investigated. If the Athletics Director, Associate AD-Internal Operations, Assistant AD-Compliance or Faculty Athletics Representative determine that a violation has occurred, appropriate and adequate corrective measures will be taken, and a report of the violation will be submitted to the NCAA and/or Conference Office. In responding to rules violations, the institution will evaluate factors such as whether the violation was intentional, if any recruiting or competitive advantage was gained, and whether it was a repeat violation (either same sport or same type).

      Texas State emphasizes the importance of rules education. The institution firmly believes that education is the most effective means of preventing violations. In addition to this focus on education, and in recognition of the complex regulatory framework within which a Division I intercollegiate athletics program operates, the following policies and procedures have been established to address potential violations when they occur.

    2. Procedures for Reporting Violations

      Texas State requires anyone who has knowledge of a potential NCAA and/or Conference violation to report the information to the Assistant AD-Compliance, the Associate AD-Internal Operations, Athletics Director or Faculty Athletics Representative.

      Important facts to have available are Date of the violation; Individuals involved in the violation; and Description of the violation.

      After a potential violation has been reported, the Assistant AD-Compliance reviews the information and conduct an investigation to determine if a violation has occurred. The Associate AD-Internal Operations and Faculty Athletics Representative assist in the review of the facts as needed by the Assistant AD-Compliance, and work with the Assistant AD-Compliance to determine the investigatory procedures. Possible actions include, but are not limited to: Person(s) to be interviewed; Individuals who should be involved in conducting the interviews; Interview questions; Necessary documentation; and Other officials (e.g. NCAA, The Texas State University System Vice Chancellor and General Counsel, Conference) who need to be informed of the allegations.

      During the investigation, the Assistant AD-Compliance, Associate AD-Internal Operations and Faculty Athletics Representative will keep each other informed of the progress of the investigation and findings. When the findings are determined, the Assistant AD-Compliance, Associate AD-Internal Operations and Faculty Athletics Representative will formulate an action plan to share with the Athletics Director and, if necessary, the President. The Athletics Director (and President, if necessary) shall ultimately approve the action plan before corrective measures are implemented. Once corrective and punitive measures are approved, the Assistant AD-Compliance will prepare a written report to submit to the Conference Office and/or NCAA. The Faculty Athletics Representative, Athletics Director and Associate AD-Internal Operations are copied on the submission of all violations.

      The Assistant AD-Compliance is responsible for ensuring that all corrective and punitive actions are clearly communicated to the appropriate individuals and carried out.

      The Conference and/or NCAA will review the institution’s report, determine if additional penalties and/or corrective actions the institution should take and provide notification to the institution, in writing.

      The Assistant AD-Compliance will inform all involved parties of the NCAA findings and will ensure the implementation of any additional required actions.

      The Athletics Director is primarily responsible for ensuring that the President is informed of all investigations and outcome of violations. The Assistant AD-Compliance may communicate issues pertaining to violations directly to the President as needed or at the request of the President.

    3. Procedures for Reporting Alleged Violations Involving other Institutions

      If an individual has knowledge of an alleged violation that involves another NCAA member institution, s/he may report the alleged violation to the Assistant AD-Compliance. The Assistant AD-Compliance will discuss how best to address the situation with the individual who has filed the accusation, coaching staff members in the involved sport, and other departmental staff members, as necessary. After evaluating the allegation, the Assistant AD-Compliance may then contact the compliance director at the accused member institution to request that the alleged violation be investigated. In some cases, the Assistant AD-Compliance or the Athletics Director may choose to communicate directly with the Conference or NCAA Enforcement Staff to request that they initiate contact with the accused institution or its conference office.

    4. Special Procedures for Reporting Notice of Inquiry from the NCAA

      Upon receipt of a Notice of Inquiry from the NCAA enforcement staff regarding a possible major violation, the Assistant AD-Compliance, and the Athletics Director shall inform the President who shall, in turn, provide immediate notification to the Chancellor and the Vice Chancellor and General Counsel. The notification shall include the nature of the alleged major infraction; the NCAA, conference, or institutional bylaw involved; the plan for investigating the allegation; and a corrective action plan.


    1. Rules education sessions are conducted each semester for which attendance is expected for all coaching staff members with required topics as well as additional topics that are presented throughout the academic year. Additionally, education sessions are conducted with other departmental and institutional constituents. Educational brochures are provided to student-athlete parents/guardians as well as boosters. Additional education for any group is provided based on need, current events or request.

    1. Any individual may request a rule interpretation. Interpretation requests may occur verbally or in writing, via email, phone call or in-person. Written requests are strongly recommended whenever complicated situations are involved, in order to minimize the chance for potential misunderstandings of the question or answer. All requests for NCAA rules interpretations should be handled through the Athletics Compliance Office. Coaches and staff members outside of Compliance are not permitted to contact the NCAA National Office or the Sun Belt Conference Office directly to request a rules interpretation.

    1. The athletics compliance manual should be referenced for additional compliance policies and procedures.

    1. Reviewers of this PPS include the following:

      Position Date
      Director, Athletics November 1 E3Y

    This PPS has been approved by the following individuals in their official capacities and represents Texas State Athletics policy and procedure from the date of this document until superseded.

    Director, Athletics; senior reviewer of this PPS