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Athletics
ASU Compliance

NCAA Rules Compliance

Compliance with NCAA and Pac-12 rules is of utmost importance to Arizona State University and its Department of Intercollegiate Athletics. Athletics compliance is the responsibility of everyone associated with ASU's athletics program, including coaches, student-athletes, athletics department personnel, faculty, staff, alumni, boosters and other supporters of Arizona State. The Compliance Services Office is charged with leading and coordinating ASU's compliance efforts and shall act as a resource for internal and external constituencies regarding NCAA and Pac-12 Conference compliance issues.

Please familiarize yourself with the NCAA rules and regulations. When you are faced with a situation and unsure as to how to respond, we strongly urge you to contact our Compliance Office before acting. Your continued interest and support of the Arizona State University Department of Intercollegiate Athletics is most appreciated

The primary functions of the Compliance Services Office:

  • To educate coaches, student-athletes, staff and supporters regarding NCAA and Pac-12 Conference rules and the compliance expectations of the University.
  • To serve coaches, student-athletes, staff and supporters by providing accurate and timely interpretations of the rules and assisting them in their compliance efforts.
  • To monitor the activities of the athletics department and the University in a variety of critical areas (e.g., recruiting, eligibility certification, financial aid, amateurism, benefits, playing and practice season limitations) and verify compliance with all applicable rules.
  • To investigate and report violations of NCAA and Pac-12 Conference rules.

The compliance office seeks to carry out these essential functions in a manner that promotes a positive compliance atmosphere and demonstrates an unwavering commitment to highest standards of ethical behavior.

Whom to Call with NCAA Questions:

If you have any questions regarding NCAA rules, please contact a member of the Arizona State Athletics Compliance Services staff or the NCAA in order to avoid jeopardizing a student-athlete's eligibility to participate in intercollegiate athletics.

COMPLIANCE SERVICES OFFICE STAFF

Steve Webb Executive Director of Athletics Compliance (480) 965-5138 steve.webb@asu.edu
Susanna Tamol Compliance Assistant (480) 965-5722 susanna@asu.edu
Justin Pullnow Associate Director, Athletics Compliance (480) 965-5755 Justin.pollnow@asu.edu
Peter Turney Coordinator, Athletics Compliance (480) 965-9748 Peter.turney@asu.edu
Kristen Hargis Coordinator, Athletics Compliance (480) 965-0116 kristen.hargis@asu.edu

FACULTY ATHLETICS REPRESENTATIVE STAFF

Gary Grossman Faculty Athletics Representative (480) 727-9533 gary.grossman@asu.edu
 
Lori Briese Coordinator Faculty Athletics Representative (480) 965-1334 lori.briese@asu.edu

What is the NCAA?
The NCAA, or National Collegiate Athletic Association, was established in 1906 and serves as the athletics governing body for more than 1,300 colleges, universities, conferences and organizations. The national office is in Indianapolis, but the member colleges and universities develop the rules and guidelines for athletics eligibility and athletics competition for each of the three NCAA divisions. The NCAA is committed to the student-athlete and to governing competition in a fair, safe, inclusive and sportsmanlike manner.

The NCAA's membership includes:

  • 337 active Division I members;
  • 290 active Division II members; and
  • 435 active Division III members.

One of the differences among the three divisions is that colleges and universities in Division I and II may offer athletics scholarships while Division III colleges and universities may not.

Contacting the NCAA:

National Collegiate Athletic Association
PO Box 6222
Indianapolis, IN 46206-6222
(317) 917-6222 (Customer Service: Monday - Friday, noon - 4 p.m. Eastern Time)
(877) 262-1492 (NCAA Eligibility Center Customer Service Staff)

Key NCAA Definitions

Amateurism:
A student shall not be eligible for intercollegiate competition in a particular sport if the student-athlete (or parents/relatives):

  • negotiates, signs or enters into any written or oral agreement with an agent;
  • accepts or receives any extra benefits from an agent or anyone who wishes to represent the student-athlete;
  • uses their athletic skill for pay, or for the promise of pay;
  • competes with a professional sports team or receives any compensation from a professional sports team; or
  • receives an extra benefit that is not available to the general student population.

Representatives of Athletics Interests (Booster):
Under NCAA rules a "representative of the institution's athletics interests (athletics representative/booster) is any individual who:

  • Made any type of contribution to Arizona State University or its athletic program;
  • Joined a Sun Devil donor or booster club or any sport specific support group;
  • Provided benefits (e.g., summer jobs) to prospective or enrolled student-athletes or their families;
  • Assisted, in any manner, in the recruitment of prospective student-athletes;
  • Participated as a varsity athlete at the Arizona State University;
  • Is the parent or legal guardian of an enrolled student-athlete;
  • Promoted the athletics program in any way.

Once an individual is identified as a "Representative of the Institution's Athletics Interest," the person retains that identity indefinitely.

Contact:
Any face-to-face encounter between a prospect or his/her parents/legal guardians and an institutional staff member or booster during which any conversation in excess of a greeting occurs. Any face-to-face meeting that is prearranged and takes place on the prospect's campus or at the prospect's competition site is considered a contact regardless of the conversation that occurs.

Extra Benefit:
An extra benefit is any special arrangement by an institutional employee or a booster to provide a student-athlete, or his/her friends or relatives, a benefit not authorized by the NCAA. The benefits a student-athlete may NOT receive include, BUT ARE NOT LIMITED TO:

  • money, special discount, payment arrangement or credit on a purchase (airline ticket, clothes) or service (laundry, typing);
  • free or reduced-cost professional services not available on the same basis to the general student body;
  • use of a telephone, pager or credit card for personal reasons without charge or at a reduced rate;
  • entertainment services (movie tickets, dinners, use of car) from commercial agencies (theaters, restaurants, car dealers) without charge or at reduced rates, or free or reduced-cost admission to professional athletics contests from professional sports organizations, unless such services are available to the student body in general;
  • guarantee of bond;
  • signing or cosigning a note with an outside agency to arrange a loan;
  • preferential treatment, benefits or services based on his/her athletics reputation or skill or pay-back potential as a future professional;
  • free or reduced-cost athletics equipment, supplies or clothing directly from a manufacturer or commercial enterprise;
  • free or reduced cost room and/or board;
  • payment or other compensation for work not performed or at unreasonable levels for the work performed;
  • employment arrangements for a student-athlete or prospect's relatives or friends;
  • payment of registration fees or other expenses to attend ASU sports camps or clinic;
  • use of personal property (boats, summer homes, cars, computers, stereos);
  • holiday or birthday presents;
  • promise of employment after college graduation;
  • purchase of items or services from a prospect/student-athlete or their relatives at inflated prices; and
  • payment or arrangements for payment of transportation costs incurred by a student-athlete or prospect's relatives or friends; or
  • any items given because an individual is a student-athlete.

Prospect:
An individual who has either started classes for the ninth grade OR who has received any benefit from ASU or a booster. Actions taken by athletic staff that cause an individual to become a prospective student-athlete include:

  • providing a prospect an expense-paid visit to a collegiate institution;
  • having an arranged in-person encounter with the individual;
  • initiating or arranging telephone contact with the individual or a member of his/her family; or
  • providing an individual (or his/her relatives or friends) any financial assistance or other benefits that the institution does not provide to prospective students generally (i.e. tickets to an athletic competition)

Recruiting:
Any solicitation of a prospect (or the prospect's family members) by the ASU athletics staff or a booster to encourage him/her to enroll at ASU and participate in the ASU athletic program. ONLY Sun Devil coaches who have passed the NCAA Recruiting Examination may be involved in recruiting prospects.

Information for Fans, Friends, Boosters & Alumni

NCAA rules hold the institution responsible for all actions of its athletics representatives. Boosters involved in NCAA violations may lose benefits and privileges associated with the athletic program (e.g., ticket privileges or priority seating).

Rules for Representatives of Athletics Interests Relating to PROSPECTIVE Student-Athletes

As a Representative of Athletics Interests, you are permitted to:

  • Notify coaches about prospects in your area that may be strong additions to the Sun Devil team;
  • Attend high school or two-year college athletic contests or events where prospects may compete, but you may not contact the prospect or their relatives or guardians;
  • Continue existing friendships with families of prospects, but you may not attempt to recruit the prospect.
  • Engage in permissible pre-enrollment activities with a prospect, such as summer employment, provided the prospect has already signed a National Letter of Intent and the institution is aware and informed if these contacts are made.
  • Have a phone conversation with a prospect only if the prospect initiates the call. Such a call may not be pre-arranged by any institutional staff member or another representative of athletics interests. All questions regarding the intercollegiate athletics program must be referred to the proper ASU Athletics staff member.

As a Representative of Athletics Interest, you are NOT permitted to:

  • Contact a prospect or his/her parents in person, by telephone or in writing (letters, instant message, message boards or email) for the purpose of recruiting the prospect. Contact may not be made with a prospect or his/her parents on or off the Arizona State campus.
  • Approach an Arizona State coach who is with a prospect. This places the coach in an uncomfortable situation because the coach is not able to introduce the booster to the prospect.
  • Have contact with student-athletes at institutions other than Arizona State for the purpose of recruiting.
  • Have face-to-face contact with a prospect or his/her family with the purpose of recruiting him/her to Arizona State.
  • Mail any materials to a prospect. This includes newspapers, clippings, press releases, media guides, posters, game programs, schedule cards, emails, etc.
  • Contact a prospect's counselor, principal or coach in order to evaluate a prospect. Additionally, a booster may not obtain videotapes or transcripts of the prospect at his/her high school or junior college.
  • Provide a prospect or his/her family or friends with any extra benefits. A booster may not provide extra benefits to current student-athletes.

Rules for Representatives of Athletics Interests Relating to CURRENT Student-Athletes

As a Representative of Athletics Interests, you are permitted to:

  • Provide an occasional family home meal to a student-athlete or an entire team. The meal must take place in the home, NOT a restaurant; however, the meal may be catered. Requests for these types of occasional meals must be PRIOR approved by the Compliance Services staff.
  • Employ a student-athlete under certain circumstances with prior approval from the ASU Department of Athletics. Both the student-athlete and the employer must sign a written statement PRIOR to beginning any employment during the academic year. Student-athletes may be compensated only for work actually performed and at a rate commensurate with the going rate in the area for similar services.

As a Representative of Athletics Interest, you are NOT permitted to:

  • Provide extra benefits to any student-athlete and his/her family.
  • Use the name or picture of a student-athlete to directly or indirectly advertise, recommend or promote the sale or use of a commercial product or service.
  • Provide an honorarium to a student-athlete who has been approved for a speaking engagement. Student-athletes may receive only necessary travel expenses for prior approved speaking engagements.
  • Provide free or reduced rate housing for a student athlete or his/her family, even on weekend visits. Additionally, student-athletes are specifically not allowed to house-sit for boosters.

Student-Athlete Employment:

The University is permitted to arrange employment for enrolled student-athletes and prospective student-athletes during the summer prior to their enrollment as freshmen (provided they have signed a National Letter of Intent).

The Compliance Services staff must have a Student-Athlete Employment Approval form verifying employment of all student-athletes. The following rules are applicable to student- athlete employment:

      1. A student-athlete's compensation may not include any payment for value or utility that the student-athlete may have for the employer because of the publicity, reputation, fame or personal following that he or she has obtained because of athletics;

      2. The student-athlete is compensated only for work actually performed;

      3. The student-athlete is compensated at a rate commensurate with the going rate in that locality for similar services.

      4. A student-athlete can receive money from you or your family for teaching or giving lessons in their sport. To do this the following conditions must be met:

        a. Institutional facilities cannot be used;

        b. To simply "play" against the student-athlete is not permitted (e.g., playing lessons);

        c. Documentation of the lessons must be on file with the Compliance Services Office;

      d. Compensation for the lessons must be paid by the lesson recipient or family and not anyone else.

For questions about or to receive the Student-Athlete Employment Approval form, please contact Kristen Beasley at Kristen.Beasley@asu.edu.

Information for Sports Agents and Financial Advisors

ASU Agent Registration Form Get Acrobat Reader

ASU Athlete-Agent Football Supplement Get Acrobat Reader

ASU Athlete-Agent Policy Get Acrobat Reader

2011-12 Student Athlete Employment Approval Form Get Acrobat Reader

Arizona State University student-athletes are educated each year on the proper procedures if contacted by an agent, financial advisor or representative. Any information that agents and financial advisors would like provided to a student-athlete may be mailed to the attention of the ASU Compliance Services office, which will be forwarded and reviewed with each student-athlete at the completion of their eligibility (or at the time of delivery for Baseball student-athletes). The department of athletics at Arizona State University educates our future professional athletes of the NCAA regulations and the applicable Arizona Statutes governing agents and financial advisors. The administration and coaches at ASU are well aware of the fact that the majority of those engaged in representing professional athletes provide valuable services to their clients. However, due to the increasing number of problems involving agents and their intermediaries that have taken place throughout our country over the past few years; we have decided to take a pro-active stance. Our policies have been developed to provide a means by which we can protect our student-athlete and our institution from those who would conduct themselves in a less than ethical manner.

The department of athletics has no intention of creating barriers between our student-athletes and those who can provide valuable services to them. But in order to allow our student-athletes to focus upon their academic and athletic pursuits as they complete their careers with our athletics program, we stipulate that both our student-athletes and those who desire to represent them adhere to the policies.

In addition, agent and financial advisor correspondence will not be distributed until we have received the ASU Athlete Agent Application Form or the ASU Financial Advisor Application Form and a copy of the Athlete Agent Registration packet submitted to the State of Arizona (as per Arizona Statute).State law requires all prospective agents register with the State of Arizona through the Secretary of State office. If you have not already registered with the State as an Athlete Agent, please contact:

Joann Cota
Director of Business Services
Secretary of State
1700 W. Washington, 7th Floor
Phoenix, AZ 85007
Phone: (602) 542-81-87
Fax: (602) 542-4366
Email: businessservices@sos.state.az.us

If you have any questions regarding the ASU Athlete Agent Registration program, please contact Kristen Beasley, Athletics Compliance Services at kristen.beasley@asu.edu.

Relevant NCAA Regulations

Uniform Athlete Agent Act

Information for Prospective Student-Athletes

Student-Athletes that are hoping to participate in intercollegiate athletics at ASU or any other NCAA Division I or Division II school must register with the NCAA Initial Eligibility Clearinghouse in order to be eligible for athletics competition in college.

What is the NCAA Initial Eligibility Clearinghouse?
The NCAA Initial Eligibility Clearinghouse is an organization that works with the NCAA to determine a student's eligibility for athletics participation in his or her first year of college enrollment. Students who want to participate in college sports during their first year of enrollment in college must register with the Clearinghouse. The Clearinghouse staff follows NCAA bylaws and regulations in analyzing and processing a student's high school academic records, ACT or SAT scores and key information about amateurism participation, in order to determine the student's initial eligibility.

Information concerning who needs to register with the Clearinghouse and what documents should be submitted can be found in The Guide for College-Bound Student-Athletes.

For information about NCAA initial-eligibility requirements and to become certified as a prospective student-athlete, go to www.ncaaclearinghouse.net.

NCAA Initial-Eligibility Clearinghouse
301 ACT Drive
PO Box 4043
Iowa City, IA 52243-4043
www.ncaaclearinghouse.net
(877) 262-1492 (Customer Service: Monday - Friday, 8 a.m. - 5 p.m. Central Time)
(319) 337-1492 (international callers)
(319) 337-1556 (fax)

Important Contacts at ASU:

For information about ASU's admission requirements, go to http://students.asu.edu/admission.

For information about Barrett, the Honors College at ASU, go to http://barretthonors.asu.edu/

For information about on-campus housing arrangements, go to www.asu.edu/housing/.

Important Financial Aid Information:

To apply for federal aid to assist in paying for educational expenses, go to www.fafsa.ed.gov.

If you have questions about Prospective Student-Athlete Initial Eligibility, please contact Susanna Tamol, Compliance Assistant at (480) 965-5722. Please note that, while prospects may call Athletics Staff members that are not countable coaches, NCAA rules prohibit staff members from returning calls relating to recruiting.

Current ASU Student-Athletes

Current Arizona State University student-athletes may click on the following links to download appropriate compliance forms. Please remember that many of these forms will need appropriate signatures before being submitted to the Compliance Services office. If you have questions about a particular form or about a particular compliance area, please contact the appropriate contact in Compliance Services noted below.

PROHIBITED GAMBLING ACTIVITIES

NCAA Bylaw 10.3 states that all staff members of a member conference, staff members of the athletics department of a member institution and student-athletes shall not knowingly participate in sports wagering activities or provide information to individuals involved in or associated with any type of sports wagering activities concerning intercollegiate, amateur or professional athletics competition.

Sports wagering is defined in Bylaw 10.02.1 as placing, accepting or soliciting a wager (on a staff member's or student-athlete's own behalf or on the behalf of others) of any type with any individual or organization on any intercollegiate, amateur or professional team or contest. Examples of sports wagering include, but are not limited to, the use of a bookmaker or parlay card; Internet sports wagering; auctions in which bids are placed on teams, individuals or contests; and pools or fantasy leagues in which an entry fee is required and there is an opportunity to win a prize.

The following sanctions for violations of the above Bylaw are as follows: a student-athlete who participates in any sports wagering activity through the Internet, a bookmaker or a parlay card shall be ineligible for all regular-season and postseason competition for a minimum of a period of one year from the date of the institution's determination that a violation occurred and shall be charged with the loss of a minimum of one season of eligibility. If the student-athlete is determined to have been involved in a later violation of any portion of Bylaw 10.3, the student-athlete shall permanently lose all remaining regular-season and postseason eligibility in all sports.

Continuing Eligibility & Waivers: Lyla Clerry at Lyla.Clerry@asu.edu.

Student-Athlete Book Forms:

Student-Athlete Employment:

Tryouts and Initial-Eligibility: If you have questions or to receive a Tryout Form, contact Susanna Tamol at Susanna@asu.edu.

Tryout Instructions

If you are interested in trying out for one of ASU's athletic programs, follow the instructions below.

Signatures are not available until on or after the first day of the semester.
Please note that "CSAC" stands for Carson Student-Athlete Center.

1. Ask the Head Coachfor your sport when he or she will be holding tryouts.

2. Take a purple Tryout Route Formfrom the lobby in the Office of Compliance (CSAC 208).

3. Fill out the top portion on the front and the bottom portion on the back of the form.

4. See your Head Coachfor signature on Line 1. You must obtain this signature FIRST.

5. See the Sport Administrator(on the sixth floor of the CSAC) for signature on Line 2.

6. See the University Registrar (on the first floor of the Student Services Building on campus) for signature on Line 3. The Registrar should also give you an official Enrollment Verificationletter.

7. See the Athletic Trainer(on Lower Level 1 of this CSAC) for signatures on Line 4 AND on the back of the form. You MUST show your Medical Insurance Card AND written proof of having a physical by a Medical Doctor licensed in the state of Arizona.

8. Return to the Office of Compliance (CSAC 208) for signature on Line 5. You must obtain this signature LAST. Bring your Tryout Route Form, your Enrollment Verification letter from the University Registrar, and proof that you passed your physical.

9. You are NOT eligible for any team activities without a completed Tryout Route Form.

10. Allow at least 3 business days (more than 3 days if you have not yet had a physical) for completion of the entire form.

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