Process for reporting NCAA Violations
Below is information about the Level I, II, III and IV violation self-reporting process.
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Level IV violations are minor or technical violations that do not result in recruiting or competitive
advantages, or impact eligibility. Level IV violations are reported via email directly to Kathleen
Batterson, CAA Senior Associate Commissioner. Please complete and email all Level IV Violation
Reports in WORD format to the CAA using the form found on the “Compliance Corner” at
www.CAASports.com.
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Level III violations are required to be submitted electronically by the institution through the NCAA
Requests/Self-Reports Online (RSRO) webpage and will be processed by the NCAA Enforcement
Staff. (See additional Level III reporting requirements below.)
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Level I and II violations are reported to the NCAA via telephone call and/or letter sent directly to
the NCAA Enforcement Staff (i.e., RSRO is NOT used to report Level I and II violations).
Additional Conference Requirements for reporting Level III violations via RSRO
The CAA has implemented the following institutional requirements for reporting Level III violations via
RSRO in order to provide institutions with the opportunity to request advice/input regarding the
reporting process, appropriate penalties, corrective actions, etc., and also to ensure that the
conference staff is informed of all violations in a timely manner.
1. Prior to submitting all Level III violations on RSRO, institutions will contact the CAA to provide the
facts of the case so that the conference staff is aware of the violation, and has the opportunity to
offer guidance as needed.
Process: Institutional compliance administrator will provide violation details to Kathleen
Batterson via telephone or email prior to submitting the online report to the NCAA.
2. When submitting all Level III violations on RSRO, institutions will list the conference contact on
the self-report form to ensure that the conference staff is automatically notified, along with the
institution, when a decision is issued by the NCAA.
Process: On the last page of the online self-report form in the “Additional Case Contacts” field,
institutions will always include Kathleen Batterson’s name and contact information (Email:
kbatterson@caasports.com).
3. When submitting all Level III violations on RSRO, on the online self-report form in the “Conference
Action” field, institutions will enter the following statement: "This matter will be reviewed by the
conference office at a later date".
Process: In the majority of cases, the CAA accepts the Institutional and NCAA actions/penalties
and does not impose additional conference penalties. By having the institution enter this
language on every report it will ensure timely submission of self-reports.
CAA Contact: Kathleen Batterson, Senior Associate Commissioner
Email: kbatterson@caasports.com Office: 804.525.1213 Fax: 804.754.1973