Welcome to the World of
ComplianceKimberli Bowman
and
Susan Peal
NCAA Membership Services
Session Topics
NCAA overview.
Institutional control.
Key elements in a compliance program.
Developing compliance procedures.
the “membership” or “members” the colleges, universities and athletic
conferences.
• Appoint volunteer representatives that serve on committees which introduce and vote on rules.
• Establish programs to govern, promote and further the purposes and goals of intercollegiate athletics.
TheThe NCAA is… NCAA is…
the “national office”370 staff members
• Implement the rules and programs established by the membership.
• Administer 88 championships in 23 sports. More than 44,900 student-athletes annually compete for national titles.
• National office headquarters - Indianapolis, Indiana.Myles Brand NCAA President
TheThe NCAA is… NCAA is…
the “Association” Members + Staff = the Association
• Bottom-up organization in which the members rule the Association.
TheThe NCAA is… NCAA is…
Association-wideCommittees
Executive CommitteeEight I-A members from Division I Board of DirectorsTwo I-AA members from Division I Board of Directors
Two I-AAA members from Division I Board of DirectorsTwo members from Division II Presidents CouncilTwo members from Division III Presidents Council
Ex Officio members:NCAA President
Chairs of Divisions I, II and III Management Council
Division I Board of Directors
(presidents and chancellors)
Division IIPresidents Council
(president and chancellors)
Division IIIPresidents Council
(presidents and chancellors)
Division I Management Council
(athletics administratorsfaculty athletics representatives)
Division IIManagement Council
(athletics administratorsfaculty athletics representatives)
Division IIIManagement Council
(presidents and chancellors, athletics administrators, faculty athletics
representatives and student-athletes)
Division I Committees and Cabinets
Division IICommittees
Division IIICommittees
Sport and Rules Committees
Institutional ControlInstitutional Control
NCAA Constitution 2.1.1 – Responsibility for Control.
It is the responsibility of each institution to control its intercollegiate athletics program in compliance with the rules and regulations of the Association.
Key Elements In A Key Elements In A Compliance ProgramCompliance Program
CCommunication.
OOrganization.
DDocumentation.
EEvaluation.
CommunicationCommunication
Demonstrate the institution’s commitment to rules compliance through oral and written communications with various campus entities.
OrganizationOrganization
Senior-level institutional administrators assume leadership roles in establishing the institution’s commitment to compliance initiatives.
Institutional staff assume responsibility for rules knowledge and compliance.
Clearly define compliance procedures including key individuals and the their tasks and responsibilities.
DocumentationDocumentation
Compliance is a central element in the athletics department and involves the campus community through the documentation of policies and procedures.
EvaluationEvaluation
Ensure continuing and regular administrative oversight in key compliance areas.
Periodic review of the rules compliance program by an institutional authority outside the athletics department.
How to Survive How to Survive in the Compliance World?in the Compliance World?
Registrar
Athletics
Department
Coaches
Student
Affairs
Internal
Auditor
Academic
Support
Financial
Aid
Admissions
FAR
Compliance
Office
Defining My Role
Developing Compliance Procedures
Compliance committee.
Rules-education methods.
Interpretation procedures.
Investigating and self-reporting procedures.
Ongoing compliance tasks.
Compliance resources.
Establish a Compliance Establish a Compliance CommitteeCommittee
Document and evaluate compliance policies and procedures.
Assist in rules education.
Communicate importance of rules compliance to the campus community.
Assist in rules-violations investigations.
Serve as an advisory group.
Complete monitoring tasks.
Example of a Compliance Committee
Director of athletics.
Senior woman administrator.
Compliance coordinator.
Faculty athletics representative.
Registrar’s office representative.
Financial aid office representative.
Admissions office representative.
Dean of students office representative.
Faculty representative.
Student-athlete representative.
Athletics board representative.
Coaches.
Rules-Education MethodsRules-Education Methods
Written materials.
Meetings.
Correspondence with prospects and athletics representatives.
– Avoid excessive distribution of memorandums.
– Focus on specific topics relevant to the recipients.
– Develop a compliance manual.
– Highlight specific areas of other resource materials.
– Develop a monthly newsletter.
Written Materials
Meetings
– Develop an annual rules-education calendar with monthly sessions on specific topics.
– Highlight significant areas of compliance in departmental staff meetings.
– Conduct legislation meetings to discuss proposed and adopted legislation.
– Prepare coaches for the certification test.
Meetings
– Vary technique in presenting information.
– Keep sessions and information simple.
– Use competitive games.
– Involve the institutional community as presenters and participants.
– Target the specific audience.
Correspondence with Prospects andAthletics Representatives
– Effective communication with boosters includes newsletters, alumni publications, game programs and mailings to season-ticket holders.
– Educate prospects through regular institutional correspondence early in the recruiting process.
Interpretation ProceduresInterpretation Procedures
Maintain documentation of all rules interpretations.
Include in the records:
• The name of the individual requesting the information.
• The issue or question.
• The name of the individual who provided the interpretation.
• The answer and source of the answer provided.
• Date requested and date answered.
Investigating and Self-Reporting Investigating and Self-Reporting ProceduresProcedures
– Establish defined procedures for investigating alleged violations and self-reporting discovered violations.
Recruiting
Official and unofficial visits.
National Letter of Intent (Divisions I and II only).
Telephone logs (Divisions I and II only).
Contact/evaluation logs (Divisions I and II only).
Tryouts (Division II only).
Eligibility
Initial eligibility (Divisions I and II only).
• Institutional request list.• NCAA Initial-Eligibility Clearinghouse status reports.• Final certification reports.• Waivers.
Continuing eligibility.
• Satisfactory progress (Division III only).• Progress toward degree (Divisions I and II only).• Full-time enrollment.• Drop-add.• Summer school.• Waivers or exceptions.
Eligibility
Transfers.
• Permission to contact.
• Transfer requirements.
• Eligibility exceptions.
Eligibility reports.
Hardship waivers.
Outside competition.
Amateurism.
Student-athlete statement.
Affirmation of eligibility.
Drug-testing consent.
Financial Aid
Squad lists.
Noncounter certification.
Grant-in-aids.
Renewals/reduction/cancellations.
Outside grants.
Off-campus stipends.
Student-athlete employment.
Financial aid electronic reporting process (Division III only).
Playing and Practice Seasons
Playing and practice seasons declarations.
Contest limitations.
Countable athletics activities logs.
Participation records.
Membership requirements.
Miscellaneous
Camps and clinics.
Personnel (Divisions I and II only).
• Coaching designations.
• Coaches certification.
• Outside income.
• Speaking engagements.
Special Assistance and Special Opportunity Funds (Division I only).
Promotional activities.
Compliance manual.
Institutional and conference compliance forms.
NCAA required forms.
Compliance ResourcesCompliance Resources
Technology.
• Compliance Assistant internet (CAi).
• LSDBi (https://goomer.ncaa.org/wdbctx/LSDBis/LSDBI.home).
• NCAA Web site (www.ncaa.org).
• Institutional compliance Web page.
W
Compliance Web Page
Rules Education
Hot Topics
Q & A
Prospects
Boosters
Compliance Forms
Contact Us
New Legislation
S-A Handbook
Recruiting Calendars
Compliance Meetings
Compliance Resources
Welcome to the Compliance page!
Announcements
Welcome to the World of Compliance presented at the NCAA Regional Seminars
This interactive session will provide an introduction to key compliance concepts, including institutional control, shared responsibility and central coordination of compliance systems, as well as documentation procedures used to monitor eligibility, financial aid and recruiting.
Compliance ResourcesCompliance Resources
NCAA Regional Rules Seminar.
Conference office and NCAA conference contact program.
Calling NCAA membership services.
– 317/917-6003 (institutional line).
– 317/917-6222 (general public line).
Compliance ConceptsCompliance ConceptsReviewReview
Key elements.
Compliance procedures. Compliance committee structures. Rules-education methods. Interpretation procedures. Investigating and self-reporting. Ongoing compliance tasks. Compliance resources.
QuestionsQuestions
Compliance Concepts
THANK YOU FOR ATTENDING!!