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.

Ongoing Ongoing Compliance TasksCompliance Tasks

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!!