Compliance and its Cast of

Characters ~

Introductory Compliance Concepts for those with

Auxiliary Roles

Kimberli E. Bowman

NCAA Membership Services

Session Topics

NCAA overview.

Institutional control.

Key elements in a compliance program.

Compliance responsibilities.

The National Collegiate Athletic Association (NCAA) is…

a voluntary association of about 1,300 colleges, universities and

athletics conferences devoted to the sound administration of intercollegiate athletics.

The NCAA is…

the “membership” or “members” - the colleges, universities and athletics conferences that make up the NCAA.

• The members appoint volunteer representatives that serve on committees which introduce and vote on rules.

• The members also establish programs to govern, promote and further the purposes and goals of intercollegiate athletics.

• The membership is divided into three main divisions (I, II and III).

• Each NCAA division has a separate governing structure and there are membership representatives from each division that serve on Association-wide committees.

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 NCAA is…

the “Association.”

• The entire organization comprised of members and staff. Many believe the national office staff makes the rules; actually it is the membership that proposes and adopts the rules.

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 defined compliance procedures including key individuals and 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.

Key Elements In A Key Elements In A Compliance ProgramCompliance Program

CCommunication.

OOrganization.

DDocumentation.

EEvaluation.

Compliance Responsibilities

Defining my role.

Compliance committee.

Compliance resources.

Registrar

Athletics

Dept.

Coaches

Student

Affairs

Internal

Auditor

Academic

Support

Financial

Aid

Admissions

FAR

Compliance

Office

Defining My Role

Defining My Role

Reporting lines.

Job descriptions.

Performance evaluations.

Rules education.

Compliance CommitteeCompliance Committee

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.

Compliance ResourcesCompliance Resources

Technology.

– Compliance Assistant Internet (CAi).

– LSDBi (https://goomer.ncaa.org/wdbctx/LSDBis/LSDBI.home).

– NCAA Web site (www.ncaa.org).

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

Institutional control.

Key elements in a compliance program.

Compliance responsibilities.

QuestionsQuestions