welcome to the world of compliance
DESCRIPTION
Welcome to the World of Compliance. Kimberli Bowman and Susan Peal NCAA Membership Services. Session Topics NCAA overview. Institutional control. Key elements in a compliance program. Developing compliance procedures. The NCAA is…. the “membership” or “members” - PowerPoint PPT PresentationTRANSCRIPT
![Page 1: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/1.jpg)
Welcome to the World of
ComplianceKimberli Bowman
and
Susan Peal
NCAA Membership Services
![Page 2: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/2.jpg)
Session Topics
NCAA overview.
Institutional control.
Key elements in a compliance program.
Developing compliance procedures.
![Page 3: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/3.jpg)
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…
![Page 4: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/4.jpg)
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…
![Page 5: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/5.jpg)
the “Association” Members + Staff = the Association
• Bottom-up organization in which the members rule the Association.
TheThe NCAA is… NCAA is…
![Page 6: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/6.jpg)
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
![Page 7: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/7.jpg)
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.
![Page 8: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/8.jpg)
Key Elements In A Key Elements In A Compliance ProgramCompliance Program
CCommunication.
OOrganization.
DDocumentation.
EEvaluation.
![Page 9: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/9.jpg)
CommunicationCommunication
Demonstrate the institution’s commitment to rules compliance through oral and written communications with various campus entities.
![Page 10: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/10.jpg)
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.
![Page 11: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/11.jpg)
DocumentationDocumentation
Compliance is a central element in the athletics department and involves the campus community through the documentation of policies and procedures.
![Page 12: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/12.jpg)
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.
![Page 13: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/13.jpg)
How to Survive How to Survive in the Compliance World?in the Compliance World?
![Page 14: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/14.jpg)
Registrar
Athletics
Department
Coaches
Student
Affairs
Internal
Auditor
Academic
Support
Financial
Aid
Admissions
FAR
Compliance
Office
Defining My Role
![Page 15: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/15.jpg)
Developing Compliance Procedures
Compliance committee.
Rules-education methods.
Interpretation procedures.
Investigating and self-reporting procedures.
Ongoing compliance tasks.
Compliance resources.
![Page 16: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/16.jpg)
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.
![Page 17: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/17.jpg)
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.
![Page 18: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/18.jpg)
Rules-Education MethodsRules-Education Methods
Written materials.
Meetings.
Correspondence with prospects and athletics representatives.
![Page 19: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/19.jpg)
– 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
![Page 20: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/20.jpg)
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.
![Page 21: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/21.jpg)
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.
![Page 22: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/22.jpg)
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.
![Page 23: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/23.jpg)
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.
![Page 24: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/24.jpg)
Investigating and Self-Reporting Investigating and Self-Reporting ProceduresProcedures
– Establish defined procedures for investigating alleged violations and self-reporting discovered violations.
![Page 26: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/26.jpg)
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).
![Page 27: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/27.jpg)
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.
![Page 28: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/28.jpg)
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.
![Page 29: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/29.jpg)
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).
![Page 30: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/30.jpg)
Playing and Practice Seasons
Playing and practice seasons declarations.
Contest limitations.
Countable athletics activities logs.
Participation records.
Membership requirements.
![Page 31: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/31.jpg)
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.
![Page 32: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/32.jpg)
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.
![Page 33: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/33.jpg)
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.
![Page 34: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/34.jpg)
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).
![Page 35: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/35.jpg)
Compliance ConceptsCompliance ConceptsReviewReview
Key elements.
Compliance procedures. Compliance committee structures. Rules-education methods. Interpretation procedures. Investigating and self-reporting. Ongoing compliance tasks. Compliance resources.
![Page 36: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/36.jpg)
QuestionsQuestions
![Page 37: Welcome to the World of Compliance](https://reader035.vdocument.in/reader035/viewer/2022062309/56815999550346895dc6dff0/html5/thumbnails/37.jpg)
Compliance Concepts
THANK YOU FOR ATTENDING!!