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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”

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Welcome to the World of Compliance

Kimberli Bowman


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”
  • 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.

The 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


The NCAA is…

  • the “Association”
  • Members + Staff = the Association
  • Bottom-up organization in which the members rule the Association.

Executive Committee

Eight I-A members from Division I Board of Directors

Two I-AA members from Division I Board of Directors

Two I-AAA members from Division I Board of Directors

Two members from Division II Presidents Council

Two 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 II

Presidents Council

(president and chancellors)

Division III

Presidents Council

(presidents and chancellors)

Division I

Management Council

(athletics administrators

faculty athletics representatives)

Division II

Management Council

(athletics administrators

faculty athletics representatives)

Division III

Management Council

(presidents and chancellors,

athletics administrators, faculty athletics

representatives and student-athletes)

Division I

Committees and Cabinets

Division II


Division III


Sport and Rules Committees

institutional control
Institutional 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 compliance program
Key Elements In A Compliance Program
  • Communication.
  • Organization.
  • Documentation.
  • Evaluation.

Demonstrate the institution’s commitment to rules compliance through oral and written communications with various campus entities.


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.


Compliance is a central element in the athletics department and involves the campus community through the documentation of policies and procedures.


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.


Developing Compliance Procedures

Compliance committee.

Rules-education methods.

Interpretation procedures.

Investigating and self-reporting procedures.

Ongoing compliance tasks.

Compliance resources.

establish a compliance committee
Establish a Compliance 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.


Example of a Compliance Committee
rules education methods
Rules-Education Methods
  • Written materials.
  • Meetings.
  • Correspondence with prospects and athletics representatives.
written materials
Written Materials
  • 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.
  • 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.
  • 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 and athletics representatives
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 procedures
Interpretation 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 procedures
Investigating and Self-Reporting Procedures
  • Establish defined procedures for investigating alleged violations and self-reporting discovered violations.

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).


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.


  • Permission to contact.
  • Transfer requirements.
  • Eligibility exceptions.

Eligibility reports.

Hardship waivers.

Outside competition.


Student-athlete statement.

Affirmation of eligibility.

Drug-testing consent.

financial aid
Financial Aid

Squad lists.

Noncounter certification.



Outside grants.

Off-campus stipends.

Student-athlete employment.

Financial aid electronic reporting process (Division III only).

playing and practice seasons
Playing and Practice Seasons

Playing and practice seasons declarations.

Contest limitations.

Countable athletics activities logs.

Participation records.

Membership requirements.


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 resources
Compliance Resources
  • Technology.
    • Compliance Assistant internet (CAi).
    • LSDBi (
    • NCAA Web site (
    • Institutional compliance Web page.


Compliance Web Page

Welcome to the Compliance page!


New Legislation

Rules Education

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.

Hot Topics

Q & A



Compliance Forms

S-A Handbook

Recruiting Calendars

Compliance Meetings



Contact Us

compliance resources1
Compliance 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 concepts review
Compliance ConceptsReview
  • Key elements.
  • Compliance procedures.
    • Compliance committee structures.
    • Rules-education methods.
    • Interpretation procedures.
    • Investigating and self-reporting.
    • Ongoing compliance tasks.
    • Compliance resources.
compliance concepts
Compliance Concepts