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Welcome to the World of Compliance. Ryan Hall and Brandy Hataway. Overview. General information. Governance structure. Institutional control. Compliance committee. Key elements of a compliance program. Resources. Trivia .

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welcome to the world of compliance

Welcome to the World of Compliance

Ryan Hall and Brandy Hataway

overview
Overview
  • General information.
  • Governance structure.
  • Institutional control.
  • Compliance committee.
  • Key elements of a compliance program.
  • Resources.
trivia
Trivia
  • Which institution and team has won the most consecutive NCAA championships in a row?
answer
Answer
  • Kenyon University has won an NCAA record 30 consecutive championships in Swimming and Diving.
  • Hobart College holds the NCAA record for most consecutive team championships with 12 in Lacrosse.

http://athletics.kenyon.edu/x20998.xml

http://www.hwsathletics.com/

the ncaa is
The NCAA is:
  • A voluntary Association of about 1,300 colleges, universities and athletics conferences devoted to the sound administration of intercollegiate athletics.
the ncaa is7
The NCAA is:
  • The “membership” or “members” – the colleges, universities and athletics conferences that make up the NCAA.
    • Appoint volunteer representatives that serve on committees.
      • Introduce and vote on legislation.
    • Establish programs to govern, promote and further the purposes and goals of intercollegiate athletics.
the ncaa is8
The NCAA is:
  • Divided into three main divisions (Divisions I, II and III).
  • Each NCAA division has a separate governing structure.
the ncaa is9
The NCAA is:
  • The national office – 400 staff members.
    • Draft, interpret, teach and implement the rules and programs established by the membership.
    • Administer 88 championships in 23 sports.
      • More than 45,000 student-athletes annually compete for national titles.
    • Headquarters – Indianapolis, Indiana.
the ncaa is10
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.
slide12

Executive Committee

Eight FBS members from Division I Board of Directors

Two IFCS members from Division I Board of Directors

Two Division I members from Division I Board of Directors

Two members from Division II Presidents Council

Two members from Division III Presidents Council

Ex officio non-voting members: NCAA President,

Chair of Divisions I Leadership Council, and the

Chairs of Division II and Division III Management Council.

Association-Wide

Committees

Division II

Presidents Council

(Presidents and Chancellors)

Division I

Board of Directors

(Presidents and Chancellors)

Division III

Presidents Council

(Presidents and Chancellors)

Division I

Leadership

Council

(Athletics Administrators

and

Faculty Athletics

Representatives)

Division II

Management Council

(Athletics Administrators and

Faculty Athletics Representatives)

Division III

Management Council

(Presidents/Chancellors, Athletics

Administrators, Faculty Athletics

Representatives, Student-Athletes)

Division I

Legislative

Council

(Athletics Administrators

and

Faculty Athletics

Representatives)

Division I

Committees and Cabinets

Division II

Committees

Division III

Committees

Sport and Rules Committees

institutional control15
Institutional Control
  • It is the responsibility of each member institution, through the president or chancellor, to “control its intercollegiate athletics program in compliance with the rules and regulations of the Association.” – NCAA Constitution 2.1.1.
  • NCAA legislation.
    • Constitution 2.1.
      • Principle of institutional control and responsibility.
    • Constitution 2.8.1.
      • Principle of rules compliance – responsibility of the institution (monitoring).
    • Constitution 6.01.1.
      • Institutional control.
institutional control analysis
Institutional Control Analysis
  • Analysis attempts to:
    • Measure commitment to rules compliance.
    • Explain why violation(s) occurred.
    • Evaluate the atmosphere of compliance.
institutional control analysis17
Institutional Control Analysis
  • Determination of whether an institution is exercising proper institutional control involves an extremely fact-sensitive analysis.
    • No mathematical formula or checklist.
    • Situations evaluated on a case-by-case basis.
institutional control analysis18
Institutional Control Analysis
  • Four pillars of institutional control.
    • Compliance systems.
    • Monitoring/enforcement.
    • Rules education.
    • Commitment to compliance.
compliance systems
Compliance Systems
  • Implement systems in areas of key NCAA legislation.
  • Financial aid.
  • Eligibility certification.
  • Recruiting.
  • Amateurism.
  • Sports wagering.
  • Investigating and self-reporting.
  • Student-athlete employment.
  • Awards and benefits.
  • Playing seasons.
  • Booster activities.
  • Camps and clinics.

This list is not intended to be exhaustive.

monitoring and enforcement
Monitoring and Enforcement
  • Regularly check the operation of compliance systems.
  • Compliance personnel should be visible, proactive and accessible.
  • Ensure that compliance forms are being used and used properly.
monitoring and enforcement21
Monitoring and Enforcement
  • Communicate with athletics administrators, coaches, student-athletes and personnel outside of the athletics department.
  • Establish a formal procedure for reporting and investigating violations.
  • Conduct independent, external audits of the athletics department periodically.
    • Should include audits of compliance systems.
rules education
Rules Education
  • Comprehensive and ongoing for those engaged in activities promoting athletics interests of the institution.
  • Know your audience.
  • Use outside resources and personnel for training on topics requiring specific expertise.
rules education23
Rules Education
  • Establish an interpretive process for questions and answers regarding rules compliance.
  • Make procedures, NCAA rules, forms and checklists available to compliance systems users.
commitment to compliance
Commitment to Compliance
  • Document specific responsibilities for each individual with compliance responsibilities.
  • Designate an individual with authority as having primary responsibility for rules compliance.
  • Establish outside oversight of the athletics department through senior-level institutional administration.
commitment to compliance25
Commitment to Compliance
  • Make clear that violations of rules will result in disciplinary action.
  • Communicate the duty to report any perceived violations of NCAA rules without fear of reprisals or retaliation.
  • Thoroughly and promptly investigate suspected rules violations.
    • If substantiated, report any violations to the conference and NCAA.
institutional control analysis26
Institutional Control Analysis

Continuum of relevant facts:

No system Detailed system

No monitoring Strict monitoring

No education Extensive education

No commitment High commitment

trivia27
Trivia
  • What was the first NCAA national championship event and what year was it held?
answer28
Answer
  • The National Collegiate Track and Field Championships were held in 1921 at Stagg Field in Chicago. University of Illinois won the team title.
establishing a compliance committee
Establishing a Compliance Committee
  • Documents and evaluates compliance policies and procedures.
  • Assists in rules education.
  • Communicates importance of rules compliance to the campus community.
  • Assists in rules-violations investigations.
  • Serves as an advisory group.
  • Provides checks and balances.
compliance committee members
Compliance Committee Members
  • Director of athletics.
  • Senior woman administrator.
  • Compliance coordinator.
  • Faculty athletics representative.
  • Registrar's office.
  • Financial aid office.
  • Academic advisor.
  • Sports medicine.
  • Admissions office.
  • Dean of students office representative.
  • Faculty representative.
  • Student-athlete.
  • Athletics board representative.
  • Coaches.

This list is not intended to be exhaustive.

key elements in a compliance program
Key Elements in a Compliance Program

KNOW THE CODE

  • Communication.
  • Organization.
  • Documentation.
  • Evaluation.
communication
Communication
  • Open lines of communication with various campus entities.
  • Use different styles of communication to reach all campus entities.
  • Keep all campus entities informed.
communication rules education
Communication– Rules Education
  • Know your audience.
  • Written materials.
  • Meetings.
  • Web site content.
communication rules education37
Communication–Rules Education
  • Know your audience.
    • Who are you trying to teach?
  • Student-athletes.
  • Coaches.
  • Athletics administrators.
  • Marketing staff.
  • Development staff.
  • Tickets staff.
  • Academic advisors.
  • Registrar’s office.
  • Financial aid office.
  • Deans.
  • Boosters.
  • Prospects.
communication rules education38
Communication– Rules Education
  • Written materials.
    • Why do you have this document?
      • Make it relevant to the audience.
      • Do not overwhelm the audience with “paper.”
    • Use different types of written materials.
    • Develop and/or continually update a compliance manual.
communication rules education39
Communication– Rules Education
  • Written materials.
  • Compliance manual.
  • Memos.
  • Reminders.
  • Newsletters.
  • Scoreboards.
  • Mailer fill-ins.
  • Brochures.
  • E-mails.
  • Text messages.
communication meetings
Communication– Meetings
  • Develop an annual rules-education calendar.
  • Make the information specific to the group.
  • Vary presentation techniques.
  • Keep the sessions and information simple.
  • Involve the institutional community.
communication web site content
Communication– Web Site Content
  • Be thorough – include as much as possible.
  • Address all audiences.
  • Add things as you can.
  • Be creative.
trivia49
Trivia
  • The Division I College World Series has been held at Rosenblatt Stadium in Omaha, Nebraska since 1950. After this year, where will the event be held?
answer50
Answer
  • The event will move from Rosenblatt Stadium to…
  • TD Ameritrade Park approximately 5 miles away.

http://collegebaseballdigest.com.ismmedia.com/ISM3/std-content/repos/Top/News/Omaha-Ballpark-aerial-night.jpg

http://i.a.cnn.net/si/2007/baseball/more/06/14/rosenblatt.stadium.ap

/p1.rosenblatt.stadium.jpg

organization
Organization
  • Senior-level institutional administrators assume leadership roles in the institution's commitment to compliance initiatives.
  • Institutional staff assume responsibility for rules knowledge and compliance.
  • Clearly define compliance procedures including key individuals, tasks and responsibilities.
organization compliance tasks
Organization–Compliance Tasks
  • Recruiting.
  • Eligibility.
  • Financial aid.
  • Playing and practice seasons.
  • Miscellaneous.
organization compliance tasks53
Organization– Compliance Tasks
  • Recruiting.
    • Communication with prospects.
    • Contact/evaluation logs.
    • Transfer recruitment.
    • Official and unofficial visits.
    • National Letter of Intent program.
organization compliance tasks54
Organization – Compliance Tasks
  • Eligibility.
    • Initial eligibility.
      • Institutional Request List (IRL).
      • NCAA initial-eligibility reports.
      • Amateurism certification.
      • Final certification reports.
      • Waivers.
organization compliance tasks55
Organization– Compliance Tasks
  • Eligibility.
    • Continuing eligibility.
      • Full-time enrollment.
      • Drop/add procedures.
      • Summer school.
      • Progress toward degree.
      • Exceptions and waivers.
organization compliance tasks56
Organization– Compliance Tasks
  • Eligibility.
    • Transfers.
      • Transfer requirements.
      • Transfer exceptions.
      • Waivers.
    • Eligibility reports.
    • Hardship waivers.
    • Outside competition.
organization compliance tasks57
Organization– Compliance Tasks
  • Financial aid.
    • Grants-in-aid.
    • Institutional and outside aid.
    • Noncounter certification.
    • Renewals, reductions and cancellations.
organization compliance tasks58
Organization– Compliance Tasks
  • Playing and practice seasons.
    • Playing and practice season declarations.
    • Contest limitations.
    • Countable athletically related activities logs.
    • Participation records.
    • Membership requirements (NCAA Division I Bylaw 20).
organization compliance tasks59
Organization– Compliance Tasks
  • Miscellaneous.
    • Personnel (Bylaw 11).
    • Amateurism (Bylaw 12).
    • Camps and clinics (Bylaw 13.12).
    • Awards and benefits (Bylaw 16).
    • Required NCAA, conference and institutional forms.
trivia60
Trivia
  • What or Who is the official mascot of the NCAA?

http://www.utexas.edu/athletics/cheer/home/index.php

http://www.huskers.com/PhotoAlbum.dbml?DB_OEM_ID=100&PALBID=357293

http://www.ukathletics.com/trads/mascot.html

j j jumper
J. J. JUMPER

Position: Power Forward

Height: 6'5"                             

Shoe Size: 26

Right Hand: Soft touch for nothin' but net shots.

Left Hand: Always reaching out to help others.

Eyes: Full court vision for spectacular passes.

Feet: Always in position to make the defensive play.

Mind: Full of basketball and classroom smarts.

Heart: Extra-big to motivate others to do their best on and off the court.

Favorites:

Sound: Swish!

Move: Jump shot (With a name like J.J. Jumper, what else would it be?)

documentation
Documentation
  • Written policies and procedures show a commitment to rules compliance.
  • Document everything!
documentation interpretations
Documentation – Interpretations
  • How do coaches/administrators ask questions?
    • Form.
    • Written requests.
    • Verbally.
  • Maintain documentation of all interpretations.
    • Historical perspective – precedent.
    • Protection.
documentation interpretations64
Documentation – Interpretations
  • Documentation should include:
    • Name of individual requesting the information.
    • Date requested and date answered.
    • Issue or question with any relevant facts.
    • Name of individual providing the answer.
    • Answer and source of the answer provided.
    • Anything else you feel is important/relevant.
documentation investigations
Documentation – Investigations
  • Establish defined procedures:
    • Investigating alleged violations.
    • Self-reporting discovered violations.
  • Start with a list of those personnel to be notified.
  • Visit ncaa.org for helpful information.
documentation investigations66
Documentation – Investigations
  • Have policies in writing.
    • On file in the office of all athletics personnel.
    • Ensure careful adherence to the policy.
    • Update as necessary to ensure proper procedures.
    • Use the written policy to keep everyone informed.
  • Investigations must be done in a timely manner.
evaluation
Evaluation
  • Ensure continuing and regular administrative oversight in key compliance areas.
    • Are the systems in place working?
  • Periodic review of the rules compliance program by entities outside the athletics department.
    • This is required once every four years.
    • Institutional authorities.
    • Conference office.
    • Outside consultants.

Bylaw 22.2.1.2-(e)

trivia68
Trivia
  • Where is the College Football Hall of Fame located?
answer69
Answer…
  • Currently, the College Football Hall of Fame is located in South Bend, Indiana.
  • Starting in 2012, the new location of the Hall of Fame will be in Atlanta, Georgia near Olympic Park.
compliance resources
Compliance Resources
  • Compliance Assistant (CA).
  • LSDBi (https://web1.ncaa.org/LSDBi/exec/homepage).
  • NCAA Web site (www.ncaa.org).
  • NCAA Eligibility Center Web site (www.eligibilitycenter.org).
compliance assistant ca
Compliance Assistant (CA)
  • Tool designed to help administrators ensure compliance with NCAA legislation.
  • Generate NCAA-required forms.
  • Program, documentation and technical support.
  • Areas:
    • Financial aid, eligibility, recruiting, athletics personnel and playing and practice seasons.
lsdb i
LSDBi
  • Legislative Services Database for the Internet.
  • Search legislative proposals.
  • Search for NCAA bylaws.
  • Search legislative interpretations in conjunction with bylaws.
  • Locate helpful questions & answers and education columns.
lsdb i74
LSDBi
  • Search for waiver precedent.
    • Initial-eligibility waivers (IEW).
    • Progress-toward-degree waivers (PTD).
    • Legislative relief waivers (SLR).
      • Formerly ARS.
  • Search infractions cases.
  • Search for student-athlete reinstatement cases.
ncaa web site www ncaa org
NCAA Web site (www.ncaa.org)
  • AMA Education on Demand videos.
  • NCAA News (Online).
  • NCAA Publications.
    • NCAA Manuals.
    • Guide for College Bound Student-athletes.
    • Transfer Guide.
    • Guide to International Academic Standards for Athletics Eligibility.
compliance resources76
Compliance Resources
  • Conference office.
  • Conference Web sites.
  • Collegiate Web sites.
  • NCAA academic and membership affairs (AMA).
  • Conference contact program.
  • Mentor/professional contacts.
  • NCAA Regional Rules Seminars.
contacting the ncaa
Contacting the NCAA
  • Phone line dedicated to member institutions.
    • 317/917-6003.
    • Interpretive phone line.
    • Need to be listed as one of the top five within the membership database.
contacting the ncaa78
Contacting the NCAA
  • Hours of operation.
  • Monday, Tuesday, Thursday and Friday:
    • 9 a.m. to 5 p.m. Eastern time.
  • Wednesday:
    • 11 a.m. to 5 p.m. Eastern time.
  • Best times to call:
    • 9 a.m. to Noon Eastern time.
    • 4 p.m. to 5 p.m. Eastern time.
contacting the ncaa79
Contacting the NCAA
  • Best Practices.
    • Prior to calling the interpretation line.
      • Do your research.
      • Have all facts ready.
    • During the call.
      • Take notes.
      • Get the staff member’s name and case number.
conference contact program
Conference Contact Program
  • General Purpose.
    • Assist with rules interpretations.
    • Compliance assistance/rules presentations at conference meetings.
    • NCAA national office visits.
conference contact program81
Conference Contact Program
  • AMA staff serve as resources for conference office.
  • Process.
    • Institution contacts conference office with question.
    • Conference office researches question.
    • If needed, conference office contacts AMA staff.
  • Do’s and Don’ts.
    • Follow conference office policy.
    • Generally, institutions should not call/e-mail the AMA conference contact directly.
conference meetings
Conference Meetings
  • AMA staff contact is available as a resource.
    • Rules presentations.
    • New legislation review.
    • Round table/interpretation sessions.
  • Use of technology.
    • Videoconferences.
    • Teleconferences.
review
Review
  • General information.
  • Governance structure.
  • Institutional control.
  • Compliance committee.
  • Key elements of a compliance program.
  • Resources.