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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.

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Compliance and its Cast of Characters ~

Introductory Compliance Concepts for those with Auxiliary Roles

Kimberli E. Bowman

NCAA Membership Services

slide2

Session Topics

NCAA overview.

Institutional control.

Key elements in a compliance program.

Compliance responsibilities.

slide3

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.

slide4

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.
slide5

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

slide6

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.
slide7

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

Association-wide

Committees

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

Committees

Division III

Committees

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.
communication
Communication

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

organization
Organization

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.

documentation
Documentation

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

evaluation
Evaluation

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 compliance program1
Key Elements In A Compliance Program
  • Communication.
  • Organization.
  • Documentation.
  • Evaluation.
compliance responsibilities defining my role compliance committee compliance resources
Compliance

Responsibilities

Defining my role.

Compliance committee.

Compliance resources.

defining my role
Defining My Role
  • Reporting lines.
  • Job descriptions.
  • Performance evaluations.
  • Rules education.
compliance committee
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.

Coaches.

Example of a Compliance Committee
compliance resources
Compliance 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 concepts review
Compliance ConceptsReview
  • Institutional control.
  • Key elements in a compliance program.
  • Compliance responsibilities.