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Welcome to the World of Compliance

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Welcome to the World of Compliance

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  1. Welcome to the World of Compliance Ryan Hall and Brandy Hataway

  2. Overview • General information. • Governance structure. • Institutional control. • Compliance committee. • Key elements of a compliance program. • Resources.

  3. Trivia • Which institution and team has won the most consecutive NCAA championships in a row?

  4. 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/

  5. General Information

  6. The NCAA is: • A voluntary Association of about 1,300 colleges, universities and athletics conferences devoted to the sound administration of intercollegiate athletics.

  7. 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.

  8. The NCAA is: • Divided into three main divisions (Divisions I, II and III). • Each NCAA division has a separate governing structure.

  9. 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.

  10. 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.

  11. Governance Structure

  12. 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


  14. Institutional Control

  15. 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.

  16. Institutional Control Analysis • Analysis attempts to: • Measure commitment to rules compliance. • Explain why violation(s) occurred. • Evaluate the atmosphere of compliance.

  17. 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.

  18. Institutional Control Analysis • Four pillars of institutional control. • Compliance systems. • Monitoring/enforcement. • Rules education. • Commitment to compliance.

  19. 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.

  20. 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.

  21. 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.

  22. 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.

  23. 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.

  24. 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.

  25. 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.

  26. Institutional Control Analysis Continuum of relevant facts: No system Detailed system No monitoring Strict monitoring No education Extensive education No commitment High commitment

  27. Trivia • What was the first NCAA national championship event and what year was it held?

  28. Answer • The National Collegiate Track and Field Championships were held in 1921 at Stagg Field in Chicago. University of Illinois won the team title.

  29. Compliance Committee

  30. 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.

  31. 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.

  32. Defining My Role

  33. Key Elements in a Compliance Program

  34. Key Elements in a Compliance Program KNOW THE CODE • Communication. • Organization. • Documentation. • Evaluation.

  35. Communication • Open lines of communication with various campus entities. • Use different styles of communication to reach all campus entities. • Keep all campus entities informed.

  36. Communication– Rules Education • Know your audience. • Written materials. • Meetings. • Web site content.

  37. 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.

  38. 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.

  39. Communication– Rules Education • Written materials. • Compliance manual. • Memos. • Reminders. • Newsletters. • Scoreboards. • Mailer fill-ins. • Brochures. • E-mails. • Text messages.

  40. 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.

  41. Communication– Web Site Content • Be thorough – include as much as possible. • Address all audiences. • Add things as you can. • Be creative.

  42. 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?

  43. 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