Download
welcome to the world of compliance n.
Skip this Video
Loading SlideShow in 5 Seconds..
Welcome to the World of Compliance PowerPoint Presentation
Download Presentation
Welcome to the World of Compliance

Welcome to the World of Compliance

213 Vues Download Presentation
Télécharger la présentation

Welcome to the World of Compliance

- - - - - - - - - - - - - - - - - - - - - - - - - - - E N D - - - - - - - - - - - - - - - - - - - - - - - - - - -
Presentation Transcript

  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

  13. DIVISION I GOVERNANCE STRUCTURE

  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