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.
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.
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.
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.”
• 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.
Association-wide
Committees
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
Division II
Presidents Council
Division III
Presidents Council
(presidents and chancellors)
(president and chancellors)
(presidents and chancellors)
Division II
Management Council
Division III
Management Council
(athletics administrators
faculty athletics representatives)
(presidents and chancellors,
athletics administrators, faculty athletics
representatives and student-athletes)
Division I
Management Council
(athletics administrators
faculty athletics representatives)
Division I
Committees and Cabinets
Division II
Committees
Sport and Rules Committees
Division III
Committees
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
Communication.
Organization.
Documentation.
Evaluation.
Communication
Demonstrate the institution’s commitment to rules
compliance through oral and written communications
with various campus entities.
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
Compliance is a central element in the athletics
department and involves the campus community
through the documentation of policies and
procedures.
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 Program
Communication.
Organization.
Documentation.
Evaluation.
Compliance
Responsibilities
Defining my role.
Compliance committee.
Compliance resources.
Defining My Role
FAR
Registrar
Admissions
Financial
Athletics
Dept.
Compliance
Aid
Office
Academic
Coaches
Support
Student
Internal
Affairs
Auditor
Defining My Role
 Reporting lines.
 Job descriptions.
 Performance evaluations.
 Rules education.
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.
 Admissions office
representative.
 Compliance coordinator.
 Dean of students office
representative.
 Faculty athletics
representative.
 Faculty representative.
 Registrar’s office
representative.
 Financial aid office
representative.
 Student-athlete
representative.
 Athletics board representative.
 Coaches.
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
 Institutional control.
 Key elements in a compliance program.
 Compliance responsibilities.
Questions