In this episode, Justin Sievert, partner at Sievert Werly, LLC talks through the purpose and importance of conducting compliance self-audits.
Purpose of an Audit (1:10)
- Demonstrate if functioning well
- Identify deficiencies
- Reiterate commitment / proactive
- Beyond just compliance.. Engage campus constituents
Issues to Consider when designing your audit (2:20)
- Where have there been issues before?
- Vulnerability in monitoring
- Recent enforcement trends
- More visible sports or student-athletes … extra monitoring etc.
- Review previous audits
- Resource allocation to provide functioning compliance operation
- Reinforce what is doin well
Conducting the Audit (5:15)
- Not always a full audit… component audit (ex: financial aid)
- Gather appropriate information
- Interview coaches and staff / outside department people
- Collect documents related to compliance monitoring
- Research NCAA current best practices / trends
- Topics
- Organizational structure
- Systems and policies and procedures
- Forms, checklists
- Education programs
- NCAA By laws 10-17
- Monitoring trends in NCAA / rules changes
- How often? 1 in 4 years / stagger component audits more frequently
External Audits – Why both internal and external? (11:30)
- After major infractions case
- More common at Division I
- A different perspective .. experiences and ideas
- Shows concern and commitment
DISCLAIMER: All information and material on this podcast is believed to be accurate. Nonetheless, it should not be considered legal advice on any particular topic. All fact patterns are potentially different and you should not act on information contained in this podcast without seeking advice from a legal professional specific to your particular situation. All material contained on this podcast is copyrighted by or licensed to Sievert Werly LLC and ATHLEDIFY/Perspective on Athletics. Listening to this podcast does not create an attorney-client relationship between you and Sievert Werly. If you are interested in such a relationship please call us at (615) 601-0918.
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