The National Collegiate Athletic Association

Whistleblower Policy

I. Introduction.

As representatives of the National Collegiate Athletic Association (NCAA), staff members and Association committee members shall conduct business in a lawful, ethical and professional manner. This policy identifies procedures to be followed when those practices are not followed.

II. Related NCAA Staff Policies.

Section I of the NCAA Employee Handbook contains the following polices related to the proper and improper actions of the national office staff.

a. Harassment.

b. Conflict of interest.

c. Sports gambling.

d. Addressing staff member questions, concerns or complaints.

e. Computer usage policy.

III. Purpose.

The national office staff and the committee members representing the Association, as stewards of Association funds, shall:

a. Investigate allegations of suspected improper use of Association resources.

b. Establish basic principles to conduct business to avoid even the appearance of improper behavior.

c. Promote open, honest and accountable management of Association resources.

d. Maintain the highest standards of personal and institutional integrity while maintaining the reputation of the Association.

IV. Definitions.

The following definitions shall apply:

a. Improper Association activities. Any activity by representatives of the NCAA or its staff that is:

1. In violation of any state or federal law or regulation, including, but not limited to, corruption, malfeasance, bribery, theft of Association property, fraudulent claims, fraud, coercion, conversion, malicious prosecution, misuse of Association property or willful omission to perform duty, or

2. Economically wasteful, or involves gross misconduct, incompetence, or inefficiency.

b. Protected disclosure. A good-faith communication that may evidence an improper Association activity or a health or safety concern where the disclosure is made for the purpose of remedying that condition. A ?protected disclosure? is an official ?whistleblower complaint? and provides protection from later retaliation.

c. Illegal Order. Any directive to violate or assist in violating a law, rule, or regulation or any order to work in conditions that would unreasonably threaten the health or safety of staff or the public. An example of ?illegal order? might be a manager directing an employee to process inappropriate and illegal payments.

d. Whistleblower. A person or entity making a protected disclosure is commonly referred to as a whistleblower. Whistleblowers may be national office staff members, committee members, vendors, contractors or any person representing the Association?s interests.

The whistleblower?s role is as a reporting party. They are not investigators or finders of fact, nor do they determine the appropriate corrective or remedial action.

Whistleblowers may file complaints anonymously.

e. Whistleblower Coordinator. Responsible for receiving complaints and ensuring appropriate referral to members of the Investigations Group (IG).

V. Reporting Responsibilities and Authority.

a. Whistleblower. While ?protected disclosures? can be made to any supervisor, manager or other person in authority, the NCAA encourages all such issues to be referred to the Association?s Whistleblower Coordinator.

1. Managers and other responsible authorities are expected to report any such allegations to the Whistleblower Coordinator.

2. Complaints and allegations against the Whistleblower Coordinator shall be reported to the NCAA president.

3. Allegations against the NCAA president shall be reported to the chair of the Executive Committee.

b. Investigations Group (IG). The investigations group is responsible for:

1. Informing appropriate NCAA officials of allegations.

2. Ensuring proper reporting occurs as required by law and policy.

3. Ensuring proper resources are brought to bear to cause timely and thorough review of allegations.

4. Ensuring proper investigative channels are used.

5. Ensuring there are no conflicts of interest in specific investigations.

6. Facilitating and coordinating communications across investigative channels.

7. Monitoring progress of investigations.

8. Providing and coordinating advice on corrective or remedial actions.

c. Managers. National office managers are expected to:

1. Report allegations whether reported as a protected disclosure by their subordinates or discovered in the course of performing their duties.

2. Document oral reports by a written transcription. Internal communications regarding allegations of improper Association activities normally should be in writing.

3. Consult with the Whistleblower coordinator to make a determination, if the manager is not certain that an issue is appropriate for referral or reporting.

4. Ensure that subordinate supervisors are aware of and comply with this policy.

d. Finance Committee. The Whistleblower Coordinator will make an annual report to the Finance Committee on any whistleblower activity that:

1. Represents a significant internal control or policy deficiency that is likely to exist at other units or across the Association.

2. May receive media or other public attention.

3. Involves the misuse of Association resources or creates exposure to a liability of at least $25,000.

4. Involves a significant threat to the health and safety of employees or the public.

5. Is significant or sensitive for other reasons.

6. Alleges an improper activity by the president, the Whistleblower Coordinator or other senior executives.

VI. Whistleblower Coordinator.

The Whistleblower Coordinator shall be the Senior Vice-President for Administration and CFO. The Whistleblower Coordinator will:

a. Determine if the complaint warrants further investigation internally or externally.

b. Assign the case to the appropriate investigative unit(s), based on the individual circumstance of each complaint. The individual responsible for those units are:

1. Managing Director of Human Resources. Investigations of personnel matters or misconduct.

2. Managing Director of Finance and Operations. Investigations of allegations of Association resources, fraud or other financial irregularities

3. Associate General Counsel. Investigations of allegations that may have legal ramifications for the Association or staff or committee member.

c. Communicate allegations to the president, unless the allegation?s are against the president.

d. Any appeals resulting from the decision making of the Whistleblower Coordinator shall be handled by the NCAA Audit Committee.

VII. Rights and Responsibilities of Individuals.

A whistleblower?s right to protection from retaliation does not extend immunity for any complicity in the matters that are the subject of the allegations or ensuing investigation.

a. Whistleblowers, generally, will be informed of the outcome of their complaint.

1. Whistleblowers must provide complete and accurate information and have a reasonable belief that improper activity has occurred.

2. Intentional filing of a false report is, in itself, an improper Association activity upon which the Association has the right to act.

3. Whistleblowers shall not obtain evidence for which they do not have a right of access.

4. Whistleblowers should be prepared to be interviewed by internal or external investigators.

b. Investigators Rights and Responsibilities.

1. Whistleblower investigations should be conducted after preliminary consideration shows that the allegation, if true, constitutes an improper activity or use of Association resources.

2. Is accompanied by information specific enough to be investigated or includes or directly points to corroborating evidence that can be pursued.

3. Investigators will derive their authority and access rights from Association policy when acting within the course and scope of their responsibilities.

4. Investigators will have competency in the area under investigation.

5. Investigators have a duty of fairness, objectivity thoroughness, ethical behavior and observance of legal and professional standards.

c. Subjects of Investigations Rights and Responsibilities.

1. Identification of subjects will be confidential to the extent possible given the legitimate needs of law and the investigation.

2. Subjects will be informed of a formal investigation and have opportunities for input during the investigation.

3. Subjects have a duty to cooperate that shall not infringe upon self incrimination protections in criminal cases.

4. Subjects have a right to consult with a person of their choice, including having legal representation.

5. During investigations a staff member may be placed on an administrative leave or investigatory leave when it is determined that such a leave would serve the best interests of the staff member, the Association or both.

6. Such a leave is not to be interpreted as an accusation or conclusion of guilt or innocence of any individual including the person on leave.

d. Investigation Participants Rights and Responsibilities.

1. Association staff members who are interviewed, asked to provide information or otherwise participate in an investigation have a duty to fully cooperate with the Association?s authorized investigators.

2. Participants should refrain from discussing investigations or testimony with those not connected to the investigation.

3. Confidentiality requests by participants will be honored to extent possible within the legitimate needs of law and the investigation.

4. Participants are entitled to protection from retaliation for having participated in an investigation.

VIII. Recommended Steps.

All NCAA staff members and committee members must work together to ensure that the business of the NCAA is conducted with the highest professional and ethical standards. In situations where there is uncertainty:

a. Make sure the Whistleblower has all the facts.

b. Ask yourself: What specifically am I being asked to do? Does it seem unethical or improper? This will enable the Whistleblower to focus on the specific question and provide responses. Use your judgment and common sense.

c. Clarify your responsibility and role. In most situations, there is shared responsibility. Are your colleagues informed? It may help to get others involved and discuss the problem.

d. Discuss the problem with your supervisor, the Whistleblower Coordinator, human resources representative, or any member of management or the legal staff. This is the basic guidance for all situations. In many cases, these individuals will be more knowledgeable about the issues and will appreciate being brought into the decision-making process. It is our joint responsibility to help solve problems.

e. Seek help from Association resources. In the rare case where it may not be appropriate to discuss an issue with your supervisor, talk with the Whistleblower Coordinator, human resources representative, any member of management, or the legal staff.

f. You may report ethical violations in confidence and without fear of retaliation. If your situation requires that your identity is kept secret, your anonymity will be protected to the extent possible. The NCAA does not permit retaliation of any kind against employees for good-faith reports of ethical violations.

g. Ask first, act later: If you are unsure of what to do in any situation, always seek guidance before you act.

IX. Retaliation Protection.

Individuals who make protected disclosures shall not be retaliated against in any manner and are protected from such acts. An NCAA staff member may not:

a. Retaliate against another staff member or applicant for employment who has made a protected disclosure or who has refused to obey an illegal order.

b. Directly or indirectly use or attempt to use the official authority of influence of his or her position or office for the purpose of interfering with the right of applicant or staff member to make a protected disclosure.

The National Collegiate Athletic Association

May 18, 2004 JLI:gmn