Risk Management in Intercollegiate Athletics 2006 ACUA Mid-Year Conference

1. Risk Management in Intercollegiate Athletics 2006 ACUA Mid-Year Conference By: Pete Carlon Director of Athletics UT Arlington Kimberly Hagara Assistant Director UT System Audit Office

2. What is at Stake if Compliance Systems Fail?

3. Historical Perspective and University of Texas System Directive 1998 Action Plan to Ensure Institutional Compliance

4. Compliance Initiative atThe University of Texas at Arlington • Institutional Compliance Organizational Structure and Plan • Compliance Office – Executive Director for Assurance Services • Institutional Compliance Committee • Quarterly Meetings • Reporting • Ongoing risk assessment by responsible parties • Institutional Compliance Subcommittees

5. UTA Institutional Compliance CommitteeMission Statement The University of Texas at Arlington is committed to compliance in all areas of its operation, including undergraduate, graduate, and professional education, research activities and operations, and in the areas of financial, business, academic administration, student services, campus security, environmental health and safety, intercollegiate athletics, and other areas of The University. The University will manage all of its affairs in a manner that will continually reflect a strong commitment to conducting the business of The University in an ethical, law-abiding way. This institutional commitment to compliance involves communication, education and training in the area(s) of ethical business guidelines for all employees of The University, including faculty, classified staff, professional and administrative employees, and others who may be employed by The University on either a part-time or a full-time basis. The communication of guidelines, education and training programs will cover federal and state laws, institutional rules and regulations, policies and procedures covering The University’s teaching, research, public service, business, and administrative initiatives, and which will promote an operating environment designed to encourage all UTA employees to engage in all institutional activities and business integrity.

6. Initial Institutional Compliance Subcommittees • Research • Academic Affairs • Environmental Health and Safety • Human Resources • Taxes and Tax Issues • Financial Accounting, Contracting and Purchasing, HUB and Associated Reporting • Student Affairs • Intercollegiate Athletics • Campus Security, Crime Control and Reporting Year Y2K • Development and Fund Raising

7. Organizing the Intercollegiate AthleticsCompliance Committee

8. Composition of Initial Intercollegiate Athletics Compliance Committee • Chair, Director of Athletics • Faculty Athletics Representative • Assistant Dean, College of Education and Chair, Department of Kinesiology • Admissions – Transcript Evaluator – Liaison to Athletics • Associate Athletics Director for Finance and Administration • Registrar • Senior Associate Athletics Director/Compliance Coordinator • Academics and Life Skills Coordinator for Athletics • Assistant Vice President for Management Services • Director of Student Governance and Organization • Assistant Director, Student Health Services • Financial Aid – Coordinator of Scholarships

9. Reorganizing – Combining the Intercollegiate Athletics Compliance Committee and the Athletics Council Changes in the Handbook of Operating Procedures

10. NCAA Constitution 6.1.2 – Athletics Board

11. Intercollegiate Athletics Compliance Committee/Athletics Council Present Committee Composition and Membership • Co-Chair – Faculty Athletics Representative – College of Liberal Arts • Co-Chair – Director of Athletics • Faculty – College of Business Administration • Assistant Director, Student Health Services • Admissions Counselor – International Students • Student-Athlete – Chair, Student-Athlete Advisory Committee • Admissions – Transcript Evaluator – Liaison to Athletics • Student – Student Congress President • Athletics Academics and Life Skills Coordinator • Faculty – School of Education • Registrar • Student-Athlete – Southland Conference Student-Athlete Advisory Committee • Faculty – College of Science • Associate Athletics Director for Finance and Administration • Associate Provost • University Financial Reports Manager – Business and Accounting Services • Faculty – School of Nursing • Assistant Vice President for Management Services • Sr. Associate Athletic Director/Compliance Coordinator • Athletics - Senior Woman Administrator • Director of Scholarships • Faculty – School of Urban and Public Affairs • Faculty – College of Liberal Arts

12. Performing the Annual High Risk Assessment (Fall Semester Each Year)

13. Risk Assessment Methodology Steps 1 – 9 will be performed by the members of each subcommittee: • Identify and document the goals and objectives of the subcommittee’s designated high-risk area within the context of UT Arlington’s Mission Statement. To assistant in identifying goals and objectives, please consider the following questions: • What is the nature of the “business” that you (we) are in? • Who are your (our) “customers?” • What do those “customers” want and need? • What does that say about what you (we) are trying to accomplish? • How will you (we) know if you (we) have been successful?

14. Risk Assessment Methodology (con’t) • Identify and document risks associated with the accomplishment of the goals and objectives identified in #1, above. To assist in identifying these risks, consider the following questions: • What are some things that could go wrong? • What are some things that must go right? • What is the significance of any potential risks? • What is the likelihood of an occurrence of such an event? NOTE: Risks associated with accomplishment of goals and objectives are subject to continual revision due to changing federal and state laws, management philosophy, personnel, etc.

15. Risk Assessment Methodology (con’t) • Review the most current list of risks (“A” and “B” lists) to determine if the risks identified in #2, above, are included on that list. • Once the inventory of risks has been determined and documented, even if it is identical to the previous year’s inventory of risks, carefully assess the probability of occurrence of each risk. • Assess the potential impact for each risk and ascertain whether there has been a previous occurrence of that risk. • Each factor (probably of occurrence and potential impact) for each of the identified risks will then be rated on a scale of 1 to 10; a “10” indicates the highest level of concern; a “1” indicates lowest of concerns. (Note newer methodology is using a high, medium, or low rather than numerical ranking)

16. Risk Assessment Methodology (con’t) • Prioritize the identified risks from the highest to the lowest based on the multiplied totals determined in #6, above. • Based on the prioritization resulting from #7, above, separate the prioritized risks into two separate lists – “A” and “B”. The “A” list will reflect those items of highest risk. (Each subcommittee will be asked to determine the “break point” between the “A” and “B” lists.) • The goals and objectives, and the revised “A” and “B” lists will be submitted to the Office of Institutional Compliance. • The Office of Institutional Compliance will combine the information received from each subcommittee into a University-wide “A” and “B” list.

17. Risk Assessment Methodology (con’t) • The Executive Vice President for Academic Affairs and Provost, the Vice President for Finance, the Vice President for Administration and Campus Operations and the Executive Director for Assurance Services will meet to discuss the University-wide “A” and “B” lists. • The University-wide “A” and “B” list will be presented to the members of the Institutional Compliance Executive Committee. • The Institutional Compliance Executive Committee (the Committee) will meet to validate the University-wide “A” and “B” lists. • Based on this information, and after consultation with the Institutional Compliance Officer, the annual risk-based plan of compliance activities will be completed and submitted to UT System.

18. Field of Potential High Risk Items • Student-Athlete Health Care Policies and Procedures • Intercollegiate Athletics Travel Policies and Procedures • NCAA Compliance and Rules Education • Student Financial Aid and Academic Regulations and Procedures • Southland Conference Operating Code • Athletic Department Certification and Annual Audit • Employment Contracts and Conduct of Employees • Department P & P Manual • Crisis Management • Student-Athlete Recruiting Regulations • Student-Athlete Eligibility • Student-Athlete Financial Aid

19. Field of Potential High Risk Items (con’t) • Student-Athlete Extra Benefits • Gender Equity • Student-Athlete Welfare • Institutional Control • Rules Education • Infractions – Reporting-Corrective Actions • Summer Camps Policies and Procedures • Facilities Safety • Inclement Weather • Travel Advances/Reimbursement Procedures • Drug Testing and Education Program • Employment Contracts per UT System’s Policies and Procedures

20. Intercollegiate AthleticsRisk Assessment and Implementation Plan FY 1998-99 (Handout)

21. Intercollegiate AthleticsRisk Assessment for FY 2003(Handout)

22. Developing Monitoring Plans for Each Identified High Risk Area (Handouts)

23. Monitoring Plan TimetableUniversity of Texas at Austin(Handout)

24. Specialized Training Matrix(Handout)

25. Specialized Training Report(Handouts of Examples)

26. NCAA Division IAthletics Certification Program

27. Three Major Components of the NCAA Division I Athletics Certification Self-Study Instrument • Governance and Commitment to Rules Compliance • Academic Integrity • Equity and Student Athlete Welfare

28. Subcommittees • Executive Committee • Governance and Commitment to Rules Compliance • Academic Integrity • Equity and Student-Athlete Welfare

29. Organization and Composition ofExecutive Subcommittee Co-Chair, Director of Athletics Co-Chair, Faculty Athletics Representative – College of Liberal Arts Assistant Director, Student Health Services Admissions, Transcript Evaluator – Liaison to Athletics Faculty Member – School of Education Faculty Member – College of Science Faculty Member – College of Business Administration Registrar Assistant Athletic Director for Finance and Administration Associate Provost Assistant Vice President for Management Services Sr. Associate Athletic Director/Compliance Coordinator Athletics Senior Woman Administrator Director of Scholarships Executive Director for Assurance Services (Ex-Officio)

30. Organization and Composition ofGovernance and Commitment to Rules Compliance Subcommittee Faculty Member – College of Business Administration Faculty Member – School of Education Admissions – Transcript Evaluator – Liaison to Athletics Registrar Sr. Associate Athletic Director/Compliance Coordinator Director of Scholarships

31. Organization and Composition of Academic Integrity Subcommittee Student-Athlete – Chair, Student-Athlete Advisory Committee Faculty Member – School of Education Faculty Member – College of Science Faculty Member – School of Nursing Faculty Athletics Representative Associate Provost Sr. Associate Athletic Director/Compliance Coordinator

32. Organization and Composition of Equity and Student-Athlete Welfare Subcommittee Director of Athletics Athletics Senior Woman Administrator Athletics Academics and CHAMPS/Life Skills Coordinator Admissions Counselor – International Students Student – Student Congress President Student-Athlete – Southland Conference Student-Athlete Advisory Committee Assistant Director, Student Health Services Assistant Vice President for Management Services Associate Athletics Director for Finance and Administration

33. Duties and Responsibilities of Executive Subcommittee • Act on department compliance matters between meetings as necessary • Act on sensitive matters which may not be appropriate for the full committee

34. Duties of Governance and Commitment to Rules Compliance Subcommittee • Monitor certification of athletes, • Monitor coaches recruiting records, • Review playing and practice records, • Review rules education of coaches, athletes and boosters, • Receive reports of rules violations and approve plans for preventing future violations, • Review Operating Principles.

35. Review Operating PrinciplesOperating Principle 1.1 Institutional Control, Presidential Authority and Shared Responsibilities. The Association’s principle of institutional control vests in the institution the responsibility for the conduct of its athletics program, including the actions of its staff members and representatives of its athletics interests. In fulfilling this principle, the institution shall demonstrate that:

36. Review Operating PrinciplesOperating Principle 1.1 • The institution’s governing board provides oversight and broad policy formulation for intercollegiate athletics in a manner consistent with other units of the institution • The chief executive officer is assigned ultimate responsibility and authority for the operation and personnel of the athletics program • Appropriate campus constituencies have the opportunity, under the purview of the chief executive officer, to provide input into the formulation of policies relating to the conduct of the athletics program and to review periodically the implementation of such policies

37. Review Operating PrinciplesOperating Principle 1.2 Rules Compliance. Membership in the Association places the responsibility on each institution to assure that its staff, student-athletes, and other individuals and groups representing the institution’s athletics interests comply with the applicable Association rules and regulations. Consistent with this responsibility, the institution shall demonstrate that:

38. Review Operating PrinciplesOperating Principle 1.2 • It has in place a set of written policies and procedures that assign specific responsibilities in the areas of rules compliance, including assignment of direct accountability for rules compliance to the individual the chief executive officer assigns overall responsibility for the athletics program • In critical and sensitive areas, institutional compliance procedures provide for the regular participation of persons outside of the athletics department • Rules compliance is the subject of an ongoing educational effort • A clear and unambiguous commitment to rules compliance is a central element in all personnel matters for individuals involved in the intercollegiate athletics program • At least once every four years, its rules-compliance program is the subject of evaluation by an authority outside of the athletics department

39. Duties of Academic Integrity Subcommittee • Monitor student absences due to team scheduling, • Monitor sports scheduling, • Recommend institutional and departmental policies regarding university excused absences, • Monitor athletics graduation rates by sport, • Monitor admission of student-athletes, • Monitor grade point averages by sport, • Monitor academic support services, • Review operating principles.

40. Review Operating Principles Operating Principle 2.1 Academic Standards. The Association’s fundamental principles indicate that an intercollegiate athletics program shall be designed and maintained as a vital component of the institution’s educational system, and student-athletes shall be considered an integral part of the student body. Consistent with this philosophy, the institution shall demonstrate that:

41. Review Operating PrinciplesOperating Principle 2.1 • The institution admits only student-athletes who have reasonable expectations of obtaining academic degrees • If the academic profile of entering student-athletes, as a whole or for any student-athlete subgroup, is significantly lower than that of other student-athlete or comparable student-body groups, the contrast shall be analyzed and explained by appropriate institutional authorities • If the graduation rate of student-athletes, as a whole or for any student-athlete subgroup, is significantly lower than that of other student-athlete or comparable student-body groups, this disparity shall be analyzed, explained and addressed (through specific plans for improvement) by appropriate institutional authorities • Academic standards and policies applicable to student-athletes are consistent with those adopted by the institution for the student body in general or the NCAA’s standards, whichever are higher • The responsibility for admission, certification of academic standing and evaluation of academic performance of student-athletes is vested in the same agencies that have authority in these matters for students generally and • Written policies related to scheduling are established in all sports to minimize student-athletes’ conflicts with class time and / or final examination periods due to participation in intercollegiate athletics, consistent with provisions of Constitution 3.2.4.13.

42. Review Operating PrinciplesOperating Principle 2.2 Operating principle 2.2: Academic Support. Members of the Association have the responsibility to conduct intercollegiate athletics programs in a manner designed to protect and enhance the educational welfare of student-athletes and to assure proper emphasis on educational objectives. Consistent with this responsibility, the institution shall demonstrate that:

43. Review Operating PrinciplesOperating Principle 2.2 • Adequate academic support services are available for student-athletes • Student-athletes are encouraged and assisted in reaching attainable academic goals of their own choosing • When it is determined that individual student-athletes have specific academic needs, these needs are addressed • The support services are approved and reviewed periodically by academic authorities outside the department of intercollegiate athletics • There is a commitment to the fair treatment of student-athletes, particularly in their academic role as students.

44. Duties of Equity and Student-Athlete Welfare Subcommittee • Conduct exit interviews • Monitor ratio of minorities in each sport • Review Student-Athlete Advisory Committee meeting minutes and concerns and respond as appropriate • Analyze gender and ethnic makeup of staff • Monitor sportsmanship and ethical conduct of students and staff during athletic competition • Review operating principles

45. Review Operating PrinciplesOperating Principle 3.1 Gender Issues. Consistent with NCAA Constitution 2.3, it is the responsibility of each institution to implement the Association’s principle of gender equity. In accordance with this fundamental principle, the institution shall:

46. Review Operating PrinciplesOperating Principle 3.1 • Have implemented its approved gender-equity plan from the previous self-study. If modified or not carried out fully, the institution shall provide an explanation from appropriate institutional authorities • Demonstrate that it is committed to, and has progressed toward, fair and equitable treatment of both male and female student-athletes and athletics department personnel 3) Formally adopt a written plan for the future for the intercollegiate athletics program that ensures the institution maintains a program, or continues progress toward a program, which is equitable for both genders. The plan shall include measurable goals the institution intends to achieve, steps the institution will take to achieve those goals, persons responsible and timetables

47. Review Operating Principle Operating Principle 3.2 Minority Issues. It is a principle of the Association to promote respect for and sensitivity to the dignity of every person and to refrain from discrimination prohibited by federal and state law. Consistent with this fundamental philosophy, the institution shall:

48. Review Operating PrinciplesOperating Principle 3.2 • Have implemented its approved minority-opportunities plan from the previous self-study. If modified or if not carried out fully, the institution shall provide an explanation from appropriate institutional authorities • Demonstrate that it is committed to, and has progressed toward, fair and equitable treatment of all minority student-athletes and athletics department personnel • Formally adopt a written plan for the future for the intercollegiate athletics program that ensures the institution maintains a program, or continues progress toward a program, which expands opportunities and support for minority student-athletes and athletics personnel. The plan shall include measurable goals the institution intends to achieve, steps the institution will take to achieve those goals, persons responsible and timetables

49. Review Operating PrinciplesOperating Principle 3.3 Student-Athlete Welfare. Conducting the intercollegiate program in a manner designed to protect and enhance the physical and educational welfare of student-athletes is a basic principle of the Association. Consistent with this fundamental principle, the institution shall:

50. Review Operating PrinciplesOperating Principle 3.3 • Provide evidence that the welfare of student-athletes and the fairness of their treatment is monitored, evaluated and addressed on a continuing basis • Have established grievance or appeal procedures available to student-athletes in appropriate areas • Provide evidence that the institution has in place programs that protect the health of and provide a safe environment for each of its student-athletes