Risk Management in Intercollegiate Athletics 2007 Effective Compliance Systems in Higher Education Conference

1. Risk Management in Intercollegiate Athletics 2007 Effective Compliance Systems in Higher Education Conference By: Pete Carlon Director of Athletics UT Arlington

2. The University of Texas at Arlington • NCAA Division I-AAA • 14 Sponsored Sports: Men’s Basketball, Women’s Basketball, Baseball, Men’s and Women’s Cross Country, Men’s Golf, Women’s Softball, Men’s and Women’s Tennis and Men’s and Women’s Indoor and Outdoor Track and Field, Women’s Volleyball

3. What is at Stake if Compliance Systems Fail?

4. Organizing the Intercollegiate AthleticsCompliance Committeenow considered the Athletics Council

5. NCAA Constitution 6.1.2 – Athletics Board

6. Intercollegiate Athletics Compliance Committee/Athletics Council Present Committee Composition and Membership • Chair – Faculty Athletics Representative – College of Education, Associate Dean • Associate 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 • Senior Woman Administrator – Assistant Athletics Director for Academics and Student Services • Faculty – College of Liberal Arts – Department of Communication • Registrar • Student-Athlete – Southland Conference Student-Athlete Advisory Committee • Faculty – College of Science – Department of Psychology • Associate Athletics Director for Finance and Administration • Senior Vice 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 • Director of Scholarships • Faculty – School of Urban and Public Affairs, Associate Dean • Faculty – College of Liberal Arts – Department of History

7. New Athletics Council Composition • At least five faculty members, each selected from a different college or school. • Three students to include the Student Congress President (or designee), the chair of the Student-Athlete Advisory Committee and the representative to the Southland Conference Student-Athlete Advisory Committee • Representative from the Office of the Registrar • Representative from the Office of Financial Aid • Representative from the Office of Admissions

8. New Athletics Council Composition continued • Representative from the Office of Finance and Administration • Representative from the Office of Business and Accounting Services • Representative from the Division of Student Affairs • Representative of the Alumni of the Institution who is not employed by the University • Five other University faculty or staff members appointed by the President

9. Athletics Council Composition • All Athletics Council members shall be appointed on an annual basis by the President • The term of each member’s appointment will be for one year (September 1 to August 31) • Each member may serve an unlimited number of terms at the discretion of the President. • Eight voting members must be present to conduct business • The Director of Athletics, the Senior Associate Athletics Director / Compliance Coordinator, the Associate Athletics Director for Finance and Administration and the Assistant Athletics Director for Academics and Student Services shall serve as ex-officio members as resource personnel • The Faculty Athletics Director shall serve as the chair of the Athletics Council and the Director of Athletics shall serve as the associate chair

10. Responsibilities of the Athletics Council • To advise the University administration regarding the long-term and short-term objectives of the University’s intercollegiate athletics programs and policies. • To provide the University with representation with the various and appropriate state, regional, and national intercollegiate athletics organizations, conferences and associations. • TO PROVIDE MONITORING OVERSIGHT FOR COMPLIANCE RELATED ACTIVITIES OF THE DEPARTMENT AND THE INTERCOLLEGIATE ATHLETICS PROGRAM

11. Responsibilities of the Athletics Council continued • To provide advice and counsel on matters related to academic standards for student-athletes, awarding of athletics scholarships and eligibility of student-athletes. • To make recommendations to the President regarding: * issues, concerns and policies related to the academic progress of student-athletes * athletics department operating policies and procedures * institutional policies and procedures that affect intercollegiate athletics * guidelines and philosophy in the scheduling of athletics contests or events and the administration of home athletics events When requested, to provide counsel to the Faculty Athletics Representative and the Director of Athletics The Athletics Council reports directly to the President of the University and reports compliance related information through the Institutional Compliance Officer.

12. 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

13. 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

14. Developing Monitoring Plans for Each Identified High Risk Area

15. Specialized Training Matrix

16. Specialized Training Report

17. NCAA Division IAthletics Certification Program

18. 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

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

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

21. 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

22. 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

23. Duties of Governance and Commitment to Rules Compliance Subcommittee • Monitor certification of eligibility of student-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.

24. 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:

25. 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

26. 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:

27. 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

28. 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.

29. Review Operating PrinciplesOperating 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:

30. 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.

31. 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:

32. 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.

33. 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 and student-athletes • Monitor the progress of the Intercollegiate Athletics program with regard to the established five year gender equity and minority opportunities plans • Serve on appeals committees for student-athlete grievances and transfer requests • Address any matter related to the welfare of student-athletes • Monitor sportsmanship and ethical conduct of students and staff during athletic competition • Review operating principles

34. 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:

35. 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

36. 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:

37. 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

38. 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:

39. 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

40. Assurance Activities • Subcommittee monitoring reports • Conference compliance reviews • Compliance inspections • Internal audits • Annual NCAA audits • NCAA Division I Athletics Certification Self-Study and Peer Review

41. Intercollegiate Athletics / Athletics Council Compliance CommitteeMeeting Format

42. ImplementationQuestions and Answers