Intercollegiate Athletics Policy Manual
5.00 Compliance
5.05.1 Bylaw 5 - Legislative Process & Authority
Legislative Process
1.0 PURPOSE
This procedure establishes guidelines pursuant to NCAA Constitution 5.01, 5.02, 5.1, 5.2, 5.3, 5.4 for ensuring that The University of Texas strives to be the premier Athletics Compliance Office.
2.0 POLICY
The policy of The University of Texas Athletics Compliance Office is to be a leader in guiding national policy that positively affects all student-athletes, coaching staffs, and athletics administration nationally and embraces the principles set forth by the NCAA.
This policy and procedure ensures the institution's adherence to and understanding of NCAA Articles 5.01 (General Principles), 5.02 (Definitions and Applications), 5.1 (Conventions and Meetings), 5.2 (Elements of Legislation), 5.3 (Amendment Process), and 5.4 (Other Legislative and Amendment Procedures) governing the legislative process.
3.0 INDIVIDUAL(S) RESPONSIBLE
Compliance Assistant
Compliance Assistant
Associate Athletics Director for Compliance
Compliance Coordinator
Director of Compliance
Administrative Associate for Compliance
INDIVIDUAL(S) AFFECTED
Athletics Departments Staffs
Men's Athletics Director
Women's Athletics Director
President
4.0 ASSOCIATED FORM(S)/APPENDICE(S)
4.1 NCAA, Big 12 Conference, and Institutional Legislative Activity Calendar
P:\Compliance\[applicable year]\Bylaw 5-Legislative Process
4.2 Proposals Tracking Spreadsheet
P:\Compliance\[applicable year]\Bylaw 5-Legislative Process\Proposals
4.3 NCAA Procedures for Drafting Legislative Proposals -
Parts I and II
P:\Compliance\[applicable year]\Bylaw 5-Legislative Process\Proposals
4.4 Big 12 Conference Proposed Legislation Submission Form
P:\Compliance\[applicable year]\Bylaw 5-Legislative Process\Proposals
4.5 Checklist for Review of Legislative Proposals
P:\Compliance\[applicable year]\Bylaw 5-Legislative Process\Proposals
5.0 REVISION HISTORY
Date |
Rev. No. |
Change |
Ref. Section |
|---|---|---|---|
1/12/05 |
1.0 |
New Procedure | Not Applicable |
6/26/06 |
1.1 |
New Template |
All |
1/10/07 |
1.2 |
Revised Template |
All |
2/9/07 |
1.3 |
Revised |
Policy and Procedure |
4/30/07 |
1.4 |
Revised |
Policy and Procedure, Forms 4.1 and 4.2 |
9/21/07 |
1.5 |
Revised |
3.0 |
6.0 PROCEDURE
6.1 The Director of Compliance (DOC) creates, maintains and adheres to the combined NCAA, Big 12 Conference, and institutional Legislative Activity Calendar annually.
6.1.1 The Administrative Associate (AA) incorporates deadlines for all legislative activity in the Athletics Compliance Office monthly timeline to ensure all deadlines are maintained.
6.2 Compliance identifies potential legislative proposals at the twice-weekly interpretations meetings (see NCAA Bylaw 5.4 policy and procedure regarding the interpretations procedures), through daily monitoring practices, and in communication with athletics staffs throughout the year.
6.2.1 The DOC tracks identified legislative proposals on the applicable year Proposals Tracking Spreadsheet.
6.3 Compliance meets the first Wednesday of every other month opposite the months of coaches' compliance meetings (e.g., September, November, January, March, May, and July) for a legislative process meeting.
6.3.1 The AA schedules the reoccurring meetings for the academic year by August 1, using Microsoft Office Outlook.
6.3.2 The DOC provides Compliance the Proposals Tracking Spreadsheet and/or reviews pending or recently adopted legislation depending on the legislative activity occurring at the time of the meeting.
6.3.3 The DOC uses the legislative meetings to determine the action necessary on the potential legislative matters (e.g., draft proposal, refer to associated cabinet, refer to Big 12 Conference constituents, etc.) in accordance with NCAA Bylaws 5.01 and 5.02 and/or to review pending or recently adopted legislative initiatives with the staff.
6.3.4 If determined that a proposal should be drafted or a letter of support should be written to present to the applicable outside entity (e.g., NCAA committee, coaches association, etc.), the DOC enters the name of individual assigned responsibility and due date for completion on the Proposal Tracking Spreadsheet (Form 4.2) located at P:\Compliance\[applicable year]\Bylaw 5-Legislative Process\Proposals.
6.3.5 Compliance refers to the NCAA Procedures for Drafting Legislative Proposals – Parts I and II for guidance in drafting legislation.
6.3.5.1 Compliance drafts the proposal using the Big 12 Conference Proposed Legislation Submission Form
6.3.5.1.1 The drafted proposal is saved at P:\Compliance\ [applicable year]\Bylaw 5-Legislative Process\ Proposals.
6.3.5.2 The appropriate staff member e-mails the draft proposal to another compliance staff member for review.
6.3.5.3 The other compliance staff member reviews the drafted proposal using the Checklist for Review of Legislative Proposals and provides modifications no later than two business days following the request for review.
6.3.5.4 The compliance staff member that drafts the proposal incorporates the changes provided no later than two business days following receipt of modifications.
6.3.5.4.1 The compliance staff member that drafted the proposal e-mails the proposal to the AA requesting review by the Associate Athletics Director for Compliance (AADC).
6.3.5.5 The AADC reviews the final draft of the proposal and provides feedback no later than two business days following receipt of the proposal's final draft.
6.3.5.6 The compliance staff member makes any suggested modifications by the AADC to the draft proposal no later than two business days following receipt of modifications.
6.3.5.7 The compliance staff member saves the proposal for final submission to the Big 12 Conference in accordance with the submission deadlines detailed in the NCAA, Big 12 Conference, and Institutional Legislative Activity Calendar.
6.4 The DOC conducts an optional legislative educational meeting/forum for all athletics staffs, student-athletes, and institutional staff in July to educate them on recently adopted legislation and to collect suggestions for legislative proposals in the upcoming legislative cycle.
6.4.1 The AA schedules the optional legislative educational meeting/forum for all athletics using Microsoft Office Outlook by July 1 each year.
6.4.2 The AA submits a request for the legislative forum details to be posted on the campus events e-mail.
6.4.3 The AA communicates details of the legislative forum to all athletics staff via e-mail.
Conventions and Meetings
1.0 PURPOSE
This procedure establishes guidelines pursuant to NCAA Constitution 5.1 and Big 12 Rules for ensuring that The University of Texas strives to be the premier Athletics Compliance Office.
2.0 POLICY
The policy of The University of Texas is to ensure the institution's adherence to and understanding of NCAA Bylaw 5.1 (Conventions and Meetings) and Big 12 Conference Office rules governing conference administered meetings.
3.0 INDIVIDUAL(S) RESPONSIBLE
Compliance Assistant
Compliance Assistant
Associate Athletics Director for Compliance
Compliance Coordinator
Director of Compliance
Administrative Associate for Athletics Compliance
INDIVIDUAL(S) AFFECTED
Senior Administrative Associate for Athletics Certification
Administrative Associate for Initial-Eligibility
Assistant Athletics Director for Academic Services
Men's Athletics Director
Financial Aid Coordinator
Associate Registrar
Women's Athletics Director
President
Senior Associate Athletics Director for Student Services
Faculty Athletics Representative
Senior Associate Athletics Director for Sport Programs
4.0 ASSOCIATED FORM(S)/APPENDICE(S)
4.6 NCAA Certification of Delegates
4.7 NCAA Annual Convention Registration
5.0 REVISION HISTORY
Date |
Rev. No. |
Change |
Ref. Section |
|---|---|---|---|
6/26/06 |
1.0 |
New Procedure | Not Applicable |
1/10/07 |
1.1 |
New Template |
All Sections |
4/20/07 |
1.2 |
Updated Policy and Procedure |
3.0 and 6.0 |
9/21/07 |
1.3 |
Updated |
3.0 |
6.0 PROCEDURE
NCAA Conventions and Meetings
6.1 Authorization
Designated members of the athletics and institutional staff register for the NCAA annual convention conducted in January upon notification from the NCAA that registration is available.
6.1.1 At least one of the designated members includes a compliance staff member.
6.2 Annual or Special Convention Programs
Designated members of the athletics and institutional staff attend the appropriate general and Division I specific sessions at the NCAA annual convention conducted in January.
6.3 Annual or Special Convention Delegates
The institution adheres to all procedures relative to the certification of institutional delegates as outlined in all subsections of NCAA Bylaw 5.1.3.
6.4 Operational Procedures
The institution adheres to all operational procedures relative to the legislative process as outlined in all subsections of NCAA Bylaw 5.1.4.
Big 12 Conference Office Conventions and Meetings
6.5 The Director of Compliance (DOC) organizes the Compliance Office's efforts with the Big 12 Conference Office.
6.6 The DOC tracks monthly Big 12 directors of compliance conference calls.
6.6.1 Upon receipt of the dates for the monthly Big 12 directors of compliance conference calls from the Big 12, the DOC e-mails the dates to the Administrative Associate for Athletics Compliance (AA).
6.6.1.1 The AA schedules the Big 12 monthly conference calls for the athletics compliance staff using Microsoft Office Outlook and prepares any materials or facilities needed upon request of the DOC.
6.6.2 Upon request for agenda items from the Big 12, the DOC e-mails the compliance staff, the senior administrative associate for athletics certification (SAAAC), the associate registrar (AR), and the administrative associate for initial-eligibility (AAIE), and the financial aid coordinator (FAC) to request agenda items by an established deadline.
6.6.2.1 The DOC collects and e-mails the institution's agenda items, if any, to the Big 12 Conference Office on or before the Big 12's established deadline.
6.6.3 The compliance staff participates in all Big 12 directors of compliance conference calls unless the Associate Athletics Director for Compliance (AADC) approves an absence.
6.7 The DOC distributes all Big 12 conference correspondence related to Big 12 in-person meetings to applicable athletics staffs and/or institutional staffs.
6.7.1 The DOC forwards information pertaining to the fall and spring directors of compliance in-person meetings to the athletics compliance staff.
6.7.2 The DOC forwards information pertaining to the Big 12 Summer Rules Workshop to the athletics compliance staff, the SAAAC, the AR, the AAIE, the financial aid coordinator, the faculty FAC, the senior associate athletics director for student services, and the assistant athletics director for academic services.
6.7.3 The AA coordinates all travel arrangements for the athletics compliance staff to attend the Big 12 in-person meetings and summer rules workshop once initiated by the DOC and approved by the AADC.
Interpretations
1.0 PURPOSE
This procedure establishes guidelines pursuant to NCAA Constitution 5.4 and Big 12 Conference Policy for ensuring that The University of Texas strives to be the premier Athletics Compliance Office.
2.0 POLICY
The policy of The University of Texas is to ensure the institution's adherence to and understanding of all NCAA Bylaws, Big 12 Conference rules, and institutional rules through the interpretations process.
3.0 INDIVIDUAL(S) RESPONSIBLE
Compliance Assistant
Compliance Assistant
Associate Athletics Director for Compliance
Compliance Coordinator
Director of Compliance
Administrative Associate for Athletics Compliance
INDIVIDUAL(S) AFFECTED
Athletics Staffs
Big 12 Conference Compliance Staff
Men's Athletic Director
NCAA Big 12 Conference Liaison
Women's Athletics Director
President
Faculty Athletics Representative
4.0 ASSOCIATED FORM(S)/APPENDICE(S)
4.8 Interpretations Request Form - P:\Compliance Forms\Interps
4.9 Athletics Compliance Office Areas of Oversight - P:\Compliance\applicable year\Office Ops
4.10 Interpretations Database - P:\Compliance\applicable year\Bylaw 5 - Legislative Process\Interpretations\Interps Database
4.11 NCAA Legislative Services Database for the Internet (LSDBi) - https://goomer.ncaa.org/wdbctx/lsdbi/LSDBI.lsdbi_menu.homepage
4.12 Big 12 Conference Handbook – refer to hard copy or scanned copy available at P:\Compliance\applicable year\Big 12 Conference
4.13 UT Handbook of Operating Procedures - http://www.utexas.edu/policies/hoppm/index.html
4.14 UT Rules and Regulations of the Board of Regents - http://www.utsystem.edu/bor/rules.htm
4.15 Big 12 Conference Interpretation Request Form - P:\Compliance\applicable year\Bylaw 5 - Legislative Process\Interpretations\Big 12 Form
4.16 ARS Waiver Policies and Procedures
4.17 Monthly Interpretations Count - P:\Compliance\applicable year\Bylaw 5 - Legislative Process\Interpretations\Interpretation Count
5.0 REVISION HISTORY
Date |
Rev. No. |
Change |
Ref. Section |
|---|---|---|---|
2/24/04 |
1.0 |
Codified Procedure and Form |
All |
1/10/07 |
1.1 |
Revised |
All |
2/9/07 |
1.2 |
Revised |
6.1 |
4/30/07 |
1.3 |
Revised/Updated |
All |
6.0 PROCEDURE
6.1 The Director of Compliance (DOC) conducts the athletics compliance staff's weekly interpretations meetings every Tuesday and Thursday at 2:00 p.m. to review interpretive issues compliance staff members are unable to respond to after exhausting all available resources.
6.1.1 The Administrative Associate (AA) schedules the compliance staff's weekly interpretations meetings by August 1 for the upcoming academic year using Microsoft Office Outlook.
6.1.2 The AA may reschedule the weekly interpretations meetings as needed to accommodate scheduling conflicts.
6.2 Interpretation requests for the compliance office
Individuals submit interpretation requests to the Compliance Office in the following ways:
- Using the Interpretation Request Form which may be sent by e-mail to compliance@athletics.utexas.edu or submitted hard copy to the general compliance mailbox
- By e-mail to a Compliance Office Staff member directly or to compliance@athletics.utexas.edu
- In-person to a Compliance Office staff member
- By phone to a Compliance Office staff member
6.2.1 Individuals with interpretive questions are encouraged to submit all questions in writing.
6.2.2 A compliance staff member receiving questions directly by e-mail, phone call, or in-person enters the interpretation in the Interpretations Database located at P:\Compliance\applicable year\Bylaw 5 - Legislative Process\Interpretations\Interps Database only if applicable to their area of oversight or he/she responded verbally to the question.
6.2.2.1 If the question is applicable to the compliance staff member's area of oversight or he/she responded verbally to the question, the procedures outlined in Procedure 6.4 through 6.8 are followed.
6.2.2.2 If the question is not related to the compliance staff member's area of oversight, the question is e-mailed to the (DOC) for the question to be assigned to the appropriate individual.
6.3 The DOC assigns the interpretation request by e-mail to a compliance staff member according to the Athletics Compliance Office Areas of Oversight located at P:\Compliance\applicable year\Office Ops and copies the Compliance Assistant (CA) on the e-mail.
6.4 The CA enters the following information in the Interpretations Database located at P:\Compliance\applicable year\Bylaw 5 - Legislative Process\Interpretations\Interps Database:
- Q & A Tab
- Date: Enter the date the question was received
- Requested By: Enter the name of the individual requesting the interpretation
- Question: Enter the question exactly as presented. Cut and paste from the e-mail if possible.
- Processing Tab
- Status: Select "on hold"
- Response By: Enter the name of the compliance staff member assigned the interpretation
6.4.1 The CA e-mails the compliance staff member assigned the interpretation to notifying him/her that the question was entered in the Interpretations Database and identifies the "interp ID" for the staff member to later respond to the question.
6.5 The compliance staff member assigned the request, or the one who receives the request directly, responds within 48 hours to the individual making the request by either providing an answer or by informing the individual of the status of the response if additional research is required.
6.6 The compliance staff member researches several sources including the:
- NCAA Legislative Services Database for the Internet (LSDBi)
- Big 12 Conference Handbook
- UT Handbook of Operating Procedures
- UT Rules and Regulations of the Board of Regents
- Previous UT compliance staff interpretations
6.6.1 If the compliance staff member is unable to determine a correct answer, the staff member brings the interpretive question to the twice-weekly interpretations meetings for discussion with other compliance staff.
6.6.1.1 If the compliance staff is unable to determine a correct answer, the compliance staff member submits the question to the Big 12 Conference Office using the Big 12 Conference Interpretation Request Form.
6.6.1.2 If the Big 12 Conference Office is unable to provide an answer, or if the institution disagrees with the Conference Office's response, the compliance staff member, requests the Conference Office forward the question to the NCAA Membership Services Staff Big 12 Conference liaison.
6.6.1.3 If the institution disagrees with the NCAA Membership Services Staffs response, the institution may request, in writing, that the NCAA Legislative Review/Interpretations Committee (LRIC) in accordance with the provisions of Bylaw 5.4 review the response from the NCAA Membership Services Staff.
6.6.1.4 The institution may appeal the LRIC's decision to the NCAA Management Council by submitting a written request from the President, Faculty Athletics Representative, or Athletics Director in time for the Management Council's next meeting after the issuance of the LRIC's decision. The Management Council's decision is final.
6.6.1.5 The institution may appeal the NCAA's application of legislation to a particular case by filing a request for a waiver of the legislation to the Administrative Review Subcommittee (ARS) in accordance with the Waiver Policies and Procedures.
6.7 Once the compliance staff member determines the correct answer, the following fields are completed in the Interpretations Database located at P:\Compliance\applicable year\Bylaw 5 - Legislative Process\Interpretations\Interps Database:
- Q & A Tab
- Date: Enter the date the question was received
- Requested By: Enter the name of the individual requesting the interpretation
- Question: Enter the question exactly as presented. Cut and paste from the e-mail if possible
- Facts/Response: Enter the response to the question
- Subject Areas: Enter all applicable rules and regulations
- Resources: Cut and Paste the text of all applicable rules and regulations
- Processing Tab
- Status: Select "on hold"
- Response By: Enter the name of the compliance staff member assigned the interpretation
- Contacts: Enter all applicable information for individuals contacted regarding the interpretive question (e.g., Big 12 Conference, NCAA, etc.)
- Method of Response: Enter all applicable methods used to respond to the question and the date responded
- Carbon Copy sub form: Enter all individuals/offices affected by the interpretive response, the entire compliance staff, and the individual's supervisor or head coach if the individual is an Athletics Department staff member. All individuals listed are copied on the final e-mail.
- Attachments Tab
- Follow procedures in this section of the database for attaching documents referenced in the interpretation request (e.g., Big 12 Conference Interpretation Form, etc.)
6.7.1 The compliance staff member e-mails the interpretation response to the requestor and all individuals being carbon copied by selecting the "Email Interp" button in the Interpretations Database.
6.7.1.1 The compliance staff member also copies the text of the question and response and inserts it in the text of the e-mail in case the coach is unable to open the attachment.
6.8 All compliance staff members shall track the status their assigned interpretations in the Interpretations Database Processing Tab by recording any status changes, contacts, or communications that occur until responded to requestor.
6.9 If the compliance staff discovers/determines through the interpretations process that a violation of NCAA rules/regulations occurred the Bylaw 19/32 policies and procedures are followed.
6.10 Monthly Interpretation Count
The first week of each month, the CA records the number of interpretations from the previous month on the Interpretations Count Chart located at P:\Compliance\applicable year\Bylaw 5 - Legislative Process\Interpretations\Interpretation Count and tallies the cumulative number for the year beginning with August 1.
6.10.1 The CA e-mails the chart to the Athletics Directors and the Senior Associate Athletics Director for Sport Programs and copies the Compliance Staff.
6.11.1.1 In the e-mail, the CA notes any significant trends compared to the previous academic year.
6.11 The DOC distributes by e-mail all Big 12 Conference, CCACA, NCAA LSDBi, and NAACC interpretive correspondence to the compliance staff members with primary and secondary oversight in that area and copies the Associate Athletics Director for Compliance (AADC).
6.11.1 The compliance staff member communicates the information to the applicable individuals as deemed appropriate by that compliance staff member.
last updated: February 11, 2009