Intercollegiate Athletics Policy Manual
5.00 Compliance
5.19.1 Bylaw 19/32 - Enforcement
Enforcement
1.0 PURPOSE
This procedure establishes guidelines pursuant to NCAA Bylaws 19 and 32 for ensuring The University of Texas at Austin maintains institutional control over the conduct of its athletics departments.
2.0 POLICY
The policy of The University of Texas is to investigate all matters involving potential violations of institutional, conference and NCAA legislation and/or policies in a thorough and expeditious manner.
3.0 INDIVIDUAL(S) RESPONSIBLE
General responsibility:
Compliance Assistant
Men's Athletic Director
Marlene and Morton Meyerson Centennial Professor in Music and Distinguished Teaching Professor, Men's Athletics Council
Associate Athletics Director for Compliance
Compliance Coordinator
President
Women's Athletics Director
Deputy to the President
Compliance Assistant
Faculty Athletics Representative
Investigative responsibility:
Major infractions Associate Athletics Director for Compliance alerts both athletics directors, the Faculty Athletics Representative and the President. All issues identified as potential major infractions are handled by the President's office and investigated by outside firms.
NCAA Bylaw 10 Compliance Coordinator
NCAA Bylaw 11 Director of Compliance
NCAA Bylaw 12 Compliance Coordinator
NCAA Bylaw 13 Compliance Coordinator
NCAA Bylaw 14 Director of Compliance
NCAA Bylaw 15 Director of Compliance
NCAA Bylaw 16 Compliance Coordinator
NCAA Bylaw 17 Compliance Coordinator
All other NCAA Bylaws Associate Athletics Director for Compliance
Reporting responsibility:
Compiling reports Compliance staff member that investigated the information.
Signs off on all Big 12 and NCAA reports
Faculty Athletics Representative
Copied on all violation correspondence Men's Athletic Director
Women's Athletics Director
President
Faculty Athletics Representative
Updating the investigations chart Compliance Coordinator
Compliance Assistant
INDIVIDUAL(S) AFFECTED
The University of Texas at Austin community
Student-athletes
All athletics staff
All liaisons to the athletics department from departments outside of athletics
Athletics council (men's and women's)
Athletics representatives
Other individuals not specifically listed that are involved in possible infractions
4.0 ASSOCIATED FORM(S)/APPENDICE(S)
4.1 Investigations tracking chart
4.2 Bylaw 10.1 statement
4.3 Level I report to NCAA
4.4 Level II report to Big 12 Conference
5.0 REVISION HISTORY
Date |
Rev. No. |
Change |
Ref. Section |
|---|---|---|---|
6/9/06 |
1.0 |
New Procedure | Not Applicable |
10/3/06 |
1.1 |
Entire investigations policy and procedures reworked to incorporate staff and process changes |
All sections |
12/4/06 |
1.2 |
Fine tune all policy to incorporate audit suggestions |
All sections |
5/9/07 |
1.3 |
Rework policy and procedures to reflect actual activities by the compliance office |
All sections |
6.0 PROCEDURE
6.1 Initiating an Investigation of a Possible Rules Violation
6.1.1. Information regarding potential rules violations is received by the compliance office from any a variety of sources including the following:
• Compliance documentation or monitoring efforts
• Phone calls/e-mails from institutional coaches/staff
• Phone calls/e-mails from the Big 12 conference/other institutions
• Phone calls/e-mails from the NCAA national office
• Phone calls/e-mails from other individuals not associated with the institution
6.1.2 Upon receipt of information indicating that a potential rules violation has occurred, the compliance staff member that received it sends an email to the Compliance Coordinator with a copy to the Associate Athletics Director for Compliance.
6.1.3 The potential rules violation is logged into the appropriate academic year and month on the investigations chart by the Compliance Coordinator and assigned to the appropriate individual based on the involved legislation.
6.1.4 Based on the preliminary information provided, the Associate Athletics Director will make an initial assessment of whether the potential violation, if substantiated, appears major or secondary.
6.1.4.1 Violations that appear major should be handled in accordance with the Procedures for Major Violations (6.2 Below).
6.1.4.2 Violations that appear secondary should be handled in accordance with the Procedures for Secondary Violations (6.3 below)
6.2 Procedures for Major Violations
6.2.1 Once the Associate Athletics Director for Compliance has determined that a potential violation is or could be a major violation, the Associate Athletics Director for Compliance will promptly inform the athletics directors, the President, and the Faculty Athletics Representative.
6.2.2 The President's Office will handle all major infractions issues, with investigative assistance, where appropriate, from an outside firm chosen by the President.
6.2.2.1 Any outside firm employed by the President will report its findings and conclusions directly to the President's office.
6.2.3 During the investigation of a potential major violation, the Athletics Department, including the Compliance staff, plays an advisory role to the President's office as it deems appropriate.
6.3 Procedures for Secondary Violations
6.3.1 In accordance with 6.1.3, the Compliance Coordinator will assign each potential rules violation which is not believed to be major to an appropriate member of the compliance staff for further investigation.
6.3.2 From the date in which the potential rules violation is assigned, the compliance staff member has 10 business days to gather the initial facts of the case and determine if a violation has occurred.
6.3.3 Whenever feasible, more than one member of the compliance staff should be present when interviewing a student-athlete, coach or staff member about a potential rules violation.
6.3.3 If, after gathering the necessary facts and consulting with the Associate Athletics Director for Compliance, it is determined that no violation can be substantiated, the compliance staff member will inform the Compliance Coordinator that the finding was "No Violation."
6.3.4 If it has been determined that a violation has occurred, the compliance staff person will meet with the associate athletics director to determine whether or not a Bylaw 10 statement (e.g. student-athlete, staff member, individual outside the institution, etc.) is needed to document the facts of the case.
6.3.4.1 If a Bylaw 10 statement is determined to be appropriate, the statement should be completed and/or signed in the presence of one or more compliance staff members, one being the compliance staff member who gathered the initial set of facts. If two compliance staff members are not available, the Bylaw 10 statement must be completed in the presence of the compliance staff member who gathered the initial set of facts.
6.1.4.2 The Associate Athletics Director for Compliance along with any member of the compliance staff responsible for investigating will reassess the issue on a continuing basis as information is developed. If at any time, the available information indicates that the infraction at issue is major, that matter will be handled in accordance with the Procedures for Major Violations (6.2 Below)
6.3.1 The Compliance Coordinator e-mails the investigations chart out each Friday morning to all compliance staff members and copies the Faculty Athletics Representative and the athletics council member with audit oversight for Bylaw 19/32.
6.3.2 Compliance staff members provide updates via email to the Compliance Coordinator regarding each of the cases that they are investigating.
6.3.3 If compliance staff members wish to discuss their investigations or interpretative issues, the group will meet each Friday to review the information.
6.3.4 A monthly tally sorted by bylaw and sport will be compiled at the end of each month and sent to the associate athletics director for compliance by the Assistant Compliance Coordinator.
6.4.3.1 If it appears that the allegations may result in a major infractions finding the Associate Athletics Director for Compliance informs the athletics directors, the President, and the Faculty Athletics Representative. The President's Office will handle all major infractions issues, with investigative assistance, where appropriate, from an outside firm chosen by the President. The Athletics Department plays an advisory role to the President's office as it deems appropriate.
6.5 Once a violation has been determined, the appropriate Level I or Level II violations report is completed within 10 business days.
6.5.1 Five business days after the violations report is due, the report must be sent to the NCAA national office/Big 12 conference office by the compliance staff member who gathered the initial set of facts.
6.5.2 The compliance staff member that gathered the facts of the case shall track on the progress of the case and provide follow-up documentation as requested by the NCAA.
6.5.3 Upon a decision by the NCAA, the compliance staff member that gathered the facts of the case shall communicate the decision via email to all parties that were copied on the initial submission of the case.
6.6 All documents related to investigations shall be filed in the Bylaw 19/32 shares folder.
last updated: February 11, 2009