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Risk Management in Intercollegiate Athletics 2006 ACUA MidYear Conference

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Title: Risk Management in Intercollegiate Athletics 2006 ACUA MidYear 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 Universitys
    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 AthleticsComplianc
e 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

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 subcommittees designated high-risk area
    within the context of UT Arlingtons 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 (cont)
  • 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 (cont)
  • 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 years 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 (cont)
  • 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 (cont)
  • 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 (cont)
  • 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 Systems 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 Associations
    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 institutions 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
    institutions 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 Associations
    fundamental principles indicate that an
    intercollegiate athletics program shall be
    designed and maintained as a vital component of
    the institutions 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 NCAAs 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 Associations
    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-opportuniti
    es 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

51
Assurance Activities
  • Subcommittee monitoring reports
  • Conference compliance reviews
  • Internal audits and inspections
  • Annual NCAA audits New agreed upon procedures
    for FY 2005 audit process
  • NCAA Division I Athletics Certification
    Self-Study and Peer Review

52
Self-Reporting of Non-Compliance Matters
  • Procedure
  • Discipline/Corrective Actions

53
Committee Quarterly Reports for theExecutive
Director of Assurance Services / Institutional
Compliance Officer and the Institutional
Compliance Executive Committee
54
Quarterly Report Template(Handout)
55
Quarterly Specialized Training Report
Form(Handout)
56
Intercollegiate Athletics / Athletics Council
Compliance CommitteeMeeting Format
57
Role of the Institutional Compliance Officer and
Office
58
Role of the University of Texas System
Intercollegiate Athletics High RiskCompliance
Group
59
ImplementationQuestions and Answers
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