Texas Christian University Office of Athletics Compliance

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1 Table of Contents Introduction...2 Institutional Control...5 Rules Infractions...10 Rules Education Program...14 Personnel...18 Amateurism, Marketing and Promotions...38 Student-Athlete Recruiting...43 Eligibility...53 Financial Aid...72 Awards and Benefits...81 Playing and Practice Seasons...85 Schedule of Compliance Related Documentation and Forms

2 Mission Statements Scope Purpose Introduction 2

3 NCAA Mission ( ) Core Ideology The NCAA's core ideology consists of two notions: core purpose - the organization's reason for being - and core values - essential and enduring principles that guide an organization. Core Purpose Our purpose is to govern competition in a fair, safe, equitable and sportsmanlike manner, and to integrate intercollegiate athletics into higher education so that the educational experience of the student-athlete is paramount. Core Values The Association - through its member institutions, conferences and national office staff - shares a belief in and commitment to: The collegiate model of athletics in which students participate as an avocation, balancing their academic, social and athletics experiences. The highest levels of integrity and sportsmanship. The pursuit of excellence in both academics and athletics. The supporting role that intercollegiate athletics plays in the higher education mission and in enhancing the sense of community and strengthening the identity of member institutions. An inclusive culture that fosters equitable participation for student-athletes and career opportunities for coaches and administrators from diverse backgrounds. Respect for institutional autonomy and philosophical differences. Presidential leadership of intercollegiate athletics at the campus, conference and national levels. Big 12 Conference Mission ( ) The mission of the Big 12 Conference is to: Advance standards of scholarship, sportsmanship and equity consistent with the highest ideals of Conference membership Support the development of national-championship caliber intercollegiate athletic programs Organize, promote and administer intercollegiate athletics among its member institutions Optimize revenues and provide supporting compatible with both academic and competitive excellence Encourage collaboration in areas beyond athletics that builds good-will between institutions and promotes the overall mission of the universities. TCU Department of Intercollegiate Athletics Mission Statement The Department of Intercollegiate Athletics: Focuses on the well-being of the student athlete, Provides division 1A programs for men and women in which the participants have a successful competitive experience, 3

4 Supports a meaningful academic experience leading to graduation, Develops support for the university among its many constituents, Is committed to the philosophy and principles of the NCAA, the Mountain West Conference and the University, and Is committed to provide equitable opportunities for all student-athletes and athletic department personnel, including women and minorities. TCU Mission Statement ( Compliance Website) The mission of the TCU is to uphold the rules and regulations of the National Collegiate Athletic Association (NCAA), Big 12 Conference (Big 12), and Texas Christian University (TCU); to monitor the processes and activities associated with such rules and regulations; and to educate institutional staff members, student-athletes and external constituents regarding such rules, regulations, processes and activities. TCU is committed and obligated to the principle of institutional control in operating its Athletics Department in a manner that is consistent with the letter and the spirit of the NCAA, Big 12 and University rules and regulations. The coordinates, monitors and verifies compliance with all NCAA requirements and educates the various constituencies of the University and the community regarding NCAA and Big 12 regulations. The is dedicated to providing educational programs and interpretive support to all individuals involved with the Athletics Department. Each individual within the Athletics Department is compelled to maintain competency in knowledge of rules, to act within his or her realm of responsibility in full compliance with the rules and to report any violations of the rules. It is the goal of the to place the University in a pro-active position by educating, overseeing, and monitoring the Athletics Department and maintaining a positive compliance environment. The commitment to excellence by the entire TCU athletics family must be a priority in all aspects of the compliance program. The is located in the John Justin Athletic Center and Daniel Meyer Coliseum and is staffed by the Associate Athletic Director for Compliance/Student Services/Student Services, Assistant Athletic Director for Athletics Compliance, Compliance Coordinators and the Administrative Assistant for the Compliance office. Scope This manual is published to assist all athletic department personnel. Deviations from the policies and procedures described herein are unauthorized. Purpose The purpose of this manual is to provide all Athletics Department personnel with pertinent information relative to their respective compliance obligations and to afford general information relative to University, Conference, and NCAA regulations. 4

5 Institutional Control NCAA Definition Roles Athletics Compliance Committee University Compliance Committee 5

6 Institutional Control Defined (NCAA Bylaw ) The control and responsibility for the conduct of intercollegiate athletics shall be exercised by the institution itself and by the conference(s), if any, of which it is a member. Administrative control or faculty control, or a combination of the two, shall constitute institutional control. 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: a. The institution s governing board provides oversight and broad policy formulation for intercollegiate athletics in a manner consistent with other units of the institution. b. The chief executive officer is assigned ultimate responsibility and authority for the operation and personnel of the athletics program. c. 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. Role of the CEO The Chancellor is charged with the ultimate authority and direct responsibility for the Athletics Department. The Chancellor meets weekly with the Director of Intercollegiate Athletics and monthly with the Faculty Athletics Representative. Annually, the Chancellor conducts the Chancellor s Compliance Meeting with all Athletics Department staff. The Chancellor s role extends to the following activities within and for the Department, as identified by the Chancellor: Hiring of new coaches Compliance with NCAA, Big 12, and University regulations Budgetary matters: personnel and otherwise Academic eligibility and retention issues Regular meetings with Dr. Rhonda Hatcher (Faculty Athletics Representative) Facilities issues Many issues pertaining to TCU s affiliation with the Big 12 Conference Responding to individual concerns from parents and athletes who directly contact him. Role of the Faculty Athletics Representative The Faculty Athletics Representative (FAR) serves as the principal faculty spokesperson in conveying, representing and protecting the academic mission, values and goals of TCU as reflected in the Office of Intercollegiate Athletics. The FAR is charged with keeping the Chancellor informed of issues related to the academic progress of studentathletes, possible infractions of NCAA or Conference rules (especially of an academic nature) and any other matter that might affect the health and vitality of the University and the Office of Intercollegiate Athletics. 6

7 The FAR represents the University at NCAA and Conference meetings involving Faculty Athletics Representatives at other universities, and is expected to work closely with the Director of Intercollegiate Athletics, the Chancellor and other administrative personnel as appropriate and necessary to ensure that NCAA principles of institutional control, studentathlete welfare, gender equity, rules compliance, academic integrity, sportsmanship and ethical conduct are observed at all times. Role of Director of Intercollegiate Athletics The Chancellor of the University has designated the Director of Intercollegiate Athletics as the individual responsible for the institution s rules compliance. The Chancellor articulates the responsibility for rules compliance to all Athletics department staff members as well as those outside the department with compliance-related responsibilities, including the Faculty Athletics Representative. The Director of Intercollegiate Athletics has ultimate authority and responsibility for NCAA rules compliance. The Director works with the Chancellor, the Faculty Athletics Representative, the Associate Athletic Director for Compliance/Student Services, the Director of Compliance and the Assistant Director of Compliance to ensure the department s compliance program is effectively functioning. The Director of Intercollegiate Athletics reports directly to and meets frequently with the Chancellor. Role of Associate Athletic Director for Compliance/Student Services The Associate Athletic Director for Compliance/Student Services is responsible for the overall management of the Athletics Compliance program. The Associate Athletic Director for Compliance/Student Services reports directly to the Director of Intercollegiate Athletics and also has a secondary reporting line directly to the Chancellor. This open channel of communication allows the Associate Athletic Director for Compliance/Student Services the ability to directly address situations as warranted. Role of Athletics Compliance Staff The Compliance Coordinators report to the Assistant Athletic Director for Compliance and the Assistant Athletic Director for Compliance reports to the Associate Athletic Director for Compliance/Student Services. The Assistant Athletic Director for Compliance is responsible for the day-to-day operations within the, including educating staff members in the Athletics Department and staff members across campus that have a role in Athletics compliance regarding the rules and regulations of NCAA, Big 12 Conference (Big 12), and TCU. The Compliance Coordinators are responsible for ensuring that mechanisms are in place to assist all constituencies in documenting and tracking compliance processes and policies. Role of Instrumental Campus Staff Members Outside the department are key University staff members who individually and collectively ensure the documentation and monitoring of compliance. Certification of academic eligibility takes place within the Office of the Registrar. The Office of Financial Aid reviews scholarships to ensure compliance with NCAA regulations. The Office of Admissions reviews and assists with certifying the eligibility of all new student athletes in accordance 7

8 with NCAA regulations. The Chancellor communicates the importance of rules compliance to all TCU staff members who have compliance responsibilities. Personnel both inside and outside the Athletics department who have compliance responsibilities are notified that strict adherence to all rules and policies is a condition for employment. Role of Coaches Coaches are responsible to assist the in maintaining the integrity of the compliance program. All coaches are required to pass a coaches certification exam for the purpose of off-campus recruiting. Monthly meetings are held with all coaching staff members to remain current on NCAA topics and to assist with questions. The Office of Athletics Compliance also provides interpretation of NCAA rules to coaching staff members. Coaches are evaluated annually relative to compliance-related issues. Reporting lines for head coaches of all sports programs: Supervisor Director of Intercollegiate Athletics Associate Athletic Director for Internal Operations Associate Athletic Director for Operations Associate Athletic Director /SWA Sport(s) Men s Basketball, Football Men s Basketball (scheduling), Football (scheduling), Men s Golf, Men s Tennis, Men s and Women s Swimming, Volleyball Baseball, Rifle Women s Basketball, Equestrian, Women s Golf, Soccer, Men s and Women s Track, Women s Tennis Role of Athletics Department Staff The is responsible for providing education, interpretations, documents, and monitoring the compliance activities for the following staff members: Athletics Academic Services, Development, Equipment, Marketing, Media Relations, Sports Medicine, Strength & Conditioning, Ticket Operations, and Video Operations. Athletics Compliance Committee The primary focus of the Athletics Compliance Committee is NCAA legislative matters. The Committee will seek input from constituencies that may be affected by such legislation. The committee establishes the position the University wishes to take when submitting its vote to the Big 12. This committee also focuses on violations. After the Office of Athletics Compliance researches the facts of a violation, information is discussed to determine whether the violation is a secondary level one, secondary level two, or a major violation. The composition of the Athletics Compliance Committee is as follows: Director of Intercollegiate Athletics Faculty Athletics Representative Associate Athletic Director/Senior Woman Administrator Associate Athletic Director for Compliance/Student Services/Student Services 8

9 Compliance Advisory Committee The primary focus of the Advisory Committee is to establish and maintain effective and efficient compliance procedures, to periodically audit institutional athletic compliance policies and practices, and to advise the Chancellor and Athletics Director on matters concerning athletics compliance. The composition of the Compliance Advisory Committee is as follows: Associate Provost Registrar Director of Scholarships and Financial Aid Director of Admission Operations Assistant Director Student Information Systems Faculty Athletics Representative Associate Athletic Director for Compliance/Student Services/Student Services Assistant Athletic Director for Compliance Assistant Athletic Director of Athletic Academic Services External and Internal Compliance Communication Procedures The following communications procedures ensure direct and efficient contact with those entities involved in athletics compliance issues. NCAA. The NCAA permits five institutional staff members direct contact with personnel at the national office. These individuals include the Chancellor, Director of Intercollegiate Athletics, Senior Woman Administrator, Associate Athletic Director for Compliance/Student Services, and Faculty Athletics Representative. All other Athletics Department staff members are prohibited from directly contacting the NCAA. For issues requiring direct contact, please first request assistance from the Associate Athletic Director for Compliance/Student Services. If the Associate Athletic Director for Compliance/Student Services is not available, please contact any of those named above. Big 12 Conference. The Associate Athletic Director for Compliance/Student Services/Student Services is considered the first contact regarding compliance issues and interpretations from the conference office. If the Associate Athletic Director is not available, please request assistance from the Assistant Athletic Director for Compliance, followed by the Faculty Athletics Representative and Chancellor. TCU. The Associate Athletic Director for Compliance/Student Services/Student Services is considered the first contact regarding compliance issues and interpretations from the Athletics Department. If the Associate Athletic Director for Compliance/Student Services is not available, please request assistance from the Assistant Athletic Director for Compliance, followed by the Senior Woman Administrator, Director of Intercollegiate Athletics and Faculty Athletics Representative. 9

10 Secondary Major Rules Infractions 10

11 RULES VIOLATIONS REPORTING PROCEDURES TCU is committed to its obligation under the provisions of the NCAA Constitution regarding the Principle of Rules Compliance to identify, report and take corrective actions relative to all rules violations. A policy of self-disclosure will be followed in all situations where rules violations, both secondary and major, have been identified. Athletics Department staff members and student-athletes are directed not to provide false or misleading information to the NCAA, Big 12 or TCU regarding possible rules violations. The works to identify and reduce areas of risk within the Athletics Department that could negatively impact TCU. If a problem arises, it is the responsibility of the to determine how the problem occurred, how it could have been prevented, and how to reduce the chances of such occurring in the future. Additionally, athletics staff must sign a statement each academic year stating they are unaware of any violations in the past year. Reporting a Violation. 1. Any individual (e.g., athletics department staff member, student-athlete, University employee, representative of the University's athletics interests, member of the community) may report an alleged, rumored, or suspected violation. 2. The individual may report the alleged, rumored, or suspected violation verbally or in writing. He/She may also report an alleged violation anonymously. To Whom Shall an Alleged Violation be reported? 1. If an alleged or rumored violation is communicated, the staff member has an obligation to notify the Associate Athletics Director for Compliance of the violation in a timely manner. 2. Individuals other than athletic department staff members may report an alleged violation to any or all of the following persons: a. The Associate Athletic Director for Compliance/Student Services or the Assistant Athletic Director for Compliance b. The Director of Intercollegiate Athletics c. The Faculty Athletics Representative. Conducting an Investigation of an Alleged MajorViolation. 1. The Athletics Compliance Committee appointed by the Chancellor will be responsible for overseeing the investigation and ultimate reporting of all potential major rules violations. Alleged major rules violations will be investigated until the committee has definitively established that a violation did or did not occur. This information is shared with the Athletics Compliance Committee to determine whether the violation is a secondary level one, secondary level two, or a major violation. The University legal counsel will be contacted and involved in the resolution of potential major rules violations to the extent deemed necessary. 2. The shall maintain a written record of all alleged violations. The record shall consist of the following: a. Date that the alleged violation was reported to the Office of Athletics Compliance and by whom the violation was reported. 11

12 b. Detailed summary of the nature of the alleged violation, including the names of all persons involved in the alleged violation. c. Chronology of actions taken by the University in the investigation of the alleged violation. d. Rationale for concluding whether the allegation was or was not determined to be a violation of NCAA regulations. 3. If a secondary violation has occurred, the will keep on file a copy of the report of the violation and subsequent correspondence with the NCAA and Conference staff. Copies of the self-report will be sent to the following: Chancellor, Director of Intercollegiate Athletics; Associate Athletic Director/Senior Woman Administrator; Faculty Athletics Representative; University Legal Counsel (at counsel s request); the Conference Office; supervising Associate Athletic Director and involved staff member(s). 4. Records and reports of confirmed violations will be maintained in the permanent files of the. Finding a Violation Occurred. The Associate Athletic Director for Compliance/Student Services shall determine that a violation occurred whenever the preponderance of the evidence, considered as a whole, establishes the occurrence of the violation. It shall be the responsibility of the Associate Athletic Director for Compliance/Student Services (in consultation with the Athletics Compliance Committee) to assess the evidence to determine what weight and credibility will be given to the violation. Information to be Included in the University's Self-Report. Self reports of a violation shall include: 1. The date and location of the violation. 2. The identities of involved student-athletes, prospective student-athletes, coaches, staff members and any other individuals involved in the violation. 3. The means by which the institution became aware of this information. Note: If a newspaper article alerted the institution, a copy of the article shall be included. 4. The cause of the violation (e.g., lack of knowledge, human error, etc.), an explanation of the circumstances surrounding the violation and any mitigating circumstances that may exist. 5. A list of corrective and/or punitive actions taken by the institution in response to the violation. 6. The institution's position regarding the violation and surrounding circumstance. The institution will indicate whether it believes a violation occurred and the specific legislation it believes has been violated. Alleged Violations Involving Other NCAA Institutions. 1. If an individual has knowledge of an alleged violation that involves another NCAA member institution and impacts the University, he/she shall report the alleged violation(s) to the Associate Athletic Director for Compliance/Student Services, their supervising Associate Athletic Director, and/or the Director of Intercollegiate Athletics. 12

13 2. The Associate Athletic Director for Compliance/Student Services will discuss the violation and desired plan of action to address the situation with the Director of Intercollegiate Athletics and the appropriate coaching staff members who have lodged the accusation. The may then contact the compliance administrator or the athletics director at the accused member institution to request that the alleged violation be investigated. The Associate Athletic Director for Compliance/Student Services may then contact the Big 12 or the NCAA staff and request that the Conference office or NCAA staff contact the accused institution or that institution's conference. 13

14 Rules Education Program Publications Interpretations 14

15 The TCU has established a rules education program to comply with NCAA, Conference, and Institutional rules and regulations. This program includes: Assistance in preparation for Coaches Certification Exam Annual Compliance Meetings for Student-Athletes The conducts three annual compliance education meetings for all student-athletes. A compliance orientation meeting is held at the beginning, middle (prior to winter break) and end of the academic year for each sports program. All student-athletes and at least one coaching staff member are required to attend these meetings. All required NCAA, Big 12 and TCU compliance forms and documentation are completed during these meetings. Data from these forms is stored in Assistant Coach Systems (ACS) and is also inputted into CAi. Monthly Educational Newsletter The Compliance Update - Staff Edition The produces a staff edition of The Compliance Update which is issued via on a monthly basis. This publication covers appropriate NCAA announcements, new legislation, and other compliance issues pertaining to TCU staff members. Monthly Educational Newsletter The Compliance Update - Coaches Edition The produces an educational newsletter entitled The Compliance Update which is delivered to coaches on a monthly basis via . This publication covers appropriate compliance issues for the month, communicates deadlines for documentation and compliance announcements. Educational Newsletter The Compliance Update - Booster Edition The produces a yearly edition of The Compliance Update. This publication covers issues such as extra benefits, employment of student-athletes, recruiting and permissible activities of boosters. This publication is sent to season ticket holders in baseball, basketball, and football. Education is also provided to boosters via the Notes on a Scorecard on a weekly basis in the Compliance section. The provides educational public service announcements for the video board and public address system for home contests, along with basic NCAA rules information in the yearly football Fan Guide. Monthly Educational Newsletter The Compliance Update - Student-Athlete Edition The produces a monthly on-line studentathlete edition of The Compliance Update. This newsletter communicates information pertinent to student-athlete compliance issues, including the 15

16 completion of required compliance forms; (NCAA, Big 12, TCU, Department procedures); and a compliance calendar. Monthly Educational Meetings with each individual sport coaching staffs The meets with each individual coaching staff on a monthly basis to discuss program specific NCAA bylaws and relevant compliance issues. All coaches are required to attend these monthly educational meetings unless the absence is excused (e.g., recruiting travel, business travel, illness, etc.). If a coach is not in attendance, a member of the Compliance staff will forward, via , a copy of the agenda and all materials reviewed during the meeting. The coach is required to review all materials provided in the and respond to the Compliance staff via that he/she has read and understands all the information that was covered during the meeting. Monthly Departmental Staff Meeting The conducts a monthly compliance meeting for the entire department s coaching staff. All programs are required to be represented by at least one coaching staff member. New Staff Compliance Orientation Meetings The conducts orientation meetings for all new Athletics Department staff outlining the compliance issues which pertain to their position (i.e., ticket office, marketing, business office, etc.). Bi-annual Compliance Meeting with Individual Athletic Department Staff (e.g. Business Office, Marketing, Administrative Assistants, etc ) Annual NCAA Compliance Staff Exam All athletic department staff members (except coaches) are required to complete a question exam written by the Office of Athletics Compliance. All questions pertain to NCAA rules and regulations. Rules Interpretation Procedure Procedure for Coaches: 1. Coaches should submit questions and surrounding facts to the Office of Athletics Compliance. These questions may be submitted via , telephone or via an in-person meeting. Procedure for Compliance Staff: 1. The conducts the appropriate research to determine a correct answer. This may include reference to the NCAA Manual, NCAA Legislative Services Database (LSDBI), the Big 12 bylaws, discussion with other compliance staff members, or an or telephone call to the NCAA or Big

17 2. A compliance staff member drafts an interpretation of NCAA or conference regulations. 3. All interpretations are reviewed by the Associate Athletic Director for Compliance/Student Services/Student Services or Assistant Athletic Director for Compliance and sent out via to the staff member requesting the interpretation and are copied to the entire compliance staff as well. A copy of the interpretation is kept on file electronically for future reference. 17

18 Personnel Conduct and Ethics Policies and Procedures Organization Position Descriptions 18

19 Conduct and Ethics for Athletics Personnel and Student-Athletes The Texas Christian University (TCU) Athletics Department adheres to the rules and principles for Conduct of Intercollegiate Athletics delineated by the National Collegiate Athletic Association (NCAA). All Athletics Department staff members are responsible for complying with all rules and regulations as outlined by the NCAA, Mountain West Conference and TCU. Unethical Conduct (NCAA Manual) Unethical conduct by a prospective or enrolled student-athlete or a current or former TCU staff member (e.g., coach, professor, tutor, teaching assistant, student-manager, studenttrainer, etc.) may include, but is not limited to, the following: a. Refusal to furnish information relevant to an investigation of a possible violation of an NCAA regulation when requested to do so by the NCAA or TCU; b. Knowing involvement in arranging for fraudulent academic credit or false transcripts for a prospective or an enrolled student-athlete; c. Knowing involvement in offering or providing a prospective or an enrolled studentathlete an improper inducement or extra benefit or improper financial aid; d. Knowingly furnishing the NCAA or TCU false or misleading information concerning the individual's involvement in or knowledge of matters relevant to a possible violation of an NCAA regulation; or e. Receipt of benefits by a TCU staff member for facilitating or arranging a meeting between a student-athlete and an agent, financial advisor or a representative of an agent or advisor (e.g., "runner"); f. Knowing involvement in providing a banned substance or impermissible supplement to student-athletes, or knowingly providing medications to student-athletes contrary to medical licensure, commonly accepted standards of care in sports medicine practice, or state and federal law; g. Failure to provide complete and accurate information to the NCAA, the NCAA Eligibility Center or an institution's admissions office regarding an individual's academic record (e.g., schools attended, completion of coursework, grades and test scores); h. Fraudulence or misconduct in connection with entrance or placement examinations; i. Engaging in any athletics competition under an assumed name or with intent to otherwise deceive; or j. Failure to provide complete and accurate information to the NCAA, the NCAA Eligibility Center or the institution's athletics department regarding an individual's amateur status. As a provision of employment, the institution shall require Athletics Department staff members to give full cooperation in any investigation by the institution, conference or NCAA. Athletics Department staff members are subject to all penalties within NCAA Bylaw 19.5 if staff members are found to be involved in deliberate or serious violation of NCAA regulations, and that staff members will cooperate fully with TCU, the conference and the NCAA in any investigation. 19

20 Policies and Procedures Tobacco Policy The use of tobacco products is prohibited by all game personnel (e.g., coaches, trainers, managers and game officials) and student-athletes in all sports during practice and competition. Uniform penalties (as determined by the applicable rules-making committees and sports committees with rules-making responsibilities) shall be established for such use. Relative to the use of tobacco products by all game personnel, the Athletics Department s athletic trainers are assigned to monitor this issue in their respective sports, in conjunction with the sport s supervising Associate Athletic Director. If usage is determined, the athletic trainer notifies the supervising associate athletics director, who reports the violation to the. The Athletics Compliance staff processes the violation, makes an initial attempt to notify and when appropriate counsel the individual involved. The team physician is used as a resource when needed. The supervising Associate Athletic Director is notified and consulted if further counsel or reprimand is required. Gambling Policy (NCAA Manual) Members of the TCU Department of Athletics and student-athletes shall not knowingly: a. Provide information to individuals involved in organized gambling activities concerning intercollegiate athletics competition; b. Solicit a bet on any intercollegiate team; c. Accept a bet on any team representing the institution; d. Solicit or accept a bet on any intercollegiate competition for any item (e.g., cash, shirt, dinner) that has tangible value; or e. Participate in any gambling activity that involves intercollegiate athletics or professional athletics, through a bookmaker, a parlay card or any other method employed by organized gambling. Alcohol Policy (TCU Staff Handbook) Except for certain specified areas within University residence halls approved by the Vice Chancellor for Student Affairs and for specific events authorized by the Chancellor or Provost in University buildings, the consumption, sale or use of alcoholic beverages is prohibited on campus. The consumption of alcohol is permissible for persons of legal drinking age in parking lots immediately adjacent to Amon G. Carter Stadium from five hours before until 90 minutes after TCU home football games. Alcohol is not permitted in the stadium at any time. The purchase or sale of alcoholic beverages is prohibited everywhere on the campus. Furthermore, no person may provide any alcoholic beverages to any person less than 21 years 20

21 of age. The University also prohibits the use or possession of alcoholic beverages in all instructional settings including those remote to the campus. Drug Policy (TCU Staff Handbook) The University prohibits the unlawful possession, use, manufacture or distribution, of illicit drugs on University property, or at University sponsored activities. Besides there illegal implications, these drugs are a health hazard and are incompatible with the philosophy and objectives of the University. In addition, faculty and staff directly engaged in the performance of work, under the provisions of a federal contract ($25,000 or more) or grant are subject to the Drug-Free Workplace Act of For complete information for specific provisions of this act, contact the human resources department, the alcohol and drug education center, or the office of research and sponsored projects. Any violations of the Drug and Alcohol policy may result in disciplinary action ranging from a reprimand to a suspension without pay for an appropriate period or termination of employment. Sexual Harassment Policy (TCU Staff Handbook) According to the University Handbook for Faculty and Staff, the university administration, faculty, staff, and students are responsible for assuring that the University maintains an environment for work and study free from sexual harassment. "Sexual harassment is unlawful and impedes the realization of the University's mission of distinction in education, scholarship and service. Sexual harassment violates the dignity of individuals and will not be tolerated. The University community seeks to eliminate sexual harassment through education and by encouraging faculty, staff, and students to report concerns or complaints. Prompt corrective action measures will be taken to stop sexual harassment if it occurs." "A consensual sexual relationship between a supervisor and employee is a violation of the TCU Sexual Harassment Policy. It is a breach of professional ethics for a faculty or staff member to initiate or to acquiesce to a sexual relationship with a student or person under direct or indirect supervision of that faculty or staff member. Texas Christian University thus prohibits, for example, a sexual relationship between a coach/athletic staff member and a student athlete. The above applies even when both parties appear to have consented to the relationship." The University and Athletics Department view a violation of this policy in a serious manner. Severe consequences can and will be taken for such cases. Please review this and other University policies in the Faculty and Staff Handbook. All of you should have a copy in your offices for review and references. 21

22 Standards of Honesty and Sportsmanship (NCAA Manual) Individuals employed by (or associated with) TCU to administer, conduct or coach Intercollegiate Athletics and all participating student-athletes, shall act with honesty and sportsmanship at all times so that intercollegiate athletics as a whole, TCU, and they, as individuals, shall represent the honor and dignity of fair play and the generally recognized high standards associated with wholesome competitive sports. Responsibility for Violations of NCAA Regulations (NCAA Manual) TCU staff members found in violation of NCAA regulations shall be subject to disciplinary or corrective action as set forth in the provisions of the NCAA enforcement procedures, whether such violations occurred at the certifying institution or during the individual's previous employment at another member institution. Responsibility of Head Coach (NCAA Manual) It shall be the responsibility of a TCU head coach to promote an atmosphere for compliance within the program supervised by the coach and to monitor the activities regarding compliance of all assistant coaches and other administrators involved with the program who report directly or indirectly to the coach. Use of Association Name or Affiliation (NCAA Manual) TCU staff members and others serving on the Association's committees or acting as consultants shall not use, directly or by implication, the Association's name or their affiliation with the Association in the endorsement of products or services. Representing Individuals in Marketing Athletics Ability/Reputation (NCAA Manual) Staff members of the TCU Athletics Department shall not represent, directly or indirectly, any individual in the marketing of athletics ability or reputation to an agent, a professional sports team or a professional sports organization, including receiving compensation for arranging commercial endorsements or personal appearances for former student-athletes, except as specified in NCAA Bylaw , and shall not receive compensation or gratuities of any kind, directly or indirectly, for such services. Stipulation That NCAA Enforcement Provisions Apply (NCAA Manual) Contractual agreements or appointments between a coach and TCU shall include the stipulation that a coach who is found in violation of NCAA regulations shall be subject to disciplinary or corrective action as set forth in the provisions of the NCAA enforcement procedures, including suspension without pay or termination of employment for significant or repetitive violations. 22

23 Athletically Related Income (NCAA Manual) Contractual agreements, including letters of appointment, between a full-time or part-time athletics department staff member (excluding secretarial or clerical personnel) and TCU shall include the stipulation that the staff member is required to provide a written detailed account annually to the chief executive officer for all athletically related income and benefits from sources outside the institution. In addition, the approval of all athletically related income and benefits shall be consistent with TCU s policy related to outside income and benefits applicable to all full-time or part-time employees. Sources of such income shall include, but are not limited to, the following: a. Income from annuities; b. Sports camps; c. Housing benefits (including preferential housing arrangements); d. Country club memberships; e. Complimentary ticket sales; f. Television and radio programs; and g. Endorsement or consultation contracts with athletics shoe, apparel or equipment manufacturers. Procedure for Compliance Staff: 1. The Assistant Athletic Director for Compliance issues an Outside Income Form to all athletic department staff in late July. 2. All athletic department staff member are required to return the completed forms to the Compliance office prior to August 31 st. 3. The Associate Athletic Director for Compliance/Student Services/Student Services collects and delivers these forms to the Director of Intercollegiate Athletics and the Chancellor of the University. 4. The Chancellor must review and approve each form. Control of Employment and Salaries (NCAA Manual) TCU, as opposed to any outside source, shall remain in control of determining who is to be its employee and the amount of salary the employee is to receive within the restrictions specified by NCAA legislation. Bona Fide Outside Employment (NCAA Manual) A TCU staff member may earn income in addition to the institutional salary by performing services for outside groups. Supplemental Pay (NCAA Manual) An outside source is prohibited from paying or regularly supplementing a TCU Athletics Department staff member's annual salary and from arranging to supplement that salary for an unspecified achievement. This includes the donation of cash from outside sources to TCU earmarked for the staff member's salary or supplemental income. It would be permissible for 23

24 an outside source to donate funds to TCU to be used as determined by the TCU, and it would be permissible for TCU, at its sole discretion, to use such funds to pay or supplement a staff member's salary. Bonuses for Specific and Extraordinary Achievement (NCAA Manual) TCU may permit an outside individual, group or agency to supplement an athletics department staff member's salary with a direct cash payment in recognition of a specific and extraordinary achievement (e.g., contribution during career to the athletics department of the institution, winning a conference or national championship, number of games or meets won during career/season), provided such a cash supplement is in recognition of a specific achievement and is in conformance with TCU policy. Non-institutional Publications That Report on Athletics Program (NCAA Manual) TCU Athletics Department staff members shall not endorse (either orally or in writing) any non-institutional publication dedicated primarily to reporting on an institution's athletics activities, except as provided in this section, and shall not write for such publications. Educational Articles (NCAA Manual) TCU Athletics Department staff members may write educational articles related to NCAA rules and crowd control for non-institutional publications dedicated primarily to reporting on an institution's athletics activities. Recruiting Service Consultants (NCAA Manual) TCU Athletics Department staff members may not endorse, serve as consultants or participate on advisory panels for any recruiting or scouting service involving prospects. Quotations and Pictures Used to Promote a Camp (NCAA Manual) TCU coaching staff members may not promote non-institutional camps or clinics by permitting the use of quotations and/or pictures in the camp or clinic brochure, unless such coaching staff members are employed by the camp. Limitations on the Number and Duties of Coaches (NCAA Manual) Athletics Department staff members must count against coaching limits as soon as the individual participates (in any manner) in the coaching of the intercollegiate team in practice, games, or organized activities directly related to that sport, including any organized staff activity directly related to that sport. Note: each sport has specific limitations on the number of coaches who may be on staff. Procedure for Coaches: 1. Complete Countable Coaches Form before the first day of classes of each academic year. 24

25 Procedure for Compliance Staff: 1. Coaches are required to complete and return the Countable Coaches Form to the Assistant Athletic Director for Compliance at the beginning of each academic year. 2. Coaches are required to submit a job description attached to the Countable Coaches Form describing duties to be performed by a volunteer assistant coach. 3. The reviews this form to ensure compliance with NCAA Bylaw The posts a directory of countable coaches on its website. 25

26 Chancellor Director of Intercollegiate Athletics Texas Christian University Organization Associate Athletic Director for Student Services/Compliance Assistant Athletic Director for Compliance Compliance Coordinator (Recruiting Monitoring) Compliance Coordinator (Financial Aid) Administrative Assistant for Compliance Position Descriptions ASSOCIATE ATHLETIC DIRECTOR FOR COMPLIANCE/STUDENT SERVICES/STUDENT SERVICES It is the responsibility of the Associate Athletic Director for Compliance/Student Services to coordinate, implement, facilitate, oversee and evaluate all facets of the Office of Athletics Compliance. This includes the educational, monitoring and investigating components as well as other areas within the program that strengthen and enhance the athletic compliance effort as a whole. The Associate Athletic Director for Compliance/Student Services reports directly to the Director of Intercollegiate Athletics, and provides oversight for the Assistant Athletic Director for Compliance, the Compliance Coordinators and the Administrative Assistant. The Associate Athletic Director for Compliance/Student Services has a direct reporting line to the Chancellor of the University if deemed necessary. It is the responsibility of the Associate Athletic Director for Compliance/Student Services to ensure that designated personnel with the inform and educate Athletics Department personnel, student-athletes, staff external to the Athletics Department, student support groups, boosters, former students and the public regarding NCAA rules and regulations, as well as monitor all phases of recruiting, financial aid, academic eligibility and 26

27 other areas requiring specific oversight. In addition, any issues regarding non-compliance with such rules and regulations shall be reviewed, investigated, and reported through the Athletics Compliance Office until such time as it is determined that outside counsel is necessary. It is the responsibility of the Associate Athletic Director for Compliance/Student Services to ensure that the total institutional compliance program is engaged and functioning. INSTITUTIONAL COMPLIANCE PROGRAM The institutional compliance program consists of several major components the educational system, the monitoring system, the reporting system, and the investigation and evaluation systems. These systems are necessary to have an effective compliance program at the institutional level and should be engaged and functioning. Although having these systems in place will not eliminate violations, they provide the institution the educational tools to understand the rules, the monitoring system necessary to detect problems, enforcement to deter actions contrary to the rules, and an evaluation process to review and modify systems and procedures as needed. EDUCATION SYSTEM Coordination and Implementation Assistant Athletic Director for Compliance Oversight Associate Athletic Director for Compliance/Student Services 1. Written and verbal education. See Assistant Athletic Director for Compliance job description for details of educational efforts. 2. Standardized interpretation process. Response to questions related to NCAA and Big 12 regulations. 3. Promotion of overall athletic compliance program and integrity of TCU and its athletics department. 4. Prepare coaches certification exam review materials and conduct review sessions for annual test required by the NCAA and proctored by the Faculty Athletics Representative. MONITORING SYSTEM Coordination and Implementation Compliance Coordinators Oversight Assistant Athletic Director for Compliance 1. Areas requiring monitoring. See Compliance Coordinator job description for details of monitoring efforts. WAIVER SUBMISSION Coordination and Implementation Associate Athletic Director for Compliance/Student Services & Assistant Athletic Director for Compliance 1. Prepare and submit applications and/or letters of appeal for NCAA and Conference waivers. 2. Communicate decisions with institutional and conference personnel. 27

28 REPORT SUBMISSION Coordination and Implementation Associate Athletic Director for Compliance/Student Services and Assistant Athletic Director for Compliance Development and review of NCAA, Conference, institutional and departmental reports and information. INVESTIGATION/ENFORCEMENT PROCESS Coordination and Implementation Associate Athletic Director for Compliance/Student Services and Assistant Athletic Director for Compliance 1. Institutional process to investigate, review and report possible institutional violations. a. Investigation of alleged violations that potentially could be deemed as secondary or major and communicating such information to the conference and/or NCAA. b. Report of secondary violation and request for reinstatement of eligibility if applicable. 2. Procedures for determining in an infractions case when outside counsel is necessary. EVALUATION OF PROGRAM Coordination and Implementation Associate Athletic Director for Compliance/Student Services and Assistant Athletic Director for Compliance 1. Ongoing internal review of effectiveness and efficiency of athletics compliance components and systems. 2. Participate in NCAA athletics certification for the institution. 3. Participate in NCAA Self-Studies and conference office reviews. 4. Review of institutional and outside audit reports. Financial audit and compliance audits are reviewed. 5. Monitor Academic Eligibility Information a. Review rosters before being dispersed to Certification Specialist at the beginning of the year. b. Notify Certification Specialist as to each team's competition starting date. 6. Maintain team rosters 7. Update additions and deletions for team rosters and provide notice of changes to other staff members 8. Compile NCAA squad lists for certification. Certification Specialist obtains the signatures of the Registrar and FAR. 9. Associate Athletic Director for Compliance/Student Services obtains signature of Director of Intercollegiate Athletics and Head Coach. 10. Send NCAA squad list and Big 12 Eligibility Report to Conference Office prior to the first contest and at the conclusion of the academic year. RESOURCES 1. Institutional procedure for contacting NCAA and conference personnel for interpretations or other questions. 2. Use of NCAA Compliance Assistance Software. 3. Access to Internet based interpretations database and NCAA web page for committee minutes. 4. Maintenance of legislative library (e.g., NCAA manuals, Conference manuals, etc.). 5. Attendance at NCAA and Big 12 Conference seminars and meetings. 28