2007 Reaffirmation Teams :: 3.2.11 - 2007 Reaffirmation Teams

2007 Reaffirmation Teams

3.2.11 - 2007 Reaffirmation Teams

The institution's chief executive officer has ultimate responsibility for, and exercises appropriate administrative and fiscal control over, the institution's intercollegiate athletics program.

Compliance Judgment

Compliance

Narrative

The president of The University of Texas at Dallas (UT Dallas) has ultimate responsibility for, and exercises appropriate administrative and fiscal control over, UT Dallas’ intercollegiate athletics program. As the chief executive officer, the president is actively involved in the direction and oversight, either directly or through designated representatives, of the intercollegiate athletics program. As discussed in the response to Principle 203 [1], the president’s responsibility for and control over the university and its budget is codified in Series 20201 of The University of Texas System (UT System) Board of Regents’ Rules and Regulations, which assigns to the president “general authority and responsibility for the administration” of the institution [2]. The president’s job description further documents his responsibility for “administering policies,” “supervising expenditures,” and “developing long range plans” in accordance with Series 20201 [3]. These duties clearly cover the oversight of intercollegiate athletics. Series 50801 [4] further codifies the president’s responsibility for oversight by specifically directing the president to ensure that “necessary rules and regulations are made so as to comply with Article III, Section 9, General Appropriations Act, 78th Legislative Session of the Texas Legislature [5],” which covers intercollegiate athletics in the State of Texas.

UT Dallas is a member of the National Collegiate Athletic Association (NCAA) [6] and the Division III American Southwest Conference (ASC) [7], and abides by the rules and regulations of both organizations. NCAA Article 2.1.1 requires the chief executive officer to be “responsible for all aspects of athletics program administration, including approval of the budget and audit of all expenditures [8].” The UT Dallas president serves as a member of the Council of Presidents of the ASC in accordance with the American Southwest Conference Operating Manual, which stipulates that the Council of the Presidents of the Conference be composed of the chief executive officers of the component institutions [9].

NCAA Article 6.3.1 requires that, once every five years, all NCAA Division III member institutions conduct a self-study focused on compliance with NCAA Operating Principles, including compliance with the requirement that the president provide adequate supervision of the athletic program [10]. A self-study conducted by UT Dallas in 2003 confirmed compliance [11]. UT Dallas will conduct its next self-study of its intercollegiate athletics program by June 1, 2009. Additionally, in compliance with NCAA bylaw 30.13, the president certifies each academic year UT Dallas is in compliance with NCAA rules [12].

Administrative Control

Consistent with Section 4 of Series 20201 [2], the president has delegated oversight of institutional and conference activities relating to intercollegiate athletics to the director of intercollegiate athletics. As is the case with all administrative appointees, the director is appointed by, reports to, and serves at the pleasure of the president and is evaluated annually in accordance with Series 30501 [13]. The UT Dallas Organizational Chart documents that the director of intercollegiate athletics reports directly to the assistant vice president for student affairs and dean of students [14], who in turn reports directly to the vice president for student affairs [15]. Section 50.03 of Chapter 50, which governs intercollegiate athletics, of the Handbook of Operating Procedures clearly states that the director is “responsible for assuring that the intercollegiate athletic programs are conducted in compliance with such rules, regulation, constitutions, and bylaws” of the NCAA [16].

In addition, UT Dallas has an Athletic Advisory Board to provide additional advice and oversight of the intercollegiate athletics program [17]. The Board advises the president on immediate and longer range planning, compliance, budgeting, scheduling and other matters of importance to the program. In accordance with the NCAA 6.1.2.1 of the NCAA Division III Manual [18], the Board consists of three faculty members, two student-athletes, three administrators, the dean of students, director of athletics, a representative from the Business Affairs Office, and at-large positions appointed by the president. The Board meets twice each semester and/or as needed, and reports directly to the president through the vice president for student affairs, who serves as chair of the Board, and who reports the activities of the Board to the president.

As a Division III member, UT Dallas does not award athletic scholarships; however, many of the athletes do receive academic scholarships. These students’ progress is monitored by the intercollegiate compliance officer, an advisor attached to the Office of Undergraduate Advising.

Fiscal Control

The budgeting process for intercollegiate athletics follows the process outlined in the response to Principle 2.11.1 [19]. During the spring semester, the dean of students and the director of intercollegiate athletics develop a budget presentation addressing accomplishments of the previous year and priorities of the coming year with related funding requirements. This proposed budget is then presented to the vice president for student affairs, who recommends the budget to the Student Fee Committee before it is sent to the president for approval [20]. Beginning in fiscal year 2007, the university began using the online assessment module, Assessment Tool 6 (AT6), to document planning activities. Budget requests for FY2008 require each major unit to submit an Annual Report for Institutional Effectiveness and Budgeting [21]. The president [3] and the executive staff evaluate the priority requests of the intercollegiate athletics program, in the context of the strategic goals of the university, and ultimately the president must approve the proposed budget for athletics before it is submitted to the UT System Budget Office and the Board of Regents for approval.

The assistant director of athletics reports directly to the athletic director and is charged with fundraising and gift development to support the annual athletic budget. These efforts include working with the Comet Club [22]. The fundraising activities of the intercollegiate athletics program are monitored and assessed using AT6 [23]. In addition, UT Dallas and its president strictly abide by the policies and procedures stipulated in Series 60101 of Regents’ Rules regarding the acceptance and administration of gifts [24]. To further ensure fiscal compliance, the Office of the Associate Vice President for Finance sends Letters of Representation at the end of each fiscal year to all account managers, including the account manager for the intercollegiate athletics program, requiring their certification regarding various financial issues [25]. Account managers certify that they have completed their monthly account reconciliations, utilized funds in accordance with the funding source and with UT Dallas policies, ensured a proper segregation of duties, and provided an adequate system of internal controls in their departments. They also certify that they are not aware of any instances of unreported fraudulent activities occurring in their areas. The account managers must submit these Letters of Representation to their respective vice presidents, who in turn submit them to the Office of Finance for monitoring.

Finally, the Office of Audit and Compliance [26], which reports directly to the president, is charged with evaluating and improving the effectiveness of UT Dallas’ operations and with promoting and supporting a culture of compliance and control consciousness. The work of the office extends to periodic audits of intercollegiate athletics. The office also provides online compliance training [27] and performs risk analyses in conjunction with the Compliance Subcommittee [28]. These analyses are presented to the president and his executive staff quarterly [29].

Supporting Documents

Footnote Document
[1]Principle 2.3 - Chief Executive Officer (u203)
Link to UT Dallas 2007-ccr Compliance Certification Report
[2]Series 20201: Presidents
PDF Document, 6 Pages, 23.83 KB (rule1036)
[3]Job description: President - David Daniel (dedaniel)
PDF Document, 2 Pages, 24.75 KB (job1288)
[4]Series 50801, Board of Regents: Athletics Policy
PDF Document, 1 Page, 17.52 KB (rule1045)
[5]Texas Legislature 78 Article III, Section 9 Intercollegiate Athletics
PDF Document, 1 Page, 25.29 KB (law1014)
[6]NCAA Division III Members List - UT Dallas Page 10
PDF Document, 12 Pages, 48.07 KB (statement1290)
[7]American Southwest Conference Members List Website
PDF Document, 1 Page, 44.65 KB (statement1293)
[8]NCAA Division II Manual -2.1.1 Responsibility for Control
PDF Document, 1 Page, 11.26 KB (manual1045)
[9]American Southwest Conference Constitution Article VII Organization
PDF Document, 1 Page, 180.15 KB (rule1080)
[10]NCAA Division III Manual 6.3.1 Self Study Evaluation Report
PDF Document, 1 Page, 11.98 KB (manual1047)
[11]NCAA Division III Institutional Self-Study Guide to Enhance Integrity in Intercollegiate Athletics 2003
PDF Document, 39 Pages, 4.42 MB (report1224)
[12]Form 05-01 - Certification of Compliance of Institutions to certify compliance with NCAA rules for AY 2005-2006- dated 20050907
PDF Document, 3 Pages, 103.30 KB (form1033)
[13]Board of Regents Rule 30501-Employee Evaluations
PDF Document, 2 Pages, 17.97 KB (rule1013)
[14]Org Chart Director of Athletics and Dean of Students Website
PDF Document, 1 Page, 21.74 KB (statement1292)
[15]Org Chart VP of Student Affairs and Dean of Students Website
PDF Document, 1 Page, 20.86 KB (statement1291)
[16]Chapter 50 Intercollegiate Athletics
PDF Document, 2 Pages, 20.58 KB (rule1097)
[17]Athletics Advisory Board charge outlining AAB mission and duties
PDF Document, 1 Page, 21.97 KB (plan1041)
[18]NCAA Division II Manual -6.1.2.1 Composition of Athletic Board
PDF Document, 1 Page, 11.31 KB (manual1046)
[19]Principle 2.11.1 - Financial Resources (u214)
Link to UT Dallas 2007-ccr Compliance Certification Report
[20]PM 90-I.2-51Student Fee Advisory Committee
PDF Document, 2 Pages, 12.08 KB (policy1073)
[21]Annual Report for Institutional Effectiveness and Budgeting FY08
PDF Document, 7 Pages, 35.57 KB (report1125)
[22]Comet Club Homepage
PDF Document, 1 Page, 86.88 KB (statement1288)
[23]Assessment 2005-06 Intercollegiate Athletics
PDF Document, 13 Pages, 113.58 KB (report1045)
[24]Series 60101: Acceptance and Administration of Gifts
PDF Document, 6 Pages, 30.62 KB (rule1048)
[25]UT Dallas Letter of Representation Finance
PDF Document, 1 Page, 104.59 KB (correspondence1022)
[26]Office of Audit and Compliance Homepage
PDF Document, 1 Page, 36.24 KB (statement1011)
[27]Office of Audit and Compliance Training Homepage
PDF Document, 1 Page, 44.86 KB (statement1287)
[28]Office of Audit and Compliance - Compliance Subcommittee
PDF Document, 3 Pages, 53.84 KB (statement1289)
[29]Risk Analysis Presented to President and Executive Staff
PDF Document, 6 Pages, 40.99 KB (report1378)
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