University of Wyoming Athletics Department
Governance and Commitment to Rules

Operating Principle

1.1 Mission of the Athletics Program and the Institution. Maintaining intercollegiate athletics as an integral part of the educational program is a basic purpose of the Association. Consistent with this fundamental policy,

a. The institution shall demonstrate that the mission and goals of the athletics program:

(1) Relate clearly to the mission and goals of the institution;

(2) Support the educational objectives, academic progress and general welfare of student-athletes;

(3) Support equitable opportunity for all students and staff, including women and minorities;

(4) Embrace the Association's principles of sportsmanship and ethical conduct;

(5) Are widely circulated among the institution's internal and external constituencies.

b. The institution shall demonstrate that the actual practices of the institution's athletics program are consistent with the athletics program mission and goals.

Self Study Items

1. Please provide mission statements of the institution and athletics program and indicate the date of their last revision.

Response:

Copies of the University Mission Statement and the Division of Intercollegiate Athletics (DIA) Mission Statement are provided in Appendix A-1 and A-2 respectively. The University's Mission Statement was last revised in 1988. The recently approved Academic Plan calls for the Mission Statement to be revised during the 1999-2000 Academic Year. The formal DIA Mission Statement was last revised in 1994; however, in 1996 the goals and objectives of the DIA were updated and included a working document - Director of Athletics Bulletin #1 Policy for Intercollegiate Athletics, (See Appendix A-1). While these principles were not formally incorporated into the Mission Statement, they have formed the goals which the department has strived to achieve during the past four years. It should be noted that the Director of Athletics Bulletin #1 was formally approved by the Athletic Planning Committee on December 7, 1999.

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2. Explain how the mission of the athletics program relates to that of the institution as a whole.

Response:

As indicated in the University's Mission Statement, the primary mission of the University is to provide teaching, scholarship and outreach programs. The DIA provides a supportive role in the broader University mission. The first paragraph of the University's Mission Statement indicates: "...to promote development of the whole person, the university will provide a diverse array of superior co-curricular activities, including cultural, international, athletic and student-life programs." The mission statement of the DIA expands on the University mission by stating: "The Division affords student-athletes the opportunity to achieve their personal goals and to realize their full academic and athletic potential....The Division subscribes to high standards of academic quality and views its athletes as an integral part of the student body and, by so doing, retains a clear separation between intercollegiate athletics and professional sports."

The DIA Mission Statement supports opportunity for all student-athletes, including women, when it states, "...offers extensive opportunities for both men and women to participate in varsity intercollegiate athletics." However, there is no reference to staff members, male or female. The DIA has made great strides in this area, as evidenced by the increase in women's assistant coach positions and women's staff salaries and the number of scholarships for women student-athletes, but it is not noted in the DIA Mission Statement.

No reference is made to the opportunities given to minorities, staff or students in the DIA Mission Statement. In the Director of Athletics Bulletin #1-University of Wyoming Policy for the Division of Intercollegiate Athletics (AD Bulletin #1), Appendix A-3, the DIA states that it strives to "provide a positive learning environment that is ethnically and gender diverse."

See Operating Principle 4.2, for further details on opportunities that are currently being given to minority staff and students.

The DIA Mission Statement makes no reference to sportsmanship and ethical conduct. However, throughout the DIA's Policy and Procedures manual, (See Operating Principle 4.4 for further discussion of the DIA's commitment to sportsmanship and ethical conduct for staff, student-athletes, students, and fans) the DIA's emphasis on sportsmanship ethics are extensively documented.

3. Describe how and to whom the athletics program's mission statement is circulated.

Response:

Both the University Mission Statement and the DIA Mission Statement are printed annually in the University's General Bulletin. The University Mission Statement is included in the University's Strategic Plan that is submitted to the Governor. The Mission Statement of the DIA is included in the Student-Athlete Handbook and the division's Policies and Procedures manual.

4. Describe briefly, using specific examples, how the athletics program's mission and goals are or are not supported by the actual practices of the athletics program.

Response:

The mission statement of the University of Wyoming includes the recognition that athletic programs are one way to develop "the whole person." Additionally, it says, "The university is dedicated to promoting an environment of excellence and achievement which encourages the full personal development of those it serves and of those who serve the university" (italics added).

The mission statement of the DIA echoes those goals.

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The practices of the DIA support the athletics program's mission and goals in the following ways:

A. "[E]xtensive opportunities for both men and women": In the past ten years, the University has greatly increased the opportunities for women by expanding scholarships, coaching positions, and recruiting and operating budgets (see Operating Principle 4.1).

B. "Achieve their personal goals and realize their .... academic potential": All student-athletes indicate, upon admission, their choice of academic major/program, as do all students at UW. Each student is then assigned an advisor within that major/program; that academic advisor works with the student in determining course selection, assuring that the student will meet graduation requirements, exploring career options, etc. Advisors also provide guidance in class scheduling, obtaining additional academic help such as tutoring, and being aware of the student services available at the University of Wyoming for them.

Students who have not yet formulated specific goals regarding a major or career may indicate that they wish to be admitted as "undeclared" within a specific college or within the university as a whole. Approximately 18% of all entering students choose the "undeclared" status. When students determine which major or program they wish to pursue, they file a "Change of Major" form. Undeclared students (including undeclared student-athletes) are advised through special advising centers within a college or by the Center for Academic Advising. These special advisors work with undeclared students to explore options for majors/careers while at the same time taking classes which will help them graduate in a timely fashion (for example, classes which meet the all-UW University Studies requirements).

In addition, student-athletes have advisors in the Athletics Academic Counseling unit. These special advisers monitor the student-athletes' full-time student status and progress toward a degree, and provide additional help in scheduling classes which take into account the student-athletes' practice and travel schedules. They obtain tutoring for those students who need or desire that service. They are aware of all the other student services available and serve as a referral agency.

C. "Realize their full ... athletic potential": Student-athletes are involved in team practices, individual or group skill instruction, training and conditioning activities. All of these are designed to aid the student-athletes in realizing their full athletic potential.

D. "[V]iews its athletes as an integral part of the student body": student-athletes are treated the same as all students. They must meet the same admissions requirements, are assigned academic advisors (see above), are subject to the same requirements (for example, the freshmen "live-in" policy, which requires all freshmen to live in the University Residence Halls). They are honored for their academic achievements in the same way: at the annual Torchlight Laurels ceremony in the spring. The Student Athlete Advisory Committee is seeking certification as a recognized student organization from ASUW (the Associated Students of the University of Wyoming). Additionally, student-athletes are encouraged to take part in student clubs and activities, such as student chapters of professional associations.

Selected examples of how the division meets the goals:

As mentioned earlier, the DIA does support the goals of equity, sportsmanship, and ethical conduct, even though they are not referenced in the Mission Statement for the division. For example, the division has taken steps to ensure equity for minorities and women, both for staff and students (see Operating Principles 4.1 and 4.2, minorities and women's opportunities, participation and budgets. The areas of sportsmanship, including expectations for fans, and ethical conduct are clearly elucidated in the division's Policies and Procedures manual. (Also see Operating Principle 4.4 for additional explanation of the DIA's sportsmanship policies.)

The examples below are but a few of many that could be cited to demonstrate how the DIA's mission and goals are supported by actual practice in helping students-athletes to reach their full potential in both athletics and academics.

1. Je'ney Jackson, football - Je'ney began his academic career as an exercise and sport science major in the fall of 1993. He was a starter on the football team each year from his sophomore through his senior year. In the spring of 1996, Je'ney changed his major to biology and graduated with a B.S. in biology in May 1998. After attending professional football camp the following fall, he returned to Laramie where he is currently Assistant Strength Coach for UW's DIA.

2. Jay Korth, football - As a freshman, in the fall of 1993, Jay was an undeclared major in engineering. Two years later he knew which area of engineering he wanted to pursue and changed his major to mechanical engineering. He graduated with honors and a 3.92 gpa in May 1998. He was also the recipient of an NCAA Post-graduate Scholarship. Jay was a starter on the football team.

3. Gregg Sawyer, basketball and track/field - Gregg entered UW in fall 1994 with a declared major of architectural engineering. During his first year as a student, he reevaluated his career goals; and in fall 1995 he declared a new major, Bachelor of Science in secondary education/biological science. In spring 1997, he changed to a Bachelor of Arts in secondary education/biological science. He made those changes based on revisions to his personal goals. Gregg was a starter on the basketball team. After his eligibility in basketball was exhausted, he became a member of the track/field team, fulfilling yet another of his personal athletic goals. He graduated in May 1999 with a B.A. in secondary education/secondary science and plans to be a high school science teacher.

4. Sarah Smith, golf - Sarah was admitted in fall 1994 as an undeclared major in the College of Health Sciences. She was a pre-veterinary student. In spring 1995, she declared her major as zoology and physiology. She graduated in May 1998 with a B.S. in that major and a 3.56 gpa. She began her veterinary studies in the fall of 1998. She was named to the National Golf Coaches All-American Scholar Team for 1997-98. She played as the number 1 or 2 golfer on the team.

5. Anne Stohrer, volleyball - Anne started her academic career as an undeclared major in the College of Health Sciences in fall 1994. In spring 1995 she declared speech, language, and hearing science as her major with a goal of becoming a speech pathologist for children. She received her B.S. with honors in four years and a 3.65 gpa, while working her way back into a starting position on the volleyball team. She played her final year as a graduate student. Anne was named a National Strength and Conditioning Association Strength All-American.

6. Derek Washington, basketball - Derek was admitted to UW in the fall of 1994 as a Proposition 48 athlete. At that time, he was an undeclared major. He made a 2.25 gpa in his freshman year and thus was able to play the following year. Though he had problems with stress fractures in his feet, Derek played all of his eligible seasons, appearing in more games some seasons than others. In the meantime, he declared a major in health sciences. In the spring of 1998, he changed his major to social sciences in the College of Arts and Sciences. He received his B.S. in social sciences in May 1999.

7. Jessica Mellinger, women's golf - Jessica was admitted to the University of Wyoming in the Fall of 1996. She will graduate with honors in May 2000. She has been a member of the women's golf team since 1996. In December 1999, she was selected as one of 32 students nationwide to become a Rhodes Scholar.

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Operating Principle

1.2 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.

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Self-Study Items

1. Based upon the institution's experience in the last three years, list the decisions related to intercollegiate athletics in which the institution's governing board or individual board members have been significantly involved (if any).

Response:

Acting upon recommendations made by the President, the University of Wyoming's Board of Trustees approves all major decisions relating to financial matters, capital construction projects, personnel matters, and gender equity issues for the DIA. Major actions involving the Board of Trustees during the past three years include:

* Approved the Rochelle Athletics Center design and construction [November 1997]

* Discussed departure from the Western Athletic Conference and establishment of a new conference (now named the Mountain West Conference) [May 1997, July 1998, September 1998]

* Approved the Head Basketball Coach buyout [April 1998 - October 1998]

* Appointed personnel (approval of hirings)

* Major decisions involving hiring:

* July 27, 1996: Approved appointment of Director of Athletics (AD) (Moon).

* August 31, 1996: Approved appointment of Sr. Associate Director of Athletics (Brown) and Head Women's Volleyball Coach (Steadman).

* February 15, 1997: Approved appointment of Head Football Coach (Dimel) and assistants, and appointment of Athletic Trainer (Swenson).

* March 22, 1997: Approved appointment of Head Men's Basketball Coach (Shyatt), Assistant Football Coach (Knutsen) and three assistant coaches in Men's Basketball (Duncan, Driscoll, Francis).

* August 22, 1997: Approved appointment of Assistant Women's Volleyball Coach (Simon), Head Women's Golf Coach (Johnson), and Associate Director of Athletics (Pilling).

* March 14, 1998: Approved appointment of Associate Director of Athletics (Burke), Assistant Marketing Director (Sullivan), Assistant Ticket Manager (Landrus), and Head Strength Coach (Bennett).

* May 8, 1998: Approved appointment of Assistant Men's Basketball coaches (three), Head Women's Basketball Coach (Fisher), Head Swimming Coach (Johnson), and Head Men's Basketball Coach (McClain).

* Approved bringing radio/television operations into the DIA [August 1997, May 1998]

* Evaluated new sport feasibility plan [May - September 1998]

* Approved direct reporting of AD to President [November 1998]

* Approved gender equity plan [May 1999]

* Approved annual budgets [annually in May]

* Accepted internal and external audit reports and plans [various, including November 1997, May 1998, July 1998, November 1998, May 1999, July 1999]

* Approved a plan to install stadium lights [May 1999]

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2. Based upon the institution's experience in the last three years, list the decisions related to intercollegiate athletics in which the institution's chief executive officer has been significantly involved.

Response:

The President has ultimate responsibility for athletic programs, operations, and decisions. Key decisions in which he has been involved include:

* Decision and implementation of UW's departure from the Western Athletic Conference and affiliation with the newly formed Mountain West Conference [November 1998]

* Securing funding and provided planning for the Rochelle Athletics Center (re-worked the original architectural plans to an appropriate size in order to secure Trustee approval and adequate funding; worked with the donors to secure the major gift to permit moving ahead with the project) [Fall 1998]

* Worked with University and privately retained counsel to negotiate buy-out of head men's basketball coach

* Involvement in consulting role with AD in major hires including head football, men's basketball and women's basketball

* Involvement with UW's development of policy regarding non-and partial qualifiers [Fall 1998]

* Involvement directly in determining UW's position and ultimately the MWC's position on a required minimum GPA for student athlete competition [March 1999]

* Approval of UW's mandatory substance abuse policy changes for student athletes [August 1997]

* Decision along with the AD, to create compliance handbooks for use by coaches [Fall 1998]

* Directed the athletic staff to further analyze the gender equity issues to determine alternatives for meeting Office of Civil Rights requirements for achieving equity [Ongoing; annual report due each October]

* Provided guidance to AD to maintain a balanced budget each fiscal year

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3. Describe the process by which the institution makes major decisions regarding intercollegiate athletics. In so doing, describe the role and authority of the institution's governing board, the chief executive officer, the athletics board or committee (if one exists), the FAR(s), the AD, and any other appropriate campus constituencies (e.g., faculty, student, institutional personnel involved in rules-compliance activities) in this process. Please provide the composition of the athletics board or committee (including titles and positions).

Response:

The Knight Commission report recommended that intercollegiate athletics programs be under the personal direction of the universities' presidents. In November 1998 UW's president Dr. Philip Dubois changed the DIA reporting line directly to him, rather than through the General Counsel's Office (formerly Special Assistant to the President for Legal Affairs). This is reflected in the Trustee Regulation Chapter II, Section K; DIRECTOR OF INTERCOLLEGIATE ATHLETICS, which outlines the purpose and composition of the Athletic Planning Committee:

"K. DIRECTOR OF INTERCOLLEGIATE ATHLETICS"

"The Director of Intercollegiate Athletics shall be responsible to the President for the conduct of the University's intercollegiate athletic program to include the staging of all intercollegiate athletic contests and for the enforcement of all applicable rules and regulations of associations governing the conduct of intercollegiate athletics."

"A University athletic planning committee shall be advisory to the President for the formulation of intercollegiate athletics planning and policy. The committee shall consist of the following members:

"The FAR to the University's athletic conference and National Collegiate Athletic Association, who shall serve as Chair, eight other faculty members from degree granting colleges, two deans, three administrators (ex-officio), two staff members, two students, and the Director of Intercollegiate Athletics, all appointed by the President of the University."

The Athletic Planning Committee, (APC): The Committee was established to implement a recommendation of the previous NCAA certification self study. Its rationale, function and composition are outlined in University Regulation 2, Revision 6, Subject: Establishment of University Administrative Committees, section q. Athletic Planning Committee.

"i. Rationale. As a result of Trustee action authorizing the University of Wyoming to subscribe to the Knight Foundation Commission "one-plus-three" model for Intercollegiate Athletics presidential control directed toward academic integrity, financial integrity, and independent certification, the Committee shall be advisory to the President for the formulation of intercollegiate athletics planning and policy.

"ii. Functions. The Committee will review, formulate and initiate general and long-range goals, plans and policies pertaining to the DIA, within the framework of its mission. In addition, the committee shall review and assess matters pertaining to NCAA compliance and applications of University rules and regulations for eligibility, scholarships and equity; review annually the status of the DIA to determine needs, and submit findings to the President of the University; review regularly, in conjunction with the University FAR the academic issues, policies and progress associated with the student-athletes in the Division; meet at least quarterly at the discretion of the Chairperson or President of the University; report to the University of Wyoming Faculty Senate in general Senate meetings at least once annually and, upon request, to Staff Senate and Student Senate; and assume other duties as directed by the President of the University."

Since its inception, a few changes have been made. A UW Trustee no longer serves on this committee since the Board of Trustees has input at a higher authority level. The FAR has been designated as the chair. The University General Counsel originally chaired the APC.

The APC has three working subcommittees: Equity, Fiscal Integrity, and Academic Integrity. The Equity Subcommittee reviews budget, salaries, etc. looking for gender equity. The Fiscal Integrity Subcommittee reviews DIA budget reports, revenue projections, etc. The Academic Integrity Subcommittee reviews the processes used for excused absences from class, graduation rates and provides oversight of the other athletics academic counseling functions.

The full APC meets every other month and the subcommittees meet in the alternating months. Members serve staggered three-year terms. See Appendix A-4 for list of committee members.

The President and the Athletic Director (AD) bring matters to the APC for consideration and recommendation. Over the past three years, the schedule which the NCAA has used in its legislative matters has changed dramatically, reducing the opportunity for the APC's involvement. (Legislative matters are discussed by the President, AD, FAR, and General Counsel.) The APC has also initiated recommendations on its own, such as a recommendation to increase the number of computers available for use by student athletes. The APC also interacts with the Student Athlete Advisory Committee. The APC was asked for a recommendation on the Rochelle Athletics Center (RAC) and on the creation of an equestrian team to help with gender equity.

Trustee Involvement - At the trustee level, the board's Athletic Committee (see Appendix A-5 for a list of Board of Trustee members for 1999-2000 and A-6 for a list of Athletic Committee members) provides oversight on policy. Issues are brought to this trustee committee through the President, discussed both in the Athletic Committee and brought to the board as a whole for policy decisions. When necessary, the board has taken a very active role. The board and its Athletic Committee were instrumental in bringing the Cowboy Joe Club within the University structure by coordinating and attending a retreat with the Cowboy Joe Club's administration, the trustees, and the former president.

The President's Role and Authority - The President has ultimate responsibility for athletic programs, operations, and decisions. He meets at the beginning of each academic year with the athletic coaches and staff to stress the importance of their roles in representing the University and maintaining compliance with NCAA regulations. Once each year he meets with the DIA personnel. Twice each year he meets with the Athletic Planning Committee. He meets one-on-one with the AD as needed and frequently exchanges e-mail messages. His active involvement in the new MWC is another example of his direct participation in DIA's policy setting. His role in relationship to the Rochelle Athletics Center is significant, as he directed the planning, has oversight, and was instrumental in raising funds for the project.

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Operating Principle

1.3 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 institution's athletics interests comply with the applicable Association rules and regulations. Consistent with this responsibility, the institution shall demonstrate that:

a. 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.

b. In critical and sensitive areas, institutional compliance procedures provide for the regular participation of persons outside of the athletics division.

c. Rules compliance is the subject of ongoing educational effort.

d. A clear and unambiguous commitment to rules compliance is a central element in all personnel matters for individuals involved in the intercollegiate athletics program.

e. At least once every three years, its rules-compliance program is the subject of evaluation by an authority outside of the athletics division.

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Self-Study Items

1. Describe how the activities of the institution's athletics booster groups, support groups and other representatives of the institution's athletics interests are maintained under the clear control of the institution, including whether institutional personnel serve on booster-club, support group or foundation boards.

Response:

The Cowboy Joe Club, Inc. is the only booster club that has been organized by the University of Wyoming to aid its intercollegiate athletics program. It is a private 501(c)(3) organization. Funds are received and disbursed only in support of the University of Wyoming and its DIA. Disbursements are made to assist student-athletes by providing scholarships, by providing funding for facilities improvements and construction, and by supporting the DIA financially in many other areas. A copy of the Cowboy Joe Club's Bylaws are included in Appendix A-7.

The University of Wyoming maintains clear control of the activities of the Cowboy Joe Club through the Cowboy Joe Club Executive Committee. A listing of members in included in Appendix A-7(a). In addition to the members not associated with the University, the Executive Committee includes the following representatives from the University: The President of the University, the General Counsel, the Vice President for Institutional Advancement, the Associate Vice President for Administration, the AD, the Associate Director of Athletics and Executive Director of the Cowboy Joe Club and the Associate Director of the Cowboy Joe Club. This broad representation provides the institutional control for the activities of the Cowboy Joe Club. In addition, the club is audited annually by independent certified accountants.

The University of Wyoming imposed a major change on the Cowboy Joe Club as a result of the 1994 NCAA Athletics Certification review. While this change primarily involved the financial accounts of the booster club, it was both the message and the practice of bringing all financial activities of the booster club into the University that provides the catalyst for institutional control. Since the AD is an ex-officio member of the Cowboy Joe Club Board of Directors, he is able to provide guidance and education to the booster group as it relates to rules compliance. The DIA also provides the compliance booster guide (Guide for Boosters) (See Appendix D-36) to all members of the Cowboy Joe Club and season ticket holders in its annual mailings. When speaking to related groups, like the University Foundation Board, athletic division administrators also take the opportunity to provide the Guide for Boosters.

Rules compliance is an extremely important commitment, and education and training of the booster club is an ongoing process. The compliance philosophy statement (contained in the DIA's Compliance Handbook) addresses and explains the rules compliance education program and the steps taken to educate all the coaches, staff, student athletes, prospective student athletes, and alumni and support groups in an effective and systematic manner.

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2. Identify, using an organizational or flowchart, how the institution has organized itself to maintain compliance with NCAA rules. Specify the individual (other than the institution's compliance officer/coordinator) who the CEO designates as being responsible for the institution's rules compliance. Also, include a description of the reporting lines for and responsibilities assigned to the FAR, AD, CC (if any), coaches, and other key individuals inside and outside athletics (e.g., administrator monitoring permissible recruiting activities, registrar, financial aid officer, admissions director, internal auditor) who are responsible for documenting and monitoring compliance with NCAA rules.

Response:

The organization chart diagramming the DIA NCAA Compliance process is found in the Appendix A-8. It identifies the AD as primarily responsible for compliance. The process also documents the roles of the FAR, General Counsel , Director of Financial Aid, Director of Admissions, Compliance Coordinator and Internal Audit, all of these areas are operational parts of the compliance system, and integral to the compliance activity.

The delegation of compliance responsibilities, included in the compliance philosophy of the Compliance Handbook addresses responsibilities imposed on the Board of Trustees, the University President, DIA, coaches and staff, the FAR, Registrar, Director of Financial Aid and Director of Admissions, for their roles in compliance issues. All of their compliance responsibilities are detailed below. See Appendix A-9 for the Compliance Checklist which provides further details of their individuals' compliance responsibilities.

Board of Trustees - The Board of Trustees is responsible for manifesting a commitment to the institution's mission. The members are charged to select a CEO committed to integrity and institutional control and maintain institutional accountability. They review major initiatives of the DIA including the approval of contracts for athletics personnel. See Operating Principle 1.2 Self-Study Item 1 on p. 5

President - The Board of Trustees of the University of Wyoming has assigned authority to the President to appoint university personnel, including but not limited to the AD and all head coaches, and to establish standards of conduct for them. Annually, the President will reaffirm his commitment to NCAA principles by signing the NCAA Certification of Compliance. The President will advise the AD and FAR of University positions regarding proposed NCAA legislation.

University General Counsel - The University General Counsel oversees those matters relating to compliance with NCAA, University and Conference rules and regulations. All reports to the NCAA regarding possible rules violations and the Outside Income Forms are submitted to the General Counsel for approval. Finally, this person serves as a liaison between the Compliance Coordinator (CC) and the President concerning NCAA and conference compliance matters.

Director of Athletics, (AD) - The AD reviews and monitors the compliance operations, assists in the investigation of alleged infractions, oversees the compliance education program, and sanctions those individuals involved in the violation of NCAA rules. At least once a year the AD meets personally with each individual team for the purpose of reviewing NCAA and Conference rules. In addition, at least once a year, the AD informs all DIA personnel, representatives of athletics interests, members of booster groups, and other interested parties of UW's commitment to the principle of institutional control as defined by NCAA rules. All candidates for athletics positions are assessed by the AD with regard to their willingness and ability to abide by NCAA and Conference rules. Finally, the AD conducts exit interviews with all student-athletes who exhaust their athletic eligibility.

Faculty Athletics Representative, (FAR) - The role of the FAR is one of a facilitator, evaluator and potential investigator. This person helps assure that the University of Wyoming's athletics programs are consistent with the academic mission of the institution. She oversees the NCAA and conference compliance efforts by reviewing current policies and evaluating their effectiveness; participates in and monitors the rules education program; randomly audits financial aid, eligibility, and recruiting files. She participates in exit interviews with student-athletes, serves as an advisor to the Student-Athlete Advisory Committee, reviews the academic progress of student-athletes, assures that student-athletes are afforded opportunities to successfully complete their degrees, reports relevant matters involving intercollegiate athletics with the Faculty Senate, and provides periodic reporting of relevant issues concerning athletics to the Faculty Senate. This person chairs the APC. Also, the FAR certifies the eligibility of all student-athletes. This individual also provides input to the DIA, through the CC, on new policies and/or modifications to existing policies and procedures to be implemented by the DIA.

Registrar - The Registrar is responsible for the eligibility certification of all student-athletes, and she is the final authority regarding all eligibility determinations. More specifically, the Registrar is responsible for collecting the documentation necessary for certifying the continuing eligibility of all student-athletes, including transfer student-athletes. In addition, the Registrar monitors full-time enrollment so that student-athletes do not drop below full-time status. This individual also provides input to the DIA, through the CC, on new policies and/or modifications to existing policies and procedures to be implemented by the DIA.

Director of Financial Aid - The Director of Financial Aid is responsible for all student-athlete financial aid distribution. He monitors all countable aid and reports this to the CC. All decisions regarding the packaging of need-based financial aid for student-athletes are made by the Director of Financial Aid. This person monitors individual financial aid limits for each student-athlete and ensures that no student-athlete exceeds the NCAA individual limitation. The Director approves all grants-in-aid, sets income from employment limits and seeks approval of all grants from the chairperson of the Financial Aid Advisory Committee. The Director of Financial Aid oversees the appeals process for student-athletes whose athletics aid is not renewed or modified and who decide to appeal the non-renewal decision. He certifies which types of financial aid received by student-athletes counts toward allowable individual and team maximums, as set by NCAA bylaws. This individual also provides input to the DIA, through the CC, on new policies and/or modifications to existing policies and procedures to be implemented by the DIA.

Director of Admissions - The Director of Admissions is in charge of verifying admissions data for all incoming student-athletes and ensuring that all prospective student-athletes are admitted in the same manner and according to the same requirements as all other incoming freshmen. This individual also provides input to the DIA, through the CC, on new policies and/or modifications to existing policies and procedures to be implemented by the DIA.

Senior Associate Director of Athletics/Compliance Coordinator, (CC) - The CC coordinates a proactive rules education program that educates administrators, coaches, and boosters about current and new rules as set forth by the University, Conference and NCAA. This individual disseminates new rules-related information on a regular basis. In addition, this person serves as a liaison with the Registrar, Directors of Admissions and Financial Aid, and college Deans. The CC completes and maintains compliance-related forms and computer databases, (i.e., Squad Lists, and Certification of Eligibility Forms). Also, this individual serves as a liaison with the Conference, NCAA, and NCAA Initial Eligibility Clearinghouse and provides written reports of rules violations and potential rules violations and recommended sanctions and other institutional action in such cases.

Athletics Executive Business Manager - The Athletics Executive Business Manager ensures that all business and financial transactions are in compliance with NCAA legislation. Such transactions include but are not limited to recruiting transactions (i.e., travel consistent with recruiting calendars), official visit expenditures, transactions, student-host payments, and travel monies. Also, this individual monitors all compliance issues related to team travel expenses including entertainment of student-athletes, departure/return restrictions, travel to off-campus practice sites, per diem subsidies, and expenses related to practice and competition during official institutional vacation periods.

Sports Information Director (SID) and Personnel - The SID screens printed material prior to publication for compliance with NCAA regulations. He and his staff monitor and control media announcements of signed prospects and make sure that they are consistent with NCAA legislation. The SID monitors the design of athletics publications including media guides, newsletters, game programs, flyers, schedule cards, and marketing materials to ensure compliance with NCAA legislation. In addition, he assists in ensuring that promotions and student-athlete appearances are consistent with NCAA amateurism legislation. He ensures that prospects are not interviewed during the broadcast or telecast of any University of Wyoming athletics contest and regulates prospects' involvement in coaches' radio and TV shows. Also, the SID staff ensure that all requests for dissemination of recruiting material comply with NCAA Bylaw 13.4. Finally, the SID staff make sure that prospects are not introduced at University of Wyoming athletics events.

Head Athletics Trainer - The Head Athletics Trainer coordinates and monitors medical expenses that are permitted to be financed by the institution. This person maintains medical records for all student-athletes and coordinates the application for medical hardship waivers. In addition, this individual ensures that the institution's training room facilities are utilized by appropriate staff and student-athletes only and that student-athletes do not receive medical benefits that are not permitted by NCAA legislation.

Athletics Equipment Manager - The Equipment Manager ensures that all uniforms, equipment, apparel logos and trademarks meet NCAA specifications. This individual also manages and operates an equipment and apparel distribution program that mandates student-athlete accountability and complies with NCAA rules regarding distribution and retrieval. Additionally, this person oversees post-season awards and gifts for compliance with NCAA limitations.

Athletics Ticket Manager - The Ticket Manager's primary compliance responsibility is to oversee complimentary ticket distribution for student-athletes, prospects, high school and junior college coaches, and others in accordance with NCAA rules and University athletic ticket policies and procedures.

Associate Athletics Director for External Affairs - This person helps to ensure that all sports marketing, ticket office, sports information and publications operations are conducted in a manner consistent with NCAA legislation. This individual also coordinates all fund raising events and makes sure that all such events comply with NCAA legislation. In addition, he supervises all booster club fund raising efforts and helps ensure that they are consistent with NCAA legislation. Also, this person monitors gifts-in-kind and their consistency with NCAA rules and regulations.

Associate Athletics Director for Student Affairs/SWA - This person helps ensure that all sports programs adhere to all NCAA minimum and maximum scheduling requirements and playing and practice season legislation. This individual also oversees various Olympic Sports in their day-to-day and game event management. In addition, the SWA is responsible to monitor equity guidelines as they relate to Title IX issues. The SWA also participates in student-athlete exit interviews.

Associate Director of Athletics/Olympic Sports - This person supervises the sports of men and women's track, men and women's swimming and wrestling. In his oversight of these sports, compliance issues arise in which he researches with the CC. The areas he primarily assists with are recruiting and playing and practice seasons.

Assistant Athletic Director for Student Services - In addition to the academic counseling function, this person provides original data for review of initial eligibility certification and continuing eligibility of all student-athletes, and for monitoring full-time status. In addition, the Assistant Athletics Director and his assistants verify the eligibility of prospective student athletes to make official visits. Finally, he monitors withdrawals below full-time enrollment.

Coaches - All coaches are responsible for the contents of the Policy and Procedures manual the Compliance Handbook and for acting in accordance with the contents, including but not limited to the sections concerning rules education, self-reporting, expectations, interpretations, and accountability. Knowledge and observance of NCAA and conference rules is written into each coach's job description. The University of Wyoming has enacted policies to help ensure that all DIA personnel, including coaches are held accountable for their adherence to NCAA rules. There is a stipulation that states that a coach may be suspended for a period of time, without pay, or the coach's employment may be terminated if the coach is found to be involved in deliberate and serious violations of NCAA rules.

All Other DIA Personnel, Including Support Staff - All other DIA personnel are charged with reporting rules violations and potential rules violations to the appropriate personnel. In addition, all personnel are responsible for reporting and receiving presidential approval for all outside income. Each individual is responsible for reviewing the DIA Policies and Procedures manual and the Compliance Handbook and are held accountable for the contents of these manuals. It is the responsibility of all personnel to guard against provision of extra benefits to student-athletes (e.g., use of photocopiers, fax machines, the typing of term papers) and to report such acts to the appropriate personnel. Finally, all personnel are responsible for the proper and timely completion of all compliance related documentation.

Internal Audit - In addition to these individuals directly involved in the compliance process, the University's Internal Audit staff provides oversight and review of the athletics compliance process on an annual basis. In October 1996, the General Counsel charged the Internal Audit staff with the responsibility to perform annual audits on major compliance areas, including Student-Athlete Eligibility, Financial Aid, Recruiting, etc. The detailed audit plan is included in Appendix A-10. These audit reports are provided to the APC and the Board of Trustees for review. These audits have been productive and useful for identifying strengths and areas for improvement in the compliance program.

3. Describe the procedures by which the institution processes alleged or self-discovered violations of the NCAA rules.

Response:

The Compliance Handbook addresses the procedure with attachments C and D found in the compliance philosophy section of the Compliance Handbook.

The University of Wyoming is committed to operating its athletics programs in a manner consistent with the letter and intent of NCAA, Mountain West Conference, (MWC) and University rules and regulations. To facilitate that commitment, the University of Wyoming has instituted a compliance program which combines the training and education of coaches, staff, student-athletes, and boosters; a review and modification of DIA and University operating procedures to insure compliance with those rules; and a prompt institutional response when rule violations do occur. Staff and student-athletes at the University of Wyoming have an obligation to report any violations or potential violations of the NCAA or Conference rules of which they are aware. The information is forwarded to the CC, AD, FAR, and the General Counsel. If it is determined that a violation has, in fact, occurred, the violation will be reported by the CC to the Conference office and NCAA with copies to the FAR and the AD.

It is Wyoming's position that all violations be reported regardless of their severity. In responding to rule violations, the following factors are taken into account: whether the violation was intentional, whether any competitive advantage was gained, whether a student-athlete's eligibility has been affected, and whether the violation is isolated and nonrecurring in nature. As a general rule, secondary infractions that are isolated and unintentional are treated as redeeming experiences and as avenues for improving our compliance operations. Recurring secondary infractions of the same nature and major infractions are not tolerated, and strict disciplinary actions are taken. The goal in responding to infractions is to encourage communication, to seek consistency and accountability and above all to send a strong message that the University of Wyoming is committed to rules compliance.

Self-reporting Procedures - Any coach or staff member who has knowledge of a violation or possible violation, secondary or major, is required to report the incident and the circumstances to the CC immediately. Initial reports may be submitted orally, but a completed Conference MWC Self-Report of NCAA Rules Violation Form must follow the oral report within two working days. A copy of this form is included in Appendix A-11. This form is marked "Preliminary".

The CC reviews the issues and consults with the AD, the Associate Director of Athletics-SWA, the General Counsel and the FAR to determine if a violation has occurred. If a violation is deemed to have occurred, the CC begins drafting the report. The draft report is reviewed by the AD, FAR, SWA, and General Counsel and finalized. The DIA self-reports the violation to the Conference on their designated form (and includes a copy of the report sent to the NCAA) and the NCAA's enforcement staff detailing all parties involved and the circumstances surrounding the situation.

If the violation is deemed to be secondary in nature, the AD follows the NCAA's recommended self-reporting secondary violation process. If the violation is determined to be major, the AD, the FAR, SWA, and the General Counsel determine if further investigation is warranted and if outside legal counsel is required to assist in the proceedings. If this is the case, the procedures included in Appendix A-11(a) are followed.

After consultation with the Conference, the CC recommends to the AD appropriate on-campus corrective measures or sanctions for both secondary and major infractions. The AD makes the final determination regarding corrective measures and notifies appropriate staff members and University officials. All rules violations are private matters and not released to the press, unless it is determined by the AD in conjunction with the President's office, that it is in the best interest of the University to do so.

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4. Describe the institution's rules-education efforts for student-athletes, athletics department staff members, other institutional staff members and representatives of the institution's athletics interests.

Response:

Rules education is an essential part of the compliance program at UW. Although coaches and division staff members are not expected to know every NCAA rule, they are expected to know the basic rules, be familiar with the NCAA Manual and be able to identify problem areas within their sport programs and request the necessary interpretations before acting. The compliance education program is designed to assist coaches and staff members in identifying potential infractions as well. The DIA has developed educational programs for coaches, staff, PSAs, enrolled student-athletes, and alumni and support groups. The CC coordinates the rules orientation program.

The highlights of the program are as follows:

COACHES and STAFF

Annual Divisional Compliance Meeting - All DIA personnel are required to attend an annual compliance meeting conducted during either August or the first week of classes each fall semester. The CEO, FAR, and AD review compliance responsibilities, expectations, and accountability. During this meeting (or prior to it) the CEO signs NCAA Form 1 (Certification of Compliance for Institutions) and all coaches and staff will sign NCAA Form 2 (Certification of Compliance for Staff Members of DIA). The CC distributes and reviews the Compliance Handbook and annual compliance publications (NCAA Manual, Coaches Recruiting Guide, MWC Handbook, etc).

Effective September 1, 1999 all new coaches are required to attend a new coach's orientation session conducted by the CC before they are allowed to recruit off campus. NCAA, MWC and divisional rules and policies are reviewed.

Annual MWC Compliance Visit - The MWC Compliance Officer conducts an annual compliance review on our campus. The first visit was completed on October 8, 1999. (Note: the WAC Office completed a Compliance Review in 1997.)

Annual MWC Campus Compliance Meeting - All coaches are required to take the NCAA Coaches Recruiting Certification Test administered as required by NCAA Bylaw 13.1.2.1.1. All coaches must successfully complete this annual open book examination in order to participate in off campus recruiting activities.

Annual Staff Development Seminar - All clerical and support staff participate in at least one compliance staff development seminar each year. Representatives from the institution's CC office conduct this seminar to keep staff informed on compliance issues and instruct them in compliance documentation.

Annual Regional NCAA Compliance Seminar - At least one institutional representative responsible for compliance and/or eligibility certification attends one of the three NCAA regional seminars annually.

Monthly Compliance Education Meetings - Head coaches are required to attend monthly compliance education meetings conducted by the CC. All coaches are included in several of these meetings also. These meetings are held every month except July. Current and proposed legislation is reviewed as well as other compliance issues.

After each meeting, the CC sends an attendance report to the AD. A copy of the memo, including the information that was covered at the meeting, is sent to each coach not in attendance.

The CC is responsible for providing coaches with written educational materials, as appropriate. These materials are generated from the institutional Compliance Office, the MWC and the NCAA.

All coaches are annually provided the following materials:

a. Compliance Handbook;

b. Compliance Calendar;

c. Guide for Boosters;

d. NCAA Manual;

e. NCAA Guide to Recruiting;

f. NCAA Coaches Recruiting Guide for Men's Basketball, Women's Basketball, Football and other sports, (pocket size);

g. NCAA Guide for the College-Bound Student-Athlete, and

h. NCAA Transfer Guide.

In addition, all head coaches are provided with a yearly subscription to the NCAA News.

ENROLLED STUDENT-ATHLETES

Annual Compliance Orientation: All student-athletes are required to attend an annual compliance orientation meeting. These meetings are scheduled by team. The NCAA Student-Athlete Statement and NCAA Drug Testing form as well as MWC and institutional compliance forms relating to academic progress requirements, amateurism, awards, benefits, financial aid limits, are reviewed and signed where required.

Mid-Semester Reviews - Selected student-athletes are required to attend a mid-semester team meeting with a representative from the Athletics Counseling Office immediately after mid-term grades to review individual satisfactory progress status and other academic, eligibility and compliance issues.

PROSPECTIVE STUDENT-ATHLETES

Campus Visits - Prospective student-athletes who make official (expense-paid) visits to campus are required to visit with a counselor in the Academic Counseling Office to review NCAA eligibility requirements and institutional academic programs. Each prospective student-athlete receives a copy of the institution's NCAA Graduation Report, and General Bulletin and a NCAA Guide for the College Bound-Student Athlete (or NCAA Transfer Guide). Coaches are encouraged to arrange special compliance orientations by the CC when large groups of prospects are making either official or unofficial (non-expense paid) visits on campus. When the 5-visit letter is sent to a prospective student-athlete, the prospective student-athlete receives a Summary of NCAA Rules Governing Official Visits. Also, at the conclusion of the visit or prior to leaving campus, the prospective student-athlete signs the Prospect's Declaration Form.

Summer Sports Camps: Prospective student-athletes attending a summer sports camp on campus must receive either an oral presentation or printed literature from the CC explaining the NCAA Initial Eligibility Clearinghouse, eligibility requirements, recruiting restrictions, and other eligibility issues. In the sport of basketball, this is an NCAA requirement as well as an institutional policy.

STAFF MEMBERS

The CC's primary responsibility is the education of staff members. The CC schedules meetings with individual staffs as appropriate (i.e., academic advising, admissions, athletic secretaries, financial aid, records, ticket office, marketing and fundraising, sports media relations, training room and the athletics equipment room). Throughout the year, staff members are expected to attend compliance meetings which are applicable to their area of responsibility. The Compliance Coordinator is responsible for providing written educational materials and interpretations to the appropriate staff members as needed. All DIA staff offices are provided a copy of the NCAA Manual, Compliance Handbook and the Compliance Calendar.

ALUMNI AND SUPPORT GROUPS

Off Campus Support Groups - The officers of the Cowboy Joe Club are provided with a copy of the University of Wyoming's Guide For Boosters (A summary of NCAA Rules and Regulations) annually. At least biannually, a copy of this guide is mailed to all members of the Cowboy Joe Club and season ticket holders. When speaking to alumni groups, DIA representatives are encouraged to review recruiting restrictions. A compliance message will be included in at least one of the alumni publications annually.

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5. Describe the procedures used by the institution to monitor student-athlete employment in compliance with NCAA legislation.

Response:

The DIA has a comprehensive set of procedures to monitor student-athlete employment. The procedures include educating the student-athletes on the requirements for complying with the NCAA employment rules. Each student-athlete must sign a certification form at the initial team meeting at the start of the year. If student-athletes choose to work, they must notify their respective coach assigned the responsibility of monitoring employment and meet with the CC to complete two additional forms, a Student-Athlete Employment written statement and Student-Athlete Employment Agreement. These forms ensure the student-athlete is fully aware of his/her responsibilities and they document the specifics of their job as understood by the employer and the student-athlete. After the student-athlete begins employment, the CC monitors the earnings for compliance with the financial aid limitations as prescribed in NCAA Bylaw 15.2.6.1. See Appendix A-12 for the comprehensive procedures for monitoring student-athlete employment.

6. Describe, using specific examples, how the institution ensures that rules compliance is a central element in personnel matters. Also, please provide the following items for individuals inside and outside the athletics department who are involved in rules-compliance activities: (a) job descriptions, (b) contracts or letters of appointment, (c) personnel evaluation criteria and, (d) philosophy statements and other applicable sections of policy manuals.

Response:

Rules compliance is a central element in personnel matters. Candidates for all athletics program positions are assessed with regard to their willingness and ability to abide by NCAA and conference rules. In searches for candidates for head coaching positions, a University official will contact the NCAA compliance and enforcement divisions to determine whether those candidates under serious consideration have been involved in NCAA rules violations. Individuals who have been the subject of NCAA or conference sanctions of cases of willful rules violations may be disqualified and not considered for appointment. During the interview for open positions, the job description is reviewed with the candidate. A sample head coach job description is included in Appendix A-13. A sample assistant coach job description is included in Appendix A-13(a). See Athletics Director Bulletin #1 in Appendix A-3 for detailed policies in this area.

The employment contracts for all coaches and athletic staff members address compliance with rules and regulations. Sample employment contracts for head and assistant coaches and staff are included in Appendix A-14. If an employee knowingly violates any applicable regulation of the MWC, of the University, of its Board of Trustees, or any condition of the appointment, he/she is subject to corrective or disciplinary action to include suspension by the President of the University. If an employee is found to have knowingly participated in, encouraged, or allowed major violations of existing NCAA rules and regulations, or has demonstrated a pattern of negligence regarding NCAA legislation with repeated infractions of any kind (major or secondary), then the University's obligation is covered by the employment agreement and the employee will be terminated immediately. Annual evaluations of all coaches and athletic staff also have compliance as a central element. See Appendix A-15.

Under the heading of compliance philosophy, the Compliance Handbook addresses the compliance policies and philosophies, and provides the checklist for compliance responsibilities. This section of the Compliance Handbook addresses these individual compliance areas and responsibilities, which are central to the education and training of all staff, coaches and student-athletes. Also, see Operating Principle 1.3, Self-Study Item #2.

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7. Please provide step-by-step written policies and procedures that assign specific responsibilities pertaining to the area of rules compliance in critical and sensitive areas, including, but not limited to, eligibility certification, investigation and self-reporting of rules violations, monitoring financial aid and monitoring recruiting (if not included elsewhere in the report).

Response:

The DIA has written policies and procedures for every significant area of rules compliance. In July 1999, all of the policies and procedures were incorporated into the Compliance Handbook. The Table of Contents of the handbook is included in Appendix A-16. Specific responsibilities for rules compliance are clearly delineated by several means in the document including the following:

NCAA Compliance Organizational Chart (Appendix A-8)

Compliance Philosophy Statement (Appendix A-17)

Compliance Checklist (Appendix A-9)

These documents reveal that there is clear, unambiguous oversight of the key compliance activities by authorities outside of the DIA. The two primary areas for outside oversight involve the award and approval of financial aid and the certification of eligibility of student-athletes. Briefly, the procedures in place for these two areas are as follows:

Prior to the AD making either a new or renewal athletics scholarship award recommendation, the DIA must complete the appropriate award form that includes authorization by the head coach and the AD, (new award only). The CC reviews the forms and monitors a control list of awards. These forms are then submitted to the Director of Financial Aid for review and approval prior to being provided to the student-athlete.

At the beginning of each academic year, each student-athlete must complete a Certificate of Financial Aid form. The student-athletes record all sources of financial aid, institutional and outside aid, which they are receiving. The CC reviews the forms and makes an assessment as to the amount of countable aid the student-athlete is receiving toward allowable individual and team maximum amounts. The forms are then forwarded to the Director of Financial Aid for his review and approval. All sources of aid are verified and any issues are reviewed by the CC and the Director of Financial Aid. The Director makes the final decision as to the countability of aid. The amounts finally approved provide the basis for preparation of the squad list by the CC. Finally, all situations regarding the non-renewal of or cancellation of aid are processed and approved by the Director of Financial Aid. A flowchart documenting procedures for awarding, renewing or canceling financial aid is included in Appendix A-18.

The certification of eligibility of student-athletes process involves the FAR and the Registrar to verify the initial and continuing eligibility of all student-athletes at the University of Wyoming. It is the responsibility of the CC and the Assistant Director of Athletics for Student Services to gather the appropriate data to certify the eligibility of student-athletes. This information is gathered from the eligibility forms packets completed by each student-athlete: the high school transcripts, and NCAA Clearinghouse 48-C and any related transfer documentation for transfer student-athletes. The key information is summarized on a Certification of Eligibility form for each sport. The form includes five-year rule information, hours earned for satisfactory progress, percentage of degree requirements completed, grade-point average, years of eligibility remaining, degree program, etc. This information is first verified by the Assistant Director of Athletics for Student Services and the CC. It is then forwarded to the FAR for her review. Once the FAR certifies the eligibility of each student-athlete, the form is forwarded to the Registrar. The Registrar does a complete eligibility review and denotes Certification of Eligibility by signing the form. Her review includes the verification of full-time enrollment. The completed, approved form is provided to the CC who then forwards it to the head coach as documentation for those student-athletes who are eligible for competition. This process is completed prior to the first NCAA-countable competition. A flowchart documenting procedures for certifying eligibility are included in Appendix A-19.

The compliance checklist (Appendix A-9) summarizes responsibility for these areas 

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Evaluation and Plan for Improvement