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Compliance Certification Report
Comprehensive Standards 3.2.11


Last Updated August 24, 2004
(static edition)


Comprehensive Standards 3.2.11:

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

The Institution Certifies Compliance: Yes

Compliance report completed by: Audit Team 12

Statement of Rationale for Judgment of Compliance:

Tennessee Board of Regents Policy 1:03:02:00, Duties of the Presidents and Technology Center Directors, [1] states that “the president of each institution shall be the executive head of the institution and of all its departments, and shall exercise such supervision and direction as will promote the efficient operation of the institution.” At the UofM, the intercollegiate athletics program is organized under the athletics director, who reports directly to the president. [2]

The university has twenty major budget units for purposes of budget planning, management, and responsibility. The Department of Athletics is one of those units. [3] As such, the president has fiscal control over the intercollegiate athletics program through the budgeting process described in UofM Policy 1:2D:01:02, Budgetary Allocations and Controls, which specifies “the allocation of funds and the final approval of all budgets is the responsibility of the president.” [4]

As a requirement for National Collegiate Athletic Association (NCAA) certification, the UofM has conducted a self-study that will be evaluated by the peer review team and NCAA in Fall 2004. [5] In the previous self-study, conducted in 1996, no “corrective actions” or “conditions for certification” relating to the institutional control, presidential authority, and shared responsibility were imposed by the NCAA.

The president of the UofM is significantly involved in all major decisions regarding intercollegiate athletics including coaching appointments, the negotiations regarding the venue at which the men’s basketball team will play its home games, budget issues, conference affiliation, and policy decisions related to fiscal affairs such as revenue, fund raising, and booster relations.

The athletics director, [6] who reports directly to the president, has regularly scheduled weekly meetings in which the operations of the Department of Athletics are discussed. During these meetings, the president reviews and approves policies, contemplated actions, and financial documents. At the weekly meeting of the President’s Council, which includes the athletics director, the president gathers information, makes decisions, and communicates policy regarding a variety of topics, including intercollegiate athletics.

The members of the Faculty Athletics Committee [7] are appointed by the president, as is the faculty athletics representative; both report directly to the president [8] and are responsible for the following functions:

  • Assisting in the development of broad program policies for the university’s athletic programs;
  • Reviewing and approving the policies and procedures for awarding grant-in-aid to student athletes;
  • Certifying through the chair of the committee the eligibility of student athletes for participation in intercollegiate sports;
  • Reviewing proposed appointments to the coaching staff made by the athletics director and recommending appointment or non-appointment to the president;
  • Reviewing the scheduling of intercollegiate athletic contests;
  • Reviewing proposed budgets prepared by the athletics director and submitting recommendations through standard university budget review procedures; and
  • Reviewing the policies and procedures of the Athletic Academic Counseling program.

The Faculty Athletics Committee meets as often as is required to fulfill the committee’s functions and reports annually to the president. [9] The committee’s recommendations are submitted to the president for review and action. The faculty athletics representative, the chair of the Faculty Athletics Committee, meets on a monthly basis with the athletics director and on an as-needed basis with the president. Major decisions with respect to the university’s position on proposed NCAA legislation involve input from a broad set of stakeholders, including the Faculty Athletics Committee, the athletics director and staff, the coaches, and the faculty athletics representative. The recommendations are forwarded to the president for review and final action.


Relevant Organizational Unit(s):

Office of the President; Director of Athletics


Supporting Documentation and Evidence:

[1] TBR Policy 1:03:02:00 Duties of the Presidents and Technology Center Directors
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[2] UofM Organizational Chart - Athletics
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[3] Major Budget Units
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[4] UofM Policy 1:2D:01:02 Budgetary Allocations and Controls
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[5] 2003-2004 Athletics Certification Self-Study
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[6] Job Description - Director, Intercollegiate Athletics
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[7] Membership, Faculty Athletics Committee
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[8] Role of the Faculty Athletics Committee and Faculty Athletics Representative
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[9] 2003-04 Annual Report of the Faculty Athletics Committee and Faculty Athletics Representative
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