Athlete-Agent and Advisor Program
A brief note to prospective agents and advisors:
The Baylor Compliance Office believes that the majority of those engaged in representing professional athletes provide valuable services to their clients. We have no intention of being a barrier between our student-athletes and those who can eventually provide valuable services to them. But in an effort for all involved parties to abide by Texas state law and NCAA rules and to allow our student-athletes to focus on their academic and athletic pursuits, the Baylor Compliance Office adopts the following policy.
- To set forth the policies and procedures for Baylor's Athlete-Agent and Advisor Program, including the process by which athlete-agents and advisors register with Baylor's Compliance Office and contact and request meetings with student-athletes and/or their families; and
- To enable the Compliance Office to effectively monitor the status of athlete-agents and advisors who wish to contact student-athletes and the process by which they do so
- To ensure compliance for all involved individuals and entities with applicable Texas law (including the Texas Athlete Agents Act; Chapter 2051, Occupations Code) and NCAA rules (including bylaw 12.3);
- To provide athlete-agents, advisors, and student-athletes and their families with guidelines to follow to ensure that the eligibility of student-athletes is not jeopardized; and
- To assist Baylor student-athletes and the athlete-agents and advisors who seek to represent them
III. Applicability: This policy applies to all Baylor student-athletes and all athlete-agents and advisors who wish to recruit or contact Baylor student- athletes or their families.
IV. Required Baylor Compliance Office Forms and Documents:
- Athlete-Agent Registration; and
- Request to Contact
V. NCAA Bylaws:
12.02 DEFINITIONS AND APPLICATIONS.
12.02.1 Agent. An agent is any individual who, directly or indirectly:
(a) Represents or attempts to represent an individual for the purpose of marketing his or her athletics ability or reputation for financial gain; or
(b) Seeks to obtain any type of financial gain or benefit from securing a prospective student-athlete's enrollment at an educational institution or from a student-athlete's potential earnings as a professional athlete.
12.02.1.1 Application. An agent may include, but is not limited to, a certified contract advisor, financial advisor, marketing representative, brand manager or anyone who is employed or associated with such persons.
12.3 USE OF AGENTS.
12.3.1 General Rule. An individual shall be ineligible for participation in an intercollegiate sport if he or she ever has agreed (orally or in writing) to be represented by an agent for the purpose of marketing his or her athletics ability or reputation in that sport. Further, an agency contract not specifically limited in writing to a sport or particular sports shall be deemed applicable to all sports, and the individual shall be ineligible to participate in any sport.
220.127.116.11 Representation for Future Negotiations. An individual shall be ineligible per Bylaw 12.3.1 if he or she enters into a verbal or written agreement with an agent for representation in future professional sports negotiations that are to take place after the individual has completed his or her eligibility in that sport.
18.104.22.168 Benefits from Prospective Agents. An individual shall be ineligible per Bylaw 12.3.1 if he or she (or his or her relatives or friends) accepts transportation or other benefits from:
(a) Any person who represents any individual in the marketing of his or her athletics ability. The receipt of such expenses constitutes compensation based on athletics skill and is an extra benefit not available to the student body in general; or
(b) An agent, even if the agent has indicated that he or she has no interest in representing the student-athlete in the marketing of his or her athletics ability or reputation and does not represent individuals in the student-athlete's sport.
*Not intended to be exhaustive; involved parties should familiarize themselves with relevant and applicable NCAA bylaws.
VI. Texas Law Provisions*: The Texas Athlete Agents Act (Chapter 2051, Occupations Code) includes the following provisions:
- An "athlete" is defined to include individuals:
- Eligible to participate in intercollegiate sports contests at an institution of higher education; or
- Who participated in an intercollegiate sport and have never signed an employment contract with a professional sports team.
- An "athlete agent" is defined to include an individual who:
- For compensation, directly or indirectly recruits or solicits an athlete to enter into an agent contract, a financial services contract, or a professional sports services contract with that person or another person; or
- For a fee, procures, offers, promises, or attempts to obtain employment for an athlete with a professional sports team.
- A person may not act as an athlete-agent in Texas or represent that she or he is an athlete-agent in Texas unless she or he holds a certificate of registration. An agent contract negotiated by an unregistered athlete-agent is void.
- Athlete-agents shall strictly comply with the guidelines adopted under Section 2051.251 relating to the time, place, and duration of an athlete-agent interview program.
- An athlete-agent may not enter into a written or oral agreement with an employee of an institution of higher education in which the athlete-agent offers a thing of value to the employee for the referral of clients by the employee. Likewise, an athlete-agent may not offer a thing of value to induce an athlete to enter into an agreement with the athlete-agent in which the athlete-agent will represent the athlete. Nor can athlete-agents furnish anything of value to anyone other than the athlete or another registered agent to induce an athlete to enter into an agreement with the athlete-agent.
- Except as provided in Chapter 2051, Occupations Code, an athlete-agent may not initiate any contact with an athlete. Further, except as provided in Chapter 2051, Occupations Code, before an athlete competes her or his last intercollegiate sports contest, an athlete-agent may not directly contact the athlete or enter into an oral or written agreement to represent the athlete.
- Athlete-agents may send written materials to an athlete relating to the professional credentials or services of the athlete-agent if she or he simultaneously sends a copy of all such materials to the athletics director of the athlete's institution (or to the athletic director's designee).
- If an athlete-agent is contacted by an athlete or the athlete's parents or legal guardian to schedule a meeting to discuss services offered by the athlete-agent, the athlete-agent shall, before meeting with the athlete or her or his parents or legal guardians, notify the athletics director of the athlete's institution or the athletics director's designee.
- A registered or unregistered athlete-agent who violates Chapter 2051, Occupations Code may be subject to an administrative penalty, forfeiture of the right to payment, a refund of consideration paid to the athlete-agent, and payment of attorney's fees and court costs incurred by an athlete who files suit against an athlete-agent.
- The secretary of state may issue a subpoena or summons to compel the items specified in Chapter 2051, Occupations Code. Individuals who fail or refuse to comply with a subpoena or summons shall be referred to the attorney general for enforcement. If the secretary of state determines that someone violated the chapter, the secretary shall refer the violation to the attorney general for prosecution and take appropriate disciplinary action. An athlete-agent commits a criminal offense by intentionally or knowingly violating Chapter 2051, Occupations Code.
- An institution of higher education adversely affected by an athlete-agent's violation of Chapter 2051, Occupations Code may file suit against the athlete-agent for damages and may recover actual damages, exemplary damages, court costs, and reasonable attorney's fees.
* Not intended to be exhaustive; involved parties should familiarize themselves with relevant and applicable Texas law.
VII. Baylor Guidelines: In addition to the above NCAA bylaws and Texas law provisions, Baylor adopts the following:
- Baylor adopts the NCAA definition of "agent" and the State of Texas definition of "athlete-agent" as applicable to all references to "athlete-agent" in Baylor's guidelines. Thus, "advisors" (including financial advisors, marketing advisors, marketing representatives, draft advisors, insurance brokers, digital media advisors, brand managers, and anyone employed by or associated with those individuals) shall follow the same guidelines and be held to the same standards as athlete-agents.
- Baylor adopts the Secretary of State definition of "athlete" for "student-athlete" in these guidelines.
- Contact and meetings between athlete-agents and student-athletes and/or their families:
- Athlete-agents are prohibited from initiating contact with Baylor student-athletes and their families except as expressly permitted under Texas law (e.g., at athlete-agent interview day, via mail and sending a copy to the Compliance Office). Student-athletes must refer athlete-agents who contact them to the Compliance Office and notify the Compliance Office any time they have contact with an agent.
- Athlete-agents who wish to contact and/or meet with Baylor student-athletes and/or their family members must first fill out and submit a Baylor registration form, fill out and submit a request to contact form, and be registered with the Texas Secretary of State as provided by Texas law. Note that the first thing the Compliance Office does upon receipt of an athlete-agent registration form is to inquire in writing with the Texas Secretary of State whether the registrant is registered with the Secretary of State. Also note that by accepting registration, Baylor University does not endorse or recommend the registrant and expressly prohibits the registrant from representing that the registration is evidence of her or his skill, honesty, competence, or qualifications.
- All contact and requests for meetings must be initiated through the Compliance Office. The Compliance Office will arrange logistics of all meetings if the meeting is desired by the student-athlete and/or her or his family. An athlete-agent may not have any in-person contact with a student-athlete or her or his family or guardian prior to completion of the student-athlete's senior competitive season unless approved and arranged by the Compliance Office. Note that unless special circumstances exist, the Compliance Office will not arrange meetings during a student-athlete's sport season. Any meetings will take place on campus, in the presence of a Compliance staff member, and during normal business hours.
- The following procedures must be followed by a student-athlete when an athlete-agent or her or his representative contacts a student-athlete or her or his family:
- Advise the athlete-agent that the student-athlete and her or his family will not have in-person contact with agents outside the presence of a member of the Compliance staff and refer the athlete-agent to the Compliance Office.
- Request the athlete-agent to submit copies of all written correspondence to the Compliance Office.
- Advise the athlete-agent that interviews will be scheduled through the Compliance Office.
4. Written materials:
- Athlete-agents must be registered with both Baylor and the Texas Secretary of State prior to sending written materials to Baylor student-athletes and/or their family members.
- Athlete-agents must send a copy of any written materials to the Compliance Office.
- Written materials sent only to the Compliance Office in care of a student-athlete will be copied and distributed to the student-athlete after the end of her or his season. A Compliance staff member will notify the student-athlete in writing that she or he received mail and can come pick it up.
5. Interview period:
- Baylor will host and schedule student-athlete interviews of athlete-agents.
- Unless otherwise approved and arranged by the Compliance Office, interviews will occur on campus during the off-season training period in the spring term prior to the student-athlete's final season of eligibility.
- All athlete-agents registered with the State of Texas will be notified in writing of the scheduled interview period at least 30 days in advance.
- Only those athlete-agents registered with Baylor and the State of Texas will be permitted to participate.
- Upon receipt of notice of the scheduled interview period, each athlete-agent must notify the Compliance Office of the student-athletes with whom they would like to meet no later than two weeks prior to the scheduled interview period. The Compliance Office will inform the student-athlete of the interest.
- It is up to the student-athlete and/or her or his family whether she or he participates. Student-athletes are not permitted to miss class time or other educational commitments to participate.
- After the student-athlete chooses which athlete-agents with whom she or he would like to meet, the Compliance Office will schedule the interviews and provide the parties with the date, time, and location of the interview. Interviews are optional for student-athletes and any failure to appear will not constitute a failure to comply by Baylor. Interviews will be limited in duration and this limitation will be communicated to the athlete-agent ahead of time. Student-athletes may fill out questionnaires during the interview, but shall not give out phone numbers or addresses. Unless otherwise approved, only certified contract advisors may participate in the meetings.
6. When athlete-agents meet with student-athletes, they are forbidden from giving individualized, personal projections including projections on salary based on anticipated draft status and individual earnings from marketing. The discussion in such meetings is limited to services provided by the firm, background information on the firm and its employees, and information about previous clients (e.g., references).
7. Athletics Department staff members shall NOT have contact with athlete-agents or their representatives on behalf of or to discuss any current student-athletes unless the Compliance Office approves other than when a head coach contacts an athlete-agent, professional sports team, or professional sports organization on behalf of a student-athlete and no compensation is received for such services. Athletics Department staff members will not provide contact information of a student-athlete or his/her family members.
8. Without approval by the Compliance Office, athlete-agents may not travel with or be included as guests in any activities in which student-athletes are present. Athlete-agents may purchase tickets to athletic events in the same manner as any other members of the general public. In order to enforce this provision, the Compliance Office will review guest lists. Without approval by the Compliance Office, the institution shall not issue to an athlete-agent regular season or postseason game credentials in any sport that provides the individual with access to the sideline, locker rooms, or any area where contact with a student-athlete is possible.
9. When an athlete-agent breaches protocol with the above, results include:
i. No responsibility of Baylor to respond to any inquiries by the agent;
ii. Possible notification to the athlete-agent of her or his violation;
iii. Possible exclusion from the interview process; and
iv. Possible notification to the Texas Secretary of State and/or the athlete-agent's professional certifying body of the breach.
10. Student-athletes who do not abide by the policies of the Compliance Office may be subject to discipline.
11. Athlete-agents shall update the Compliance Office regarding changes in contact information in writing.
- Baylor Agent/Advisor Registration Form
- Agent/Advisor Request to Contact Student-Athlete Form
- Tips for Student-Athletes When Dealing with Agents
- Questions to Ask Prospective Agents
- Overview of NCAA By-Laws Governing Athlete-Agents
- Case Studies Involving Student-Athletes and Agents
- Information on Baylor University Sports Counseling Panel
- NCAA Guide to Athlete-Agents
- Texas Secretary of State Athlete-Agents Page
- Information for Financial Advisors Who Wish to Meet With Student-Athletes
Any questions regarding this policy or compliance with Texas law or NCAA rules should be addressed to:
1500 S. University Parks Dr.
Waco, TX 76706