western kentucky university athletics compliance office
WESTERN KENTUCKY UNIVERSITY
ATHLETICS COMPLIANCE OFFICE
AGENT POLICIES AND PROCEDURES
NCAA Bylaw: 12.3.1, Use of Agents - 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. Forms Used for Documentation: 1. Agent Registration Form. 2. Agent Permission to Contact Authorization. Policy: 1.
2.
3. 4. 5. 6. 7. 8. 9.
WKU student-athletes (and parents/legal guardians) may not have in-person contact with sports agents until they have exhausted their eligibility or declare their intent to forego any remaining intercollegiate athletics eligibility and turn professional, unless such contact is approved and arranged by the Director of Athletics (or his/her designee). If a student-athlete or his/her relatives are contacted by an agent or their representative, face-to-face, by telephone or by written correspondence, the student-athlete should: a. Advise the agent that he/she and his/her family may not have any personal contact with agents until his/her eligibility is exhausted; b. Request the agent to submit copies of all written correspondence from agents to the Athletics Compliance; and c. Advise the agent that he/she will schedule interviews when his/her eligibility is exhausted unless the interview is approved and arranged by the Athletics Director (or designee). Agents must register with the WKU Compliance Office prior to contacting student-athletes. Agents must demonstrate that they are properly licensed by the State of Kentucky. Any written correspondence sent to student-athletes in care of their coaches should be submitted to the Compliance Office. All written correspondence from properly-registered agents will be distributed to student-athletes when their eligibility has been exhausted. Student-athletes must notify the WKU Compliance Office any time they have contact with an agent. Student-athletes who do not abide by NCAA rules and the policies of the WKU Compliance Office will be disciplined. Agents who do not abide by the policies of the WKU Compliance Office may not contact student-athletes and may be reported to the governing body of the applicable professional sport and/or to local law enforcement.
Procedure: 1. 2. 3. 4. 5.
Each agent that would like to make contact with WKU student-athletes must become properly licensed in the State of Kentucky. Each agent must then register with the WKU Compliance Office prior to contacting any student-athletes. They register by completing and submitting the Agent Registration Form. Each Agent Registration Form will be kept on file in the Compliance Office. All written correspondence to current student-athletes should be sent to the student-athlete in care of the Compliance Office. If a WKU student-athlete (or parents/legal guardians) would like to contact an agent in person prior to the time that they exhaust their eligibility or declare their intent to forego any remaining intercollegiate athletics eligibility and turn professional, they should complete and submit the Agent Permission to Contact Authorization form to the Athletics Compliance Office for approval.
30
WESTERN KENTUCKY UNIVERSITY
ATHLETICS COMPLIANCE OFFICE
AGENT POLICIES AND PROCEDURES 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.
2.
Representation for Future Negotiations. An individual shall be ineligible 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 to participate in any sport.
3.
Benefits from Prospective Agents. An individual shall be ineligible 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 studentathlete in the marketing of his or her athletics ability or reputation and does not represent individuals in the student-athlete's sport.
31
WESTERN KENTUCKY UNIVERSITY
ATHLETICS COMPLIANCE OFFICE
AGENT POLICIES AND PROCEDURES
Agent Permission to Contact Form Completion of this form is required prior to having any in-person encounter with a WKU student-athlete and/or his or her parents or relatives. A.
Last Name:
B.
Firm Name:
C.
Firm Mailing Address:
D.
Firm Website:
E.
Business Phone:
F.
E-Mail Address:
G.
Date of Proposed Contact:
H.
Student-Athlete or Parent of Athlete to contact:
I.
Site of Contact:
J.
Names of All Persons Present During Contact:
First Name:
Mobile Phone:
Time of Proposed Contact:
1. ___________________________________ 4. _________________________________ 2. ___________________________________ 5. _________________________________ 3. ___________________________________ 6. _________________________________ K.
Brief description of the purpose for contact:
By affixing your signature, you agree to abide by all NCAA rules, State of Kentucky regulations, and WKU policies. You also acknowledge that failure to comply with all NCAA rules, Kentucky regulations, or WKU policies may result in the initiation of legal proceedings by WKU and the assessment of NCAA, civil and/or criminal penalties. Agent Signature: ____________________________________
Date: ________________________
Student-Athlete Signature: _________________________________
Date: ________________________
Please return to WKU Athletics Compliance Office 32
WESTERN KENTUCKY UNIVERSITY
ATHLETICS COMPLIANCE OFFICE
AGENT POLICIES AND PROCEDURES
Agent Registration Form The completion of this form DOES NOT SATISFY THE KENTUCKY STATUTE requiring Athlete Agents to file with the State of Kentucky Division of Occupations and Professions. (See http://raa.ky.gov). Proof of filing with the State of Kentucky Division of Occupations and Professions must be furnished to the WKU Compliance Office by those individuals wishing to represent current WKU student-athletes in FUTURE professional athletic careers. Please return this questionnaire to the Western Kentucky Office of Athletics Compliance: Mail to: 1605 Avenue of Champions, Bowling Green Kentucky 42101-6412, or Fax to: (270) 745 - 6187, or Email to: [email protected] PHOTO *Please attach a recent photograph. BACKGROUND Name:_______________________________________ Firm:_______________________________________ Address:_____________________________________ City/State/Zip:________________________________ Daytime Phone:_______________________________ Evening Phone:_______________________________ Fax: ________________________________________ E-mail:______________________________________ STATEMENT OF UNDERSTANDING The following information is provided as a service to aid Student-Athlete's Name and/or WKU to better understand the type and kinds of services and expertise offered by the respondent in preparation for a future professional sports contract. It is acknowledged by all parties to this communication that the responses are intended to assist any student-athlete in learning more about the particular firm and its agents/representatives. Part of this process is accomplished by reference to the information provided below – in other instances, by personal interview or meeting. Cognizant of the need to provide accurate and reliable information, it is understood by those reviewing this material that the answers provided can be relied upon for their veracity and accuracy. If additional information is required to respond to a specific question, please attach whatever documentation is appropriate. In submitting this form, I voluntarily agree to comply with and be bound by any applicable State law. I further understand that by making any false or misleading statement of any nature in answering a question on this form, that the firm or individual may be identified to all institutional representatives (including student-athletes, parents/legal guardians) and any other collegiate institution that may deem such lack of disclosure appropriate in counseling student-athletes regarding future professional sport opportunities. _________________________________________________ Agent's Signature 33
WESTERN KENTUCKY UNIVERSITY
ATHLETICS COMPLIANCE OFFICE
AGENT POLICIES AND PROCEDURES
INFORMATIONAL QUESTION/RESPONSES All questions must be answered completely 1. List your educational background. Include dates attended and degrees conferred. __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________
2. List your employment history for the last ten (10) years. __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________
3. How many years' experience do you have representing student-athletes in securing future professional sports contracts? __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________
4. How many clients have you represented during the period of time indicated in question #3? __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ 5. Of the clients that you have represented, how many are still using your professional services? __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________
34
WESTERN KENTUCKY UNIVERSITY
ATHLETICS COMPLIANCE OFFICE
AGENT POLICIES AND PROCEDURES 6. Provide the names/telephone numbers of five of your current clients to be contacted by either WKU's sports counseling panel or a student-athlete requesting this information? __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________
7. Provide a list of names/telephone numbers of any clients who may have previously used your professional services, but are no longer associated with you or your firm? __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________
8. Please identify your areas of expertise in reference to professional sports/agent representation. __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________
9. What specific services are available to your clients? __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________
10. Do you offer a separate contract for each of these services? __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ 11. List any occupational or professional licenses or other similar credentials you have obtained other than college or graduate school degrees, including the dates they were obtained: __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________
35
WESTERN KENTUCKY UNIVERSITY
ATHLETICS COMPLIANCE OFFICE
AGENT POLICIES AND PROCEDURES 12. Have you ever been disbarred, suspended, reprimanded, censured, or otherwise disciplined or disqualified as an attorney, as a member of any other profession, or as a holder of any public office? (YES / NO) If YES, please describe each action, the dates of the occurrence, and the names and addresses of the authority imposing the action in question: __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________
13. Are any charges or complaints currently pending against you regarding you conduct as an attorney, as a member of any profession, or as a holder of public office? (YES / NO) If YES, please describe including the authority considering the action: __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ 14. Have you ever been convicted of, or plead guilty to, a criminal charge or something other than minor traffic violations ($100 fine or less)? (YES / NO) If YES, indicate the nature of the offense, date of conviction, criminal authority involved, and punishment assessed: __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________
15. Have you ever been the defendant in any civil proceeding, including bankruptcy proceedings, in which allegations of fraud, misrepresentation, embezzlement, misappropriation of funds, conversion, breach of fiduciary duty, forgery, or legal malpractice were made against you? (YES/ NO) If YES, please describe fully and indicate the result of the civil proceeding(s) in question: __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ 36
WESTERN KENTUCKY UNIVERSITY
ATHLETICS COMPLIANCE OFFICE
AGENT POLICIES AND PROCEDURES
16. Have you ever been adjudicated insane or legally incompetent by any court? __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________
17. Have you ever been suspended or expelled from any college, university or law school? (YES/ NO) If YES, please describe the circumstance: __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________
18. Please identify which of the following services you provide: Contract Negotiation ______ Grievance Arbitration ______ Financial Planning ______ Appearance/Endorsements ______ Estate Planning ______ Tax Planning ______ Investment Counseling ______ Other Services (explain) ______ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ 19. Are your customary fees for the above based on a percentage of the client's salary you negotiate, total income of the client, an hourly fee or some other arrangement? (Please explain) __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ 20. Please describe your fee structure. __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ 37
WESTERN KENTUCKY UNIVERSITY
ATHLETICS COMPLIANCE OFFICE
AGENT POLICIES AND PROCEDURES 21. How and when do you expect to be paid for your services under your contract? __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ 22. What is the duration of your contract? __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ 23. Under what conditions may a client terminate a contract? __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ 24. Do you have an agreement, understanding or relationship of any kind with any individual, firm or organization pursuant to which such an individual, firm or organization solicits or encourages clients to use your services (e.g., runners, etc.)? (YES / NO) Do you provide any compensation or other consideration to such an individuals, firms or organizations? (YES / NO) Please list all such individuals and/or organizations (both compensated and uncompensated) and explain the nature of the relationship between you and the individual and/or organization as well as how such individuals and/or organizations are compensated, if applicable. (Failure to list all such individuals or organizations may result in dissociation). __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ 25. What happens if your client is waived from a team? __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ 38
WESTERN KENTUCKY UNIVERSITY
ATHLETICS COMPLIANCE OFFICE
AGENT POLICIES AND PROCEDURES
26. Do you limit the number of clients you will represent (and, if so, how many)? __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________
ACKNOWLEDGEMENT I, _________________________being first duly sworn, say that I have read the foregoing questions and have personally answered the same fully and honestly and the answers to said questions are true and accurate to my knowledge. Further affiant sayeth not. ______________________________ Sworn before me in my presence this ________ day of _____________, 20____.
________________________________________ Notary Public
39
ATHLETICS COMPLIANCE OFFICE
AGENT POLICIES AND PROCEDURES
NCAA Bylaw: 12.3.1, Use of Agents - 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. Forms Used for Documentation: 1. Agent Registration Form. 2. Agent Permission to Contact Authorization. Policy: 1.
2.
3. 4. 5. 6. 7. 8. 9.
WKU student-athletes (and parents/legal guardians) may not have in-person contact with sports agents until they have exhausted their eligibility or declare their intent to forego any remaining intercollegiate athletics eligibility and turn professional, unless such contact is approved and arranged by the Director of Athletics (or his/her designee). If a student-athlete or his/her relatives are contacted by an agent or their representative, face-to-face, by telephone or by written correspondence, the student-athlete should: a. Advise the agent that he/she and his/her family may not have any personal contact with agents until his/her eligibility is exhausted; b. Request the agent to submit copies of all written correspondence from agents to the Athletics Compliance; and c. Advise the agent that he/she will schedule interviews when his/her eligibility is exhausted unless the interview is approved and arranged by the Athletics Director (or designee). Agents must register with the WKU Compliance Office prior to contacting student-athletes. Agents must demonstrate that they are properly licensed by the State of Kentucky. Any written correspondence sent to student-athletes in care of their coaches should be submitted to the Compliance Office. All written correspondence from properly-registered agents will be distributed to student-athletes when their eligibility has been exhausted. Student-athletes must notify the WKU Compliance Office any time they have contact with an agent. Student-athletes who do not abide by NCAA rules and the policies of the WKU Compliance Office will be disciplined. Agents who do not abide by the policies of the WKU Compliance Office may not contact student-athletes and may be reported to the governing body of the applicable professional sport and/or to local law enforcement.
Procedure: 1. 2. 3. 4. 5.
Each agent that would like to make contact with WKU student-athletes must become properly licensed in the State of Kentucky. Each agent must then register with the WKU Compliance Office prior to contacting any student-athletes. They register by completing and submitting the Agent Registration Form. Each Agent Registration Form will be kept on file in the Compliance Office. All written correspondence to current student-athletes should be sent to the student-athlete in care of the Compliance Office. If a WKU student-athlete (or parents/legal guardians) would like to contact an agent in person prior to the time that they exhaust their eligibility or declare their intent to forego any remaining intercollegiate athletics eligibility and turn professional, they should complete and submit the Agent Permission to Contact Authorization form to the Athletics Compliance Office for approval.
30
WESTERN KENTUCKY UNIVERSITY
ATHLETICS COMPLIANCE OFFICE
AGENT POLICIES AND PROCEDURES 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.
2.
Representation for Future Negotiations. An individual shall be ineligible 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 to participate in any sport.
3.
Benefits from Prospective Agents. An individual shall be ineligible 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 studentathlete in the marketing of his or her athletics ability or reputation and does not represent individuals in the student-athlete's sport.
31
WESTERN KENTUCKY UNIVERSITY
ATHLETICS COMPLIANCE OFFICE
AGENT POLICIES AND PROCEDURES
Agent Permission to Contact Form Completion of this form is required prior to having any in-person encounter with a WKU student-athlete and/or his or her parents or relatives. A.
Last Name:
B.
Firm Name:
C.
Firm Mailing Address:
D.
Firm Website:
E.
Business Phone:
F.
E-Mail Address:
G.
Date of Proposed Contact:
H.
Student-Athlete or Parent of Athlete to contact:
I.
Site of Contact:
J.
Names of All Persons Present During Contact:
First Name:
Mobile Phone:
Time of Proposed Contact:
1. ___________________________________ 4. _________________________________ 2. ___________________________________ 5. _________________________________ 3. ___________________________________ 6. _________________________________ K.
Brief description of the purpose for contact:
By affixing your signature, you agree to abide by all NCAA rules, State of Kentucky regulations, and WKU policies. You also acknowledge that failure to comply with all NCAA rules, Kentucky regulations, or WKU policies may result in the initiation of legal proceedings by WKU and the assessment of NCAA, civil and/or criminal penalties. Agent Signature: ____________________________________
Date: ________________________
Student-Athlete Signature: _________________________________
Date: ________________________
Please return to WKU Athletics Compliance Office 32
WESTERN KENTUCKY UNIVERSITY
ATHLETICS COMPLIANCE OFFICE
AGENT POLICIES AND PROCEDURES
Agent Registration Form The completion of this form DOES NOT SATISFY THE KENTUCKY STATUTE requiring Athlete Agents to file with the State of Kentucky Division of Occupations and Professions. (See http://raa.ky.gov). Proof of filing with the State of Kentucky Division of Occupations and Professions must be furnished to the WKU Compliance Office by those individuals wishing to represent current WKU student-athletes in FUTURE professional athletic careers. Please return this questionnaire to the Western Kentucky Office of Athletics Compliance: Mail to: 1605 Avenue of Champions, Bowling Green Kentucky 42101-6412, or Fax to: (270) 745 - 6187, or Email to: [email protected] PHOTO *Please attach a recent photograph. BACKGROUND Name:_______________________________________ Firm:_______________________________________ Address:_____________________________________ City/State/Zip:________________________________ Daytime Phone:_______________________________ Evening Phone:_______________________________ Fax: ________________________________________ E-mail:______________________________________ STATEMENT OF UNDERSTANDING The following information is provided as a service to aid Student-Athlete's Name and/or WKU to better understand the type and kinds of services and expertise offered by the respondent in preparation for a future professional sports contract. It is acknowledged by all parties to this communication that the responses are intended to assist any student-athlete in learning more about the particular firm and its agents/representatives. Part of this process is accomplished by reference to the information provided below – in other instances, by personal interview or meeting. Cognizant of the need to provide accurate and reliable information, it is understood by those reviewing this material that the answers provided can be relied upon for their veracity and accuracy. If additional information is required to respond to a specific question, please attach whatever documentation is appropriate. In submitting this form, I voluntarily agree to comply with and be bound by any applicable State law. I further understand that by making any false or misleading statement of any nature in answering a question on this form, that the firm or individual may be identified to all institutional representatives (including student-athletes, parents/legal guardians) and any other collegiate institution that may deem such lack of disclosure appropriate in counseling student-athletes regarding future professional sport opportunities. _________________________________________________ Agent's Signature 33
WESTERN KENTUCKY UNIVERSITY
ATHLETICS COMPLIANCE OFFICE
AGENT POLICIES AND PROCEDURES
INFORMATIONAL QUESTION/RESPONSES All questions must be answered completely 1. List your educational background. Include dates attended and degrees conferred. __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________
2. List your employment history for the last ten (10) years. __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________
3. How many years' experience do you have representing student-athletes in securing future professional sports contracts? __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________
4. How many clients have you represented during the period of time indicated in question #3? __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ 5. Of the clients that you have represented, how many are still using your professional services? __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________
34
WESTERN KENTUCKY UNIVERSITY
ATHLETICS COMPLIANCE OFFICE
AGENT POLICIES AND PROCEDURES 6. Provide the names/telephone numbers of five of your current clients to be contacted by either WKU's sports counseling panel or a student-athlete requesting this information? __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________
7. Provide a list of names/telephone numbers of any clients who may have previously used your professional services, but are no longer associated with you or your firm? __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________
8. Please identify your areas of expertise in reference to professional sports/agent representation. __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________
9. What specific services are available to your clients? __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________
10. Do you offer a separate contract for each of these services? __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ 11. List any occupational or professional licenses or other similar credentials you have obtained other than college or graduate school degrees, including the dates they were obtained: __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________
35
WESTERN KENTUCKY UNIVERSITY
ATHLETICS COMPLIANCE OFFICE
AGENT POLICIES AND PROCEDURES 12. Have you ever been disbarred, suspended, reprimanded, censured, or otherwise disciplined or disqualified as an attorney, as a member of any other profession, or as a holder of any public office? (YES / NO) If YES, please describe each action, the dates of the occurrence, and the names and addresses of the authority imposing the action in question: __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________
13. Are any charges or complaints currently pending against you regarding you conduct as an attorney, as a member of any profession, or as a holder of public office? (YES / NO) If YES, please describe including the authority considering the action: __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ 14. Have you ever been convicted of, or plead guilty to, a criminal charge or something other than minor traffic violations ($100 fine or less)? (YES / NO) If YES, indicate the nature of the offense, date of conviction, criminal authority involved, and punishment assessed: __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________
15. Have you ever been the defendant in any civil proceeding, including bankruptcy proceedings, in which allegations of fraud, misrepresentation, embezzlement, misappropriation of funds, conversion, breach of fiduciary duty, forgery, or legal malpractice were made against you? (YES/ NO) If YES, please describe fully and indicate the result of the civil proceeding(s) in question: __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ 36
WESTERN KENTUCKY UNIVERSITY
ATHLETICS COMPLIANCE OFFICE
AGENT POLICIES AND PROCEDURES
16. Have you ever been adjudicated insane or legally incompetent by any court? __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________
17. Have you ever been suspended or expelled from any college, university or law school? (YES/ NO) If YES, please describe the circumstance: __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________
18. Please identify which of the following services you provide: Contract Negotiation ______ Grievance Arbitration ______ Financial Planning ______ Appearance/Endorsements ______ Estate Planning ______ Tax Planning ______ Investment Counseling ______ Other Services (explain) ______ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ 19. Are your customary fees for the above based on a percentage of the client's salary you negotiate, total income of the client, an hourly fee or some other arrangement? (Please explain) __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ 20. Please describe your fee structure. __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ 37
WESTERN KENTUCKY UNIVERSITY
ATHLETICS COMPLIANCE OFFICE
AGENT POLICIES AND PROCEDURES 21. How and when do you expect to be paid for your services under your contract? __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ 22. What is the duration of your contract? __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ 23. Under what conditions may a client terminate a contract? __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ 24. Do you have an agreement, understanding or relationship of any kind with any individual, firm or organization pursuant to which such an individual, firm or organization solicits or encourages clients to use your services (e.g., runners, etc.)? (YES / NO) Do you provide any compensation or other consideration to such an individuals, firms or organizations? (YES / NO) Please list all such individuals and/or organizations (both compensated and uncompensated) and explain the nature of the relationship between you and the individual and/or organization as well as how such individuals and/or organizations are compensated, if applicable. (Failure to list all such individuals or organizations may result in dissociation). __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ 25. What happens if your client is waived from a team? __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ 38
WESTERN KENTUCKY UNIVERSITY
ATHLETICS COMPLIANCE OFFICE
AGENT POLICIES AND PROCEDURES
26. Do you limit the number of clients you will represent (and, if so, how many)? __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________
ACKNOWLEDGEMENT I, _________________________being first duly sworn, say that I have read the foregoing questions and have personally answered the same fully and honestly and the answers to said questions are true and accurate to my knowledge. Further affiant sayeth not. ______________________________ Sworn before me in my presence this ________ day of _____________, 20____.
________________________________________ Notary Public
39
