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Governance and Commitment to Rules Compliance

Operating Principle

1.1 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 chancellor or president is assigned ultimate responsibility and authority for the operation, fiscal integrity and personnel of the athletics program.

c) Appropriate campus constituencies have the opportunity, under the purview of the chancellor or president, 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.

Link to this section of the Self Study

1.2. Rules Compliance. Membership in the Association places the responsibility on each institution to ensure 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 are clearly communicated to athletics staff members and those individuals outside athletics who have rules compliance responsibilities. These written policies and procedures must assign specific responsibilities in the areas of rules compliance, including assignment of direct accountability for rules compliance to the individual the chancellor or president 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 department. The responsibility for admission, certification of academic standing, evaluation of academic performance and administration of financial aid for student-athletes must be vested in the same agencies that have authority in these matters for students in general.

c) Rules compliance is the subject of a continuous, comprehensive educational effort to a wide range of constituencies.

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 four years, its rules compliance program is the subject of evaluation by an authority outside the athletics department. This rules compliance evaluation shall include the following areas:

1) Governance and organization.

2) Initial-eligibility certification.

3) Continuing-eligibility certification.

4) Transfer-eligibility certification.

5) NCAA Division I Academic Performance Program (APP).

6) Financial aid administration, including individual and team limits.

7) Recruiting (e.g., contacts and evaluations, official and unofficial visits).

8) Camps and clinics.

9) Investigations and self-reporting of rules violation(s).

10) Rules education.

11) Extra benefits.

12) Playing and practice seasons.

13) Student-athlete employment.

14) Amateurism.

15) Commitment of personnel to rules compliance activities.

Link to this section of the Self Study

Chair

  • Rev. Ed Udovic, Secretary of the University and Senior Executive for University Mission

Committee

  • Jose Padilla, University General Counsel
  • Jean Dorsch, Director of Internal Audit
  • Emily Opalski, Director of Institutional Compliance
  • Jeff Kroll, Board of Trustees Member
  • Joe Filkins, Office of Institutional Planning and Research, Athletics Board Member
  • Len Cavise, Director of Public Interest Law, Athletics Board Member
  • Elizabeth Ortiz, Vice President, Office of Institutional Diversity and Equity
  • Thad Dohrn, Senior Director of Development Athletics
  • Kathryn Statz, Associate Athletics Director for Varsity Sports (SWA)
  • Mary Devona Stark, Office of General Counsel and Athletics Liaison

Please note, exhibits and their numbering will be provided to the NCAA peer review team in advance of their campus visit.