ote to the reader... NCAA COMMITTEE ON ATHLETICS CERTIFICATION

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N ote to the reader... The NCAA Athletics Certification Self-Study Instrument is designed to assist participating NCAA member institutions in the Division I athletics certification program, as well as
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N ote to the reader... The NCAA Athletics Certification Self-Study Instrument is designed to assist participating NCAA member institutions in the Division I athletics certification program, as well as members of peerreview teams that will be conducting campus evaluation visits. The self-study instrument was developed by the NCAA Committee on Athletics Certification. The self-study instrument has been organized into four sections, consistent with the certification program s four basic topic areas (governance and commitment to rules compliance, academic integrity, fiscal integrity, and equity, welfare and sportsmanship). Further, each section is formatted so that institutions self-study reports are completed in as consistent a manner as possible. To ensure that the self-study instrument is a useful and up-to-date resource guide, the NCAA revises it annually and distributes it each year to institutions and peer reviewers involved in the certification process for the upcoming year. We hope that the self-study instrument is useful and that it contributes to the successful completion of campus self-studies and to the fair evaluation of those self-study efforts by members of peer-review teams. Users of the self-study instrument are encouraged to submit questions or suggestions regarding the use of the publication to: NCAA Membership Services P.O. Box 6222 Indianapolis, Indiana Attention: Athletics Certification Self-Study Instrument Telephone: 317/ [Note: Editorial changes approved by the NCAA Committee on Athletics Certification since the self-study instrument s last publication are set off by a gray background.] NCAA COMMITTEE ON ATHLETICS CERTIFICATION REVISED MARCH 2001 SELF-STUDY INSTRUMENT 1 SELF-STUDY INSTRUMENT TABLE OF CONTENTS Introduction to Self-Study Report... 3 Governance and Commitment to Rules Compliance... 7 Operating Principle Operating Principle Operating Principle Evaluation and Plan for Improvement Academic Integrity Operating Principle Operating Principle Operating Principle Attachment No. 1 Standardized Test Scores Table 1. ACT/SAT Conversion Chart Attachment No. 2 Special-Admissions Information Evaluation and Plan for Improvement Fiscal Integrity Operating Principle Operating Principle Operating Principle Evaluation and Plan for Improvement Equity, Welfare and Sportsmanship Operating Principle Operating Principle Operating Principle Operating Principle Attachment No. 1 Racial or Ethnic Composition Attachment No. 2 Program Areas to be Reviewed for Gender Issues Attachment No. 3 Program Areas to be Reviewed for Minority Issues Attachment No. 4 Program Areas to be Reviewed for Student-Athlete Welfare Issues Evaluation and Plan for Improvement Appendices Appendix A: Sample Plan Format Governance Issues Appendix B: Sample Plan Format Gender Issues Appendix C: Sample Plan Format Minority Issues TABLE OF CONTENTS REVISED MARCH 2001 SELF-STUDY INSTRUMENT INTRODUCTION TO SELF-STUDY REPORT [Note: Please complete this form and include it at the beginning of the institution s self-study report.] Institutional Information (Name of Institution) 1. Type of institution: Public Private 2. Year institution was founded: 3. Special affiliation (e.g., religious, military)? Yes No Coeducational? Yes No 5. Total student enrollment (undergraduate and graduate combined) [using a full-time-equivalency (FTE) basis]: 6. Number of faculty [using a full-time-equivalency (FTE) basis]: 7. Highest level of academic degree offered: 8. Institution s governing entity (e.g., board of trustees): 9. a. Regional accreditation agency: b. Date of most recent regional accreditation self-study: c. Current accreditation status: Athletics Information 1. Subdivision status of athletics program: I-A I-AA I-AAA 2. Conference affiliation(s) or independent status: REVISED MARCH 2001 INTRODUCTION TO SELF-STUDY REPORT 3 3. Athletics program structure (check all that apply): one combined athletics department separate men s and women s departments incorporated unit separate from institution department within a physical education division. 4. Date of NCAA major infractions case(s) (if any) since previous certification self-study and impact (if any) on the areas of the certification program: 5. Other significant events (with dates) in the history of intercollegiate athletics program: Previous Certification Self-Study (Please attach additional pages as necessary when responding to these items.) 1. Date of previous orientation visit, evaluation visit and interim self-study report (if applicable): 2. Initial certification-status decision rendered by the NCAA Committee on Athletics Certification (and date): 3. Subsequent actions or changes in certification status (if any) made by the NCAA Committee on Athletics Certification (and date): 4. Changes in key senior-level positions, institutional or athletics program, (if any) since the institution s previous certification self-study: 4 INTRODUCTION TO SELF-STUDY REPORT REVISED MARCH 2001 5. Significant changes impacting the institution and/or athletics program, if any (e.g., conference affiliation, sports sponsored, changes in admissions standards, significant changes in graduation rates, changes in mission statement of the athletics program, changes in fiscal stability/condition of the athletics program), since the institution s previous certification selfstudy: Certification Self-Study Information 1. Steering committee chair (name and title): 2. Chief report writer/editor of self-study report (name and title): 3. Describe the extent of broad-based participation of campus constituencies in the self-study. Specifically, report on the opportunities that actually were provided to various individuals or groups in the broad-campus community to: (a) offer input into the self-study report before its findings and plans for improvement were formulated, and (b) review the self-study report after it was drafted. 4. Attach a copy of the institution s written plan for conducting the self-study. REVISED MARCH 2001 INTRODUCTION TO SELF-STUDY REPORT 5 SELF-STUDY INSTRUMENT GOVERNANCE AND COMMITMENT TO RULES COMPLIANCE Previous Certification Self-Study 1. List all corrective actions, conditions for certification or strategies for improvement imposed by the NCAA Division I Committee on Athletics Certification in its first-cycle certification decision (if any) as they relate to governance and commitment to rules compliance issues. In each case, provide: (a) the original corrective action, condition, or strategy imposed; (b) the action(s) taken by the institution and the date(s) of those action(s); and (c) an explanation for any partial or noncompletion of such required actions. [Note: The institution is not required to respond to recommendations for required actions developed by the peer-review team unless those same recommendations were adopted by the Committee on Athletics Certification.] 2. List all actions the institution has completed or progress it has made regarding all plans for improvement/recommendations developed by the institution during its first-cycle certification process in the governance and commitment to rules compliance area. Also, describe any additional plans for improvement/recommendations developed by the institution since the firstcycle certification decision was rendered by the Committee on Athletics Certification. Specifically include: (a) the original plan; (b) the actions(s) taken by the institution; (c) the date(s) of the action(s); (d) actions not taken or not completed; and (e) explanations for partial completion. 3. List all actions the institution has completed or progress it has made regarding required actions identified by the NCAA Committee on Athletics Certification during the institution s interimreport process (if applicable) as they relate to governance and commitment to rules compliance. Specifically, include for each: (a) the required action, (b) the action(s) taken by the institution, (c) the date(s) of these action(s), (d) action(s) not taken or completed, and (e) explanation(s) for partial completion. 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 studentathletes; (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. REVISED MARCH 2001 GOVERNANCE AND COMMITMENT TO RULES COMPLIANCE 7 Self-Study Items 1. Please provide mission statements of the institution and athletics program and indicate the date of their last revision. 2. Explain how the mission of the athletics program relates to that of the institution as a whole. 3. Describe how and to whom the athletics program s mission statement is circulated. 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. 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. 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). 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. 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 faculty athletics representative(s), the director of athletics, and any other appropriate campus constituencies (e.g., faculty, students, institutional personnel involved in rules-compliance activities ) in this process. Please provide the composition of the athletics board or committee (including titles and positions). 4. Please attach an institutional organizational chart and an athletics department organizational chart. Information to be available to the peer-review team, if requested: Minutes of athletics board or committee meetings. Composition of the institution s governing board (including titles and positions). Minutes of the institution s governing board meetings. (Please flag those that relate to the athletics program or athletics interests.) 8 GOVERNANCE AND COMMITMENT TO RULES COMPLIANCE REVISED MARCH 2001 Published policies of the institution s governing board. (Please flag those that relate to the athletics program or athletics interests.) 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 department. c. Rules compliance is the subject of an 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 department. [Note: The effective date of this requirement is January 1998.] 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. 2. Identify, using an organizational or flow chart, 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 faculty athletics representative, director of athletics, compliance coordinator (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. 3. 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. 4. Describe the procedures used by the institution to monitor student-athlete employment in compliance with NCAA legislation. 5. 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 REVISED MARCH 2001 GOVERNANCE AND COMMITMENT TO RULES COMPLIANCE 9 descriptions, (b) contracts or letters of appointment, (c) personnel evaluation criteria and, (d) philosophy statements and other applicable sections of policy manuals. 6. Please attach written policies and step-by-step procedures that include assignment of 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). [Note: The institution may use elements of its response to self-study items Nos. 4 and 5 under Operating Principle 2.1 (Academic Standards) when preparing the response to this self-study item.] 7. Please attach documentation related to periodic evaluation of the institution s rules-compliance program by an authority outside of athletics. Information to be available to the peer-review team, if requested: List of athletics booster organizations and their officers. Description of athletics booster group policies and procedures (e.g., constitution and bylaws). Documentation required by the institution to maintain compliance with NCAA rules (e.g., compliance manual, recruiting logs, eligibility files). Documentation generated as a result of conference involvement with the institution in reviewing compliance efforts. Documentation related to secondary rules violations for the last three years and the institutional response to those violations. Conference manual. Planning documents related to athletics (if any). Evaluation and Plan for Improvement Given the responses to the self-study items on the previous page, complete the responses below to: (1) indicate (with a yes or no) whether each part of the operating principle exists in the athletics program, and (2) evaluate whether the activities of the athletics program are in substantial conformity with the operating principle as a whole. [Note: In completing this assessment, make sure that all relevant information from the other three certification areas is considered, given that some overlap does exist.] Where the institution concludes in its evaluation that it does not conform to the operating principle as a whole or to any particular element(s) of the operating principle [as indicated by a Currently No response to the element(s)] or that problems or deficiencies exist in this area, outline the institution s specific plans for improvement, which should include/meet the following required elements: (a) in writing, (b) developed through broad-based participation, (c) issues/problems identified in the self-study, (d) measurable goals the institution intends to attain to address the issues/problems, (e) step(s) to achieve the goals, (d) the specific timetable for completing the work, and (f) individuals/offices responsible for carrying out the actions (h) institutional approval, and (i) means for funding. [Note: Please see Appendix A, Page 51 for an example format outlining all required elements of plans.] 10 GOVERNANCE AND COMMITMENT TO RULES COMPLIANCE REVISED MARCH 2001 1.1 Mission of the Athletics Program and the Institution. If Currently No or If Deficiencies Exist, Indicate Plan For Currently Found On Currently Improvement Yes Page(s) No Number a. Does the institution 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? (4) Support equitable opportunity for all students and staff who are minorities? (5) Embrace the Association s principles of sportsmanship and ethical conduct? (6) Are widely circulated among the institution s internal and external constituencies? b. Does the institution demonstrate that the actual practices of the institution s athletics program are consistent with the athletics program mission and goals? REVISED MARCH 2001 GOVERNANCE AND COMMITMENT TO RULES COMPLIANCE 11 On the basis of the yes/no answers above and the plans for correcting deficiencies below, is the institution in substantial conformity with Operating Principle 1.1 (Mission of the Athletics Program and the Institution)? Yes No [Note: The institution should not indicate yes regarding conformity with the operating principle as a whole unless it has indicated Currently Yes for each element of the operating principle or has below a plan to address any Currently No response to any element(s) of the operating principle.] 1.2 Institutional C
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