A Self-Study of Athletics at the
University of Pennsylvania
To the University Community
The University of Pennsylvania has spent the past year conducting a self-study as part of the process required to meet National Collegiate Athletic Association (NCAA) certification requirements. This was not an insignificant challenge given Penn's athletic program of 32 intercollegiate teams and more than 1,000 student-athletes; it is one of the largest programs in the country. The purpose of the self-study is to ensure that Penn's athletic programs meet or exceed NCAA guidelines for governance and rules compliance, academic integrity, fiscal integrity, and commitment to equity.
Over the past year, representatives from a broad cross-section of the University community have educated themselves regarding how Penn manages and supports its athletic programs. They have affirmed University athletic policies and they have made recommendations for improvements where warranted. But on balance, the committees found that Penn's athletic programs and policies represented the highest standards of the NCAA, Ivy League and the University.
As one of the institutions that helped the NCAA develop its certification program in 1991, Penn believes that the certification process helps maintain an athletic program that contributes to the University's overall mission and reinforces the positive values of Penn athletics. The process also allows Penn to demonstrate and reaffirm its commitment to the Ivy League principles that require student-athletes to be fully integrated into the larger scholarly community and meet the same high standards for both athletic and academic excellence. As this report bears out, Penn does not compromise the standards that it sets for its student-athletes and its athletic programs.
Ivy League rules governing financial aid, eligibility and academic performance for student-athletes are stricter than NCAA rules, and the self-study reflects this. The study also reflects Penn's commitment to maintaining a proper balance between athletics and academics and its ongoing efforts to ensure equal opportunity for all students wishing to participate in intercollegiate sports and parity between men's and women's programs.
In addition to the work of the committee members, the NCAA seeks to insure broad institutional participation in the self-study process. For this reason, the draft reports of the working committees conducting the self-study are now complete and are being published for comment from the University community. The NCAA Certification Institutional Steering Committee will take these comments into account in preparing its final report for submission to the President, and then to the NCAA. The complete text of the draft reports is available in Van Pelt-Dietrich Library Center, from the Athletic Department office in Weightman Hall, and will be on the News and Public Affairs Web site ( www.upenn.edu/pennnews).
Comments should be submitted to NCAA Athletics Certification Study in care of Tricia Simpson, Weightman Hall, 235 S. 33rd St., or by e-mail at email@example.com no later than Friday, December 20, 1996.
--Stephen T. Golding
Chairman, NCAA Certification Committee
1. Governance and Commitment to Rules Compliance
1. Describe any recent major changes in policy and organization that affect the institution's current efforts in matters related to the operating principles listed previously regarding institutional athletics governance and rules compliance, focusing on those implemented during the last three years.
Intercollegiate athletics are an integral part of the educational program of the University of Pennsylvania. The institution maintains responsibility for the conduct of its athletics program, including the actions of its staff members and representatives of its athletics interests. The President has ultimate responsibility and authority for the operation of the athletics program, with the clear and direct support of the Board of Trustees. The Director of Athletics is conferred responsibility for the operation of the intercollegiate athletic program and management of the athletics staff, with a reporting line to the Provost, who reports to the President.
Within the past three years, the University of Pennsylvania has undergone a number of personnel changes in the senior management of the institution. In July 1994, Dr. Judith Rodin became the seventh President of the University of Pennsylvania and the first Penn alumna to take this office. At the same time, Dr. Stanley Chodorow took over as Provost and Steve Bilsky became Director of Athletics and Assistant to the Provost. In October 1994, Dr. P. Roy Vagelos took on the role of chairman of the Board of Trustees. (Refer to Appendix A-1 for University of Pennsylvania Trustees and Appendix A-2 for the Administrative Structure of the University of Pennsylvania.)
During the 1994-95 academic year, the President named Dr. Ken Shropshire, Associate Professor of Legal Studies and Real Estate, to the post of faculty athletics representative (FAR) and Dr. Larry Moneta, Associate Vice Provost for University Life, to the post of institutional eligibility officer. These individuals have responsibilities regarding institutional athletics governance and rules compliance as defined by the NCAA and the institution.
The new administration of the University of Pennsylvania has continued, and strengthened, the support for Penn's intercollegiate athletics programs as an integral part of the educational enterprise. Evidence of such support can be found in the University's five-year strategic plan, entitled Agenda for Excellence (Appendix A-3). In this plan, published for comment by the University community in November 1995, the first strategic goal states that "the University will solidify and advance its position as one of the premier research and teaching universities in the nation and in the world." Among the stated subgoals is for "Penn's exceptional undergraduate programs [to] position it among a select group of research universities as a school of choice for the ablest undergraduates in the nation and in the world. To enhance its ability to fulfill its mission, the University will be considered among the top ten in undergraduate education." Among the strategic initiatives identified to enable the University to achieve this subgoal is to "enhance activities that improve Penn's attractiveness to undergraduates." It includes initiatives to "develop new and up-to-date recreational athletic facilities" by "[identifying and securing] funds for construction of new recreational athletic facilities, [developing] facilities to provide sufficient, equitable, and attractive athletic space, and [developing] a plan for intercollegiate athletics that continues to stress the recruitment of scholar-athletes."
The President and Provost emphasized their conviction that "the University of Pennsylvania gains strength from the special character of its component parts and the synergies among those parts" in their joint cover letter to the Agenda for Excellence. They also charged the deans and directors "to lead their faculties in developing or reviewing their schools' strategic plans to ensure that the University's goalsprovide a foundation for school -level programs and initiatives." In accordance with that charge, the Director of Athletics proposed the Division of Recreation and Intercollegiate Athletics (DRIA) Strategic Plan,1 which was approved by the President and Provost and discussed with the DRIA staff, the Athletic Advisory Board, the University Council Committee on Recreation and Intercollegiate Athletics, and the Academic Planning and Budget Committee in the fall of 1996.
Beginning in July 1995 and culminating in September 1996, the Director of Athletics made significant changes to the DRIA's organizational structure to increase the efficiency, effectiveness, and accountability of the staff. (Refer to Appendix A-4 for DRIA Organizational Chart--1991 and Appendix A-5 for the DRIA Organizational Chart--1996.) The reorganization established a lateral staffing structure which clarified the chain of command, created clearer lines of communication, and eliminated duplication of administrative efforts. The changes also established an increased emphasis on new revenue sources through fund-raising and corporate sponsorship, a shift of budgetary responsibility to individual sport programs, and the assignment of eligibility and compliance responsibilities to a senior administrative position.
With regard to major policy change, academic standards governing student-athlete eligibility were revised during the 1994-95 academic year in order to be equitable with the academic standards governing the general student population. The revision process was led by the institutional eligibility officer and involved significant discussions with the following institutional representatives: DRIA senior administration, the academic eligibility officer for each of the four undergraduate schools, the University Council Committee on Recreation and Intercollegiate Athletics (UCRIA), the Faculty Senate's Committee on Students and Educational Policy, the Council of Undergraduate Deans, and the Provost. A revised eligibility policy was drafted and approved by the Provost and was instituted for the 1995-96 academic year. This policy and is subject to the approval of the University Council.
The guiding principles for student-athlete academic accountability are as follows: (1) student-athletes should not be subjected to substantially different standards for participation in extracurricular activities than all other students; (2) eligibility standards should be based on objective criteria that are directly related to the student-athlete's undergraduate school's academic regulations; and (3) governance of student-athlete eligibility resides with the institution's faculty with the implementation of eligibility policies assigned to the Eligibility Committee comprised of the eligibility officers of each undergraduate school. The institutional eligibility officer convenes the Eligibility Committee and the DRIA compliance officer serves in an ad hoc capacity to the Eligibility Committee.
2. Explain how the mission of the athletics program relates to that of the institution as a whole.
The fundamental mission of the University (Appendix A-6) is to educate men and women to become future leaders through excellent programs which challenge their intellect, provide for diversity of experiences, and offer opportunities to grow and excel. The mission of the DRIA (Appendix A-7) is "to provide a wide array of athletic opportunities on both the intercollegiate and recreational levels which will enhance and enrich the educational experience of our students" and "to provide recreational and fitness activities for the entire University community." This mission supports the institution's stated commitment to "encourage, sustain, and reward its faculty; nurture, inspire and challenge its students; and support and value its staff."
The University of Pennsylvania also "inspires, demands, and thrives on excellence," according to its mission, and the DRIA maintains that level of commitment in its efforts "to encourage the highest standards of competition for our intercollegiate teams." Most importantly, however, is the DRIA's pledge "to conduct a program that is consistent with the educational purposes of the University of Pennsylvania and the principles of the Ivy Group Agreement, the ECAC, and the NCAA."
The development and support of the University's connections to alumni and friends is another important aspect of Penn's mission which is specifically supported by the DRIA's stated intention to "promote a shared experience with the University community, alumni, and friends that helps to form the lifelong foundation of the relationship between the individual and the University."
3. Describe the process followed and the role of various participants in the development, formal approval, and most recent review of the mission of the athletics program. Also, describe how and to whom the completed mission statement is circulated.
The DRIA Statement of Mission (see Appendix A-7) was formally approved by the President in July 1996. The review and establishment of the mission statement was initiated as the DRIA began the endeavor of developing a strategic plan, a process that was led by an outside consultant under the direction of the Director of Athletics. In July 1991, the senior administrative staff was introduced to a strategic planning model and began discussions on customer analyses, environmental scanning, and organizational assessment. Representatives of constituent groups (i.e. coaches, Athletic Advisory Board, University Committee on Recreation and Intercollegiate Athletics, Women's Athletic Board) were involved via discussions with individual members throughout the process. Draft versions of the strategic plan, including the statement of mission, were shared with the Athletic Advisory Board for their feedback, with the final version being distributed in February 1994. Strategic plan drafts were also shared with the DRIA staff for their feedback, with a formal presentation made in 1994 and distribution of the final version in March 1994.
In early 1994, the strategic plan was also provided to the Provost for his review. Due to the personnel change in the Director of Athletics' position (July 1994) the final version of the strategic plan, including the statement of mission, was not officially endorsed. It was, however, used in the development of the current strategic plan and statement of mission. The mission was officially approved by the President in July 1996 and the strategic plan was officially approved by the President in October 1996. The DRIA Strategic Plan and statement of mission were presented to and discussed with the DRIA staff, the Athletic Advisory Board, and the Academic Planning and Budget Committee in October 1996 and the University Council Committee on Recreation and Intercollegiate Athletics in November 1996.
4. 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 key individuals or groups (e.g., faculty, students) in this process.
The Director of Athletics is responsible for the management of the DRIA. The Director is assisted in his duties by a senior administrative staff which meets bi-monthly. The senior staff is comprised of the Director of Administrative Affairs, the Director of Athletics Development and Public Affairs, the Senior Associate Director of Athletics, the Associate Director of Athletics, the Assistant Director of Athletics, and the Executive Assistant to the Director of Athletics. The associates are responsible for overseeing the sport programs and have regularly scheduled, bi-monthly meetings with each coach.
The DRIA is under the direct supervision of the Provost, who reports directly to the President. The President serves on the Council of Ivy Group Presidents, which has "full and final responsibility, through the Policy Committee, for the determination of all agreed policies of the Group and with respect to the organization and operation of the Committees on Administration and Admissions." The President and the Provost report to the Board of Trustees on matters within the DRIA which involve substantial resource allocations, major changes in programs or facilities, and matters that have significant impact on the philosophy of the institution.
The Board of Trustees commissions the Athletic Advisory Board (Appendix A-8) to serve in the role of overseer and advisor. Members are nominated by the Director of Athletics, the President reviews and endorses the nomination, and the Board of Trustees votes on the appointment. Currently the membership includes trustees, faculty, alumni/ae, and the NCAA faculty athletics representative.
From the faculty perspective, the University Council (the elected body representing the interests of the University faculty) appoints a Committee on Recreation and Intercollegiate Athletics (Appendix A-9) to include faculty, administrators, support staff, students, and alumni/ae (ex officio members include the Director of Athletics, the institutional eligibility officer, and the Dean of Admissions). The UCRIA serves in an advisory capacity to the Director of Athletics and the Provost, and provides a linkage of the DRIA and the faculty via the University Council.
The Women's Athletic Board (Appendix A-10), according to their statement of policy and purpose, "is comprised of interested persons who will act as a liaison with the athletic department, University administration, coaches, and alumni. The Board's concern is the status, development, growth, policy, and needs of women's athletics" at the University of Pennsylvania. "The intent of the Board is to work closely with the athletic department, coaches, and the Athletic Advisory Board, as well as with the established channels for development, public relations, and recruiting."
The Gender Equity Advisory Group (Appendix A-11) was created in 1995 to monitor the gender equity settlement agreement (see item 1 in Commitment to Equity) and make recommendations about future issues related to gender equity. The membership is comprised of at least seven members, including a chair appointed by the Director of Athletics, one female coach, one male coach, one female student-athlete, one male student -athlete, a member of the Athletic Advisory Board, a member of the Women's Athletic Board, and a member of the University Council Committee on Recreation and Intercollegiate Athletics.
The faculty athletics representative attends the NCAA convention as a voting delegate and has responsibilities regarding institutional athletics governance and rules compliance as defined by the NCAA and the institution. The institutional eligibility officer convenes the Eligibility Committee and attends to matters concerning institutional eligibility and rules compliance.
The Ivy League makes decisions about intercollegiate athletics through its established committee structure, which is supported by the Ivy League Office. The League's committee structure includes the Council of Ivy Group Presidents the Policy Committee, the Committee on Administration, the Committee on Admissions, and the Sports Committee (Appendix A-12).
The Council of Ivy Group Presidents (also referred to as the Ivy Council) consists of the Presidents of the eight Ivy League institutions. The Ivy Council has full and final responsibility, through the Policy Committee, for the determination of all agreed policies of the Group and with respect to the organization and operation of the Committees on Administration and Admissions.
The Policy Committee has 12 members, including a senior officer appointed by the institution's president and 4 additional members, selected by the chair and the League's executive director, one from the Committee on Administration, one from the Committee on Admissions, one director of financial aid, and one senior associate director of athletics. The role of the Policy Committee is to monitor the policies and programs of the member institutions to ensure consistency with the spirit and intent of this agreement. In addition, League-wide rules on admission and financial aid, particularly as they affect the recruitment, admission, and financial aid of student-athletes, are considered by the Committee. The Committee maintains a set of rules of eligibility for athletics consistent with the policies and principles agreed to by the Group, and it hears appeals from eligibility decisions of the executive director.
The Committee on Administration is comprised of the athletic directors of each of the eight member institutions. The charge of the Committee is to oversee the various operational aspects of matters dealt with in the Ivy Agreement, keeping under close and constant review the conditions under which intercollegiate sports are conducted and promoting inter-institutional cooperation in keeping with the spirit of the Ivy Agreement. Specific activities of the Committee include management of the separate Ivy Athletic Leagues; league awards and trophies and all-Ivy teams and certificates; financial considerations; coaches' activities; public relations; and representation for the Ivy group in the councils of national and regional athletic associations.
The Committee on Admissions is composed of the dean or director of admissions of each of the eight member institutions. The committee has jurisdiction over all matters of admissions that are affected by the Ivy Agreement, including the recruitment of athletes at Ivy Group institutions and acceptance procedures. The committee prepares detailed rules for the effective control of recruitment regulations promulgated by national and regional conferences in which individual institutions of the Ivy Group hold membership.
The Sports Committees are each made up of the head coaches of that specific sport from each member institution and an appointed administrative liaison as determined by the Committee on Administration. The committee is to meet at least annually to discuss issues related to the Ivy League operation of the associated sport. The issues include, but are not limited to, officiating, scheduling, recruiting, selection of the all-Ivy teams, NCAA rules changes or championship policies that affect the Ivy League, and proposed Ivy League rules changes. The chair of the sport committee (1) works with the administrative liaison and the Ivy Office to resolve any sport related issues raised by the Sports Committee or other Ivy League committees; (2) works with the administrative liaison to submit any sport-related NCAA legislation proposed by other member institutions which affects the Ivy League; (3) works with the administrative liaison to submit any sport-related Ivy legislation to the Ivy office for vote by the Committee on Administration; and (4) attends meetings of the Committee on Administration or its working group as needed.
5. 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).
The Board of Trustees provides oversight and broad policy formulation for the operations of the athletics program via the Athletic Advisory Board, which is commissioned by the Board of Trustees to serve the role of overseer and advisor, and the President and the Provost, who report to the Board of Trustees on matters within the DRIA that involve substantial resource allocations, major changes in programs or facilities, and matters that have significant impact on the philosophy of the institution.
Within the past three years, the Board of Trustees has made a number of decisions with implications for the DRIA, beginning with the appointment of the President and Provost in 1994. The Board of Trustees has also made a variety of decisions with regard to athletic facilities, as Trustee approval is required for all major capital projects at the University of Pennsylvania. Since 1993, the Trustees have authorized capital expenditures on the construction of the Weiss Weight Room for male and female varsity student-athletes (1993); replacement of the artificial turf and drainage system on Franklin Field (1993); and the completion of the Franklin Field rehabilitation project addressing such things as structural concerns and seating issues (1993, 1994, 1995), among other projects.
6. 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.
The President has ultimate responsibility and authority for the operation of the athletics program. Within the past three years, the President has been significantly involved in a variety of athletic-related decisions, including the following:
7. Describe the activities that the institution has established for its athletics booster groups and other representatives of the institution's athletics interests, as well as those organized or initiated by the booster groups. Also, describe how the activities of these groups and individuals are maintained under the clear control of the institution, including whether institutional personnel serve on booster-club or foundation boards.
The University of Pennsylvania has annual giving funds for each intercollegiate sport to enhance the quality of the program, meet needs the operating budget cannot accommodate (i.e., special team training travel, special equipment purchases), and promote additional interest in and support for the program. All funds contributed to the program are deposited into institutional accounts in accordance with institutional policy.2 Expenditures must be approved by the responsible associate Director of Athletics and are monitored according to institutional policy by the Director of Administrative Affairs. All fund-raising activities, newsletters, and special events must be approved in advance by the athletics development officer and the responsible associate Director of Athletics. All of the above mentioned positions have a clear reporting line to the Director of Athletics, who reports to the Provost who, in turn, reports to the President. The President has ultimate responsibility and authority for the operation of the athletics program, with the clear and direct support of the Board of Trustees. In this manner, the annual giving funds are maintained under the clear control of the institution.
In some sports, there is a formalized structure to the donor membership which includes a board and statements about the mission and individual roles. The sports with a formalized structure are men's basketball (Appendix A-13), football (Appendix A-14), men's tennis (Appendix A-15), women's tennis (Appendix A-16), and wrestling (Appendix A-17). The coach and the athletics development officer work most closely with these groups and are responsible for overseeing their activities.
8. Describe how the institution has organized itself to maintain compliance with NCAA rules. 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., recruiting coordinator, financial aid officer, admissions director, internal auditor) who are responsible for documenting and monitoring compliance with NCAA rules.
The University of Pennsylvania is committed to maintaining its intercollegiate athletics program within the principles and standards of the Ivy League and the NCAA. Compliance to rules and regulations is a shared responsibility across departments and schools. Exhibit A, lists positions with compliance to NCAA rules as a component of the assigned duties and responsibilities.
The Ivy League office regularly supports institutional efforts with regard to rules compliance and will provide special assistance upon request. Every four years, the senior associate director of the Ivy League conducts an on-sight review of each member institution's compliance process and produces a report for the institution, with recommendations as necessary. This process provides a review by a compliance authority external to the DRIA and the institution. The University of Pennsylvania is scheduled for its review during academic year 1996-97.
9. Describe the procedures by which the institution processes alleged or self-discovered violations of NCAA rules.
The DRIA compliance coordinator is responsible for investigating all alleged or self-discovered violations of NCAA rules to determine whether a violation has occurred. All violations are reported to the Director of Athletics, the program's associate director, the head coach, and the persons involved in the potential infraction. If the action creates a violation of eligibility rules, then the institutional eligibility officer is informed. All other actions are reported to the faculty athletics representative. Violations considered minor are informally reported by the compliance coordinator and formally reported by either the institutional eligibility officer or faculty athletics representative to the senior associate director of the Ivy League. Major violations are reported by the Director of Athletics to the President, Provost, faculty athletics representative, and Ivy League executive director. The Ivy League office reports violations, as deemed necessary, to the NCAA. Violations considered to be major are generally reported directly to the NCAA, but they may be reported through the Ivy League. When deemed appropriate, the President will report major violations to the Board of Trustees.
A written report concerning the violation is part of the reporting process and shall include the following information:
Delineated in Exhibit B, below, is the sequence of discovery, investigation, and action in response to a possible infraction:
10. Describe the institution's rules-education efforts for student-athletes, athletics department staff members, other institutional staff members, and representatives of institution's athletics interests.
Rules education at the University of Pennsylvania is an ongoing process. The compliance coordinator is primarily responsible for formal efforts and programs, however, rules education is a shared responsibility of the DRIA senior administration and coaching staff.
Athletics Department Staff Members. Rules-education efforts are targeted to the senior administration and coaching staffs. The compliance coordinator is principally involved in these efforts and works cooperatively with the Director of Athletics and other senior administrators. Rules education efforts are most often in the form of missives from the compliance coordinator, Director of Athletics or Senior Associate Director of Athletics, followed by updates at staff meetings. When appropriate (i.e., before and after NCAA conventions), senior staff and coaches are given summaries of proposed (and later, adopted) legislation which are reviewed and discussed at coaches meetings. Additional emphasis is placed on Ivy League rules and regulations because these are often more restrictive than those of the NCAA. Each head coach is issued a copy of the Ivy League Manual. Each head coach also has access to an NCAA Manual.
Other Institutional Staff Members. The DRIA senior administration judiciously works with those school, office, and department heads with whom they routinely interact to broaden their knowledge of pertinent rules and regulations. These education efforts are primarily in the form of meetings and written correspondence. Principally included in these efforts are the Office of the President, Office of the Provost, Office of Admissions, Office of Financial Aid, Office of the Registrar, and Office of Development and Alumni Relations.
Representatives of Athletics Interests. Coaches play a major role in the DRIA's rules-education efforts. Each coach is expected to inform alumni and friends who express a desire to interact with student-athletes or prospective student-athletes of the rules governing such involvement. To support the coaches efforts, rules pertaining to representatives of athletics interests are periodically printed in Penn Sport! (the official newsletter of Penn athletics which is mailed to donors, parents, season ticket holders, select institutional representatives, etc.). The Ivy League produces a publication, NCAA Rules All Ivy Alumni and Friends of Athletics Should Know, which is provided to the coaches for distribution to selected alumni and friends. This publication is also mailed by the Office of Admissions to all chairs and new members of its Alumni Secondary Schools Committee (an institutionalized program which solicits alumni to provide admissions applicants with an opportunity for an interview).
Student-Athletes. Coaching staffs are responsible for educating their respective student-athletes with regard to pertinent rules and regulations for participation in intercollegiate athletics programs and do so through individual and team meetings. These efforts are reinforced and emphasized in the compliance coordinator's eligibility meetings. Here, policies, regulations, and expectations of conduct and behavior are reviewed and discussed. Student-athletes are encouraged to ask questions and seek clarifications to ensure they fully understand the rules with which they are to comply. Additionally, each student-athlete is given a copy of the DRIA Student-Athlete Handbook (Appendix A-18), which contains the most pertinent policies, rules, and regulations of the institution, Ivy League, and NCAA.
1. Given the responses previously, evaluate whether the activities of the athletics program are in substantial conformity with each of the operating principles set forth in this section. The institution's evaluation should address each of the seven specific operating principles separately.
Operating Principle 1:Institutional Mission. Maintaining intercollegiate athletics as an integral part of the educational program is a basic purpose of the Association. Consistent with this fundamental policy, the mission and goals of the athletics program shall:
The University of Pennsylvania is in substantial conformity with operating principle 1 in that the intercollegiate athletics program is maintained as an integral part of the educational program and its fundamental policy, mission, and goals are consistent with those of the institution.
The establishment of the DRIA Statement of Mission was made in consultation with major constituent groups and received final approval from the President. The mission was formulated in concert with the goals of the institution, as delineated in the Mission of the University and the Agenda for Excellence. The following excerpts from the DRIA Statement of Mission exemplify the commitment to the educational objectives of the institution, the academic progress of student-athletes, and the support for equitable opportunity for all students and staff:
The DRIA Statement of Mission is communicated to student-athletes via the DRIA Student-Athlete Handbook, and to staff and constituent boards and committees via distribution in the DRIA Strategic Plan. Communication with the University community, alumni and friends needs to be enhanced.
Operating Principle 2: Institutional Control. 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.
The University of Pennsylvania is in substantial conformity with operating principle 2. The institution maintains responsibility for the conduct of its athletics program, including the actions of its staff members and representatives of its athletics interests. The DRIA compliance coordinator manages and monitors the DRIA efforts to comply with institutional, Ivy League, and NCAA rules and regulations. As rules education is an ongoing process, the DRIA will remain committed to continuing efforts to evaluate and improve the knowledge of policies, rules, and regulations applicable to student-athletes, staff members, and representatives of athletics interests.
Operating Principle 3: Presidential Authority, Governing Board. The institution's governing board shall provide oversight and broad policy formulation. The chief executive officer shall be assigned ultimate responsibility and authority for the actual operation of the athletics program, with clear and direct support of the board.
The University of Pennsylvania is in substantial conformity with operating principle 3. The President has ultimate responsibility and authority for the operation of the athletics program, with the clear and direct support of the Board of Trustees. The President's formal authority for the operation of the athletics program is apparent in the administrative structure of the Ivy League. The Director of Athletics is conferred with responsibility for the operation of the intercollegiate athletic program and management of the athletics staff, with a reporting line to the Provost, who reports to the President.
Operating Principle 4: Shared Responsibilities. The athletics program shall be an integral part of the educational enterprise of the institution. As such, appropriate campus constituencies shall have the opportunity to provide input into the formulation of policies relating to the conduct of the athletics program and to scrutinize the implementation of such policies.
Athletics at the University of Pennsylvania is an integral part of the educational enterprise of the institution. Through the President, the Provost, the Board of Trustees, the Athletic Advisory Board, the University Council Committee on Recreation and Intercollegiate Athletics, the Women's Athletic Board, and the Gender Equity Advisory Group, appropriate campus constituencies are afforded opportunities to provide input into the formulation of policies relating to the conduct of the athletics program and to scrutinize the implementation of such policies. Although students participate in the University Council Committee on Recreation and Intercollegiate Athletics and the Gender Equity Advisory Group, and the team captains have periodically been called together to discuss athletics matters, there is a need to formalize the mechanism for student-athlete feedback by formalizing the Student-Athlete Advisory Committee.
Operating Principle 5: Assignment of Rules-Compliance Responsibilities. The institution shall have in place a set of written policies and procedures that assign specific responsibilities in the area of rules compliance. In critical and sensitive areas, institutional compliance procedures shall provide for the regular participation of persons outside of the athletics department.
The University of Pennsylvania is in substantial conformity with the assignment of rules compliance responsibilities as delineated in operating principle 5. The compliance coordinator is responsible for coordinating and monitoring institutional efforts with regard to education and compliance with institutional, Ivy League, and NCAA policies and regulations pertaining to intercollegiate athletics. The DRIA senior administration and several offices outside the DRIA, including the faculty athletics representative, institutional eligibility officer, eligibility committee, Office of Admissions, Office of Financial Aid, and Ivy League Office, are involved in providing oversight for compliance procedures.
Although the responsibility structure for rules compliance is functioning well at the University of Pennsylvania, there is a need to establish a written document identifying positions and outlining duties and responsibilities pertaining to rules compliance. That document should then be distributed to appropriate personnel (e.g., responsible individuals, student-athletes, DRIA staff, eligibility officers).
Operating Principle 6: Rules-Compliance Accountability. Rules compliance shall be the subject of an ongoing educational effort, and the commitment to rules compliance shall be a central element in personnel decisions within the department of intercollegiate athletics.
The University of Pennsylvania is in substantial conformity with operating principle 6 with regard to rules compliance accountability. The institution is committed to maintaining its intercollegiate athletics program within the principles and standards of the Ivy League and the NCAA and holds all representatives of athletics interests accountable for rules compliance.
Commitment to rules compliance is important to personnel decisions within the DRIA. In keeping with NCAA regulations, all DRIA administrators and coaches are required to sign an NCAA statement confirming their understanding and acceptance of NCAA rules and regulations and compliance to the same. All coaches under contract have a statement in their agreement which holds them personally responsible for knowing and abiding by all applicable rules and regulations of the University, Ivy League, and NCAA and all future contracts will similarly address the commitment to rules compliance. Any and all rules infractions are noted in the offending individual's personnel record.
The compliance coordinator is responsible for coordinating and monitoring institutional efforts with regard to education and compliance with institutional, Ivy League, and NCAA policies and regulations pertaining to intercollegiate athletics. The DRIA remains committed to continuing efforts to evaluate and improve the knowledge of policies, rules, and regulations applicable to student-athletes, staff members, and representatives of athletics interests.
Operating Principle 7: Rules-Compliance Evaluation. The institution shall provide evidence that its rules-compliance program is the subject of periodic (e.g., annual) evaluation by an authority outside of the athletics department.
The University is in substantial conformity with operating principle 7 with regard to rules compliance evaluation. The DRIA's compliance efforts are subject to review by several external offices with a role in providing institutional oversight for compliance procedures. Eligibility Committee members represent their respective schools and work with the institutional eligibility officer and the DRIA compliance coordinator to establish, monitor, and apply institutional academic standards. The institutional eligibility officer is responsible for oversight of the eligibility process. Additionally, the Office of Admissions and the Office of Financial Aid oversee compliance in their respective areas. In order to formalize the institutional review process, a compliance review committee will be established to conduct periodic (e.g., annual) evaluation by an authority outside of the athletics department.
The Ivy League office regularly supports institutional efforts with regard to rules compliance and will provide special assistance upon request. Every four years, the senior associate director of the Ivy League conducts an on-sight review of each member institution's compliance process and produces a report for the institution, with recommendations as necessary. This process provides a review by a compliance authority external to the DRIA and the institution. The University of Pennsylvania is scheduled for its review during academic year 1996-97.
2. Given the responses previously, evaluate whether the activities of the athletics program are consistent with the mission and purpose of the institution.
The activities of the intercollegiate athletics program are consistent with the mission of the University. The DRIA provides a wide array of athletic opportunities on both the intercollegiate and recreational levels which enhance and enrich the educational experience of Penn students and provide recreational and fitness activities for the entire University community. This supports the institution's stated commitment to "encourage, sustain, and reward its faculty; nurture, inspire, and challenge its students; and support and value its staff."
The DRIA's active commitment to conduct affairs within the moral and ethical principles of the institution, as well as within Ivy League, and NCAA regulations, is entirely consistent with the mission and purpose of the University of Pennsylvania.
DRIA's efforts to promote a shared experience with the University community, alumni, and friends are also in support of the University's mission in that these efforts help to form the lifelong foundation of the relationship between the individual and the University.
3. Where the institution concludes in its evaluation that it does not conform to one or more operating principles, describe the institution's specific plan for improvement, including: (a) the intended end result, (b) the individuals or offices that will be responsible for taking specific actions, and (c) the specific timetable for completing the work. Where the institution concludes that these improvements may affect existing programs or activities in other areas, describe how the institution intends to maintain the current level of quality of those programs.
The subcommittee on governance and commitment to rules compliance found that the University of Pennsylvania is in substantial compliance with the operating principles as set forth in the 1995-96 Division I Athletics Certification Self-Study Instrument. Nonetheless, the subcommittee recommends the actions below which serve to broaden awareness of the athletics mission and strengthen the University's compliance efforts.
* Description of all Appendices and their availability.
1 The DRIA Strategic Plan will be made available to the Peer Review Team during the campus visit.
2 There are two funds that are external to the institution; see Fiscal Integrity section, item 4.
2. Academic Integrity
1. Describe any recent major changes in policy and organization that affect the institution's current efforts in matters related to the operating principles listed above regarding academic integrity, focusing on those implemented during the last three years.
In the summer of 1994, a new institutional eligibility officer was appointed by the President and Provost. This individual was charged with responsibility for reviewing and amending the academic eligibility policies and procedures which are applied to Penn's athletes. Throughout the 1994-95 academic year, discussions were held with the University Council Committee on Recreation and Intercollegiate Athletics (comprised of faculty, staff, and students), the Faculty Senate Committee on Students and Educational Policy, the Provost and the Council of Undergraduate Deans, the academic eligibility officers of the individual schools and colleges, and various coaches and members of the athletic administration.
Listed below are the current operating principles for student-athlete academic eligibility:
A new eligibility policy was introduced for the 1995-96 academic year (Appendix B-1). The policy's impact was monitored and reviewed by the eligibility committee throughout the year. A report on the outcomes of the implementation of that policy was provided to the Council of Undergraduate Deans (Appendix B-2) and a revised policy was developed for the current academic year (Appendix B-3), also to be monitored and reviewed by the eligibility committee.
Additionally, DRIA revised the roles of the compliance and academic support officers to provide more consistent and comprehensive guidance to student-athletes. These roles are more fully articulated in the responses to self-study items 6 and 7.
The implementation of this new eligibility process represents the only major policy or organizational change affecting the academic integrity of student-athletes at the University of Pennsylvania.
2. Describe the process by which student-athletes are admitted to your institution, and compare it to the process for admitting students generally. Give careful attention to key decision points (e.g., establishment of admissions criteria, approval of special admissions) in these processes and the individuals or groups involved at each point, including the role, either formal or informal, the athletics department plays (if any) in the admissions process for student-athletes.
Student-athletes complete the same application for admission as all other applicants to the University of Pennsylvania. Admissions criteria are the same for all applicants as well. The SAT I and three SAT II Subject Tests or the ACT is required in addition to the candidate's academic transcripts, letters of recommendation, resume of extracurricular activities, and at least two essays. Applicants are first reviewed by a regional director in the Admission's Office, regardless of their status as recruited athletes. Applicants are divided among fourteen regional directors according to the location of the secondary school they attended. In this way, all candidates from an individual high school and region can be compared prior to the selection process.
In most cases, applications from student-athletes are reviewed a second time by the Associate Dean of Admissions acting as the athletic liaison. After applications are reviewed and evaluated, they are presented in either an administrative or formal selection committee. Applicants that are clearly inadmissible or uncompetitive are automatically denied. As of the 1995-96 cycle, all other applicants are presented in the formal selection committee, a group comprised of the Dean of Admissions or one of his associates acting as chair; the regional director, who presents the application to the committee; the undergraduate dean from the college to which the student has made application (or his/her representative); and an assortment of faculty and other admissions staff members.
As a member of the Ivy group, Penn strictly adheres to the admission standards set by the league. One of the primary tenets of those standards includes stipulation that student-athletes as a group be representative of the student body as a whole. All applicants are assigned an academic rating based on their standardized testing and high school classroom performance. Student-athletes, as a group (and generally by program), should have an average academic rating no less than one standard deviation from the overall class mean. In addition, a presumptive floor has been established for student -athletes. In general, no applicant with an academic rating below this floor should be admitted, unless a case can be made that the student would be admitted without regard to athletic ability.
3. Compare the admissions profiles of student-athletes who received athletic grants-in-aid with the profiles of students in general by submitting the following information for the three most recent academic years for which this information is available: average standardized test scores and average overall high-school grade-point averages for freshman student-athletes who received athletics aid (by gender, by racial or ethnic group, and according to the eight sport groups listed in the NCAA Division I graduation rates disclosure form--football, men's basketball, baseball, men's track/cross country, men's other sports and mixed sports, women's basketball, women's track/cross country, and women's other sports) and for all entering freshman students (by gender and by racial or ethnic group).
The data as requested on Attachment No.1 (Part 1, A and B only) is provided in Appendix B-4. Consistent with Ivy League institutional preferences, information relating to racial and ethnic groups will be provided to the NCAA Peer Review Team during their on-site visit and to the NCAA Committee on Certification. It will not be appended to this report in order to ensure appropriate confidentiality for students and student-athletes. (Precedent for this was established by Columbia University in their self-study process, and this position reflects the consensus of the Ivy Council.)
Converted class rank is used by the University of Pennsylvania (and the Ivy League) for all admissions determinations and has been substituted in this report for grade-point averages. Most significant is the fact that athletic participation does not influence the distribution of grants-in-aid (aid is granted to Penn students exclusively based on financial need). Therefore, comparisons provided delineate all student-athletes from the student body at large.
The data reveal that student-athletes are admitted at approximately the same ratio of academic ability as non-athlete students.
4. Compare the number of freshman student-athletes receiving athletics aid who were admitted by special exception to the institution's standard or normal entrance requirements with the number of freshman students generally who were so admitted by providing these data for the three most recent academic years and, for the student-athlete data, for each of the eight sport groups organized by year listed in the Division I graduation-rates disclosure form.
Penn operates under admission guidelines established by a faculty committee. These guidelines address issues of academic performance, special talents, personal qualities, racial and ethnic diversity, geographic distribution, and institutional affiliation. Eighty-five percent of the class is admitted based solely on their academic achievement, personal qualities, leadership, extracurricular talent, and potential to excel at Penn. The committee guidelines stipulate that 15 percent of the class can be admitted in a special admissions category. These include children of alumni, development cases, socioeconomically disadvantaged students, and a small percentage of athletes. Nearly three quarters of the athletes admitted to Penn each year are admitted without using the special admit category. Regardless of which admit category is used, no students at Penn shall be admitted unless the admission committee believes they can succeed academically.
The data as requested on Attachment 2 are provided in Appendix B-5. As indicated above, Penn does not offer athletic-based grants-in-aid to student -athletes, therefore the data compare all athletes admitted by special exception to all students admitted by special exception. The data are unremarkable.
5. List the step-by-step sequence of actions taken by particular individuals on your institution's campus to certify initial eligibility for transfer student -athletes. Identify the individual(s) with final authority for certifying initial eligibility, and their title(s).
Transfer students must qualify for waivers if they wish to represent the University in outside intercollegiate competition. Penn has few student-athletes who are also transfer students. Therefore, special attention is given them. Nonetheless, the initial eligibility certification process for transfer students resembles that used to certify first-year students.
The following is the process used in determination of eligibility status for first-semester transfer student-athletes:
6.List the step-by-step sequence of actions taken by particular individuals on your institution's campus to certify student-athletes' continuing eligibility. Identify the individual(s) with final authority for certifying continuing eligibility, and their title(s).
Please note that Penn and Ivy League academic eligibility requirements exceed the NCAA academic eligibility expectations. All efforts to review Penn student-athletes' academic progress include consideration of NCAA, Ivy League, and University of Pennsylvania academic eligibility policies.
7. Describe the academic support system available to student-athletes. Include: (a) the specific academic support services (e.g., tutoring, posteligibility programs, study skills) offered; (b) any policies that govern which students can use these services; (c) the mechanisms by which student-athletes are made aware of these services; (d) the mechanism for institutional academic oversight of these services; and (e) any means of analyzing, explaining, and addressing special academic needs of student-athletes (if any are identified).
A) Academic support services for student-athletes all come under the direction of the Department of Academic Support Programs (DASP) at the University of Pennsylvania. The DASP falls under the direction the Office of the Vice-Provost for University Life. The Assistant Director of Athletics in charge of academic coordination works closely with Ms. Terri White, Director of Academic Support Services. Student-athletes can take advantage of any program sponsored by DASP based on the criteria of the program.
The following are major outreach programs for all Penn students based on criteria established by the DASP. Student-athletes are invited to participate in these programs based on how they meet the criteria, which is the same for any student at Penn.
In addition, the DASP sponsors the following workshops and support programs for students at Penn:
B) There are no policies that govern which student-athletes can use these services, except those polices and criteria that have been developed for all students by DASP.
C) Student-athletes are made aware of these services by communicating information to all head coaches and assistant coaches of varsity sports programs. Each fall the Assistant Director for Academics, Recruitment, and Admissions visits every program's first team meeting to announce all the programs taking place, hand out information pertaining to academic support programs, and announce the CAAP program. In addition, there is a section in the Student-Athlete Handbook that pertains to academic resources at Penn, including office locations and phone numbers.
D) The Department of Academic Support Programs reports to the Office of the Vice-Provost for University Life, which has the responsibility of providing oversight for all academic support programs at Penn. The Division of Intercollegiate Athletics has no authority or oversight over DASP.
E) The Assistant Director of Athletics in charge of academic coordination will communicate special needs of student-athletes to the Director of Academic Support Programs. The DASP then makes recommendations for any special services for a particular student-athlete and implements the appropriate support services.
The job description of the Assistant Director of Athletics for Academics, Recruitment, and Admissions is attached as Appendix B-6.
8. Describe the institution's policies related to the scheduling of intercollegiate athletics competitions and practices that minimize interference with class time and examination periods.
The University of Pennsylvania subscribes to Ivy League policies regarding scheduling of contests and practices. League policies (attached as Appendix B-7) specify that athletic activities cannot conflict with mandatory orientation sessions for new and continuing students. In addition, student-athletes are expected to attend all class sessions and to meet all academic obligations as defined by their schools and their faculty. League scheduling of competitions are also made with full consideration of member institutions' exam schedules and study periods.
Information regarding class and exam schedules is published sufficiently in advance for coaches to ensure appropriate scheduling. DRIA administration staff confer regularly with academic and student affairs staff to be aware of (and to disseminate to coaches) information regarding orientation activities and other mandated academic events.
9. Review the graduation rates for student-athletes and for students generally during the last three years, and comment on any trends or significant changes.
Graduation rate data for the three requested years are provided below. These and other detailed graduation rate data are reviewed regularly by faculty, student, and administrative bodies to ensure successful completion of academic goals by Penn's student-athletes. The data reveal the fact that Penn student-athletes graduate at a rate quite comparable to students at large.
In the past few years, Penn has reviewed and altered several of its data collection and codification methods. This has resulted in variations in data outcomes which are reflected in the counting methods instead of with actual practices or student outcomes. The Academic Integrity Sub-Committee recommends that the Athletic Department, in concert with the Office of Institutional Research, the Registrar's Office and other appropriate departments examine these concerns in depth and reconcile Penn's data collection efforts which are pertinent to student-athletes so that consistent trends can be reviewed.
Note: The graduation rates offered below are taken from the NCAA Graduation-Rates Report for the years indicated. The formulation of the data does not allow for the deletion of students (from the database) who have left the University in good standing for personal reasons, transferred to another institution, have been placed on financial hold or graduated beyond the six-year time frame. That is, graduation credit is not given for students who leave Penn and graduate from another institution or students whose degree has not been conferred due to non-academic institutional policies.
10. Describe the specific goal(s) that your institution has set for graduation of students generally and for graduation of student-athletes.
The University of Pennsylvania expects that all students will graduate with the class with whom they were admitted. Penn has no separate graduation goals for student-athletes and holds identical standards for graduation for student-athletes as for all students attending the University. Penn recognizes that a small number of students will continue their undergraduate studies for a fifth year and that an even smaller number will transfer to other institutions or discontinue their studies. The University does not expect that student-athletes will transfer out or discontinue study at any greater proportion than students generally.
Ivy League regulations prohibit "red shirting" of student-athletes, therefore, Penn does not support athletically "induced" delays of studies or of graduation.
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1. Given the responses previously, evaluate whether the activities of the athletics program are in substantial conformity with each of the operating principles set forth in this section. The institution's evaluation should address each of the five specific operating principles separately.
Operating Principle 1. Student-Athletes Integrated in Student Body. An intercollegiate athletics program shall be designed to be a vital part of the institution's educational system, and student-athletes shall be considered an integral part of the student body.
It appears that, based on responses to the self study items, student-athletes at Penn are quite well integrated into the general student body. Key indicators include Ivy League rules and recommendations regarding scheduling conflicts as well as institutional policies regarding continuing eligibility. The study does not ask institutions to determine whether student-athletes participate in non-athletic extracurricular activities in similar proportion to students generally. We believe that such analysis will provide clearer indication of this goal and we recommend that such data be collected and compiled.
Operating Principle 2. Admission and Graduation. The institution shall admit only student-athletes who have reasonable expectations of obtaining academic degrees. If the graduation rate of student -athletes is significantly lower than that of the rest of the student body, this disparity shall be analyzed, explained, and addressed (through specific plans for improvement) by appropriate institutional authorities under clearly established and approved policies. If the academic profile of entering student -athletes differs from that of the rest of the student body, the contrast shall be analyzed and explained by regular institutional authorities under clearly established an approved policies.
Scrupulous review of existing admissions and graduation data confirms Penn's commitment to the principles of equity in admitting student-athletes with proven capacity to manage its challenging curriculum. These data are reviewed extensively by community bodies including the Faculty Senate Committee on Students and Educational Policy and the University Council Committee on Recreation and Intercollegiate Athletics. However, consistent with the statement offered in response to self-study question #9, further enhancements to the quality of Penn's data collection efforts are recommended.
Operating Principle 3. Academic Authority. The responsibility for admission, certification of academic standing, and evaluation of academic performance of student-athletes shall be vested in the same agencies that have authority in these matters for students generally.
Governance of all academic obligations and expectations of student-athletes rests appropriately with their schools and colleges and with an institutional eligibility officer who is not a member of the athletic administration. The President and Provost appoint the institutional eligibility officer and school associate deans appoint school eligibility officers who are vested with responsibility for enforcing school and University academic regulations. Review of eligibility practices suggest that student-athletes are fully accountable, without exception, to their school academic requirements.
Operating Principle 4. Academic Support. Adequate academic support services shall be available for student-athletes. Student-athletes shall be encouraged and assisted in reaching attainable academic goals of their own choosing. When it is determined that individual student-athletes have special academic needs, these needs shall be addressed. The support services shall be approved and reviewed periodically by academic authorities outside the department of intercollegiate athletics.
The detailed description of academic support provided to student-athletes at Penn confirms the University's commitment to ensuring the academic success of its student-athletes. Most academic support services are available to students at large, which also supports the operating principle that student -athletes should be fully integrated into the student body. DRIA administration has appointed an individual to monitor student-athlete academic performance and to advise individual student-athletes as needed. It is recommended that this individual consider engaging coaches further in support of the academic achievements of their athletes.
Operating Principle 5. Scheduling. The scheduling of athletics competition and practice shall minimize conflicts between athletics participation and academic schedules, especially during examination periods.
Ivy League competition and practice rules and schedules are fully supportive of student-athlete academic obligations and responsibilities. Penn conforms to all League expectations and student-athlete schedules rarely create conflict with exams, coursework, or other academic activities.
2. Given the responses previously, evaluate whether the activities of the athletics program are consistent with the mission and purpose of the institution.
It is the conclusion of the Subcommittee on Academic Integrity that the activities of the athletics program are generally consistent with the mission and purposes of the University of Pennsylvania. In the past several years, the University has focused considerable attention on academic eligibility issues and policies. It has been and continues to be the University's goal to ensure student-athlete academic success by ensuring full participation in all academic activities and by providing appropriate academic support and guidance.
The Committee recommends that an ad hoc eligibility review group continue to provide close monitoring of this evolving eligibility process and that they also be assigned responsibility for ongoing evaluation of academic support activities for student-athletes. An annual report to the Provost and the Council of Academic Deans should be provided by this team.
3. Where the institution concludes in its evaluation that it does not conform to one or more of the operating principles, describe the institution's specific plans for improvement, including: (a) the intended end result, (b) the individuals or offices that will be responsible for taking specific actions, and (c) the specific timetable for completing the work. Where the institution concludes that these improvements may affect existing programs or activities in other areas, describe how the institution intends to maintain the current level of quality of those programs.
Specific plans for improvement are summarized in the table below.
3. Fiscal Integrity
1. Describe any major changes in athletics policy and organization that affect the institution's current efforts in matters related to the operating principles listed above regarding fiscal integrity, focusing on those implemented during the last three years.
There have been no major changes in athletics policy and organization that affect the University of Pennsylvania's current efforts to adhere to the operating principles stated in the self-study instrument on fiscal integrity. On an operational level, the Department of Recreation and Intercollegiate Athletics (DRIA) recently began distributing DRIA monies to the individual sports programs and made each sport responsible for its own budget. If additional financial support is needed, the individual coach, working with DRIA development staff, is expected to raise funds for that program.
2. Explain the institution's philosophy with respect to the funding of the athletics program.
The DRIA strives to provide the Penn community with programs that complement, support, and generally adhere to the academic mission of the University. Its recreation, intramural and club sports, and intercollegiate athletics programs satisfy its many constituencies, including students (both undergraduate and graduate), faculty, administration, staff, alumni, and the community. Penn fields 32 teams with rosters recently totaling over 1,000 men and women.
The University operates under the principles of responsibility center management budgeting, which anticipate that each school and center will generate sufficient revenues to meet program expenditures and will not exceed approved budgetary authority. Within this system, the DRIA is defined as a resource center because it does not generate sufficient revenues to meet a large share of its programmatic requirements. Thus, the University supports the DRIA from general University resources and student fees.
The guiding principles or standards that constitute the basis for the policies and procedures involving funding for intercollegiate athletic programs are as follows:
3. Prepare a list of all revenue sources for intercollegiate athletics that are under the clear accounting and financial control of the institution.
The Financial Schedules Report of the DRIA's Office of Budget and Management Analysis for FY 1994 through FY 1996 outlines all of the revenue sources that are under the clear accounting and financial control of the University of Pennsylvania (see Appendix C-1). Included in these reports are such revenues as student fees, endowment income, gifts, ticket sales, team guarantees, sales and services income, sponsored programs, and subvention allocations from general University funds.
4. Prepare a list of all other resources (i.e., those not under the accounting and financial control of the institution) generating revenue on behalf of your institution's intercollegiate athletics program, including outside foundations.
There is one external account generating revenue on behalf of the University's intercollegiate athletics programs. The Lawson Robertson fund for the Friends of Penn Track was established to help fund the men's and women's track teams' trips to England every four years. The fund was set up as a nonprofit corporation in the Commonwealth of Pennsylvania at the Wilmington Trust Company. The proceeds from the investments are used to fund travel expenses of the teams under the supervision of the track coaches, These funds will be brought into the University's financial management system during this academic year. Currently the fund has a balance of approximately $80,000, which will be converted into an endowment for the track teams.
In addition, there is one account that is held by the University but managed by an external party. The donor, a professional financial manager, stipulated that he retain control over the investment management of the funds. The disposition of the funds is controlled solely by DRIA in full accordance both with the specification of the donor restrictions as to use, and with the University's fiscal management guidelines.
5. Describe the step-by-step process for the athletic program's budget development and approval, and highlight any areas that may differ from the institution's standard or normal budgeting procedures. Prepare a separate description for those sources of revenue described in Item No. 3 and another for revenue sources described in Item No. 4.
Under the University's responsibility center management budgeting system, the DRIA is a resource center, so called because, unlike schools, it does not generate sufficient revenues to meet a large share of its programmatic requirements. The University supports DRIA from general University resources and also allocates to DRIA a portion of the student General Fee. Other resource centers at Penn include departments that are considered "quasi-academic," such as the Library, the University Museum, and the Morris Arboretum. While these are budgeted like schools, they are essentially cost centers, funded largely through allocations of revenues generated by the schools and other sources.
As one of 35 cost centers within the framework of the University's responsibility center budgeting philosophy, the DRIA is treated no differently from any other school and center in terms of the budget process. The Athletic Director annually is required to submit a five-year budget request to the Provost, which must project the Department's total revenue and expenditures. The budget is then reviewed by the University's Office of Budget and Management (Budget Office) for the reasonableness of the projections and consistency with University policies. The Provost must then approve the budget prior to its being forwarded to the University's Board of Trustees as part of the University's comprehensive budgetary review process.
Once a budget has been approved, it is entered into the University's accounting system where it is monitored by both the Budget Office and the University's Comptroller's Office. Any deviations from the budget are reported to the Penn administration and trustees during the fiscal year as part of a monthly budgetary review.
Consideration of the budget development process for the Lawson Robertson Fund, the only other resource providing income for the University's intercollegiate athletics program, is not relevant as this fund is presently being converted to an endowment that will fall under the University's financial management system.
6. Using the institution's established budgetary format, prepare a list of both projected and actual athletics revenues (by source) and expenditures (by budget category) for the three most recently completed fiscal years. In doing so, make sure that all athletics administrative costs are included. Provide any revenues and expenditures on a sport-by-sport basis. Prepare a separate list of revenues described in Item No. 3 and another for revenues described in Item No. 4.
Appendix C-2 contains the revenue and expenditures for each of Penn's intercollegiate athletics programs, all related administrative programs, and the total of all programs for the fiscal years 1993-94, 1994-95, and 1995-96.
7. Describe the process used in selecting the independent auditor for the institution's external financial audit for intercollegiate athletics, including any methods used to ensure the independent nature of the auditor. Also describe relevant corrective actions planned or implemented from the three most recent audits.
The independent accountant who performs the University's external financial audit of all activities, including intercollegiate athletics, is appointed annually by the Trustees of the University of Pennsylvania through its Committee on Audit, which is comprised of trustees not employed by the University. The independent accountant adheres to policies and procedures to ensure independence that are in accordance with the American Institute of Certified Public Accountants' standards. Management's responses to recommendations for improvements to internal accounting controls made by the independent accountant are incorporated in the annual audit reports which will be furnished to the site-visit team.
The University's independent accountant is Coopers & Lybrand, which has performed agreed-upon procedures and reported its findings with regard to the accounting records and systems of internal accounting control of the intercollegiate athletics program of the University in accordance with NCAA bylaw 22.214.171.124 since the inception of the requirement. Agreed-upon Procedures Reports for FY 1993-94 and FY 1994-95 are attached (see Appendix C-3) and the report for FY 1995-96 will be furnished to the site-visit team. Each report contains a section citing recommendations for improvements to internal accounting controls and the DRIA's response as to corrective actions it planned to take.
8. Describe the ways in which your institution approves expenditures for intercollegiate athletics, including a description of different procedures based on various sources of funding (e.g., state funds vs. restricted/foundation funds). Also describe the controls, policies, or guidelines (if any) the institution has in place in regard to staff expansion and approval of new positions.
Expenditures for intercollegiate athletics are managed through the business office of the DRIA. The policies and procedures, which are clearly described in the Financial Policy Manual published by the Vice President for Finance, are administered by the Comptroller. DRIA is required to follow all established procedures for any disbursement of funds and must ensure that all requests are accurate and have proper documentation. There are no differences in procedures for processing expenditures based upon various sources of funding.
While Penn currently does not operate under a position-control system, and unit managers are not given separate personnel and non-personnel budgets, requests for new positions are reviewed by the Office of Budget and Management Analysis and reviewed for approval by the Provost. The Office of Human Resources oversees the hiring process for new staff positions. The Director of Athletics consults with Human Resources after determining that a new position is needed and approved, and a job description is developed along with an appropriate salary range.
9. Describe the institutional procedures that are in place to address any deficit in the intercollegiate athletics budget incurred during any fiscal year(s).
As described in Item No. 5, the Budget Office and the Comptroller's Office work regularly with DRIA to understand the cause of any budgetary deviation and to try to develop solutions to rectify the problems. If it is determined that DRIA does not have the capacity to resolve the budgetary deficit, then the University provides additional resources to ensure balanced operating performance for the fiscal year. University assistance can be in the form of either a direct grant or loan, both of which have been used in recent years.
The University has spent a great deal of time over the last several years analyzing the revenue and expenditure base of DRIA to understand why resources have not grown at the same rate as program requirements. The analysis has shown that the Department's resource base has been historically inelastic and has not kept pace with its program's inflationary increases. Over the past several years, the University has tried to correct this problem by reducing the department's dependence on general University subvention and by increasing its allocation of General Fee revenues. Because these revenues support a variety of University programs with which the DRIA must compete, the Provost's Office has been forced to make this funding transition over a multi-year period. Based on the adjustments made for FY 1997, specifically, increasing the regular University subvention, the University believes that the Department's revenue and expenditures have achieved equilibrium and will require only normal inflationary increases in the future. We will continue to monitor DRIA's financial performance and review this policy.
10. Describe institutional policies and any state laws applicable to individuals, including athletics department staff members, who may enjoy economic gain as a result of university affiliation or the use of institutional facilities (e.g., faculty involved in product research and development, coaches involved in sports camps or shoe contract endorsements). Indicate whether, and if so, how, the institution has addressed issues related to conflict of interest, property rights, procurement regulations, and consistency of athletics department staff compensation with the various guidelines and regulations that govern compensation of other university personnel.
In 1996, The University of Pennsylvania and DRIA implemented a new set of clearly defined policies that address the issues of conflict of interest, private inurement, and other activities that may result in economic gain to staff members. Penn requests the following documentation:
Compensation of all DRIA staff is coordinated with the Department of Human Resources. All reevaluations, promotions, and equity adjustments, for example, are joint efforts with Human Resources. The University guidelines and regulations governing compensation of other University personnel apply to DRIA staff.
11. Describe the policies and standard operating procedures that help to ensure that all expenditures for athletics are handled in accordance with NCAA rules.
All expenditures and revenue associated with intercollegiate athletics are under the University's accounting and financial control. Policies and procedures to ensure that all expenditures are in compliance with NCAA rules are outlined and emphasized in several ways. An extract of the Financial Policy Manual is included in the DRIA policies manual and administered as noted in Item No. 8. Travel and recruiting guidelines are examples of the material. In addition, there is a copy of the NCAA manual in every head coach's office and all coaches have ready access to these manuals. Staff meetings are held to clarify and emphasize the most important issues. Changes and new policies are communicated on a timely basis. Our independent accountant, Coopers and Lybrand, reviews our procedures and processes each year.
Travel advances for off-campus recruiting activity are requested by coaches with information provided on the destinations and the term of their visits. Upon their return, a travel and expense form is submitted to reconcile how the funds were used. The following information is required:
The travel and expense report, along with the daily report and vouchers, provide a permanent record for additional audits of activities and appropriate fiscal procedures. In cases requiring expense reconciliation there are at least three reviews of the reports. The Business Office staff, which is knowledgeable about NCAA rules, is first, followed by the Director of Administrative Affairs and, finally, the Travel Office of the University.
On-campus recruiting of student-athletes is administered in much the same way as off-campus recruiting. For example, funds are advanced to a coach for disbursement to the student hosts in accordance with NCAA guidelines. Disbursement records are maintained and are required to certify how funds were used. Travel itineraries are noted along with each recruit's travel expenses. Any reimbursements for travel made directly to the recruit are made in strict accordance with both University and NCAA guidelines.
Among the hundreds of transactions that are processed each month, there are situations that require the originator of the request to explain his or her request for reimbursement. Sometimes there is a need to provide additional documentation, receipts, or other explanations for expenditures, excess mileage, or special purchases. If the Business Office cannot resolve the issues with the originator, the request goes to the supervisor of the individual for resolution. Checks and balances are built into the financial system.
The procedures in place for the processing of expenses do not vary according to the source of funding. Both restricted and unrestricted funds must follow the same processes.
The Director of Purchasing and the Comptroller establish and maintain policies and procedures to provide for all procurement and disbursement activities. The Trustees of the University of Pennsylvania have empowered the Director of Purchasing as the only person who can incur any obligation or make any commitment on behalf of the University for the purchase of goods and services. Approval must come from Purchasing for DRIA to make any purchases. The DRIA is charged with the responsibility to implement those policies and has established procedures to monitor compliance.
Certain purchases that relate to travel, entertainment, and minor expenses are handled as noted in the travel and expense report form described above. Purchases may be made from approved budgets that have been developed by the coach/manager and his or her supervisor. Deviations from the original budget must be approved by supervisors. Some policies are as follows:
Implementation of the policies and procedures are documented by a series of forms administered by the Business Office (Appendix C-4).
1. Given the responses above, evaluate whether the activities of the athletics program are in substantial conformity with each of the operating principles set forth in this section. The institution's evaluation should address both of the specific operating principles separately.
Operating Principle 1. Financial Controls. Institutional financing of intercollegiate athletics shall follow prudent management and fiscal practices and provide relatively full and stable opportunities for student-athletes. All funds raised for and expended on athletics shall be subject to generally accepted practices of documentation, review, and oversight. In addition, all expenditures from any source for athletics shall be approved by the institution. Budget and audit procedures for athletics shall be consistent with those followed by the institution generally and with the provisions of NCAA Constitution 6.2, which requires that the institution's annual budget for athletics be approved by the institution's chief executive officer or designee from outside the athletics department, and that a financial audit be performed by a qualified auditor who is not a staff member of the institution and who is selected by the chief executive officer or designee from outside the athletics department.
The Subcommittee of Fiscal Integrity is proud that the University of Pennsylvania is in substantial conformity with this operating principle. The financing of intercollegiate athletics occurs within the same planning, budgetary, reporting, and audit environment as the rest of the University. The Provost, Vice President for Finance, and Director of Budget and Management, prepare, review, and revise the annual DRIA budget. Ultimate authority over this budget rests with the University trustees, who also monitor funds regularly.
In addition, outside auditors, approved by the Trustees' Committee on Audit, routinely review the department. To the extent that problems have developed within the athletics program's budget, or that new priorities have emerged, the University has attempted to mitigate the financial impact. The following initiatives are part of the University's ongoing efforts to address athletics budget issues:
Operating Principle 2. Established Policies and Procedures. The institution shall have in place policies and standard operating procedures to ensure that all expenditures for athletics are handled consistently in accordance with NCAA rules.
Penn currently complies with Operating Principle 2 (see Item No. 11). The University has moved from central control to a management system that places more fiscal responsibility on unit managers. In addition, the University has installed a new financial system. Therefore, DRIA is placing renewed emphasis on orientation and training for head coaches and other managers. Ultimate responsibility for oversight of this functions rests with the Director of Administrative Affairs for the Department of Recreation and Intercollegiate Athletics.
2. Given the responses above, evaluate whether the activities of the athletics program are consistent with the mission and purpose of the institution.
The activities of the athletics program are consistent with the mission and purpose of the University. Because Penn believes that athletics contribute to the general development of its students, faculty, and staff, athletics are funded like other University activities. Though athletics does raise money for its own programs through ticket sales and users' fees, 65 percent of its operating budget comes from general University funds. DRIA is treated in the same way as any other cost center of the University. These funds are dispersed under the same strict controls as funds designated for academic departments and educational programs.
3. Where the institution concludes in its evaluation that it does not conform to one or more operating principles, describe the institution's specific plan for improvement, including: (a) the intended end result, (b) the individuals or offices that will be responsible for taking specific actions and (c) the specific timetable for completing the work. Where the institution concludes that these improvements may affect existing programs or activities in other areas, describe how the institution intends to maintain the current level of quality of those programs.
The Subcommittee of Fiscal Integrity is pleased to report that the University conforms to the NCAA's operating principles for fiscal integrity. The items summarized in the following table represent key action areas that the University will be undertaking in order to continue to ensure the quality of its athletics programs.
1. Describe any recent major changes in policy and organization that affect the institution's current efforts in matters related to the operating principles listed above regarding gender equity, minority opportunity, and student-athlete welfare, focusing on those implemented during the last three years. Explain how the institution is organized to further these efforts for both staff and students and provide evidence that matters concerning gender equity,
minority issues, and student-athlete welfare are monitored, evaluated, and addressed on a continuing basis.
Operating Principle 1: Gender Issues. In 1994, a new Director of Athletics was appointed. This appointment was made at the same time that Judith Rodin took office as President of the University, and the combination of new leadership in the Department of Recreation and Intercollegiate Athletics (DRIA) and at the University level ushered in a forward-looking agenda that emphasizes diversity, commitment, and accountability. Gender issues have been among the leading priorities of the new administration.
One of the first actions that was taken by the Director of Athletics after his appointment was a restructuring of DRIA's development and public relations operations. In the summer of 1994, the development and public relations staff was reorganized and enlarged to provide the necessary support for the fund-raising and public relations needs of women's and men's sport programs. The restructuring included appointment of a Director of Development and Public Affairs and a Director of Major Gifts.
Developing a stronger base of resources and support for women's athletics programs has been an area of emphasis for the new development staff. Annually, DRIA sponsors a reception at homecoming for the Friends of Women's Athletics, and in each of the last two years the Department has sponsored a special event in February to honor and support the efforts of Penn's women athletes. The recently appointed development staff has responsibility for these activities, and has also made strides in securing sponsorship for women's programs. For example, a major sponsor was secured for the annual February event and to support several other women's events and tournaments.
Recent fund-raising activities for women's sports also include a major initiative announced in honor of the chairman of the University Board of Trustees upon his retirement from the Board in January of 1994, which raised over $200,000 for a special fund to support major capital expenses for women's sports.
DRIA's reorganized sports information function has also been an important factor in the promotion of women's sports. The Athletic Communications staff is a resource for all the sport programs at Penn. The activities of Athletic Communications are discussed fully under item 4.
A second major change has been the creation of a new budget system that redirects as much sport program funding as possible out of the central DRIA budget and into the individual sports. A budget for each sport is determined based on the particular equipment, travel, and other needs of that sport. The fund-raising capacity of the specific sport, as demonstrated by its recent history, is also determined. Each sport is then directly funded for the difference between their needs and the amount they can be expected to provide through fund-raising. The new budget system promotes equity by applying uniform standards across all sports in determining the needs of each.
Support for women's athletic programs at Penn has also come from the Women's Athletic Board, an alumni organization chaired by a member of the Athletics Advisory Board. In the past, this group's efforts have included major fund-raising initiatives, as well as seminars and mentoring networks to foster career opportunities for women athletes. Endowing a fund for Ivy League championship awards for women was also among the group's recent activities.
An ongoing discussion of the University's progress toward compliance with Title IX requirements has provided the context in which many changes in policy and organization have occurred. During the 1992-93 academic year, a review of Title IX compliance was undertaken at the direction of the Provost, in conjunction with the strategic planning process of the DRIA. As an outcome of this process, the DRIA undertook a compensation review of head coaching positions and salaries. A Compensation Factor Committee was established that consisted of head coaches of men's and women's sports, University compensation specialists, and senior administrators from DRIA. A new classification system was established with generic position descriptions and pay grades assigned (Appendix D-1). As a result of the review, a majority of the head coaches of women's sports were given compensation and/or position adjustments, and several received automobile allowances.
Concerted efforts have also been made by DRIA to recruit and hire women as head coaches of women's sports. In those cases where it has not been possible to recruit a qualified female, the head coaches have been strongly encouraged to adhere to the policy of bringing in a woman assistant coach. Also in connection with the adjustments made as a result of the compensation review, all women's head coach positions are now full-time.
In November of 1993, the Women's Law Project submitted a summary of gender equity concerns on behalf of a number of coaches of women's sports and several students to the President of the University. As a result, the Provost's Review Committee that had been established for the 1992-93 Title IX review continued to meet into 1994. In February 1994, the University announced its commitment to provide over $500,000 over an 18-month period to fund gender equity recommendations from the Provost's Review Committee. In addition to compensation and position adjustments, funds were committed for general program support which included recruiting, special travel, capital equipment and facility improvements, support services, and development staff for fund-raising purposes.
In May 1994, in an effort to prompt the University to address other equity issues, the Women's Law Project, on behalf of a group of coaches and athletes, filed a complaint with the Office for Civil Rights. Following a series of meetings with an OCR representative and legal counsel, both parties agreed to resolve the complaint through the use of a mediator. In August of 1995 a settlement agreement was reached and announced (Appendix D-2) which involved significant financial commitments in terms of both facility expenditures and another $140,000 in operating budget and included the following initiatives:
Also included among the initiatives that were agreed upon in the settlement was the appointment of a Gender Equity Advisory Group to monitor compliance with the agreement and future issues related to gender equity. The Gender Equity Advisory Group meets at least twice a year and includes two coaches, one woman and one man; at least two student-athletes; a member of both the Athletics Advisory Board and the Women's Athletic Advisory Board; and a member of the University Council Committee on Recreation and Intercollegiate Athletics (see Appendix A-11). The coaches of women's sports and the Advisory Group have received periodic updates on the items addressed by the settlement agreement and have heard presentations regarding facility renovations and security initiatives. Action on all items specified by the settlement agreement has been proceeding on or ahead of schedule.
Operating Principle 2: Minority Issues. The University of Pennsylvania is committed to diversity and promotes opportunity for members of underrepresented minority groups in all its activities, including athletics programs. This commitment is demonstrated by an already diverse community of students, faculty, and staff, and it is articulated in the University's strategic plan, Agenda for Excellence (see Appendix A-3). Minority retention of faculty, staff, and students is monitored by the Office of the Provost and minority issues receive a great deal of emphasis in planning initiatives. This commitment was evidenced most recently in a document published in the September 17, 1996, Almanac (Appendix D-3), in which several new efforts to enhance the recruitment and retention of minorities were announced, including the allocation of funds, fund-raising activities, and the appointment of a member of the standing faculty to serve as Special Advisor to the President on progress in this area.
As an urban campus with a diverse population, Penn has a significant number of minority students. The University aggressively recruits students nationally and internationally for its undergraduate and graduate programs. The Admissions Office has a Director and Associate Director of Minority Recruitment and a Director of International Recruitment and sponsors a number of programs annually to recruit qualified minority students. Coaches work closely with the Admissions Office to coordinate recruiting of minority and international students. While DRIA has not established any specific matriculation goals for minority students, coaches actively recruit minority student-athletes for their programs, and the proportion of minority student -athletes is, in general, reflective of the overall student population. Minority representation is strongest in the sports of football, men's and women's basketball, and men's and women's track and field.
A number of groups and services that are available on campus offer academic and social support to minority students. These include special counseling, tutoring, residential, and pre-professional programs. Minority student-athletes receive information about these programs in the recruitment literature, as well as in the Practical Penn, a comprehensive resource book that all first-year students receive. These resources are summarized in Appendix D-4.
The University's commitment to minority groups applies to the recruitment and retention of DRIA administrative and coaching staff, as well as to student-athletes. DRIA closely adheres to University policies and procedures regarding the advertising and hiring of its administrative and coaching staff. All full-time positions are advertised in national, professional, and area publications, and frequently in minority publications. Members of the department regularly contact a network of historically black colleges to develop an applicant pool and identify possible minority recruits for coaching or administrative positions. All advertising and hiring is monitored and approved by affirmative action officers in the DRIA and for the University to meet University and federal requirements.
In recent years, a concerted effort has been made to identify and hire minorities for coaching and administrative positions, including, in a number of cases, special-effort searches for minority candidates. As a result, assistant coaches in men's and women's basketball and the Coordinator of Football Operations are members of minority groups, as are the Associate Director for Programs, Compliance, and Eligibility and the Assistant Director for Academics, Recruitment, and Admissions.
Operating Principle 3: Student-Athlete Welfare. Student-athletes are admitted and matriculate as all other students do at Penn, and they are strongly encouraged to take advantage of all the support programs and services that the University offers to students generally. However, the University recognizes that student-athletes have some special needs and interests that must be accommodated in order for them to fulfill their athletic and academic goals.
In the fall of 1991, an individual was first hired to serve specifically as a full-time academic coordinator for athletes. The Assistant Director of Athletics for Academics, Recruitment, and Admissions and his assistant have responsibility for monitoring and supporting the academic progress of Penn student-athletes and serving as a resource, as well as a liaison with other campus offices that support the needs of students. This office works closely with athletes and coaches to ensure that the athletes take advantage of the support services available on campus to address ongoing or individualized needs. The Assistant Director for Academics, Recruitment, and Admissions monitors the academic progress of student-athletes during the academic year and refers them to appropriate campus support services. Once a month, the Assistant Director meets with liaisons from each school to receive academic reports on student-athletes.
The Assistant Director has recently initiated an effort to meet personally with every first-year student-athlete to review a range of issues, including academic schedules, and to point the way to any resources that may be of particular use to that student. In addition, the Assistant Director's office houses a resource center for student-athletes, where leaflets describing virtually every student resource on campus are available. In another recent initiative to improve the awareness of Penn's student-athletes of special programs, services, and events in the University at large, DRIA has added a part-time intern to staff its resource center. The chief responsibility of this intern is to communicate to student-athletes about University-wide programs on a more timely basis than has been achieved through more informal means.
Although it is not the philosophy of DRIA to monitor student-athlete's progress on a personal or social level, there are some mechanisms in place that ensure that Department administration is aware of any significant issues in these areas. The Assistant Director of Academics, Recruitment, and Admissions meets with the directors of Student Health Services and the University's Counseling and Psychological Services on a regular basis to discuss, in general terms, concerns involving student-athletes. The Office of the Vice Provost for University Life also provides feedback to DRIA on issues involving conduct and academic integrity. In annual meetings and reports, the University's nutritionist provides feedback on nutrition and eating disorder issues as they relate to student-athletes.
Penn's comprehensive network of academic support programs for its students is described in the Academic Integrity section of this report under item 7. In addition to the general University programs, special programs have long been in place to provide student-athletes with tutorial support, instruction in study strategies, and counseling. Effective as of the 1996-97 academic year, the University's Department of Academic Support Programs (DASP) has redesigned its services to support Penn student-athletes more effectively and efficiently. The following are programs now offered to student-athletes to ensure that they remain in good academic standing in order to maintain their athletic eligibility for participation in intercollegiate sports and to facilitate the successful completion of their academic programs:
NCAA enhancement programs are another important source of support for Penn student-athletes. DRIA has recently initiated a laptop computer loan program using a portion of the annual funding that is provided by the NCAA for academic enhancement programs. Under this program, student-athletes who are a member of a varsity team may sign out a laptop when traveling to an away contest or when participating in required practice and competition during recess periods. In addition, the NCAA Student-Athlete Assistance Fund has proven to be valuable for Penn student-athletes in meeting special financial needs. From the beginning of the program, Penn has been aggressive in its efforts to make qualified students aware of the existence of the fund. As a result, a large number of Penn's qualified athletes have taken advantage of this resource in meeting necessary expenses.
The University's new student orientation program offers students a number of events, activities, and workshops designed to familiarize them with life at Penn. A mandatory student-athlete orientation session is held as a part of this program. The student-athlete orientation introduces new student-athletes to DRIA administrators and coaches and addresses Penn's philosophy and commitment to athletics as an important part of the undergraduate experience. The program also introduces student-athletes to the wide range of campus support services, as well as to their own social and academic responsibilities. Student-athletes are also informed about the resources available to them through the Student-Athlete Handbook, which is updated and distributed to all athletes at the beginning of each academic year (see Appendix A-18).
2. Describe the institution's educational enhancement programs (e.g., education regarding substance abuse, AIDS and nutrition education; career guidance and counseling; personal counseling; academic skills enhancement) available to student-athletes. Describe practices/procedures in place to assure student-athletes' access to these programs.
Student-athletes have full access to the comprehensive network of enhancement programs available to all Penn students. All incoming first-year students are introduced to the University's many support services and counseling resources during New Student Orientation. In addition, all incoming students receive copies of The Practical Penn, a comprehensive guide to the University and its surroundings and resources, as well as a handbook from their particular school or college.
Penn's Student Health Services is the primary campus resource for health education programs. The Student Health Service's Office of Health Education supports the University's endeavors by promoting a healthy and safe campus environment. Services provided by the office include literature, workshops, training, and referrals on such topics as alcohol and other drugs, nutrition, fitness, stress management, sexual health, sexual assault, eating concerns, and body image.
Peer health programs are an important mechanism used by the Student Health Services to provide students with information and to help them learn how to access the health system resources they may need. These programs involve undergraduate and graduate students, who are fully trained paraprofessionals with a demonstrated commitment to educating, supporting, and advocating for their peers. Training is provided by Student Health Service Office of Health Education staff. Coaches of individual sports frequently invite members of these groups to give talks to their teams. Peer programs include the following:
Additional resources that the Student Health Service has in place to address special health concerns include the University's Advisory Team for Eating Concerns, which coordinates delivery of prevention, education, treatment, and referral services to students ranging from those preoccupied by food and body image to those manifesting bulimic/anorexic symptomatology. This group includes medical, psychology, psychiatry, and nutrition staff and offers individual and group services. A campus nutritionist is also available to provide nutritional counseling to support training and athletic performance, as well as to address eating disorders.
The University's Counseling and Psychological Services (CAPS) division is also a major support resource for students. CAPS provides consultation and individual, crisis, and group counseling to help students address problems related to anxiety, stress, body image, substance abuse, academic performance, sexual identity, sexual abuse, and personal problems. CAPS staff also help international and minority students address adjustment issues that may arise in the Penn environment, and career and psychological testing are offered as well. CAPS provides workshops, self-help information, and referrals to other campus resources. Students may choose to see a psychologist on an individual basis or to attend a structured or unstructured group.
Three focused resource centers provide another source of support for Penn students, including student-athletes. These include the African American Resource Center, the Penn Women's Center, and the Lesbian-Gay-Bisexual Center.
Special mechanisms are in place to promote student-athletes' awareness and utilization of these campus-wide resources. Beginning in the fall of 1996, the requirement was established for each varsity sport to hear presentations by the Student Health Service and CAPS. The Student-Athlete Handbook also provides information and telephone numbers for many of the support services on campus. In addition, many coaches discuss these services at their first team meeting of the year and post announcements in their facilities to notify student-athletes about workshops and special presentations throughout the season.
University of Pennsylvania student-athletes, like all Penn students, receive career guidance from the University Career Planning and Placement Services (UCPPS). UCPPS works with students to help them assess their abilities, learn about career options, define goals, and achieve them. The office also helps students find permanent jobs and summer internships and to gain admission into graduate or professional schools. UCCPS counselors make presentations every semester for student-athletes, and a number of special programs and presentations are held in the evenings in order to accommodate student-athletes' practice schedules.
The academic skills enhancement resources available to student-athletes are fully described in the section on Academic Integrity under item 7. As discussed in this section under item 1, the academic performance of student-athletes is monitored by the Assistant Director of Athletics for Academics, Recruitment, and Admissions to help ensure that student-athletes in need of academic skills enhancement are directed to the appropriate resources on a timely basis. The Student-Athlete Handbook highlights additional academic resources, including the campus Learning Resource Center, which provides professional consultation on improving academic reading, writing, and study skills. During an introductory interview at the Center, the student's strengths and needs are discussed and an individual program of services is determined.
3. Describe the institution's process for conducting the student-athlete exit interviews required by NCAA Constitution 6.3.2 and the means by which this information is used to better the student-athlete experience. Describe other avenues available to student-athletes to provide input.
The Associate Director of Athletics for Compliance (compliance coordinator) has responsibility for overseeing compliance with NCAA bylaws regarding exit interviews. Since the spring of 1992, all graduating senior athletes or those athletes who have exhausted their eligibility have been invited to participate in voluntary exit interviews. The interview process gives student-athletes an opportunity to describe the quality of their overall athletics experience at Penn and increases the awareness of DRIA administrators of student-athlete issues and concerns.
Letters are mailed to all senior athletes to request their participation in the process after their final seasons have ended, with the exception of spring sport athletes, who receive their letters in April. A questionnaire is included in this mailing to solicit opinions on how well the Penn athletic program meets student-athlete needs (Appendix D-5). In addition, the letter invites students to participate in the voluntary exit interviews (Appendix D-6).
Interviews are conducted by DRIA senior administrators, who write a summary and submit it to the compliance coordinator for review and identification of areas of concern. The review is a means for DRIA administrators to determine what kind of experience student-athletes have and whether the Department is meeting its commitment to them. The feedback gathered through the process is also used to evaluate what the program is doing well. Where a pattern emerges through the questionnaires and interviews that suggests an area of concern, the issue is brought to the attention of the appropriate administrator for follow-up.
Although the summaries of findings are shared with the relevant head coaches, the questionnaire responses and interview notes taken are considered confidential and, as such, are accessible only to DRIA senior administration. However, since the inception of the exit interview process, there have been incidences in which student-athletes' statements have had relevance in performance evaluations of members of the coaching staffs. It is DRIA policy that if a criticism made by a graduating student in the exit interview might have some bearing on the performance evaluation of a coach or a staff member, that individual must be afforded the opportunity to respond to the criticism in a confidential meeting with the Director of Athletics. Thus, effective with the beginning of the 1995-96 academic year, student-athletes are being asked to sign a release permitting the completed questionnaire or interview notes to be viewed by non-senior DRIA administrators when there is cause for an individual to be made knowledgeable of statements in these documents. The focus of the exit interview program, however, remains on obtaining a better understanding of the student-athlete's experience at Penn, and not on eliciting performance evaluations of staff.
4. Describe current policy, organization and resource allocation related to student-athlete or athletic support services (e.g., sports information, marketing and promotions, sports medicine, strength and conditioning, training-room services, sports equipment, travel and per diem, facilities) for both male and female student-athletes.
Sports information (Athletic Communications) and marketing and promotion efforts for all intercollegiate programs are overseen by DRIA's Director of Development and Public Affairs. Each sport program is assigned a representative from the Athletic Communications office to coordinate publicity and record-keeping for the sport. All media and recruiting guides are funded through the Athletic Communications budget. To ensure that each program's communication needs are being met, monthly meetings are held with the head coach and associate director overseeing that sport. A full-time staff member is responsible for all marketing and promotions efforts for intercollegiate programs. All corporate sponsorships and related events are coordinated through this office and often include community service activities involving coaches and athletes.
The athletics training staff and sports medicine services are overseen by the Senior Associate Director of Athletics. Five full-time and three part-time certified trainers are on staff to service the 32 varsity sport programs, working out of two primary training rooms and several satellite operations. Prior to September 1996, the University of Pennsylvania Medical Center's Sports Medicine Center was located in Weightman Hall, which provided excellent access and service for Penn's student-athletes. With the recent move of the Sports Medicine Center to another facility on campus, DRIA has maintained on-site sports medicine services, with a physician present on a daily basis during clinic hours in an athletic training facility. The athletic training staff is assigned to provide coverage for designated teams at home and away contests, but must also work as a pool to accommodate all team's needs. All of the trainers are ATC or RPT certified. Graduate or undergraduate student trainers are used to assist certified trainers with routine coverage of training rooms and practices.
The Manager of University Strength and Fitness oversees the two intercollegiate and three recreational weight rooms. The two intercollegiate weight rooms are modern facilities with weight and aerobic equipment. These facilities are supervised by the manager, a part-time assistant, interns, and trained work study students. Varsity teams/athletes are assigned to a specific weight room and workout times based upon their team or individual needs. An updated schedule is posted in each weight room. The manager works closely with the Senior Associate Director to monitor team needs and assignments.
Provisions are made in each sport's budget for sports equipment, travel, and per diem expenses. Needs are determined by applying standardized allowances and formulas across each team. The funds are managed by the head coach and associate director overseeing the program. The head coach for each sport and his or her associate director annually review travel plans and related expenses to ensure that teams are being treated appropriately and equitably.
Facility schedules are established and overseen by the Associate Director for Operations. Contest schedules are developed by the head coaches and associate directors to coordinate facility usage and then submitted for the master schedule of events. Practice schedules are submitted by the head coaches to the Associate Director for Operations; when necessary, the coaches meet with the Associate Director to work out conflicts and determine final facility usage schedules. Men's and women's teams are given equal access to all facilities for practices and contests based upon previously established priorities and policies. All event management is coordinated and handled through the Operations office.
1. Given the responses above, evaluate whether the activities of the athletics program are in substantial conformity with each of the operating principles set forth in this section. The institution's evaluation should address each of the three specific operating principles separately.
Operating Principle 1. Gender Issues. An institution shall demonstrate that in the area of intercollegiate athletics, it is committed to fair and equitable treatment of both men and women. It shall have available adequate information for assessing its current progress in this area and an institutional plan for addressing it in the future. The plan shall provide for accommodating the evolving standards of the Association in the area of gender equity.
Penn was a leader in athletic program management through its creation in the early 1980s of a gender-neutral administrative structure which has allowed for men's and women's sports to be managed jointly, rather than individually by gender. In 1982, Penn became the first Division I institution to appoint a woman as head coach of men's and women's swimming. In 1991, Penn elevated women's soccer from club status to a varsity sport, bringing the total number of women's varsity sports supported at Penn to fourteen--a number that is significantly higher than the national average of 7.5 per school 1 and a demonstration of the University's considerable commitment to its women athletes.
Special efforts have been made to recruit and hire women as head and assistant coaches for women's sports and to give women opportunities to be placed in leadership positions as administrators or coaches. Currently, 10 of the 13 head coach positions for women's sports are women, and a woman is head coach of men's and women's swimming. Women also hold key administrative positions as Senior Associate Director, Director of Major Gifts, Director of Annual Giving, Marketing and Special Events Coordinator, and Executive Assistant.
Penn has demonstrated its commitment to an equitable salary structure for men and women through recent studies and monitoring by Human Resources. As a result, the average salary of the head men's and women's coaches is comparable, as are the average salaries of assistant coaches.
Notwithstanding Penn's demonstrated commitment to equity, the University and DRIA recognize that there are areas where improvements can be made. Based upon the analysis of the information and data that have been compiled for this NCAA review and certification, two key areas have been identified for improvement. Specifically, analysis of the data gathered for Self-Study Item 1, Attachment No. 3, suggests that in spite of the large number of sports offered, women are underrepresented in Penn's intercollegiate athletics programs. Furthermore, with respect to opportunities for women in DRIA coaching and administration, it is recognized that, in spite of recent policy and personnel changes, women remain underrepresented, particulary in the coaching staff. This is an issue that must be addressed as openings occur.
Operating Principle 2. Minority Issues. An institution shall demonstrate that in the area of intercollegiate athletics, it is committed to providing equitable opportunities for minority students and institutional personnel. It shall have available adequate information for assessing its current progress in this area and an institutional plan for addressing it in the future. The plan shall provide for accommodating the evolving standards of the Association in the area of minority issues.
The DRIA is in substantial conformity with the operating principle regarding minority issues and is committed to providing equitable opportunities for minority students and institutional personnel.
Penn's student-athletes are representative of the diverse student population at Penn, and the athletic programs benefit from the University's efforts to recruit qualified minority students both nationally and internationally. Whereas the percentage of African American and other ethnic student-athletes is comparable to that of the general student body, there is a notable difference between the percentage of Asian students and Asian student-athletes.
In keeping with the University's commitment to diversity, recruitment of foreign student-athletes is undertaken whenever circumstances allow. Such recruitment efforts are, however, limited by the expense involved in international travel. International recruiting is further limited by the fact that Penn does not offer financial aid based on athletic ability.
Although the members of this committee feel that DRIA is in substantial conformity with this operating principle, there will be ongoing efforts directed at improving opportunities for students and institutional personnel from underrepresented minority groups. The recruitment of underrepresented minority student-athletes has been identified as an initiative in the DRIA Strategic Plan to enhance overall student-athlete recruitment, and it is felt that efforts to expand awareness of minority issues and concerns should be pursued. In addition, every opportunity should be pursued to create more diversity in DRIA staff. Given that the final decision in any hiring situation must be based on individual qualifications, it is a priority of the Department to identify a significant pool of minority candidates whenever possible. With respect to coaching, progress has necessarily been limited by the fact that those sports with the highest minority participation--and, thus, the sports offering the best pool of minority candidates--have had very low turnover on the coaching staffs. Thus, progress in this area will depend on taking full advantage of the openings that do arise.
Operating Principle 3. Student-Athlete Welfare. The institution shall demonstrate a commitment to the fair treatment of student-athletes, particularly in their academic role as students. There shall be evidence that the welfare of student-athletes and the fairness of their treatment is monitored, evaluated, and addressed on a continuing basis.
The University is in substantial compliance with the operating principle regarding student-athlete welfare. Penn's network of academic support programs, combined with those programs that have been put in place specifically to serve its student-athletes, demonstrates the institution's commitment to the academic success of its students and ensures that sufficient resources exist for any student who wishes to avail himself or herself of them. The academic tracking mechanisms now in place ensure that any student-athlete who is experiencing academic difficulties will be identified on a timely basis and directed to the appropriate support resources. Although there are no formal mechanisms to ensure that those students who would benefit from personal, social, or career counseling utilize these services, DRIA administrative and coaching staff direct considerable effort to making students aware of how they can access such services.
DRIA administrative staff have recognized that their major challenge in improving the effectiveness of their student-athlete welfare efforts lies in increasing students' awareness and utilization of existing resources. Efforts must be made to ensure that coaches, in particular, are aware of the resources available to the student-athletes on their teams. Furthermore, the Department needs to get more input from student-athletes regarding their needs and interests to ensure accessibility and relevance of student welfare program offerings. The Student-Athlete Advisory Committee should prove to be an important vehicle for obtaining such input. Improving on existing feedback mechanisms, such as the exit interview process, is also important in this respect. Ideally, the means could be found to engage all student-athletes in the exit interview process. Particularly in those sports with only a few seniors on the roster in a given year, input from all student-athletes is important in order to better understand the full range of their experiences.
2. Given the responses above, evaluate whether the activities of the athletics program are consistent with the mission and purpose of the institution.
1. Gender Issues
Historically, and with efforts in support of women's sports over the last three to five years, DRIA has demonstrated its commitment to fair and equitable treatment of men's and women's sport programs. This commitment is consistent with the University's mission and affirmative action principles, as well as the Department's own mission statement. The current administrative structure and strategic planning initiatives are designed to ensure that Penn's male and female student-athletes enjoy a positive athletic experience and the opportunity to achieve success in their athletic and academic endeavors.
2. Minority Issues
The University values diversity and seeks talented students, faculty, and staff from diverse backgrounds. The Office of Affirmative Action monitors the University's equal opportunity and affirmative action policies and program and works closely with the affirmative action officer in DRIA to coordinate minority recruitment and hiring efforts. As a result, the activities of the athletics department are consistent with the goals and mission of the University.
3. Student-Athlete Welfare
The University is philosophically unambiguous in defining student-athletes as students first and athletes second. Student-athletes, on the whole, enter Penn academically prepared to succeed in this environment, and every effort is made to integrate student-athletes into the mainstream of academic life at Penn. For all student-athletes, as for all students at Penn, academic, personal, and social support programs offer additional support for those who need it. The provisions for academic and general welfare of student-athletes at Penn is thus consistent with the goals and mission of University.
3. Where the institution concludes in its evaluation that it does not conform to one or more operating principles, describe the institution's specific plan for improvement, including: (a) the intended end result, (b) the individuals or offices that will be responsible for taking specific actions, and (c) the specific timetable for completing the work. Where the institution concludes that these improvements may affect existing programs or activities in other areas, describe how the institution intends to maintain the current level of quality in those programs.
The plan for improvement is summarized in three tables that follow (below).
1 As reported by R. Vivian Acosta and Linda Jean Carpenter, "Women in Intercollegiate Sport: A Longitudinal Study--Nineteen Year Update," June 1996.
Appendices cited in this report are available for examination at the Reference Desk of the Van Pelt-Dietrich Library Center, or can be requested from the Athletic Department office in Weightman Hall.They will soon also be found via the News and Public Affairs Web site (www.upenn.edu/pennnews/).
Comments should be sent to the
NCAA Athletics Certification Study
c/o Tricia Simpson,
235 S. 33rd Street,
or by email to firstname.lastname@example.org no later than Friday, December 20, 1996.
Volume 43 Number 15
December 10, 1996
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