Oct. 13, 2002

Institutional Purpose and Athletics Philosophy
The mission of Northwestern University is to pursue the highest order of excellence in its academic and professional programs. Special emphasis is given to high-quality undergraduate education; research committed to institutional leadership in scientific discovery, intellectual inquiry, and creative performance; and a commitment to serve society through teaching as well as research.

Northwestern is unique among private American research universities in providing so rich an array of programs in its six undergraduate schools. Its talented and highly diverse student body enters Northwestern with a broad range of interests and backgrounds. As both the talent and the diversity of undergraduate students increase, the University must also ensure that students feel part of a learning community larger than their departments or schools. All Northwestern undergraduates should enjoy such common experiences as a sense of responsibility for the ownership of their education; the opportunity to work closely with faculty; the mastery of core competencies; the appreciation of the relationship between a student's academic concentration and that field's social and academic or artistic contexts; and the development of the intellectual and artistic passion that defines, in part, the liberally educated person.

Intercollegiate athletics have long been an integral and visible aspect of Northwestern University life. The success of the athletic program is not measured solely by wins and losses. Rather, success in intercollegiate athletics at Northwestern University is inextricably linked to the educational mission of the University, especially with regard to the academic and personal development of student-athletes and the institution's commitment to honoring the highest standards of amateur competition.

Northwestern associates success in its athletic program with the welfare of its student participants. A truly effective athletic program produces student-athletes who succeed in their academic work as well as in their chosen sport and whose careers after graduation are a tribute both to them and their university. The educational aspects of athletics, which include the opportunity to exercise leadership, to develop the ability to work with others as a team, to accept and appreciate the discipline of sustained practice and training, and to realize the value of good sportsmanship, are at least as important as the physical aspects.

The student-athlete concept is the guiding principle of Northwestern University's participation in Division 1 athletics. The University's goal is for student-athletes to receive a high-quality experience both in the classroom and on the playing field. To ensure that this goal is met, Northwestern University offers its student-athletes a comprehensive system of services and resources, including excellent athletic and recreational facilities, high-quality coaching, academic counseling and assistance, first-rate medical care, and highly competitive athletic programs. At Northwestern, athletic competition is an integral part of the education process; athletic participation enhances the intellectual, social, and personal development of student-athletes.

Strict observance of rules and regulations is another factor that contributes to the success of a program. It is the responsibility of the University administration and the Department of Athletics and Recreation to adhere to all regulations promulgated for the governance of intercollegiate athletics by the Big Ten Conference, the NCAA, and other groups to which the University belongs. Beyond these controls, and in the interest of the student-athletes, Northwestern has adopted procedures, guidelines, and policies that are more stringent than those for which it is held accountable externally. The University administration and the Department of Athletics and Recreation are equally responsible for observing these rigorous internal standards. A university must have a proactive system that enables it to monitor all athletic practices. This system must provide all the assurances necessary to anticipate and prevent any breach of the rules.

The following instructions have been issued by the president to guide the University administration, the Department of Athletics and Recreation, and other administrative units of the University in the governance of its intercollegiate programs.

Intercollegiate Financial Affairs, Personnel, and Administration
Final institutional authority in all personnel and financial affairs relating to intercollegiate athletics at Northwestern resides with the president of the University. The president and his staff are responsible for establishing and enforcing written procedures specifying the responsibilities and lines of authority for the hiring of the director of athletics and recreation and head coaches, approval of the annual operating budget for the athletic program, and monitoring institutional compliance with NCAA and Big Ten rules.

The sources and expenditures of funds associated with intercollegiate athletics will be documented and reviewed by the University Auditing Department. Furthermore, to ensure compliance with NCAA Bylaw 6.2.3.1, all financial transactions of the Department of Athletics and Recreation will be audited on an annual basis by an external agency selected by and reporting to the president.

The hiring procedures of all intercollegiate program personnel will include formal consideration of the candidate's willingness and capabilities to abide by NCAA and Big Ten rules. Northwestern will not, knowingly, hire any individual who has been officially sanctioned by either the NCAA or the Big Ten Conference for violating NCAA or Conference rules.

Since the president is ultimately accountable for the administration of intercollegiate athletics and institutional compliance with all NCAA and Big Ten regulations, copies of all reports to the NCAA or Big Ten Conference regarding possible rules violations, all audit reports regarding the athletics program, and performance reviews of all head coaches must be on file in the appropriate Northwestern Department of Athletics and Recreation office and readily available to the president.

Recruiting
It is the responsibility of the director of athletics and recreation to develop a booster brochure outlining the philosophy and mechanics of a program to recruit student-athletes to Northwestern University. The brochure will be reviewed annually by the faculty athletic representative, the Faculty Committee on Athletics and Recreation, the dean of undergraduate admission, and the president of the University. All individuals who qualify as "representatives of our athletic interests" must receive a copy of the booster brochure. In addition, all prospective student-athletes must receive a copy of the Presidential Directive and the latest NCAA report on Northwestern graduation rates.

It is the responsibility of the director of athletics and recreation to oversee and conduct an annual program in recruiting regulations and procedures for all department staff. Annually, a written test will be given to all appropriate department staff members on rules and regulations. Results of the test will be subject to the review of the faculty athletic representative.

It is the responsibility of each coach, as a representative of Northwestern University, to know and abide by all rules, to understand thoroughly the University's philosophy on intercollegiate athletics, to articulate that philosophy, and to become familiar with the academic programs of Northwestern University. Each coach must understand the sportsmanlike conduct regulations of the Big Ten Conference and, in particular, its prohibition of negative recruiting. In addition, each coach must accurately represent both the athletic and academic programs of Northwestern University. To do so, each coach will include academic information in mailings to all prospective student-athletes early in the recruiting process.

The director of athletics and recreation is responsible for ensuring that files are maintained on all prospective student-athletes who are recruited in accordance with NCAA guidelines. These files are to include information on off-campus contacts by University personnel, on-campus visits (official and unofficial), official correspondence/mailings, and admissions materials. Additionally, the Department of Athletics and Recreation will monitor all department staff travel to ensure compliance with NCAA/Big Ten and department rules concerning travel and expenditures. Furthermore, all expenses associated with the recruitment of prospective student-athletes will be reviewed in compliance with the external audit guidelines of NCAA Bylaw 6.2.3.1.

The faculty athletic representative, on a periodic basis, will assess the extent of actual compliance with institutional recruiting policies and procedures.

The University's external auditors will conduct interviews with selected coaches and other representatives of the University's athletic interests and use other means to verify that all personnel involved in the recruiting process have a firm understanding of the principles, policies, and rules governing recruiting for Northwestern University.

Admission
All formal contact between the Department of Athletics and Recreation and the Undergraduate Admission and Registrar's offices will be through individuals designated by the director of athletics and recreation. Coaches, assistant coaches, and other department staff will not deal directly with either of these offices but will transmit materials through the appointed liaisons.

The requirements for admission to Northwestern are the purview of the faculties of the various schools and colleges of the University. Responsibility for individual decisions regarding undergraduate admission has been delegated by the faculties to the associate provost of University enrollment, who relies on the dean of undergraduate admission and his/her staff. Appeal of the decision on admission of any potential student-athlete may be made only to the provost. All members of the staff of the Department of Athletics and Recreation who recruit student-athletes must understand the admission policy standards of Northwestern University.

All transcripts mailed through the Department of Athletics and Recreation or handled in any way by department staff members will be considered to be unofficial by the Office of Undergraduate Admission but may be used by the dean of undergraduate admission for a preliminary admission evaluation for recruiting purposes. Before an admission decision is rendered, an official transcript (secondary school and/or college) must be forwarded directly to the Office of Undergraduate Admission along with the admission application. Such transcripts must come from the school and/or college responsible for processing transcripts.

The transcripts of transfer students and transcripts validating any summer session work taken at other institutions by student-athletes will be subject to special scrutiny in the Registrar's Office and to review by the faculty athletic representative before presentation to the Office of Undergraduate Admission.

Determination of eligibility of transfer students for participation in athletic practice and/or for receipt of financial aid is contingent on the following steps:
1. Completion of a credit evaluation by the Registrar's Office (prior to submission to the dean of undergraduate admission of a Student-Athlete Admissibility Form on a prospective transfer student-athlete).
2. Determination of admissibility by the dean of undergraduate admission. Materials submitted at this time must include a completed Student-Athlete Admissibility Form and attached credit evaluation. These materials are submitted at the same time to the faculty athletic representative for review. Prior to the final admissibility decision, the dean of undergraduate admission will consult the faculty athletic representative.
3. A written summary of the prospective student-athlete's eligibility status both at the time of admission and projected over his/her time of enrollment at Northwestern is distributed to the prospective student-athlete and the coach and is filed with Student and Academic Services. This summary will also include an analysis of the student's progress towards a degree at Northwestern. This summary is the responsibility of the director of student and academic services.

The dean of undergraduate admission is responsible for preparing a confidential report to the president prior to November 1 of each year listing SAT scores, high school rank, and other academic information on all new student-athletes.

The University's external auditors will attest to the adequacy of controls over materials used in making admission decisions on student-athletes and will review the integrity of the admission process.

Financial Aid
It is the policy of Northwestern University that an individual who is offered and accepts athletically related financial aid will continue to receive such support provided that he or she continues to be a team member and continues to make normal progress towards graduation as defined by the University and the Big Ten Conference. A student-athlete whose athletic grant-in-aid has been reduced or canceled is entitled to an appeals hearing, as designated by NCAA, Big Ten, and University financial aid regulations.

All decisions regarding the packaging of financial aid for student-athletes will be made by the director of financial aid or his/her official representative. At the beginning of the academic year, all student-athletes receiving athletically related financial aid must submit a written statement listing any commitments that have been made to them for any forms of financial assistance and summer jobs other than that contained in their financial aid packages.

Academic Advising and Assistance
It is the responsibility of Northwestern University to provide academic advising to student-athletes. Academic advising is the mutual responsibility of the faculty, the undergraduate deans' offices, and the designated academic adviser in the Department of Athletics and Recreation. Each student-athlete must be assigned a faculty academic adviser in accordance with the general policies of the undergraduate school or college in which the student-athlete is enrolled. While decisions regarding course programs and individual course choices are ultimately the sole prerogative of the student-athlete, the athletic academic adviser and faculty adviser of the undergraduate dean's office should be involved in all aspects of the academic advising process. The athletic academic adviser is responsible for ensuring that student-athletes consult faculty advisers on a regular basis and may not assume the sole responsibility for advising student-athletes.

In all cases involving a student-athlete's eligibility or normal progress towards a degree, the athletic adviser must be consulted, but the final decision regarding a student-athlete's academic program rests with the student-athlete in consultation with the faculty adviser or the dean's office involved.

All schedules of competition in intercollegiate athletic events are subject to the approval of the Faculty Committee on Athletics and Recreation. Competition must be arranged so as to provide minimal interference with classes and laboratories. Neither classes nor laboratories should be missed due to individual or team practice. Northwestern expects coaches to tolerate an occasional absence from practice for valid academic reasons.

There will be no in-season competition during any final examination week without the express written approval of the Faculty Committee on Athletics and Recreation. Any postseason competition that interferes with a student-athlete's final examination schedule must also have the express written approval of the Faculty Committee on Athletics and Recreation or its designated subcommittee on scheduling. Coaches should also be sensitive to the academic demands of midterms.

The Faculty Committee on Athletics and Recreation is also responsible for reviewing the effects of intercollegiate practices and competitions on the academic performance of student-athletes and for reviewing the Department of Athletics and Recreation's academic assistance program for student-athletes on an ongoing basis.

The director of student and academic services will have on file data that will be subject to review by the faculty athletic representative, the Faculty Committee on Athletics and Recreation, the vice president for student affairs, the president, or the president's designee. This data will include tutoring activities, eligibility statistics, graduation statistics, and a team-by-team summary of grade point averages. It will also describe steps taken to improve the academic performance of student-athletes both in general and in specific cases.

The external auditors may periodically interview selected student-athletes with regard to their academic experience at Northwestern University.

Certification of Eligibility
Certification and monitoring of athletic eligibility involves a variety of individuals and a wide range of rules and situations. Given the inherent complexities of these matters, Northwestern University has developed a set of guidelines designed to facilitate the certification and monitoring of eligibility for student-athletes. These guidelines also define clearly the roles and responsibilities of the University registrar, athletic staff, academic deans, and the faculty athletic representative. These guidelines must be updated whenever changes in NCAA, Big Ten, or University regulations alter existing eligibility rules, procedures, or policies. Final approval and responsibility for updating these guidelines rest mutually with the director of athletics and recreation, the faculty athletic representative, and the president.

All records of student-athletes are to be specially flagged in the University database. Full-time enrollment reports based on information in the University database are run daily by the director of compliance in the athletics department.

One copy of the required forms certifying eligibility to the Big Ten Conference and one copy of the internal forms verifying the data used on such certification will be filed both in the athletics department and in the Registrar's Office at the time of submission to the Big Ten office. The external auditors will perform periodic audits of the information contained on these forms.

Academic Progress
In order for a student-athlete to graduate from Northwestern University within four academic years, it is necessary for that student-athlete to make progress towards a degree at a faster rate than the minimum required for athletic eligibility by the NCAA and the Big Ten Conference. The director of student and academic services is responsible for monitoring the academic progress of student-athletes on a quarterly and yearly basis. In all cases, when a student-athlete's record is insufficient to predict graduation in four years, the director of student and academic services must inform the faculty athletic representative and the appropriate undergraduate dean. The faculty athletic representative and the dean will advise both the student-athlete and the director of student and academic services on the appropriate action. While every effort must be made to give every student-athlete the opportunity to graduate after attending Northwestern University for four academic years, the University recognizes that in certain cases this is not possible. Under such circumstances, the University is fully committed to the concept of financial support of such student-athletes during their fifth year when indicated. The director of athletics and recreation will file a report with the president's office each summer listing every student-athlete who has completed four years of eligibility without graduating. The list will include a brief summary of mitigating circumstances and the expected graduation date for each individual. In addition, the faculty athletic representative and the Faculty Committee on Athletics and Recreation will conduct exit interviews with selected graduating student-athletes. The University fully supports the graduation rate studies of the NCAA. As mandated by the NCAA, the Academic Reporting Form will be prepared annually by the director of athletics and recreation and forwarded to the president.

Physical Well-Being of Student-Athletes
Northwestern University is deeply concerned with both the short- and long-term effects of intercollegiate competition on the physical well-being of student-athletes. All coaches must conduct their programs of practice and competition in such a way as to minimize the risk of athletic-related injuries. A team physician will be appointed annually, in writing, by the director of athletics and recreation. The team physician will be responsible for the quality of medical care available to the student-athletes of Northwestern University. The team physician or his/her designee will have sole authority with respect to the return to practice and/or competition of any student-athlete who has been injured. The team physician will also directly supervise the athletic training staff regarding medical decisions and treatments.

Northwestern's concern for the physical well-being of student-athletes includes opposition to the use of all illegal and NCAA-banned chemical substances by student-athletes. The director of athletics and recreation will, in consultation with the team physician, provide a written statement outlining the University, NCAA, and Big Ten Conference policies on such chemical substances to all student-athletes, coaches, and department staff on an annual basis. Northwestern University supports the NCAA Drug Testing Program.

The team physician will file an annual report with the president of the University furnishing data on athletic-related injuries incurred during the previous year, the treatments and results achieved from the treatments, and recommendations for the abatement of such injuries in the future. The team physician and the director of athletics and recreation will provide the president of the University with a confidential report that evaluates coaches on their performance in minimizing injuries. The report will also examine the competence of the training room staff and the general operations of the training room. These evaluations will be shared with the individual coaches and members of the training room staff.

Relation with Personnel outside the Department of Athletics and Recreation
The director of athletics and recreation and the faculty athletic representative will notify in writing N Club members, booster club members, and others who may come in contact with student-athletes or prospective student-athletes of the constraints imposed on such contacts by NCAA, Big Ten, and University regulations. Where appropriate, such notification will also be extended to Northwestern University faculty and staff members.

No recurring guest benefits or privileges may be extended to members of the Northwestern teaching faculty, staff, alumni, or friends. Personnel of the Undergraduate Admission, Financial Aid, and Registrar's offices may not be invited as nonpaying guests to any games, trips, or other special functions. No payments may be made from the budget of the Department of Athletics and Recreation to any member of the teaching faculty or to personnel of the Undergraduate Admission or Registrar's offices for any services rendered to the department. Any exception to this policy must meet with the approval of the director of athletics and recreation and the provost.

It is permissible, however, for each member of the Faculty Committee on Athletics and Recreation and the University's faculty athletic representative to receive two complimentary season tickets for football, men's basketball, or any other home athletic event, as requested. A complete manifest will be maintained of all individuals traveling with athletic teams to any contest away from the Northwestern University campus. Such files will be maintained by the director of athletics and recreation and will be subject to examination by the University's internal and external auditors at any time.

A complete list of individuals (and their affiliations) who receive complimentary tickets to football and men's basketball games will be maintained in the athletic ticket office and readily available to the president. A list of individuals invited to the Stadium Club for home football games will also be maintained on file. Unauthorized personnel are not permitted in the football and basketball locker rooms prior to the halftime of a contest.

Annual Review of the Directive
This directive will be reviewed annually and revised to ensure compliance with all internal, NCAA, and Big Ten principles and regulations.

Henry S. Bienen
President, Northwestern University