INTRODUCTORY MATTER

Introduction to Self-Study Report
About Princeton University
The Ivy League
The Academic Index
Overview of the Department of Athletics
A Note on Process

Self-Study Items
Evaluation and Plan for Improvement

Self-Study Items
Evaluation and Plan for Improvement

Self-Study Items
Evaluation and Plan for Improvement

Self-Study Items
Evaluation and Plan for Improvement

Appendices and Attachments (which are not confidential) are not included in this document.  Questions concerning the appendices may be addressed to the Office of the Vice President and Secretary, One Nassau Hall, and we will try to provide copies of non-confidential material.
 
 

Institutional Information

1. Type of institution: o Public x Private

2. Year institution was founded: 1746

3. Special affiliation (e.g., church, military)? o Yes x No

4. Coeducational? x Yes o No

5. Total student enrollment for 1998-99 (undergraduate and graduate combined) [using a full-time-equivalency (FTE) basis]: 6,376

6. Number of faculty [using a full-time-equivalency (FTE) basis]: 808

7. Highest level of academic degree offered: Ph.D.

8. Institution’s governing entity: Board of Trustees

9. a. Regional accreditation agency: Middle States Association of College and Schools – Commission in Higher Education

    b. Date of most recent regional accreditation self-study: January 1994

10. Changes in key senior-level positions (if any) since the institution initiated this self-study: None

11. Other events/circumstances affecting this certification self-study (if any):  None
 
 

Athletics Information

1. Subdivision status of athletics program: o I-A x I-AA o I-AAA

2. Conference affiliation(s) or independent status: Council of Ivy Group Presidents, Eastern College Athletic Conference

3. Athletics program structure: x one combined athletics department o separate men’s and women’s departments o incorporated unit separate from institution o department within a physical education division.

4. Certification pilot-program participants? o Yes x No

5. Date of last NCAA major infractions case (if any): None

6. Date of most recently completed NCAA institutional self-study guide (ISSG): 1991

7. Other key dates or events in history of intercollegiate athletics program:
 

1869    1890        1913  1945  1947     1954  1969

First intercollegiate football game played between Rutgers University and Princeton  The Princeton Athletic Association formed; the faculty committee on outdoor sports appointed to investigate and approve the academic standing of the individual players and to see that games and hours of training did not interfere with study.  Princeton joins the NCAA  Ivy Group Agreement for Football established  A single Department of Physical Education and Athletics established, bringing the physical education and intramural programs under one Departmental purview with intercollegiate athletics. Council of Ivy Group Presidents Agreement established to cover all sports  Princeton becomes co-educational and women’s teams begin to be established

 
 

Certification Self-Study Information

1. Steering committee chair: Thomas H. Wright, Vice President and Secretary

2. Chief report writer/editor of self-study report: Ann Halliday, Associate Secretary and Special Assistant to the President

3. Attach a copy of the institution’s written plan for conducting its self-study. (See Appendix 1.)

Chartered in 1746 as The College of New Jersey – the name by which it was known for 150 years – Princeton University was British North America's fourth college.  In 1896 when expanded program offerings brought the College university status, The College of New Jersey was officially renamed Princeton University in honor of its host community of Princeton. Four years later in 1900 the Graduate School was established. Fully coeducational since 1969, Princeton has a ratio of full-time students to faculty members (in full-time equivalents) of less than eight to one.
 

Living up to its informal motto, "In the Nation's Service and in the Service of All Nations," Princeton University has educated thousands of individuals who have dedicated their lives to public service, including two U.S. presidents (Woodrow Wilson and James Madison) and hundreds of U.S. and state legislators (the House of Representatives, for example, has included a Princeton alumnus every year since it first met in 1789) in addition to individuals who have contributed in a larger sense to the welfare of society, for example, as leaders in the creative arts, sciences, education, engineering. Today Princeton's main campus in Princeton Borough and Princeton Township consists of more than 6 million square feet of space in 160 buildings on 500 acres. As one of the region’s largest private employers with approximately 11,300 full-time, part-time, casual, and student employees, the University plays a major role in the educational, cultural, and economic life of the region.
 

Undergraduate admission is extremely selective (approximately 13% of the 13,000 students applying for admission for the class of 2002 were admitted in 1998).  Princeton does not offer merit scholarships; rather, the University adheres to a need-blind admission policy.  Thus, for student-athletes, as for any undergraduate, Princeton awards financial aid on the sole basis of financial need.  For student-athletes there is no differentiation in amount or in kind based on athletic ability or participation. The Trustees made major changes in 1998 to the University’s financial aid policy that will significantly increase Princeton's affordability for lower and middle-income students.  No student loan will be required when a family's income falls below $40,000, and Princeton removed or reduced the contribution expected from home equity in its financial aid calculations.
 

As Princeton’s mission statement says, “Princeton University strives to be both one of the world’s leading research universities and one of its most outstanding undergraduate colleges.”  (A copy of the mission statement is attached as Appendix 2.)  Princeton aims to be distinctive among research universities in its commitment to undergraduate teaching. Princeton offers two bachelor’s degrees: the bachelor of arts (A.B.) and the bachelor of science in engineering (B.S.E.). Within these degree programs, students can choose from among 62 departmental and interdepartmental programs. Departmental requirements combine upper-level courses with independent work in both the junior and senior years.  A senior thesis is required of all A.B. candidates, and most Engineering students complete a required research project.
 

Residential Life

All first- and second-year students at Princeton live and dine in one of five residential colleges. Each college consists of a cluster of dormitories (housing between 450 and 500 students) and a dining hall, libraries and study spaces, game rooms, seminar rooms, coffeehouses, theaters, and computer clusters. A senior faculty member serves as master of each college. Each college also has a staff that includes a director of studies responsible for academic advising and juniors and seniors who serve as resident advisers and minority affairs advisers.
 

More than 97% of Princeton undergraduates live on campus. Approximately 75% of juniors and seniors take their meals at one of 12 private, coed eating clubs.  These clubs have been a focus for much of undergraduate social life.  In 2000 the University’s first campus center, the Frist Center, will open, thus adding to the richness of social alternatives for all in the community.  The University recognizes more than 200 student organizations.
 

Athletics at Princeton

Organized athletics events have been an important part of the life of campus and of the education of Princeton students since the last century.  As early as 1844 the quadrangle between East and West College was the scene of many spirited football games.  The fall of 1857 brought a more organized form of athletics with the formation of a cricket club and two baseball clubs. In 1890 the Princeton Athletic Association was formed and at the same time, the faculty appointed a committee on outdoor sports to investigate and approve the academic standing of the individual players and to see that games and hours of training did not interfere with study. The first American intercollegiate football game was played between Princeton and Rutgers in 1869.  Administration of athletics became an increasingly integral part of the University from that time forward with the last major change occurring in 1947 when a single Department of Physical Education and Athletics was established.  Princeton had been a member of the NCAA since 1913, and in 1945, Princeton signed the first Ivy group Agreement to regulate football.  In 1954, these rules were extended to other sports.  As part of the Ivy Agreement, financial aid is awarded and renewed only on the basis of financial need, with no differences in amount, kind or composition because of athletic ability or participation; student-athletes are to be representative of their class.  (See the description of the Academic Index below.)  Student-athletes are treated no differently than other multi-talented students in terms of academic or residential life.  There are no special academic enhancement or other programs exclusively for student-athletes; there are no special athletic dormitories.
 

Among the distinguishing features of Princeton’s athletics programs are the breadth of the recreational, intramural, club, and varsity programs, and the high competitive level and success of varsity teams.  In each of the last 8 years, approximately 45-50% of the undergraduate student body have participated in intercollegiate varsity and club sports on more than 60 teams and crews.  Nearly 65% of all undergraduates, along with a number of graduate students, faculty, and staff, play each year in the intramural program on more than 600 teams.  Princeton supports 38 varsity sports – 18 women’s and 20 men’s. This is an extraordinary number of varsity opportunities, especially for an institution the size of Princeton.  In 1997-98 approximately 29% of the undergraduate student body participated on a varsity athletic team.
 

Princeton aims for competitive success within the Ivy League as a consistent goal, but it also can and does compete successfully at the national level in a number of sports.  Princeton seeks to provide leadership within the League and the other athletic conferences to which the University belongs.  President Shapiro has agreed to represent the Council of Ivy Presidents on the NCAA Division I Board of Presidents.
 

Because athletics are part of, and an important contributor to Princeton’s broad mission of education and personal growth, the Department of Athletics is not charged with providing its own financial resources.  Instead the University provides significant funds for the athletics program, just as it does for all other University programs and activities, and treats sports revenues for the most part as general University revenues.  (Sports revenues of all kinds, including admissions sales, gifts from individuals, and corporate sponsorships comprise less than approximately one quarter of the total costs of sports programs at Princeton – see the section on Fiscal Integrity.)
 
 

Princeton’s intercollegiate athletics program is rooted in the Ivy League, directly governed by the eight Ivy presidents and including Brown, Columbia, Cornell, Dartmouth, Harvard, Pennsylvania, Princeton, and Yale, institutions that over the years have had common interests in scholarship as well as in athletics.  The Ivy League was formed to ensure the continuation of healthy amateur athletics in an era of increasing professionalism within college sports.  Known officially as the Council of Ivy Group Presidents, the Ivy League began as a formal group in 1954 when the eight institutions extended a 1945 agreement regarding football to all competitive athletics.  The 1954 agreement established both formal rules and standing committees to enforce and to interpret these rules.  All eight institutions compete in Division I of the NCAA, and Division I-AA in football.
 

Rigorous academic standards, which apply to both incoming and continuing students, require that student-athletes at each institution be “representative” of their class and make normal academic progress; admissions procedures use the “Academic Index,” a numerical calculation of recruited student-athletes’ qualifications, to measure academic “representativeness.”  (See description below.)  Ivy rules also require that prospective student-athletes apply for admission and receive notification of admission at the same time as non-athlete prospects, effectively precluding participation in the National Letter of Intent program.
 

The cornerstone of the Ivy Agreement is that financial aid is awarded and renewed at each institution only on the basis of financial need, with no differences in amount, kind or composition because of athletic ability or participation.  The NCAA limits the number of student-athletes in basketball who may receive financial aid – anyone who plays on the team and receives financial aid counts against a scholarship limit, even if the aid is need based.  Ivy League schools comply with these NCAA limits, and qualify for waivers in all other sports based on certification from the financial aid director and faculty athletic representative that student-athletes receive financial aid on the same basis as other students.
 

Ivy eligibility standards can be more stringent than NCAA requirements.  Only undergraduates are eligible for intercollegiate athletics; no student who has completed the requirements for a bachelor’s degree may compete, unless within four years of matriculation.  Furthermore, student-athletes are eligible for a sport only during the first four seasons on campus:  no athletically determined “red shirt year” is allotted.  A waiver is considered if a student’s reason for remaining in school during a fifth season is academically compelling and special circumstances, such as a medical hardship, exist.  Finally, amateur standards always apply: a student who is a professional in one sport forfeits Ivy eligibility in all varsity sports.
 

To minimize the impact of competition on students’ academic obligations, the Ivy group continue to maintain separate limits – which are more strict than those of the NCAA – on playing seasons, contest number and frequency, travel squads and post-season play.  Football teams, for example, play only ten regular season games and do not seek entry into the I-AA championship.  Ice hockey teams play 29 contests (compared with the NCAA total limit of 34) five of which must be played during vacation period.  Spring sports do not begin practice until February 1.  Practices outside traditional playing seasons in all sports are limited to twelve dates within the NCAA allotted time frame.  Other Ivy regulations impose additional restrictions.
 

Ivy League institutions abide by these rules and still compete successfully in Division I athletics.  The league crowns champions in 33 sports, and averages 25 varsity teams per campus.  In recent years, seven women’s teams and 11 men’s teams from three Ivy schools have won national titles in seven sports.
 
 

The Council of Ivy Group Presidents requires that student-athletes be “representative” of the undergraduate student bodies to which they are admitted.  This requirement protects the integrity of the admissions process at each school and encourages competitive equity across the eight schools, whose admission standards and student bodies are similar, but differing.
 

To monitor compliance with this principle, admissions officers at Ivy schools employ a system that assigns a numerical score – based on standardized test scores and secondary school class rank – to each applicant’s academic record.  The three components of this score, the Academic Index, are (1) the average of math and verbal scores from the SAT, (2) the higher of the average of three SAT II scores or the average of math and verbal scores from the SAT, and (3) secondary school class rank on a weighted scale.  For each component, scores range from 20 to 80, so total scores range from 60 to 240.  For example, a student with a total of score of 1200 on the SAT (average 600), an average of 650 on each achievement test, and in the 90th percentile of a class of 500 would have a component scores of 60, 65 and 63, for an Academic Index of 188.
 

Group regulations are in place for three teams as well as for each individual student-athlete.  In men’s basketball and men’s ice hockey, the pattern of Academic Indices for the group of admitted student-athletes must be within a specified range of the class as whole.  In football, this pattern is more complex (providing AI “bands” or ranges for each institution) and is evaluated for matriculated rather than admitted student-athletes. In addition, when an Ivy school chooses to admit a student-athlete with a score below a certain level, it must justify the decision based on non-athletic criteria.  This point, the so-called “presumptive floor” (which stood at 161 before standardized test recentering, and is currently 169), represents a score below which Ivy institutions usually admit only very limited numbers of non-athlete students.
 

The Academic Index system is not designed, and does not presume, to make admissions decisions.  Admission to Ivy schools is extremely competitive; each institution makes admissions decisions independently; all applicants are evaluated on a range of personal and academic considerations.  Many qualified student-athletes – “admittable” under the Academic Index system – are not offered admission by an Ivy school, or may be offered admission by some and not others.  The Academic Index system provides a way to compare the academic qualifications of admitted and matriculated student-athletes to their classmates and creates a common vocabulary for evaluating the academic performance of  students at each school.
 

The Executive Director of the League oversees and coordinates detailed reporting by and information exchange among the eight Ivy institutions, to assure compliance with the Academic Index system, and with all other League rules and programs.
 
 

In 1997-98, the undergraduate participation on club and varsity intercollegiate teams totaled 2,359, representing 51.3% of the undergraduate student body.  A total of 1,316 of these participants engaged in varsity competition (28.6% of the student body), 1,062 of whom earned varsity letters.
 

The 38 varsity intercollegiate programs are part of a broad-based athletics program. The program strives to contribute significantly to the teaching and development of students, and all varsity programs are designed to be in harmony with the essential educational objectives of the institution.  The varsity sports currently sponsored by Princeton are as follows:
 
 

A list of the University’s conference membership is attached as Appendix 3.
 
 
 

In 1997-98, Princeton won 12 Ivy League championships out of 33 official Ivy League sports. Men’s lacrosse won its third straight NCAA Division I championship, which gave Princeton at least one national champion for the 12^th straight year. Women’s squash captured the Howe Cup and was crowned national champion. Men’s heavyweight and lightweight crews captured first place at the Intercollegiate Rowing Association championship regatta, giving Princeton its third and fourth national championships for the academic year. Men’s basketball posted a number 8 national poll ranking by season’s end, and won a first round NCAA game. Men’s ice hockey won its first ever ECAC Tournament title in Lake Placid, NY and advanced to the NCAA Championship for the first time. Men’s cross country and track & field completed a sweep of the three Heptagonal Championships during the year. The women’s track & field team joined them in winning the indoor and outdoor titles. Field hockey advanced to the NCAA final four for the second straight year. Men’s volleyball secured their first ever NCAA bid and participated in the final four in Hawaii. Women’s lacrosse, men’s tennis, women’s volleyball, women’s open crew, and men’s and women’s fencing all advanced to NCAA championships during the academic year. Women’s water polo, in their second year as a varsity team, qualified for the national collegiate championship. Princeton welcomed the addition of women’s lightweight crew to our varsity program offerings, and in their first year as a varsity, they compiled a 5-1 record in dual races during the regular season and finished in third place at the Intercollegiate Rowing Association championship regatta.
 

In 1997-98, total participation in the Club Sports Program was 1,043. Club sports represent a significant percentage of the athletic participation at Princeton. Each team is created in response to student interest and is run, for the most part, by students. Teams generally encourage participation by all interested students and, in many cases, no previous experience is necessary. There are 36 club teams at Princeton, which compete on a variety of intercollegiate levels. Club sports currently active at Princeton are as follows:
 

Aikido (co-ed)
Badminton (co-ed)
Ballroom Dance (co-ed)
Basketball (M/W)
Cheerleading (co-ed)
Cricket
Croquet (M)
Cycling (co-ed)
Equestrian (co-ed)
Field Hockey (W)
Figure Skating (co-ed)
Gymnastics/Tumbling (W)
Ice Hockey (M/W)
Judo (co-ed)
Karate, Tang Soo Do (co-ed)
Lacrosse (M/W)
Nordic Ski (co-ed)
Rifle (co-ed)
Rugby (W)
Running Club (co-ed)
Sailing (co-ed)
Shotakan Karate
Skiing (co-ed)
Soccer (M/W)
Softball (W)
Table Tennis (co-ed)
Tae Kwon Do (co-ed)
Tennis (co-ed)
Ultimate Frisbee (M/W)
Volleyball (co-ed)

The 1997-98 competitive highlights included the cycling team qualifying for the national championship held in Greenville, South Carolina (a Princeton student finished 25^th overall). The equestrian team participated in the Ivy League Championship at Dartmouth and tied for first, and one student qualified for the national championship. Figure skating held several ice shows at Baker Rink. Table tennis hosted the national championship in Dillon Gym. The women’s ski team qualified for the nationals in Vermont and finished 11^th. Women’s rugby won the Ivy League title, defeating Dartmouth 29-7 in the deciding game.

The Princeton Department of Athletics offers an array of other sports activities through an active intramural program. The purpose of the Intramural Sports Program is to provide an opportunity for the Princeton University community to take part in competitive and non-competitive recreational sports and activities. These include a wide variety of team sports, individual sports, meets and special events. The five residential colleges, the eating clubs, Stevenson Hall and the Graduate College are each eligible to win the overall intramural championship. In addition, independent teams are allowed to participate and qualify for a particular sport championship, but not for the overall championship. The intramural sports currently offered are as follows (Co-rec refers to co-recreational sports):

3 on 3 Basketball
Badminton Tourney
Basketball (M/W and Co-rec)
Bowling
Bridge (Ind. & Team)
Broomball
Cane Spree "00" vs. "01"
Co-rec Flag Football
Co-rec Softball Tourney
Co-rec Volleyball
Flag Football
Fooseball Tournament
Free Throw Contest
Golf Tournament
Home Run Derby
Ice Hockey
Ind. Tennis (M/W)
Indoor Soccer
Innertube Water Polo
Soccer (M/W and Co-rec)
Spikefest
Sportnighter
Sports Fest
Spring Fun Run
Spring Softball (Open)
Squash (Ind. & Team)
Swim Meet
Tennis Tourney (M/W & Co-rec)
Tiger Trot
Track Meet
Ultimate Frisbee Tourney
Volleyball (Open)
Wm. Pool Tourney
Women’s Volleyball

 The process of preparing for the NCAA Certification Self-Study began in the spring of 1997 when President Harold T. Shapiro appointed Vice President and Secretary Thomas H. Wright as chair of the Self-Study Steering Committee. Mr. Wright had oversight responsibility for the Department of Athletics while a new Dean of Student Life was being appointed, and he was secretary to the Trustee Subcommittee on Athletics that produced a 1994 Trustee review of athletics at Princeton. He is a member of the President’s five-person Policy Group, the University’s senior management team. The President was a member of the Steering Committee for this self-study and was in addition kept continually informed of progress on the self-study by Mr. Wright.
 
 

The Steering Committee led the self-study, monitoring progress, reviewing draft reports of the subcommittees, analyzing and assessing plans for improvement, and reviewing the final self-study report. (See Appendix 4 for a list of members.) Members of the Steering Committee were appointed by the President in April and were chosen in consultation with the Department of Athletics, the Dean of Student Life, and the Dean of the College. (See Appendix 5 for appointment letter.) Students were included who are members of the Student-Athlete Advisory Committee. Faculty members were chosen who have some familiarity with the Department of Athletics and with students in the athletics program at Princeton, either because of membership on the Policy Committee on Athletics or who teach in one of the departments that historically has had a high concentration of student-athletes (e.g., History).
 
 

Four subcommittees matching the four basic areas of the self-study were formed to gather the information necessary to complete the self study and to draft each of the self-study instruments. An executive committee of the Steering Committee was constituted to assist the subcommittees in its work, to help assure consistency, and to monitor every 4 to 6 weeks the progress of the subcommittees and the development of the plans for improvement. The executive committee included the chairs of the four self-study subcommittees (Governance, Commitment to Equity, Academic Integrity, Fiscal Integrity), the Dean of Student Life to whom the Department of Athletics reports, and members of the Department of Athletics who had been assigned as staff to each of the four subcommittees.
 
 

The executive committee of the Steering Committee prepared a Tentative Written Plan that was reviewed by the committee before submission to the NCAA in preparation for the orientation visit. (See Appendix 1.) This visit, conducted by Bob Thomas and Rick Perko, was held in Princeton on July 17, 1997. Data collection began over the summer of 1997, and the composition of the four subcommittees was also finalized through the executive committee. The executive committee met individually with each of the four subcommittees in August to review objectives in terms of the self-study as a whole and to provide each group with a better understanding of its charge. At the November meeting of the full Steering Committee, chairs of subcommittees reported on progress, and questions raised by the self-study were also discussed. First drafts of reports were prepared by each subcommittee for a December meeting of the Executive Committee, and that committee met monthly through the spring to review data and tentative plans for improvement.
 
 

Subcommittees met separately and collected information for their reports in different ways that reflect the subjects under review and the availability of data. For example, extensive outreach efforts were organized by the Commitment to Equity Subcommittee. With assistance and training from Dr. Herbert Abelson, Associate Director of Princeton’s Survey Research Center, subcommittee members led eight separate focus groups in an effort to gather information about gender equity, racial equity, and student-athlete welfare issues from students, coaches, and other Department of Athletics staff members. In addition, the Student-Athlete Advisory Committee was invited to submit its comments regarding these issues, and provided information to the subcommittee. The information that was gathered provided an outline for discussion among the subcommittee co-chairs and the senior athletics administrators, and staff of University Health Services who supervise physical training and support for student-athletes.
 
 

Members of the Subcommittee on Academic Integrity met with the Student-Athlete Advisory Committee team captains and neutrally selected, random groups of student-athletes to discuss issues related to academic life at Princeton. The information gathered from these discussions complemented statistical information gathered as part of the self-study instrument. The Director of Studies, who was a subcommittee member, communicated with the Residential College Masters and other Directors of Studies on relevant areas of the report.
 
 

Other communication and outreach efforts by the Steering Committee are described in the Communications Plan. (See Appendix 6.) Most notably, the Trustee Committee on Student Life, Health and Athletics received regular reports on the self-study from Dean Montero who is secretary to that Committee and from Mr. Wright. The Council of the Princeton University Community, a deliberative body that includes student, staff, faculty, and alumni representatives, received a fall and a spring report on the self-study from Mr. Wright.

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:
 
 

Operating Principle 3. Presidential Authority, Governing Board. The institution's governing board shall provide oversight and broad policy formulations. The chief executive officer shall be assigned ultimate responsibility and authority of the actual operation of the athletics program, with clear and direct support of the board.
 
 

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 formulations of policies, relating to the conduct of the athletics program and to scrutinize the implementation of such policies.
 
 

Operating Principle 5. Assignment of Rules-Compliance Responsibilities. The institution shall have in place a set of written policies and procedures that assigns 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 the athletics department.

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.
 
 

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.

1.  Describe any recent major changes in policy and organization that affect the institution's current effort 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.

In 1994, the position formerly titled the Dean of Students became the Dean of Student Life to reflect the expanded role the new Dean would undertake, with responsibility for overseeing virtually all aspects of the extracurricular life of undergraduate students at Princeton. (A copy of the University’s organizational chart is enclosed as Appendix 7.) As part of that reorganization, the reporting lines for the Director of Health Services, Dean of the Chapel and the Director of Athletics were changed to report to the Dean of Student Life. Dean Janina Montero was appointed to the newly configured position in September 1993. The former athletics director retired from the University in June 1994, and the Board of Trustees enthusiastically approved Dean Montero's recommendation that Gary D. Walters, Class of ’67 be appointed Princeton's new athletic director. Mr. Walters brings a wealth of knowledge about intercollegiate and recreational athletics (he was an outstanding scholar-athlete at Princeton), and his experience as a successful executive and his deep commitment to undergraduate education and the University made him an ideal choice for the position.
 
 

Under Mr. Walters’ leadership other organizational and personnel changes have been instituted. Among the most notable have been the appointment of eleven head coaches and the promotion of three administrators to senior associate positions, the transfer of the Office of Athletic Communications from Public Affairs to the Department of Athletics, and the establishment of the Office of Athletic Development. George VanderZwaag was appointed Senior Associate Director of Athletics in 1996. Mr. VanderZwaag is responsible for compliance with NCAA, Council of Ivy League Presidents (Ivy League) and the Eastern College Athletic Conference (ECAC) rules as well as academic and student affairs. Amy Campbell and Ingebord Radice were also promoted to senior associate directors of athletics. Ms. Campbell is responsible for overseeing intercollegiate programming, and Ms. Radice oversees administrative and financial matters for the Department. Kevin Donovan was appointed associate director of athletics for development in 1996, with a reporting line to Mr. Walters and special responsibilities to the Vice President for Development to facilitate fundraising efforts to sustain Princeton’s commitment to and record of athletic excellence. (See Appendix 8 for an organizational chart for the Department of Athletics.)
 
 

According to the Bylaws of The Trustees of Princeton University, the Board, primarily through its Committee on Student Life, Health and Athletics, has ultimate supervision over University's athletic programs. This Committee approves all major initiatives as well as changes in policy or leadership of the Department of Athletics. In 1994, the Board of Trustees issued a report detailing the results of a year-long comprehensive assessment of the role of athletics in the life of the University. (See Appendix 9 for a copy of the report.) The Board of Trustees affirmed Princeton's strong commitment to athletics and made a number of recommendations for strengthening the connection between academics and athletics. The Board of Trustees continues to receive regular reports from Dean Montero and Mr. Walters on their efforts to implement the recommendations contained in the report. (See Appendix 10 for a list of the current members of the Board of Trustees.)
 
 

President Shapiro reviews and approves all major decisions involving the Department of Athletics before they are submitted to the Board of Trustees for action. The President is also an active participant in the decision-making process of the Council of Ivy Presidents, which oversees the establishment of rules and regulations governing the Ivy League. He recently agreed to represent the Ivy Presidents on the NCAA’s Board of Presidents. Similarly, Dean Montero is actively involved in major policy decisions regarding athletics and organizational and personnel changes within the department. Mr. Walters is responsible to Dean Montero, and through her to Provost Ostriker and President Shapiro, for the operation of the Department of Athletics and for ensuring that its mission remains consonant with that of the University and is consistent with policies established by the President and the Board of Trustees.
 
 

In addition to the administrators who oversee the management of the Department of Athletics, a number of advisory committees provide valuable information and support, including the Faculty Policy Committee on Athletics and Physical Education (see Appendix 11 for a list of members) and the Varsity Student-Athlete Advisory Committee. The Policy Committee provides a link between faculty members in a variety of disciplines and the Department of Athletics to ensure that the academic success of student-athletes is the highest priority of the students and their coaches. Likewise, the Student-Athlete Advisory Committee aids in identifying issues and concerns that have an impact on the welfare of student-athletes. In addition, President Shapiro has designated Associate Dean of the College Richard Williams as the University's Faculty Athletic Representative (FAR). As a senior administrator in the College, which has oversight of the undergraduate academic program, undergraduate admission and undergraduate financial aid, Dean Williams is uniquely qualified to review the academic progress of student-athletes and to identify any issues that might affect their well being. Finally, President Shapiro appointed Mr. VanderZwaag to be the University's NCAA Compliance Coordinator. Student-athletes, coaches and others are advised during meetings and in publications, such as the Varsity Athletics Handbook, that any violation of NCAA, Ivy League or ECAC rules – no matter how small – should be reported to Mr. VanderZwaag or Dean Williams. At the conclusion of each academic year, Dean Williams conducts a review of the University's compliance with NCAA, Ivy League and Conference rules. As a result of this review and assessment, he also advises Mr. Walters, Dean Montero and others of any concerns he may have and provides recommendations for enhancing Princeton's rules education or other compliance programs.
 
 
 

2. Explain how the mission of the athletics program relates to that of the institution as a whole.

Princeton's Board of Trustees clearly articulated the relationship between the University's mission and that of the athletics department in the statement of principles included in the report they issued in 1994.
 

The faculty Policy Committee on Athletics and Physical Education also plays an important role in ensuring that existing programs as well as proposed initiatives are in accord with Princeton's stated philosophy that athletics and physical education can play an important role in the education and development of all students. The Trustee Committee on Student Life, Health and Athletics helps ensure that the mission of the Department of Athletics and the objectives of the University are wholly consistent – both in policy and practice. In the spring of 1998, prompted by the NCAA Certification Self-Study, the Board of Trustees approved and adopted the following mission statement for the Department of Athletics:
 
 

During the 1993-94 academic year the Trustee Committee on Student Life, Health and Athletics conducted an extensive review of the University's athletic programs, including an examination of the mission of the Department of Athletics and its relationship to undergraduate education. The Committee conducted more than a dozen meetings (in excess of twenty hours) with approximately 100 members of the University community on campus as well as with alumni. The process involved conversations with representatives of the following groups:
 
 

• administrators in the Offices of the Dean of the College and Dean of Student Life, and Admission as well as the Department of Athletics, the residential colleges and the Alumni Council;
• coaches of varsity intercollegiate teams;
• student leaders of various athletic teams;
• faculty members (chairs and former chairs of departments) with an interest in intercollegiate athletics;
• student leaders (Undergraduate Student Government, graduate student club sport participants, resident advisers and minority affairs advisers);
• alumni;
• former Trustees (former athletes or those interested in athletics);
• executive director of the Council of Ivy Presidents;
• interested members of the University community (students, alumni and friends of athletic teams) who attended an open forum.

The Trustee Committee on Student Life, Health and Athletics, with the help of various administrative offices, also gathered and analyzed extensive data about athletes at Princeton. The information included: general athletics participation levels, continued participation rates by athletes, performance records for teams, admissions data, demographic profiles of athletes, and academic and disciplinary data of intercollegiate athletes.
 
 

In the fall of l994 the report was submitted to and approved by the Board of Trustees. Shortly thereafter, it was made available to the University community. The report was sent to chairs of departments and heads of programs, members of the Council of the Princeton University Community (a University-wide governing body comprised of faculty, staff, students and alumni), and the Alumni Council for distribution through its various committees. Additionally, the Daily Princetonian and the Princeton Weekly Bulletin ran articles summarizing the report. (A copy of the report is attached as Appendix 9.)
 
 

In the spring of 1998, after consultation with staff members in the Department of Athletics, the NCAA Governance and Commitment to Rules Compliance Subcommittee and its Committee on Student Life, Health and Athletics, the Board of Trustees approved the adoption of a mission statement for the Department of Athletics. The new mission statement, which affirms Princeton's longstanding commitment to academic and athletic excellence, will be widely circulated to student-athletes, appear on the University's Home Page, and will be referenced in future Undergraduate Announcements.
 

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 the process.

Major decisions regarding intercollegiate athletics warrant discussion among and input from a large number of constituent groups, but such decisions remain under the full control of the President, subject to approval by the Board of Trustees. The University's Department of Athletics reports to the Dean of Student Life, and the Director of Athletics helps formulate and direct policy with respect to his Department. The Dean reports to the Provost and consults regularly with the President. The President is involved in all major policy decisions involving Princeton's athletics program. The Dean of Student Life reports regularly to the Committee on Student Life, Health, and Athletics and serves as its secretary and is an ex officio member of the Committee. The Committee meets five times a year and is regularly involved in major decisions regarding intercollegiate athletics. The President reports to the Board of Trustees on major decisions involving intercollegiate athletics and seeks their approval of proposed actions.
 
 

The Director of Athletics is responsible for day-to-day budget, personnel and program decisions of the Department of Athletics. The director is assisted in his duties by a senior athletics administration staff that meets weekly. This staff includes three senior associate directors and three associate directors. The Director of Athletics meets monthly with coaches. Three advisory committees, the Policy Committee on Athletics and Physical Education (a committee of the faculty), the Coaches Council (a representative group of coaches), and the Varsity Student-Athlete Advisory Committee (a representative group of varsity student-athletes), meet with the Director of Athletics on a periodic basis. Information provided by these groups informs the decision-making process by providing the Department of Athletics with points of view that are reflective of their specific constituencies on a regular basis.
 
 

Associate Dean of the College Richard Williams serves as Princeton's NCAA Faculty Athletic Representative and as the University's athletics eligibility officer. He also serves as an ex officio member of the Policy Committee on Athletics and Physical Education. The Dean of Student Life is a member of the Policy Committee of the Council of Ivy Presidents.
 
 

Many decisions regarding intercollegiate athletics are made collectively by the eight institutions that comprise The Council of Ivy Presidents (Ivy League). The Executive Director of the Ivy League is charged with administering the League's rules and policies in the spirit of the Ivy agreement. The Executive Director and his staff coordinate the activities of the various committees established to make decisions on League policy. The committees that deal with policy making for the League are the Ivy League Committee on Administration, the Ivy League Policy Committee and the Council of Ivy Presidents.
 
 

The Ivy League Committee on Administration consists of the directors of athletics at the eight member institutions. They are responsible for constantly monitoring, reviewing and appraising the conditions under which intercollegiate athletics are conducted, and promoting inter-institutional cooperation designed to effectuate the spirit and intent of the Ivy agreement, and handling the management and operation of the League, including championships, coaches' activities and financial considerations. The Committee on Administration considers recommendations for policy changes before they are referred to the League's Policy Committee.
 
 

The Ivy League Policy Committee consists of twelve members, including a senior university administrator who is appointed by the president of each institution, one member each from the Ivy League Committees on Administration and Admissions, one director of financial aid, and one senior associate athletic director. The Policy Committee is charged with monitoring continuously the policies and programs of the Ivy League to assure that they are consistent with the spirit and intent of League principles. All policies and interpretations relating to the operation of athletics programs fall within the purview of the Policy Committee, including rules on admission and financial aid. Issues related to playing and practice seasons, intensity of schedule, and eligibility rules come under specific review by the Policy Committee. The Policy Committee considers all recommendations for changes in Ivy League policy before being referred to the Council of Ivy League Presidents.
 
 

The Ivy League Council consists of the presidents of the eight Ivy League institutions. The Council meets twice a year to review recommendations for changes in League policy. The Ivy League Council must approve all major decisions regarding athletics.
 
 

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 Trustee Committee on Student Life, Health and Athletics oversees extracurricular undergraduate matters on behalf of the Board of Trustees. As was stated earlier, the Committee receives periodic updates on the University's progress in implementing the recommendations contained in the Board's comprehensive report. In addition to reviewing the operation of athletic programs and the department, the Board receives periodic reports on all activities or events related to the physical education program. For example, in 1996, the then Chair of the Psychology Department Nancy Cantor and Professor Deborah Prentice reported on the results of their study of the impact of athletics on student-athletes at Princeton and several peer institutions, and made very preliminary recommendations for enhancing the welfare of student-athletes. Specifically, in the past several years the Board of Trustees reviewed or ratified the following decisions:
 

• Appointment of Mr. Walters as Athletic Director
• Approval of the program requirements for the new stadium
• Ratification of the decision to restore wrestling to self-funded varsity status
• Granting of varsity status to women's lightweight crew
• Establishment of fundraising capabilities within the Department of Athletics
• Upgrading of the status of women's water polo
• Selection of an architectural firm for the boathouse renovation (short-term renovation was completed and a major renovation is expected to begin in the fall of 1998 pending approval by the Trustees)

• Progress of the renovations to Caldwell Field House and squash courts
• Progress in implementing the Trustee Report on Athletics
• Demolition of Palmer Stadium and progress in construction of a new stadium.

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.

President Shapiro played a significant role in the review and approval of all of the decisions listed in response to self-study item #5. In addition, he was significantly involved in decisions made by the Council of Ivy Presidents, including:
 

• Changing the dates of competition in field hockey and soccer from 15 to 17
• Increasing the number of men's ice hockey contests for the period 1994-95 through 1996-97 from 27 to 29
• Reducing the number of full-time assistant coaches in football from 6 to 5
• Modifying the manner in which the Academic Index is computed.

In addition, President Shapiro played an important role in reviewing and approving the following decisions regarding Princeton's athletic programs:
 

• Development of the operating principles that govern fundraising efforts undertaken by the new associate director of athletics for development. [Those principles explicitly state that budget decisions regarding the Department of Athletics remained the province of "Nassau Hall" (i.e., senior central University administrators); in addition, the President and his key advisors review decisions related to corporate sponsorship, and the development and operation of the Varsity Club];
• Development of new policies governing compensation to coaches for summer sports camp directorship (see Fiscal Integrity item number 10).

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.

Princeton University Friends Groups support departments or approved activities in the University. Varsity sports are among those activities actively supported by Friends Groups. Funds received by these groups are deposited into University accounts in accordance with institutional policy. Decisions regarding the expenditure or allocation of funds raised by Friends Groups are made in close cooperation with one or more officers of the University who are responsible for the activity in question and such expenditures must be authorized by the signature of the relevant University officer and be in compliance with all University policies and procedures. In general, funds are used to enhance the quality of the athletics program and meet those needs that the operating budget cannot accommodate. Friends Groups work to promote additional interest and support for varsity programs, understanding that all issues related to institutional and league athletic policies remain beyond their purview. Friends Groups for some sports have a formalized structure, including a constitution and bylaws; others operate less formally. All Friends Groups function under the direct control of the Department of Athletics and, by extension, the head coaches of the respective sports. In this regard, coaches maintain responsibility for monitoring the activities of Friends Groups within the framework of institutional policy. (See Appendix 13 for a list of Athletics Friends Groups and Appendix 14 for a description of University Friends Groups.)
 
 

In all cases, funds received by Friends Groups, for dues or any other purpose, are processed by the Recording Secretary of the University, and deposited in an appropriate and separate University account. Decisions regarding the expenditure or allocation of funds raised by Friends Groups are made only with the approval of that group's president, the head coach and the Senior Associate Director of Athletics for Finance and Administration. In this manner, the funds are maintained under the clear control of the institution. Friends Groups are informed of their responsibility to operate in strict conformance with NCAA rules through an ongoing rules education program (see response to self-study item 10).
 
 

The Princeton Varsity Club is a recently established annual support fund for the Department of Athletics. It is operated under the control of the Associate Director for Athletic Development, who reports to the Senior Associate Director for Finance and Administration. Membership fees generated by the Varsity Club directly support the following: a senior awards banquet; an all-sports newsletter; alumni/coaches luncheons; community outreach programs; and the promotion of additional interest in and overall support for varsity programs. In addition, the Varsity Club assists the individual Friends Groups in the development of fund raising objectives, including the identification of endowment prospects, the creation of solicitation appeals; telemarketing efforts and the development of common standards and stewardship practices. All funds generated by the Varsity Club are deposited into a University account in accordance with Princeton's financial policies. Expenditures are approved by the Senior Associate Director for Finance and Administration, and are monitored in accordance with institutional policy. In this manner, all annual funds of the Varsity Club are maintained under the clear control of the University.

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.

Princeton's compliance program is built on an effective rules education effort, with an understanding that compliance is a shared responsibility that is a fundamental job requirement for coaches and staff. The institution strives to create a culture of ethical behavior that both transcends and complements the rules and regulations for which coaches and staff are responsible. A system of checks and balances exists as a means of maintaining institutional control. The compliance officer works with University staff members on all compliance matters. A detailed checklist of compliance tasks within the overall compliance program is attached, showing the individual responsible for each task and the target dates for completion during the calendar year. (See Appendix 15; the complete Princeton University rules compliance handbook is enclosed as Appendix 16.)
 

Director of Athletics. The Director of Athletics reports to the Dean of Student Life. With the Dean of Student Life, the Faculty Athletics Representative, and the President, the Director shares in the responsibility of establishing the ethical framework and organizational structure within which compliance responsibilities are carried out in the Department of Athletics.
 

NCAA Faculty Athletic Representative. The President of the University appoints Princeton's NCAA Faculty Athletic Representative (FAR). The FAR has responsibility for the following: certifying the eligibility of all student-athletes to participate in intercollegiate athletics; conducting an annual external review of the University's overall compliance program; administering the NCAA coaches' certification test annually; and working with the Senior Associate Director of Athletics to review and report rules violations to the NCAA.
 

Senior Associate Director of Athletics for Regulatory, Academic, and Student Affairs. The Senior Associate Director reports to the Director of Athletics and, by appointment of the President, serves as the University athletics compliance officer. The Senior Associate Director has direct responsibility for the compliance program, including rules education, implementation of systems and controls, provision of rules interpretations, and support of the eligibility certification process. The linkage with the Director of Athletics, the Dean of Student Life, the Faculty Athletics Representative, and the President in carrying out these responsibilities is direct and immediate.
 

Coaches. The head coaches report to the Director of Athletics and assistant coaches report to the head coach of their respective sports. In matters of compliance, all coaches report to the Senior Associate Director of Athletics. The shared responsibility for compliance requires that an appropriate amount of authority be vested with the coaches for monitoring their own day-to-day activities within a sound compliance framework. Coaches have direct responsibility for the conduct of their programs within the policies of Princeton University and the rules of the NCAA, the Ivy League, and other governing bodies. This includes the conduct of students, coaches, and others associated with their program, so coaches are responsible for submitting information related to rules compliance to the compliance officer regularly in accordance with the compliance program and also whenever requested. The compliance officer is the primary resource for coaches in carrying out their compliance responsibilities. The compliance officer is charged with developing systems and tools to assist coaches and others in their compliance efforts. As required by the NCAA, and as administered by the Ivy League, coaches are tested annually regarding their knowledge of recruiting rules. Resources are made available, as part of an on-going rules education program, to ensure that all coaches are current with the rules and relevant interpretations. It is expected that coaches will ask questions and seek guidance whenever there is any doubt as to how to comply in any given situation, and will operate their programs in strict compliance with the spirit and intent of the rules.
 

Committee on Undergraduate Admission and Financial Aid. Dean of the College Nancy Malkiel chairs the Committee on Undergraduate Admission and Financial Aid. Fred Hargadon, the Dean of Admission, and Don Betterton, Director of Financial Aid are ex officio members of the committee, and the Dean of Student Life and the Treasurer of the University meet with the committee when necessary. The Committee on Undergraduate Admission and Financial Aid is the faculty committee charged with reviewing and making recommendations regarding the University's policies on the admission and financial support of undergraduates.
 

Dean of Admission. The Dean of Admission reports to the Dean of the College. The Dean of Admission ensures that student-athletes are admitted in strict accordance with University admissions policies and with Ivy League regulations. The Dean of Admission oversees the Alumni Schools Committee program, through which regional alumni representatives assist in recruiting applicants for admission, through interviews with individual candidates and their sponsorship of information programs for applicants and admitted students.
 

Director of Undergraduate Financial Aid. The Director of Undergraduate Financial Aid reports to the Dean of the College. The Director of Undergraduate Financial Aid is responsible for administering all undergraduate financial aid and for ensuring that all financial aid awarded to student-athletes is on the same need-basis as for all other students in compliance with Ivy League regulations.
 
 

9. Describe the procedures by which the institution processes alleged or self discovered violations of NCAA rules.

The Senior Associate Director of Athletics serves as the University's compliance officer and is responsible for investigating all alleged or self-discovered violations of NCAA rules. On an annual basis coaches and staff members are made aware of the policy for reviewing and reporting NCAA violations. It is their responsibility to initiate the self-reporting process if they are aware of, suspect, or have a question regarding a possible NCAA rules infraction.
 
 

The sequence of discovery, investigation and action undertaken in response to a possible violation is as follows:

1. The compliance officer receives information from a source (e.g., coach, another institution, Ivy League office, staff member, etc.) that requires some determination as to whether a violation of NCAA rules may have occurred.

2. The compliance officer asks for information and documentation from the parties involved (e.g., coach, staff member, student-athlete, others) and/or conducts other inquiries in order to determine the nature of the alleged violation.

3. The compliance officer reviews the information obtained during the first two steps of this process with the Faculty Athletic Representative, who makes an initial institutional decision whether a violation may have occurred.

4. The Faculty Athletic Representative determines whether such a possible violation is likely to be considered major or secondary by the NCAA. A possible major infraction will require further investigation and inquiry by an entity outside the Department of Athletics, as determined by the President.

5. If the possible violation is determined to be secondary, the Ivy League will be informed of the violation by the compliance officer.

6. The compliance officer prepares the self-report of a possible secondary violation to the NCAA.

7. The final report is reviewed with appropriate individuals at the University prior to being submitted to the NCAA. Depending on the nature of the violation this might include the Director of Athletics, staff members, an involved coach, an involved student-athlete, or others.

8. Copies of the self-report are provided to the President, the Faculty Athletic Representative, the Director of Athletics, the Senior Associate Director of the Ivy League, and the NCAA Director of Eligibility (if necessary).

9. The compliance officer will alert the involved parties to the resulting actions taken by the institution, the Ivy League, and/or the NCAA.
 

The written report concerning a possible violation normally includes the following:
 

A. The date and location of the alleged violation.

B. The identities of all involved -- student-athletes, staff members, and others.

C. The means by which the institution became aware of this information.

D. The reason the possible violation occurred.

E. A list of corrective or punitive actions taken by the institution, where appropriate.

F. The institution's position as to whether a violation occurred and the circumstances surrounding a violation.
 

A coach or staff member self-reporting a violation is asked to provide as much information as possible to the compliance officer. Coaches and staff members are reminded annually that it is in the University's best interests to self-report any violation as soon as any responsible individual becomes aware of it. Princeton takes its responsibility to investigate and self-report violations of NCAA rules very seriously.
 

10. Describe the institution's rules education efforts for student-athletes, athletics department staff members, other institutional staff members and representatives of the institution's athletics interests.

Rules education is central to the compliance program at Princeton. It involves an on-going process of communication with prospective student-athletes, enrolled student-athletes, coaches, staff members, and representatives of Princeton's athletics interests in an effort to ensure that those sharing in compliance responsibilities are knowledgeable of the rules. The Senior Associate Director of Athletics who serves as the compliance officer coordinates these various educational efforts. Members of the community are directed to contact the compliance officer if they have any questions about the interpretation of policy or rules.
 

The following rules education efforts are carried out on a yearly basis:

• Enrolled student-athletes: The Senior Associate Director meets with each team at the beginning of the academic year. At this meeting, relevant NCAA and Ivy League rules and regulations are reviewed, and an opportunity to ask questions is provided. The specific topics covered are: total years of competition; outside competition; amateurism; sport-related employment activities; permissible financial assistance; consequences for violations; ethical conduct; gambling; NCAA drug testing; playing and practice season limitations; and other eligibility standards. Student-athletes also receive a Student-Athlete Handbook that covers these regulations, including guidelines for students who serve as hosts for recruited athletes, and other important information.

• Coaching staff: Coaches are provided with rules education materials (NCAA Manual, NCAA News, pocket recruiting guide, compliance calendar), attend mandatory monthly coaches' meetings with compliance- specific agenda items, are updated on recent interpretations through a monthly summary, and are provided periodic compliance reminders. The compliance officer runs rules education meetings for coaches each spring, in preparation for the annual NCAA certification test. Coaches are provided notice of proposed NCAA legislative changes, and are informed by the compliance officer of pertinent legislation that is passed.

• Representatives of Princeton's athletics interests: The compliance officer meets with and provides educational materials to alumni and other representatives of Princeton's athletics interests. These materials have included a rules brochure, notices in the Princeton Alumni Weekly, and a web page.

• Compliance officer: The Ivy League compliance coordinators have a monthly telephone conference call to discuss issues, interpretations, compliance systems, and legislation which affect Ivy League institutions. The compliance officer also attends the annual NCAA compliance seminar and NCAA Convention, in order to remain current on legislative and regulatory issues.

1. Given the responses to the self-study items, evaluate whether the activities of the athletic 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.

The Governance and Commitment to Rules Compliance Subcommittee and the Steering Committee are convinced that Princeton University is in substantial conformity with the letter and spirit of the operating principles set forth in the Self-Study. Specific information with respect to each of the seven operating principles is provided below.
 

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:
 

a. Appear in published form and be given wide circulation within the institution and among its external constituencies;

As a result of the NCAA certification self-study, Princeton adopted a formal mission statement for the Department of Athletics. The newly adopted statement is being widely disseminated to students, faculty, and staff and will appear in the Student-Athlete Handbook and on the department's website which is part of the University's homepage. (See Plan for Improvement A.)
 

b. Relate clearly to the mission and goals of the institution;

f. Be reflected in the actual practices of the institution's athletics program.

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 activities of the Department of Athletics are overseen by the Dean of Student Life, in collaboration with the Director of Athletics, who both make periodic reports to the President and Provost. The Dean of Student Life meets with the Trustee Committee on Student Life, Health and Athletics which exercises oversight of athletics and physical education on behalf of the Board of Trustees. The University's administrative, financial and human resource policies also govern the activities of the Department of Athletics. The Dean of the College, Dean of Admission and Faculty Athletic Representative also ensure that student-athletes and coaches are aware of and abide by the policies promulgated by the University, Ivy League and the NCAA.
 
 

Operating Principle 3. Presidential Authority, Governing Board. The institution's governing board shall provide oversight and broad policy formulations. The chief executive officer shall be assigned ultimate responsibility and authority of the actual operation of the athletics program, with clear and direct support of the board.
 

President Harold T. Shapiro has ultimate responsibility for the actual operation of Princeton's athletics programs. The Dean of Student Life, Janina Montero, was appointed by the President, after consultation with the Board of Trustees, and works with the President to review the operation of the Department of Athletics. Gary Walters, the Director of Athletics reports to Dean Montero and has periodic conversations and meetings with the President about the operation of the Department and reviews all major policy changes with the President, Provost and the Dean of Student Life before they are instituted.
 

The Trustee Committee on Student Life, Health and Athletics receives regular reports from the Dean of Student Life about athletic issues. The Committee receives periodic reports from the Director of Athletics on progress in implementing the recommendations issued in 1994 and other matters. The full Board has periodic discussions about athletics led by the President or a representative of the Committee on Student Life, Health and Athletics.
 
 

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 formulations of policies, relating to the conduct of the athletics program and to scrutinize the implementation of such policies.
 

The faculty Policy Committee on Athletics and Physical Education, the Coaches Council, and the Varsity Student-athlete Advisory Committee are the principal conduits for information and advice to the Department of Athletics regarding its policies and practices. In addition, major changes are often discussed with other constituencies such as the Council of the Princeton University Community (whose membership includes students, staff, faculty, and alumni), the Undergraduate Life Committee and various alumni groups, to seek input and suggestions regarding a proposed policy.
 

While the advice and assistance of the Faculty Policy Committee have been of significant importance to the Department of Athletics over the years, the Department continues to search for ways to strengthen its connections to the faculty. Two initiatives aimed at improving these connections are described as Plans for Improvement B and C.
 
 

Operating Principle 5. Assignment of Rules-Compliance Responsibilities. The institution shall have in place a set of written policies and procedures that assigns 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 the athletics department.
 
 

Princeton University has in place a set of written policies and procedures and assigns specific responsibility to identified individuals in the area of rules compliance. Associate Dean of the College Richard Williams provides critical oversight of the overall compliance program. Dean Williams serves as the NCAA Faculty Athletic Representative and is directly responsible for certification of eligibility, graduation rates disclosure, monitoring satisfactory progress, and processing waiver requests related to eligibility. The Offices of Admission and Undergraduate Financial Aid carry out compliance functions in these critical and sensitive areas. In addition, the Office of Conference and Visitor Services plays an important role in compliance as it relates to the operation of the University's summer sports camps. Dean of Student Life Janina Montero oversees the Department of Athletics and participates in making all major policy decisions regarding athletics and physical education. Dean Montero provides periodic reports to President Shapiro regarding the Department's policies and procedures and to the Trustee Committee on Student Life, Health and Athletics. In addition, Dean Montero regularly receives reports on NCAA and Ivy League compliance issues from the Athletic Director, Gary Walters, and from George VanderZwaag, the Senior Associate Director of Athletics who oversees compliance activities.
 
 

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 decision within the department of intercollegiate athletics.
 

Princeton University has created a compliance program built on an effective rules education effort, with an understanding that compliance is a fundamental job requirement for coaches and staff. The compliance officer, George VanderZwaag, is the primary resource for coaches and staff in carrying out their compliance responsibilities. Various tools are used as part of the educational effort. Team meetings take place with student-athletes to review eligibility rules. Monthly coaches meetings take place with compliance agenda items and weekly compliance reminders are sent to all coaches. Compliance seminars are held each spring in preparation for the coaches' certification exam. Regular written reminders are sent to coaches and staff regarding compliance responsibilities. Coaches are provided various reference materials related to their compliance responsibilities. The extent and diversity of these various tools notwithstanding, the Department believes that creating a compliance manual for coaches would be beneficial, and this initiative is described in Plan for Improvement D.
 

Contractual agreements for all coaches include a provision for the termination of employment in the event that serious violations of NCAA rules occur. All coaches are expected to exercise responsibility for rules compliance. Mr. VanderZwaag brings any concerns that are identified regarding a coach's performance in meeting those responsibilities to his or her attention in a timely manner. In addition, a coach's performance in meeting the standards established by the Department for rules compliance is one of the core responsibilities that is discussed during the coach’s regular evaluation that is conducted by the Director of Athletics, Gary Walters. Mr. Walters and Mr. VanderZwaag ensure that it is clearly understood that coaches maintain responsibility for the conduct of all assistant coaches and others affiliated with their programs, in conducting their affairs in accordance with the spirit and intent of the rules and regulations of the NCAA and the Ivy League. George VanderZwaag, the compliance officer, serves on search committees for full-time coaches to ensure that compliance remains a central element in personnel decisions within the Department of Athletics.
 
 

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 Department of Athletics' rules compliance program is subject to periodic evaluation by an authority outside of the athletics department. Associate Dean of the College Richard Williams, who also serves as the Faculty Athletic Representative, reviews annually various aspects of rules compliance. In addition, the Senior Associate Director of the Ivy League, Caroline Campbell, conducts a periodic compliance review of all member institutions.
 

As a result of this self-study, it is recommended that Dean Williams formally report the results of his annual review to Dean Montero and the Director of Athletics. In addition, Dean Montero should advise the Faculty Policy Committee on Athletics and Physical Education of the results of the department's annual evaluation. (See Plan for Improvement E.)
 

2. Given the previous responses, evaluate whether the activities of the athletics program are consistent with the mission and purpose of the institution.

The Subcommittee and the Steering Committee are convinced that the activities of the athletics program are consistent with the mission and purpose of the institution.
 
 

3. Where the institution concludes in its evaluation that it does not conform to one or more operating principles or that problems or deficiencies exist, 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.

ACADEMIC INTEGRITY

Operating Principle 1. 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.
 

Operating Principle 2. Admissions 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 and approved policies.
 

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.
 

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.
 

Operating Principle 5. Scheduling. The scheduling of athletics competitions and practices shall minimize conflicts between athletics participation and academic schedules, especially during examination periods.

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 academic integrity, focusing on those implemented during the last three years.

Princeton's policies with respect to intercollegiate athletics, in general, and with regard to academic integrity as it affects student-athletes, and all other students, have remained essentially unchanged over many years. The Ivy Group Agreement of 1954 states that "the players shall be truly representative of the student body and not composed of a group of specially recruited athletes....In the total life of the campus, emphasis upon intercollegiate competition must be kept in harmony with the essential educational purposes of the institution." While the process by which these principles are attained is constantly under review, the goal has remained the same. A comprehensive survey of intercollegiate athletics by the Board of Trustees, completed in 1994, reflects the institution's conviction that Princeton has succeeded in its attempt to integrate the athletic endeavor into the fabric of university life. (See Appendix 9.)
 
 

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 and groups involved at each point, including the role, either formal or informal, the athletic department plays (if any) in the admissions process for student-athletes.

The Admission Office staff seeks to identify those candidates who seem best qualified to take advantage of Princeton’s academic programs and to select from among them those who will form an undergraduate body with a wide representation of interests, backgrounds, and special abilities – for example, in music, in drama, in writing, or in athletics. Student-athletes applying for admission to Princeton complete the same application as all other students and are judged by the same admissions criteria. All applicants must submit the results of the SAT I and the College Board SAT II tests in three areas. In those cases where the only other colleges to which an applicant is applying require the results of the ACT, the applicant may submit his or her ACT results instead of the SAT I. The applicant's academic transcript, letters of recommendation, extracurricular activities, and essays and other responses elicited in the admissions application are also considered in the admissions process. (See Exhibit 2 for a copy of the University’s admission and financial aid information.)

Completed applications progress through a series of "readings" by members of the Admission Office staff. All members of the staff complete a preliminary round of readings, making recommendations regarding the admissibility of each candidate. Applications from prospective student-athletes are reviewed in exactly the same fashion and by the same staff members as are those of all other students. Senior members of the staff conduct multiple additional evaluations and make final recommendations to the Dean of Admission who is the final approval authority for all admissions decisions.

Princeton is committed to a need-blind admission policy and provides financial assistance to all regularly admitted students who are judged to need aid. Princeton does not offer academic or athletic scholarships. While Princeton does not offer financial grants-in-aid to student-athletes, certain members of each entering class are identified by the Department of Athletics as being deserving of special consideration in the admissions process because of their athletic ability. Each coach submits a ranked list of recruited student-athletes to a Senior Associate Director of Athletics who serves as a liaison to the Admission Office. The Senior Associate Director, in consultation with the individual coaches, compiles a list of those applicants whose admission is supported by the Department of Athletics. It should be noted that the final list of recruited athletes represents a distillation of the individual team lists submitted by the coaches. The Associate Director then presents the departmental list to the Dean of Admission who, having considered both this list and the recommendations of the admission staff, makes the final decisions regarding admission.

As a member of the Ivy Group, Princeton adheres to the admissions criteria for prospective student-athletes established for the league as a whole. These criteria are designed to implement and monitor the principle that student-athletes admitted by an institution are generally representative of the range of talents possessed by other students admitted by that institution. An Ivy League academic index (AI), based on standardized test scores and classroom academic performance, is calculated for each applicant for admission. There is a league-wide floor below which no student-athlete should be admitted without a non-athletic justification. Additionally, football and men's basketball and ice hockey are expected to meet specific institutional team AI averages which are based on AI scores for admitted students who are prospective participants in those sports. For these teams, the higher the institution's overall AI is, the higher the team's AI must also be.
 
 

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 the information is available: average standardized test scores and 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 sports 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 cross country/track, and women's other sports) and for all entering freshman students (by gender and by racial or ethnic group).

As Princeton does not offer athletic grants-in-aid, data has been provided for those student-athletes whom the institution identifies as having been recruited by the Department of Athletics. The data appears as Attachment 1. (Note: Because of the confidential nature of some of this information, Attachment 1 will be provided to the Peer Review Team on arrival to campus.)

Because secondary schools compute individual grade point averages using a variety of grading schemes, Princeton computes a standardized GPA for each applicant using information submitted on the high school transcript. It is this locally-computed GPA that is shown on the report.

The information for SAT scores subdivided by racial/ethnic group and for student-athletes is restricted and may not be distributed to third parties.
 
 

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.

There are no student-athletes admitted to Princeton University by "special exception."
 
 

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 continuing eligibility, and their title(s).

Princeton has not accepted any transfer students in the three-year reporting period. In the event of the transfer admission of a student-athlete, the certification of initial eligibility will be made by the compliance officer and the Faculty Athletics Representative (FAR). The final authority for all eligibility matters rests with the FAR.
 

Certification Process for Transfer Student-Athletes:
 

Princeton certifies the continuing eligibility of all student-athletes in accordance with Ivy and NCAA regulations. George VanderZwaag, the Senior Associate Athletic Director responsible for compliance, meets with each team on an annual basis to review Ivy and NCAA regulations and to obtain the necessary signatures from student-athletes signifying their compliance with and acceptance of these regulations. Richard G. Williams, Associate Dean of the College and the faculty athletics representative, serves as the eligibility officer for the University and has final authority on all eligibility issues.
 

Princeton offers a wide range of academic support services to all of its undergraduates. These programs are intended to provide academic advice and support throughout the four years of a student's enrollment, and in some cases during the summer just prior to matriculation.

Since 1995, the Summer Scholars Institute in Science and Engineering (SSI) has provided an intensive, seven-week program in mathematics, mathematical applications, and analytic reasoning for a selected group of talented, highly motivated students who are committed to pursuing studies in the natural sciences and engineering and whose success in these areas would be enhanced by more advanced preparation. The program offers two credit-bearing courses, one, a course in differential calculus; the other, a course in the social sciences (the topic varies from year to year) that emphasizes the development of clear arguments through expository writing and fulfills the University writing requirement. In addition, students participate in a series of non-credit workshops taught by Princeton faculty members that emphasize analytic reasoning and the application of numbers to problem solving in the sciences and engineering. The program enrolls about thirty entering freshmen. Participants are not charged for tuition (and students on financial aid have free room and board); in addition, Princeton replaces fully the expected summer earnings for students on financial aid. Beginning in 1997, the University instituted formalized term-time programming for Summer Scholars that follows and builds on the summer's work. The Department of Athletics is notified each spring when a recruited athlete has been offered an invitation to participate in the Summer Scholars Institute. Coaches are informed of the invitation and are requested to speak with each athlete and to encourage participation in the program.

Beginning in summer 1998, a previously noncredit program has been enhanced to provide a pre-freshman experience analogous to the Summer Scholars Institute for incoming students interested in the humanities and social sciences. The new Freshman Scholars Program in Humanities and Social Sciences (FSP) provides an intensive, seven-week program for a selected group of talented, highly motivated students who expect to pursue studies in the humanities or social sciences and who will profit from early course work and advanced preparation that will enable them to take the fullest advantage of the opportunities available to them in those fields at Princeton. The program offers two credit-bearing courses from the regular Princeton curriculum, one of them in the social sciences and the other in the humanities (the topics will vary from year to year). The humanities course emphasizes the development of clear arguments through expository writing and satisfies the University writing requirement. Students participate in a series of non-credit academic workshops taught by faculty members that complement the credit-bearing courses. FSP also enrolls about thirty entering freshmen. As in the Summer Scholars Institute there is no charge for tuition and room and board for students on financial aid, and expected summer earnings are replaced for students on financial aid.

Both SSI and FSP students participate in a range of co-curricular and non-academic programs during the course of the summer. These include field trips, recreational, and cultural activities; community-building activities; and sessions designed to introduce students to the non-academic resources available to them at Princeton.

Since 1995, the Department of Athletics has presented a special orientation for new student-athletes, to supplement the extensive orientation programs available to all students. The Director of Athletics and the Dean of Student Life greet the students and then a senior faculty member or administrator delivers the keynote address, which is followed by a panel discussion on academics and athletics. Panelists include an academic dean, a faculty member, a coach, and two senior athletes. Roundtable discussions provide an opportunity for new student-athletes to meet with upper class athletes and to raise any questions or concerns they might have.

All freshmen and sophomores live in one of five residential colleges and have available a wide range of academic support services in this environment. Each college is governed by a master, a senior faculty member who serves in this capacity a four-year term, often renewed for an additional term. Each college also has a director of studies who serves as the principal source of information regarding academic advising and support. The directors of studies report to the Dean of the College, the senior university officer responsible for administrative oversight of undergraduate studies. Each freshman and sophomore is assigned to a faculty adviser in the college for specific advice concerning course selection, academic progress, and selection of an academic major.

The academic departments provide much of the academic advising for juniors and seniors. Specially designated faculty members, known as departmental representatives, are available to discuss course selection, departmental requirements, and the assignment of junior and senior independent work advisers. Independent work advisers work individually with juniors and seniors throughout the year to guide the major pieces of independent work which are the capstone of the undergraduate experience at Princeton.

A newly created Center for Teaching and Learning will bring improved coordination among the many resources available on campus to help students make the most of their potential, and learn new and improved learning skills. The Center is also a resource for faculty and graduate student assistants in instruction and laboratory assistants who wish to learn about and experiment with new teaching techniques.

The University also provides a broad range of academic support services which are intended to assist students who anticipate or encounter academic difficulty. The Summer Scholars Institute and the Freshman Scholars Program in Humanities and Social Sciences for incoming first year students have been mentioned above. Throughout the school year, special academic help is available to all students in the form of tutoring, study halls conducted by faculty members in math, science, and engineering, the Princeton Writing Program, and specific programs in the colleges which address such issues as time management, exam anxiety, and choice of academic majors. Directors of studies and the deans for the junior and senior classes monitor each student's progress throughout the year, based on midterm and final grades and individual reports submitted by faculty members, and conduct regular conversations with those students who are on academic warning or academic probation.

Students are made aware of these and other support services through a series of publications distributed throughout the four years of undergraduate education and orientation meetings which begin shortly after admission to the University. Student-athletes are also reminded of the availability of these services in meetings with their coaches.

The academic advising system is reviewed annually to determine its effectiveness and responsiveness to student needs. In addition to the director of studies, who has primary responsibility for academic advising in the residential colleges, each college has a staff of faculty advisers and peer advisers, who provide academic guidance and counsel. In 1997-98 Princeton implemented a pilot program that will lead to an enhanced advising system in the colleges with an increased number of faculty advisers, a separate set of faculty advisers for sophomores, a group of ten peer advisers per college, and expanded, more systematic term-time programming on academic issues.

Also in 1997-98 the Department of Athletics began a "faculty team representatives" initiative that seeks to identify a faculty member for each team who will act as a "faculty team representative" to reinforce further the principle that the athletics program is an integral part of the educational enterprise of the institution and to provide easily accessible guidance on academic issues and strengthen links between athletics and the academic side of the institution.
 
 

8. Describe the institution's policies related to the scheduling of intercollegiate athletics competitions and practices that minimize the interference with class time and examination periods.

Continuing affirmative efforts are made to impress upon student-athletes the primacy of their academic obligations and to work with coaches to either minimize or eliminate conflicts. This begins with the strong institutional commitment that athletic activities may not conflict with orientation sessions for new students and continues throughout the student-athlete's academic and athletic experiences.

With respect to practice, students are not permitted to miss classes, seminars, or labs to attend practice. Every effort is made to schedule practice at times which will not conflict with scheduled academic obligations. It is the University’s policy, as implemented by the Registrar in scheduling classes, precepts and laboratories, not to schedule academic commitments between 4:30 p.m. and 7:00 p.m. This helps reduce the possibility of conflicts between academic obligations and athletic practices and competitions, although informally scheduled academic activities do sometimes fall into this time period. Student-athletes are expected to notify professors if they will miss any course meeting due to a scheduled athletic contest prior to the date of the contest and are held responsible for any work missed because of participation in such a contest.

Princeton adheres closely to Ivy League policies which are intended to minimize the impact of athletic participation on academic performance, and which establish the general parameters governing the scheduling of intercollegiate contests. These policies include the following:

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.

The graduation rates (after at least six years from matriculation) for students entering Princeton in the fall of 1988, 1989, and 1990 (the Classes of 1992, 1993, and 1994) are presented below.
 
 

Graduation rates for Princeton undergraduates remain at a consistently high level with very little change over the past three reporting years. For each of the years reported, female student-athletes graduated at a higher rate than male student-athletes and at a slightly higher rate than the overall undergraduate population. In general, the graduation rate for student-athletes, male and female, is approximately the same as the entire student population. (See Appendix 17 for official NCAA graduation rates for the past three years and a copy of student-athlete degree-program information from the graduation-rates disclosure forms for the past recent three years.)
 
 

10. Describe the specific goal(s) that your institution has set for graduation of students generally and for graduation of student-athletes.

All students, including student-athletes, are admitted to Princeton with the expectation that they will complete the approved program of study and graduate in four years. While, as might be expected, some small number of students do not meet that expectation, the graduation rates for all students and for student-athletes are very high. We continue to make every effort to improve upon a very successful record of academic performance by student-athletes and non-athletes alike.
 
 

1. Given the responses to the self-study items, 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.

The Subcommittee on Academic Integrity and the Steering Committee are convinced that Princeton University is in substantial conformity with each of the operating principles of the self-study.
 

Operating Principle 1. 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.

Institutional and Ivy League policies dictate that the admission qualifications for student-athletes to Princeton should closely reflect the qualifications of all successful candidates for undergraduate admission. Student-athletes must meet all of the same academic requirements (number of courses required in each semester, distribution area requirements, requirements within the academic major, and standards of academic progress) as all students. All students receive their academic advising through the same university-wide advising system. Princeton does not provide separate housing or eating facilities for its student-athletes.
 

Operating Principle 2. Admissions 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 and approved policies.

The graduation rate of student-athletes at Princeton has consistently approximated (and, in some cases, exceeded) that of the student body as a whole. The institution's admissions policies for student-athletes are strictly regulated by Ivy League policies and are routinely evaluated by the appropriate University officials. The Department of Athletics has recently initiated a vigorous program to meet with faculty members in all of the major academic departments to discuss matters of mutual concern and to explore ways in which the academic performance of student-athletes can be further enhanced. Regular meetings are also held between coaches and other members of the Department of Athletics staff and the undergraduate deans and directors of studies to explore ways to identify and to provide immediate assistance to student-athletes who are experiencing academic difficulty.
 

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.

Princeton has a single undergraduate Admission Office that is solely responsible for the admission of all undergraduates. Certification of academic standing and evaluation of academic performance is conducted for all students at the end of each semester by the Office of the Dean of the College. The Committee on Examinations and Standing, chaired by the Dean of the College and consisting of faculty and administrators, is charged with the administration of all regulations which concern the scholastic standing of undergraduate students. It alone determines whether a student – athlete or non-athlete – has met the requirements for enrollment in particular academic programs, for promotion to a higher class, and for graduation. It also determines whether any student who is academically deficient shall be required to withdraw from the University and the circumstances under which such a student may be readmitted.
 

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.

Princeton offers its student-athletes the same academic support services which are available to all students. These services include: special summer courses to help prepare entering freshmen for the rigors of study at Princeton; the assignment of faculty advisers to small groups of freshmen and sophomores in the residential colleges; individual tutoring in courses in which a student is having difficulty; study halls designed to provide readily-accessible assistance in key math, science, and engineering courses; directors of studies in each of the residential colleges, the staffs of the Writing Center and the Center for Teaching and Learning, pre-medical and pre-law advisers; individual advisers for junior and senior independent work; departmental representatives in each academic department to assist in planning academic majors, and deans assigned to juniors and seniors.

All students are informed of these and other support services in a series of publications issued throughout a student's time at Princeton. The availability of these resources is a prominent feature of orientation presentations at the time of a student's entrance to Princeton and is frequently reinforced through readily-available publications, such as the daily student newspaper. Coaches are expected to remind members of their teams of these services and of the importance of making use of them on a timely basis.

The Director of Athletics continues to schedule meetings with the faculty in the larger academic departments to discuss scheduling issues, listen to faculty concerns, and further develop the sense that the department is genuinely concerned with the academic well-being of its student-athletes. In the past year the Department of Athletics began a "faculty team representatives" initiative which seeks to identify a faculty member for each team who will act as a representative to reinforce further the principle that the athletics program is an integral part of the educational enterprise of the institution and to provide easily accessible guidance on academic issues and to strengthen links between athletics and the academic side of the institution. Development of this program continues. (See Plan for Improvement A.)

In response to concerns expressed by the Department of Athletics that it did not always have timely information regarding academic problems involving student-athletes, there have been significant steps taken over the past several years to provide information to the coaching staff regarding the academic program in general and the academic performance of their student-athletes in particular. These steps include providing information to the Department of Athletics regarding student-athletes who are experiencing academic difficulty, and meetings with deans and directors of studies to discuss both general and specific concerns.

Academic support services are reviewed on a continuing basis by the Dean of the College, relevant faculty committees such as the Faculty Committee on the Course of Study, and the Faculty Committee on Examinations and Standing, and are the subject of periodic review by the Trustee Committee on Academic Affairs.

In addition, during the University’s 250^th Anniversary celebration in 1996-97 Princeton sponsored two colloquia to explore in an academic setting the role of sports in higher education. The colloquia brought together representatives from various parts of the University (faculty, administrators, students, student-athletes) to discuss issues related to the relationship between very high quality academic institutions and competitive athletics.
 

Operating Principle 5. Scheduling. The scheduling of athletics competitions and practices shall minimize conflicts between athletics participation and academic schedules, especially during examination periods.

The Department of Athletics schedules competitions under Ivy League rules which preclude contests during examination periods and which seek to minimize, through provisions cited earlier, conflict with scheduled classes, seminars, and labs. When participation in post-season NCAA tournaments has created unavoidable conflicts with League rules, the Department of Athletics has worked closely with the Office of the Dean of the College and the Registrar to arrange revised examination schedules that meet with faculty approval.

Members of the Subcommittee on Academic Integrity held focus groups with student-athletes as part of gathering information and to identify areas of concern. Students noted difficulty at times in avoiding conflicts between practice times and academic activities, and both faculty and coaches are aware of problems of these kinds. Such strains are not surprising in an environment that emphasizes the attainment of excellence in academic and non-academic undertakings, and it is likely that any cross section of students, asked whether they had missed a precept or class during a semester, would answer "yes" for a large variety of reasons. However, the concerns of student-athletes -- as well as of faculty and coaches -- in this respect require special institutional attention. Registrar-scheduled classes, precepts and laboratories (which account for over 90% of formal course work) follow the University regulation that prohibits scheduling these activities between 4:30 p.m. and 7:00 p.m. However, some coursework (make-up sessions, workshops, occasionally classes and seminars) is informally scheduled and can occur over the dinner hour or can overlap in other ways with athletic practice time. Similarly, changes in the academic calendars, such as proposed increases in the number of classes held on Friday, can impact athletics schedules. Conversely, unofficial early or informal practice, or exceptional event scheduling (such as championships or invitational tournaments) can adversely affect academic programs. Efforts to address such schedule tensions and conflicts are discussed in Plan for Improvement B below.
 
 

2. Given the previous responses, evaluate whether the activities of the athletics program are consistent with the mission and purpose of the institution.

The Subcommittee on Academic Integrity and the Steering Committee are convinced that the activities of the athletics program are consistent with the mission and purpose of the institution.
 
 

3. Where the institution concludes in its evaluation that it does not conform to one or more operating principles or that problems or deficiencies exist, 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.

 FISCAL INTEGRITY

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.

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.
 
 

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 previously regarding fiscal integrity, focusing on those implemented during the last three years.

An Office for Athletic Development, dedicated to fundraising, marketing and alumni affairs, was established as a separate group within the Athletics Department during the academic year 1997-98. Funds raised through this effort are subject to the same accounting rules and institutional policies as all other institutional funds.

Other organizational changes have taken place during the last three years that relate to these operating principles. Two new women’s varsity teams have been added (lightweight crew, water polo); coaching support for two other women’s teams (field hockey, lacrosse) has been significantly expanded. General University funds were added permanently to the Athletics budget to cover the entire incremental cost associated with these gender equity expansions. The University has designated three men’s sports as "self-funded varsities" (wrestling, water polo, volleyball), following a determination that these three men’s sports would only be offered at the varsity level to the extent that outside funds could be raised specifically for their support. (They are in this sense hybrids between Princeton's varsity and club programs.)

Over the past several years the Director of Athletics and his staff have worked closely with Friends Groups in sports that have both men’s and women’s teams, and that have separate Friends Groups for each gender, to bring the groups together. (See Appendix 13 for a list of Athletics Friends Groups.) This merging of Friends Groups will better facilitate gender equity and should result in stronger Friends Groups.

The Department of Athletics with assistance from the Director of Compensation of the Office of Human Resources reviewed in the spring of 1998 the compensation that coaches may receive for summer sports camps held on campus. The imposed limit on the amount of compensation instituted in 1981 compared unfavorably with the overall sports camp market and included no incentive for success. A new model has been created whose overall goal is to reconcile camp directors' compensation with broader University guidelines, while enhancing coach retention through a success-based formula that will allow coaches to achieve at Princeton compensation closer to what they would be able to achieve elsewhere.
 
 

2. Explain the institution’s philosophy with respect to the funding of the athletics program.

From its participation in the inauguration of collegiate football with Rutgers University in 1869, to its dominance of national lacrosse competition in recent years, Princeton’s academic excellence has been complemented by a strong commitment to excellence in athletics. The critical role of athletics in Princeton’s philosophy of education was recently vigorously re-affirmed by the Trustees of the University. In the 1993-94 academic year, the Trustees conducted a year-long study of athletics at the University. Their report clearly expresses Princeton’s philosophy for funding athletics; key points from that report may be summarized as follows. (See Appendix 9 for a copy of the Trustee report.)

Princeton is a University whose paramount commitment is to academic excellence and the academic and personal growth of its students – a commitment that it believes is supported by the University’s tradition of maintaining strong intercollegiate, club, and intramural athletics programs. Princeton is proud of that tradition and the success that has accompanied it over many years. Athletic programs at the University have repeatedly produced tangible individual and community benefits.

Because the Department of Athletics contributes importantly to Princeton’s central mission of education and personal growth, the University provides from its general resources the core funding for the athletic program. Except for a few specific operations (e.g. fee recreational courses, costs associated with outside groups renting sports facilities, several designated "self-funded varsities"), athletic departmental funding and programming is not tied to the revenues generated from sports activities. This is clear from a comparison over the three years covered by the self-study of total general funds expenditures ($7 to $7.5 million annually) versus athletics funds revenues (roughly $1.4 million each year).

Of course, Princeton encourages individuals to provide financial and other support to athletics, as it does for its other institutional priorities. For athletics, Friends Groups provide connections for alumni, parents and other friends that are of great value to the teams and to the University in a variety of ways, not all of them financial. As with all other gifts, financial support from Friends Groups is accepted with the understanding that control of the programs will remain within the regular University decision-making process.

In athletics, as in other areas, each potential gift is assessed in the context of overall University decisions about the size, nature, quality, and balance of the full range of University activities. Potential availability of funds may cause the University to entertain possibilities that otherwise would not be within its reach, but comprehensive programmatic assessments still take precedence. The receipt of endowment support by a department or program – again, whether an academic or athletic program—does not necessarily result in a commensurate increase in the total amount of resources available to that department or program. Whether contributed funds are used to allow program growth or to replace general University funds (which can then be reallocated to other needed purposes) depends on a set of judgments about the overall size of the particular department or program, the capacity of the University to sustain a larger program even with additional resources, and the desired balance of this particular activity in comparison with all others.

In short, the level of funding for the Department of Athletics is defined through the general budgetary processes of the administration and the Priorities Committee, with the University retaining full responsibility for determining which programs, and at what levels, it will offer and support at any given time.
 
 

3. Prepare a list of all revenue sources for intercollegiate athletics that are under the clear accounting and financial control of the institution.

The following are revenue sources that are treated as revenues for the University that are under the clear accounting and financial control of Princeton University.

• general university funds
• endowment income
• ticket sales
• performance guarantees
• broadcasting fees
• facility rentals
• NCAA sport sponsorship
• gift income (including Friends Groups)
• corporate sponsorship and promotions.

4. Prepare a list of all other sources (i.e., those not under the accounting and financial control of the institution) generating revenue on behalf of the institution’s intercollegiate athletics program, including outside foundations.

There are no sources of income not under the accounting and financial control of Princeton University.

There is a foundation created to provide support for Princeton rowing that maintains an outside checking account, and this account is under the accounting and financial control of Princeton University.
 
 

5. Describe the step-by-step process for the athletics 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 sources described in item no. 4.

Princeton has a unique process for developing the University’s annual operating budget. For more than 25 years, the Priorities Committee -- a group of faculty, students, and administrators -- has been charged with recommending to the President the annual operating budget. The President then presents the budget to the Board of Trustees.

The Priorities Committee process involves the presentation of a written report to the Committee by each head of a major unit of the University (e.g., the Deans, Vice Presidents, University Librarian) and the discussion of that report with the Committee. The Department of Athletics reports to the Committee through the Dean of Student Life. The Dean brings forward to the Committee reports from each of the major departments that report to her, offers clarification on important issues raised therein, and answers questions posed by the Committee members.

The material presented to the Priorities Committee includes an introductory description of the unit’s role and activities within the larger University community, an account (in terms of FTE’s) of the personnel carrying out those activities, a spreadsheet showing actual income and expenditures over a 3-year period, and an overview of the challenges and/or opportunities perceived for the particular unit over the next five years, together with any requests for budgetary adjustments. In recent years the Committee has been able to fund only a very small number of the requests each year, despite the perceived merit of many brought forward. Last year, among the very few requests for additional funding was an increase in the modest allocation made to club sports. A few budgetary adjustments are made outside of the Priorities Committee process, through the action of the Provost or another senior administrator. Typically, these occur when an expenditure is deemed to be both essential to the University and so pressing that it cannot be deferred.

In Princeton’s system, the budgetary process for Athletics as for the library or health services or facilities or any University department entails allocating central funds to meet perceived needs, within the constraint of the resources available to the University. The same budgetary process applies to each of the revenue sources listed in response to item no. 3. (See Appendix 18, the Department of Athletics report to the Priorities Committee for the 1997-98 academic year and Exhibit 4, the report of the Priorities Committee to the President from January 1998.)

See Appendices 19a (Princeton University Athletics Income Summary, FY 95-97) and 19b (Princeton University Athletics Expense Summary, FY 95-97) attached.

Each year the Treasurer, in consultation with the University Controller, recommends to the Audit Committee of the Board of Trustees a firm to conduct the annual audit of the University’s books and related areas requiring independent auditing (including the audit of NCAA requirements as denoted in its bylaws). The Audit Committee, in turn, recommends the independent accounting firm to the full Board. For the years covered by this review, Deloitte & Touche, one of the nation’s major auditing firms with extensive experience in higher education, has been appointed by the Board of Trustees.

There were no audit findings with respect to Athletics in the audits covering the last three years audited. The audits for the years ending June 30, 1995, and June 30, 1996 noted that one Friends Group, namely the Princeton University Rowing Association, maintained an independent checking account, and concluded that the University had control over the account in conformity with NCAA rules. Management summaries of external audits for the past three years are included as Appendices 20a-c.
 
 

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.

University policies for purchasing, accounts receivable/payable and travel are administered through the dual control of the athletic business office and the respective University departments with responsibility for implementation of these policies. All expenditures require the approval and signature of the Athletic Department’s Senior Associate Director for Finance and Administration.

Decisions regarding the expenditure or allocation of funds raised by Friends Groups are made in close cooperation with one or more officers of the University who are responsible for the activity in question and such expenditures must be authorized by the signature of the relevant University officer and be in compliance with all University policies and procedures.

Athletics staff positions are primarily supported by University general funds and accordingly are subject to the same set of budget procedures described in Item 2. Requests to expand athletics staff compete with and are balanced against other University needs such as salary pools, academic programs, and support for student aid and student services. Essentially all the growth in women’s sports through the 1970’s and 1980’s occurred through this process. A new position may not be posted by Human Resources without confirmation from the Finance Office, Provost or Vice President for Finance and Administration that funds have been approved for the position.

Occasionally, a position may be approved with the understanding that it will be funded over time through revenues dedicated to the activity it supports. The newly created Athletic Department development position described earlier is one such example; others are an intern position within the Office of Athletics Communications, and coaching positions for three specifically designated "self-funded varsities". In such cases the availability of funds in and by itself is never a sufficient criterion for creating a position. Each position must be justified based on identified program objectives and must be approved at the vice presidential level.
 
 

7. Describe the institutional procedures that are in place to address any deficit in the intercollegiate athletics budget incurred during any fiscal year(s).

Deficits are typically identified and dealt with in the following ways:

Princeton University has established policies related to conflict of interest, property rights, and procurement regulations. To avoid a conflict of interest, or the appearance of a conflict of interest, employees of Princeton University may not execute purchasing agreements or other types of contracts from which they may personally benefit. Executing agreements which benefit members of their family, household or others with whom there is a personal relationship is also precluded. It is expected that employees who stand to gain either personally or indirectly from a particular contract or agreement will identify their circumstances to their supervisor so that alternate arrangements can be made for the management of the contract.

Employees may not solicit or accept gifts of $25 or more or any other form of gratuity from vendors or contractors or potential vendors or contractors.

In addition, those employees who negotiate contracts or have the authority to verify satisfactory completion of contract work must comply with the Anti-Kickback Act of 1986. That legislation is designed both to deter subcontractors from making payments to contractors and to deter contractors from obtaining payments improperly.

Accordingly, employees who are in a position to authorize contracts, make commitments or purchasing decisions in excess of $1,000 per transaction, or verify satisfactory performance of contractual work, must acknowledge their understanding of this policy by completing, on an annual basis, the attached "Purchasing and Contracts Agreements Form." (See Appendix 21.)

Employees who have purchasing and contract authority as described in the paragraph above, and who also consult and/or have an outside business must also review and sign "Consulting/Outside Activities Annual Disclosure Form." (See Appendix 22.) Each year, supervisors must identify employees who need to review this policy and sign the "Purchasing and Contracts Agreement Form." The supervisor must review this signed form and retain it in the department’s file.

Additionally, University policies deal with consulting and other outside activities applicable to administrative and support staff, including athletic department staff members. These policies address conditions for economic gain as the result of University affiliation or the use of institutional facilities.

Personal or outside business relationships that may affect one’s decision-making and/or have the potential for dividing loyalty must be reviewed with the employee’s supervisor. For example, disclosure is required when an employee has an ownership interest in or is receiving a second income from a company whose product or service is used by the University and the use of this product or service can be directly or indirectly influenced by the employee’s responsibilities at Princeton.

Employees with outside consulting activities may request from their supervisor a paid consulting leave of one day per month. Consulting leave which exceeds one day per month must be approved by the Vice President of Human Resources on the recommendation of the supervisor.

Princeton has addressed issues related to the consistency of athletics department staff compensation with the guidelines and regulations that govern compensation of other University personnel. All salaries are set by the Department of Human Resources. Salaries are based on common guidelines and methodologies for similar positions across the University. When there are no similar positions (e.g., coaching positions) Human Resources uses various other methodologies, including survey tools and a classification and pay delivery system which ensures consistency between and among coaching salaries. Coaches’ outside compensation, including compensation for non-University camps and clinics and for shoe/apparel/equipment contracts must receive annual approval from the President in accordance with NCAA regulations.

Coaches may participate in summer sports camps held on campus, and University regulations applying to these camps have been recently revised to introduce incentive-based compensation, and to bring total permissible compensation more in line with sports camps elsewhere. Like all events sponsored on campus by outside organizations, the summer sports camps are overseen by the Office of Visitors and Conference Services.
 
 

11. Describe the policies and standard operating procedures that help to ensure that all expenditures for athletics are handled in accordance with NCAA rules.

Princeton ensures that all expenditures for athletics are handled in accordance with NCAA rules by requiring the signature of the Senior Associate Director of Athletics for Finance and Administration. As part of the institution’s ongoing rules education efforts this individual is kept current on the appropriate application of NCAA regulations. Questions that arise related to specific expenditures are reviewed with the University compliance officer.
 
 

1. Given the responses to the self-study items, 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.

The Subcommittee on Fiscal Integrity and the Steering Committee are convinced that the activities of the athletics program are in substantial conformity with each of the operating principles set forth in this section. Specific information for each operating principle is given below.
 
 

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 on Fiscal Integrity and the Steering Committee are convinced that Princeton is in conformity with the operating principle concerning financial controls. The level of funding allocated to the department is defined through the general budgetary processes of the administration and the Priorities Committee, with the University retaining full responsibility for determining which programs it will offer and support at any given time. The University’s external auditors, who are recommended by the Treasurer and approved by the Trustee Audit Committee and the full Board of Trustees, review the department’s management and accounting procedures and results on a regular basis.

Despite confidence in the fiscal control exercised over Friends Groups, as part of the on-going communication with and education of leadership of Friends Groups, the Department of Athletics and the Subcommittee suggested that certain activities related to the Groups’ fundraising efforts would benefit from greater standardization, and this suggestion is described in the Plan for Improvement that closes this section of the report.
 
 

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.

The Subcommittee on Fiscal Integrity and the Steering Committee conclude that Princeton has in place policies and standard operating procedures that ensure that all expenditures for athletics are handled consistently in accordance with NCAA rules. In particular, the department requires the signature of the Senior Associate Director of Athletics for Finance and Administration to authorize all expenditures. As part of the institution’s ongoing rules education efforts this individual is kept current on the appropriate application of NCAA regulations. Questions that arise related to specific expenditures are reviewed with the compliance officer.

2. Given the responses above, evaluate whether the activities of the athletics program are consistent with the mission and purpose of the institution.

The Subcommittee on Fiscal Integrity and the Steering Committee are convinced that the activities of the athletics program are consistent with the mission and purpose of the institution. The review of athletics conducted in 1993-94 by the Trustee Committee on Student Life, Health and Athletics and the ongoing review by that Committee of the athletic program have provided assurance at the highest level that the activities of the athletics program are consistent with the mission and purpose of the institution.
 
 

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.

COMMITMENT TO EQUITY

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.
 
 

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.

Operating Principle 3 (Student-Athlete Welfare Issues). 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.
 
 

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.

In the context of the University’s 1993 restructuring of the areas impacting student life to ensure integration of athletics into the larger mission of the University, Janina Montero was named Princeton’s first dean of student life, with oversight responsibility for all of undergraduate residential life, including athletics, health services, religious life, and extracurricular activities, as well as matters relating to conduct and discipline of undergraduates. Dean Montero serves as secretary of the Student Life, Health and Athletics Committee of the Princeton University Board of Trustees, which undertook a year-long, in-depth, comprehensive study of athletics at Princeton and a thorough review of the department in 1993.

The Committee’s report issued in 1994 (see Appendix 9) is an affirmation of Princeton’s commitment to intercollegiate athletics, to the welfare of student-athletes, and to equal opportunity. In addition, as noted in the Governance and Rules Compliance Subcommittee Report, this Trustee committee report sets forth the mission and goals of the University’s athletics program which have been incorporated into a formal mission statement (see Appendix 12).

Gary Walters (Princeton University ‘67) was appointed Director of Athletics in June 1994. Mr. Walters was specifically charged with ensuring a balanced athletics program consistent with the University’s commitment to educational excellence and with encouraging sound and fruitful relationships between the academic and nonacademic dimensions of student life. The categories of "gender equity," "minority opportunity," and "student-athlete welfare" identified by this NCAA self-study fairly describe primary areas of focus which, together with a healthy and balanced commitment to competitive success, have guided Mr. Walters’ efforts in connection with the University’s intercollegiate programs.

B. Major changes in policy and organization regarding gender equity

Students

Princeton is committed to fair and equitable treatment of men and women in all areas, including intercollegiate athletics. The University first admitted women as undergraduates in 1969. The percentage of women in the student body increased substantially after the trustees adopted a policy of equal access in 1974 and stood at 46 percent in 1997. Since 1969, when six women’s sports were established, the University has continued to add programs to accommodate the interests and abilities of female undergraduates. The progression of the number of women’s varsity sports offered by the University is as follows: 1971 – 6; 1973 – 7; 1977 – 8; 1978 – 11; 1979 – 12; 1980 – 13; 1982 – 14; 1988 – 15; 1991 – 16; 1996 – 17; 1997 – 18. The most recent women’s varsity sports at Princeton are:

• Fencing (upgraded from a club sport in 1988)
• Golf (upgraded from a club sport in 1991)
• Water polo (upgraded from a club sport in 1996)
• Lightweight crew (added as a varsity women's sport in 1997).

The recent success of Princeton’s women’s teams testifies to the growth over the past decade of opportunities for women to participate successfully in varsity intercollegiate athletics at Princeton. In 1994-95 Princeton women’s teams won five Ivy League championships, and women’s crew captured the National Championship title. In 1995-96, Princeton women claimed four Ivy League championships. In 1996-97 Princeton captured five Ivy League women’s championships. In 1997-98 Princeton women’s teams again won five Ivy championships, and the women’s squash team was the national champion. Since 1992, when the women’s lacrosse team won its first NCAA national championship, it has continued to be a contender each year. And 1996 saw Princeton’s softball team set a then NCAA record of 37 consecutive victories. During 1997-98, the women’s teams had an overall win-loss percentage of 71%, as compared to 69% for the men’s teams.

Recent additions and renovations to Princeton’s facilities (originally designed for an all-male student body) have enhanced the quality of women's intercollegiate athletic opportunities at the University. By way of example, during the last three years the following projects have been undertaken:

• Construction of an annex to Caldwell Field House began in late 1997. It will provide 12 new locker rooms that will specifically address the needs of women athletes and at the same time will alleviate overcrowded conditions. In addition, the renovations will include a state-of-the art athletic training room and new medical services facilities.

• The Class of 1952 Stadium, completed in 1996, is an artificial turf surface with stadium seating for 4,000 and lights for evening play. This facility is the primary competitive facility for field hockey and men’s lacrosse. It is also the inclement-weather site for women’s lacrosse games. In addition to the intercollegiate programs that use the facility, it is scheduled for use by various men and women’s intramural competitions.

• In the context of planning for the 1997 addition of a lightweight women’s crew program the University assessed its boathouse facilities. In the early fall of 1997, an architectural firm was retained and plans drawn up to renovate the current structure and build an addition. This multimillion-dollar project should be completed in the spring of 2000. (In the summer of 1997, as a temporary step to ensure proper locker room facilities for women rowers that would be large enough to accommodate the new women’s lightweight program, the University spent in excess of $100,000 to renovate the existing women’s locker room.)

• Palmer Stadium was demolished in 1997 and a new multipurpose facility, the Princeton Stadium, has been constructed. When it opens in September 1998, it will be home to the football team and the women’s lacrosse team, and it will host as well occasional men and women’s soccer and men’s lacrosse games.

• Adjacent to Princeton Stadium is Weaver Stadium, a state-of-the-art track-and-field facility with permanent seating for 2,500, which opened in the spring of 1998. It accommodates both the men’s and women’s track programs.

• Appropriate weight equipment has been purchased to train adequately and meet the needs of female athletes. The purchase was made following recommendation of a committee of male and female coaches.

• Extensive renovation of Princeton's squash courts in Jadwin Gymnasium was completed in early 1998, creating international-sized courts for the women’s and men's teams.

• The Dillon Gymnasium squash courts were converted to international standards in 1996, affording Princeton intercollegiate squash players the opportunity to practice and compete in, at the time, the best collegiate squash facility in the country. (Since the completed renovation of the Jadwin squash courts, the Dillon courts are now used primarily for recreation by students, faculty, staff, and the community.)

The University’s support of undergraduate women’s participation in intercollegiate athletics and the recent enhancements to facilities have had a positive impact on coaches of Princeton’s women’s athletic teams as well as students. In addition, during the last three years several other developments have had a direct and positive influence on coaches of the women’s intercollegiate programs. These include the following:
 

• In April 1995 Princeton undertook a comprehensive review of salaries for coaches of men's and women's intercollegiate varsity teams. At the same time, the University enacted a new compensation system for coaches that takes into account a broad range of factors in establishing salaries and addressing the programmatic growth of women's athletics. After applying the system the University increased the salaries of 13 coaches, predominantly of women’s teams – seven women and six men – retroactive to July 1994. The system has since been applied consistently in all compensation matters involving current and newly hired coaches. (It was found that the former compensation system had a negative effect on the salaries of the coaches of women's sports, both women and men, because it did not keep pace with the programmatic evolution and development of women's athletics.)

• Coaching support for two women’s teams (field hockey and lacrosse) was expanded beginning in 1996-97, with general University funds being permanently added to the Athletics budget to cover the incremental cost. This change resulted from eliminating a second coaching assignment for the head women’s field hockey and head women’s lacrosse coaches.

• The University added a half-time first assistant coach for women’s ice hockey to support the full-time head coach. As soon as the NCAA sponsors a national championship for women’s ice hockey, the University is committed to adjusting the first assistant to full-time status and adding a second assistant at half-time. At that point, both the men’s and women’s ice hockey programs will have the same level of coaching support and NCAA competitive opportunities.

• Women coaches have been asked to serve on committees addressing facility issues so that processes, policies, and initiatives are developed with an accurate and broad understanding of the particular concerns that female coaches and players may have regarding locker-room and office space allocation, weight room issues, field-use issues, and, most recently, the addition to the boathouse. The ongoing facilities expansions have incorporated particular suggestions of the coaches of women’s programs. These include additional space for coaches locker rooms and offices. For example, in the fall of 1997, the renovation of the Dillon Tower in Dillon Gymnasium was completed to provide additional space for coaches’ offices. All sports, with the exception of the crew programs, have their own office space.

Finally, one specific new hire should be mentioned and that is the appointment in spring of 1998 of Dr. Lauren Costello as the University’s Director of Athletic Medicine. Dr. Costello is not only the first woman to hold this position at Princeton, but also the first woman to hold such a position in the Ivy League.
 
 

C. Major changes in policy and organization regarding minority issues

Students

Princeton strives to assure that student-athletes are representative of the student body as a whole. A new financial aid program available to all Princeton undergraduates seems likely to become the most important overall policy change during the last three years with respect to minority enrollment at the University. Last winter the Trustees of the University approved an enhanced undergraduate financial aid program that converts loans to grants for students from families with incomes below or near the national average and reduces required parental contributions for low- and middle-income families. Although the program was announced at the very end of the admission cycle for 1998, there is evidence that this new program has contributed to a higher matriculation rate for minority students this year than in the recent several years. In addition, outreach to admitted minority students has been expanded and includes personal calls from faculty and coaches to answer questions and to provide information about the University with the goal of attracting more minority students (including more minority student-athletes) to the University.
 

Coaches and Other Staff

The University generally, and the Department of Athletics specifically, are committed to providing equitable opportunities for minority applicants in employment when positions become available for staffing. Since the arrival of Director of Athletics Gary Walters in 1994, the department has initiated vigorous and aggressive steps to increase minority representation among administrative and support staff and coaches. These steps include the creation in 1995 of a Department of Athletics affirmative action plan for coaching positions, and the department’s active participation in the 1997 University-wide recruiting and hiring initiative (noted in subparagraph B above) directed to three hundred senior-level administrative positions, including head coaches. Since 1995, these initiatives on the part of the department have contributed to the hiring of a head coach, nine assistant coaches, and three interns from diverse ethnic or racial backgrounds.
 
 

D. Major changes in policy and organization regarding student-athlete welfare

Student-athlete welfare is of primary importance to the Department of Athletics at Princeton. This is reflected, in part, by the 1993 administrative restructuring (mentioned above) whereby the Dean of Student Life position was created, with oversight responsibilities for not only athletics, but also for undergraduate residential life, health services, religious life, and other extracurricular activities. Among other goals, this reorganization was intended to ensure the continued integration of a successful athletics program into the larger mission of the University.

In reviewing student-athlete welfare issues, the subcommittee identified these areas where recent change has occurred as warranting special mention:

• Student-Athlete Orientation. Since 1995, the Department of Athletics has presented a special orientation for new student-athletes, to supplement the extensive orientation programs available to all students. The Director of Athletics and the Dean of Student Life greet the students, and then a senior faculty member or administrator delivers the keynote address, which is followed by a panel discussion on academics and athletics. Panelists include an academic dean, a faculty member, a coach, and two senior athletes. Roundtable discussions provide an opportunity for new student-athletes to meet with upper class athletes and to raise any questions or concerns they might have.

• Handbook. For the past three years, each student-athlete has received a copy of the Student-Athlete Handbook. The handbook is revised annually and is an "operating manual" for student-athletes. Its range of topics includes academic issues, department policies on alcohol, expectations regarding behavior while representing Princeton, coach conflict resolution policies and procedures. A copy of the most recent Handbook is included as Appendix 23.

• The Campus Center. Currently students who contract with the University for dining services can eat in a dining hall until 7:45 p.m. on weekdays from September through the end of the fall sports season, or they can use the "late show" option at the Chancellor Green Student Center. This option is available throughout the academic year, Mondays through Thursday, from 8-10 p.m. (Upper class students who belong to an eating club often have more limited dining hours.) As discussed in the Evaluation and Plan for Improvement, below, the construction of the Frist Campus Center offers new substantive opportunities for improvement in the dining program. In addition, the Center is intended to address the social and recreational needs of the campus by fostering a sense of community for the University (students, faculty, staff, alumni, and visitors), offering opportunities for individuals to meet and interact informally, encouraging campus groups to reach out to each other and to engage together in activities, creating opportunities to bring together various student groups to interact among members of the community outside their own groups, and providing a programmatic locus that complements other institutional and community objectives. The Center is expected to open in the year 2000.

• Alcohol Advisory Group/Trustees’ Subcommittee. As part of the ongoing assessment of alcohol use on campus, an alcohol advisory group, which included members of the Athletics Department, issued a report in 1995, which was widely distributed and discussed on campus and in the Board of Trustees. Princeton’s findings then were comparable to findings on other campuses. In 1996-97, an ad hoc subcommittee of the Student Life, Health and Athletics Committee of the Board of Trustees was created to study further alcohol use and abuse on campus. The subcommittee, chaired by Dr. Marsha Levy-Warren (Princeton Class of ‘73 and Trustee of the University), met with various campus constituencies, including varsity coaches and members of athletic teams. The Board of Trustees issued a statement to the community in May 1998 outlining the work of the subcommittee as well as the next steps of the initiative, which will be directly monitored by the Student Life, Health and Athletics Committee of the Board. (See Appendix 24 for a copy of the Trustee statement.)

E. Institutional organization to further efforts in and to assure continuance of gender, minority, and other student welfare initiatives and oversight

The institution’s concern regarding gender and minority issues begins with the Trustees and the President, and Princeton’s commitment to nondiscrimination is described in a statement that appears in all University publications. (See Appendix 25.) In addition, the University’s equal opportunity policy states that "the President and Provost are responsible for overseeing the implementation of this equal opportunity policy and the affirmative action plan. The Associate Provost is responsible for monitoring University practices and procedures to ensure compliance with our policy and federal, state and local laws and regulations…." (See Appendix 26.) The President in his 1993 strategic planning report, Princeton University: Continuing to Look Ahead, reaffirmed the institution’s commitment to diversity and community. Six months later, the President issued a Statement on Diversity and Community which articulates the University’s aspiration "…to enable all members of this community to pursue their educational, scholarly, and career interests in an environment that recognizes both the distinctiveness of each person’s experience and the common humanity that unites us all, and permits us to take full educational advantage of the variety of talents, backgrounds, and perspectives of those who live and work here." (See Appendix 27.) The statement emphasizes that "we are unwavering in our commitment to both diversity and community in the context of academic excellence," while acknowledging "the difficulties inherent in creating a community of individuals who are different from each other." In October 1995 the President distributed widely throughout the University an essay on affirmative action that addresses in particular the University’s continuing commitment to educate talented students from the broadest range of backgrounds and experiences. In 1997 President Shapiro established the University-wide recruiting and hiring initiative described above, directed at the most senior administrative levels.

The University’s efforts to assure a diverse student body are led by the Dean of Admission. The University is committed on a continuing basis to attracting qualified minority applicants to Princeton and to convincing those who are admitted to attend Princeton.

Specific organizational changes and the direct involvement of Princeton’s Board of Trustees, through its Student Life, Health and Athletics Committee, in the oversight of the program of athletics were described earlier at the start of this report. Within the Department of Athletics the senior administrators are responsible for addressing issues, as they arise or become known, concerning gender and ethnic equity, as well as other issues that have an impact on student-athlete welfare. Two University-wide offices – the University Ombuds Office and the Sexual Harassment and Assault Advising Resources and Education (SHARE) – also have special responsibility for preparing special programs to prevent, address, and educate the University community about sexual and ethnic harassment.

With respect to recruitment and hiring, the Department of Athletics follows equal opportunity and affirmative action policies and procedures established by the University for all staff vacancies. These policies and procedures, summarized in a Staff Affirmative Action Officers Training Program manual, include the appointment of a senior officer of each academic and administrative unit of the University to monitor the recruitment and selection process for all staff positions (in addition to the "special effort search" policy noted in subparagraph B above), so as to ensure compliance with the University’s equal opportunity, affirmative action and human resource policies and procedures. Since 1994, Gary Walters has served as the Department of Athletics’ compliance officer.

During the course of this NCAA self-study, the equity subcommittee has confirmed the existence and usefulness of vehicles for monitoring and evaluating matters concerning gender equity and minority issues, as well as student-athlete welfare. At the most fundamental level, of course, are the informal channels for feedback that arise out of the daily and often intense interactions among student-athletes, coaches, athletics staff, and faculty. In addition, more formal methods of monitoring and evaluating these issues include (a) resources for all of the community (such as the Ombuds and SHARE Offices and Counseling Center, the Council of the Princeton University Community, and the Standing Committee on the Status of Women), (b) resources for all students (such as the Faculty Undergraduate Life Committee), and (c) feedback mechanisms established specifically for athletics (such as the Student-Athlete Advisory Committee, athlete exit surveys, the faculty Policy Committee on Athletics and Physical Education, and the Director of Athletics’ monthly coaches meetings).
 
 

F. Use of focus groups by the Equity Subcommittee

This self-study presented the University with a unique opportunity for an additional assessment of gender and ethnic equity, as well as student-athlete welfare. The Equity Subcommittee initiated focus group discussions in order to provide a fuller context for its analysis. The University’s Survey Research Center, which is a part of the University’s Woodrow Wilson School of Public and International Affairs assisted in establishing these focus groups and training the discussion leaders. A total of eight group discussions were held: women coaches, male coaches, minority coaches, women student-athletes, male student-athletes, minority student-athletes, administrative office support staff, and other departmental staff. The information from these focus groups complemented the statistical information collected as part of the self-study.

Minutes of the focus group discussions were prepared and are available for review by the Review Team. In most respects, the discussions confirmed information already gathered by the Equity Subcommittee from other sources. However, they proved to be valuable to the Subcommittee in its review of specific issues or areas, and in some respects guided the Subcommittee in its evaluation of the athletics program’s conformity with the operating principles and the institution’s specific plans for improvement.

G. Responses to self-study item nos. 1-A through 1-D

Responses to self-study item numbers 1-A through 1-D are included as Attachments 3A through 4J to this report. Note that the "base salary" and "combined salary" information for head and assistant coaches, requested in item number 1-D, is contained only in the copies sent to the NCAA’s Certification Committee and will be provided to the Review Team members when they arrive on campus. This information has been redacted from all other copies since the University considers individual salary information regarding its employees to be highly confidential, and the University is not subject to public reporting requirements regarding such salaries, except in limited circumstances not applicable to any coaches. (The redaction includes the combined salary of assistant coaches since the numbers of assistant coaches in each sport is small enough that in most cases an individual’s salary can be determined from this information.)

For purposes of this self-study, item numbers 1-A through 1-D proved most useful as a vehicle for stimulating discussion and consideration of a statistical under-representation of minorities among

2. Describe the institution's educational enhancement programs (i.e., 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.

The following is a selected list of support offices available to all students at Princeton University, including all student-athletes.

Specific educational enhancement programs available to student-athletes at Princeton include the following:

Career Guidance and Counseling

Princeton offers students a host of opportunities for career guidance and counseling on a number of different levels, formal and informal. Panel discussions, speakers, etc., offer students opportunities to ponder traditional and non-traditional careers. For example, the Women’s Center hosts alumnae speakers on career options for women. Princeton’s Alumni Council recently sponsored programs on Race and the Law, Race and Medicine, Race and Wall Street, which focused both on career planning and on policy issues. Alumni also sponsor community-service projects and internships in their home towns for students interested in careers in the not-for-profit sector. The primary sources of regular administrative support services offered to students in connection with career planning are the following:

• Career Services Office. The Career Services Office provides individual and group career counseling and testing, maintains an extensive library of career planning and placement guides, and offers summer job-hunting programs and a worldwide Alumni Careers Network for advice and work experience opportunities. For students considering business school, Career Services provides advising sessions by appointment. Students considering law school are encouraged to attend a pre-law orientation workshop, held each semester, law school information meetings, and student panels. The pre-law adviser also provides one-on-one counseling.

• Office of Health Professions Advising. This office provides comprehensive support to undergraduates, graduate students and alumni who are considering careers in the medical professions.

• Office of Teacher Preparation and Placement. This office advises students interested in careers in elementary and high school teaching and places students in local schools for practical classroom experience.

• Counseling Center Services. The Counseling Center is a part of Princeton University Health Services, and is located at the McCosh Health Center. It provides professional counseling services for all Princeton students. Individual counseling sessions are available, up to ten per year, with referrals to community resources if necessary. The Counseling Center’s extensive group counseling programs covers a range of topics and needs. This year’s group offerings include: Image and Identity for Students of Color, Eating Disorders Recovery Group, Adult Children of Alcoholics, Coming Out, Bereavement Group, Food and Body, and Chronic Illness Group.

• Eating Disorders Team. The Eating Disorders Team is an interdisciplinary team within Health Services, made up of three psychotherapists, a physician, a nurse-practitioner, the University dietician, and an athletic trainer. The Team provides confidential medical and psychological evaluation, medical monitoring and short-term individual psychotherapy, nutrition counseling, exercise consultation, group therapy for those in recovery, and referral to private therapists when needed. The Team is also available to consult with coaches, deans, residential college staff, faculty, parents, and friends of students with eating disorders. The Eating Disorders Team is also involved in outreach and educational activities on campus, and Team members supervise the Eating Concerns Peer Educators, who are available to make presentations and lead discussions on eating concerns for freshmen in the residential colleges and for other student groups.

• Athletics/Health Services Eating Disorders Initiative. In 1996-97, the Department of Athletics and University Health Services undertook a joint initiative regarding eating concerns. First, a Pennsylvania State University nutritionist came to campus and met with three separate groups, the Eating Disorders Team from the Counseling Center, student-athletes, and two associate directors of athletics. As a result of this initiative, a committee comprised of two coaches, an athletic trainer, members of the Counseling Center staff, the director of athletic medicine, and an associate director of athletics met over a period of three months and developed an eating concerns policy and protocol for getting student-athletes identified as possibly having an eating disorder into the evaluation process. This statement on eating concerns also outlines how to determine whether a student-athlete being treated for an eating disorder can continue to be part of a team. A second outcome of the Athletics/Health Services initiative is a meeting of members of the Eating Disorders Team and coaches, to be follow in spring by a meeting with student-athletes.

• Alcohol and Drug Team. The Alcohol and Drug Team includes four psychotherapists, a physician, a nurse practitioner, the SHARE (Sexual Harassment Assault Resources and Education) director, and the health educator. Team members offer assessment and referral for students with alcohol and drug concerns, while inpatient services sees students in acute episodes and will refer them to the hospital when necessary. All students who are admitted to McCosh Health Center for drug use or intoxication are required to meet with a member of the alcohol and drug team to discuss the incident. Students with alcohol-related injuries who seek treatment in the walk-in clinic are referred to the team by the clinician after evaluation and triage. The team provides short-term individual therapy. Students facing discipline for alcohol violations may be required by a dean to be evaluated by the team. The SAPEs (Student Alcohol Peer Educators) are supervised by the health educator, who is a member of the team.

• Sexual Harassment Assault Resources Education. The SHARE (Sexual Harassment Assault Resources Education) Office provides confidential counseling to students, staff, and faculty who have experienced sexual harassment, sexual assault, or harassment based on sexual orientation. The professional staff offer advice and support; they also conduct educational workshops on sexual harassment and assault for the University community. SHARE peer educators are available for information and referral and to lead discussion groups.

• Health Education Office. The Health Education Office organizes and sponsors educational training programs and services relating to personal and community health on campus. The office acts as liaison to student groups interested in health issues and directs established student peer groups involved in health promotion, such as Student Alcohol Peer Educators, Student Health Advisers, Student SECH (Sexual Education Counseling Health) advisers, Eating Concerns Advisers, and the Student Health Advisory Board. The director of health education also advises students interested in public health and other health careers.

The Office of the Associate Dean of Student Life provides general advising and counseling, including services to students with disabilities; addressing special needs of international students (including visas and immigration); assisting with lesbian, gay, bisexual concerns; and assisting student organizations. The assistant dean with responsibility for multicultural affairs provides additional support for minority students and for residential college staff, including the resident and minority affairs advisers. Members of the Office of the Dean of Religious Life and of the Chapel, which reports to the Office of the Dean of Student Life, are another resource for personal counseling. The Office oversees a wide range of religious activities, led by three full-time University-employed clergy and more than a half dozen additional denominationally employed clergy. Many student-athletes are active in these programs and organizations.
 

Academic Enhancement Programs

In keeping with its philosophy that athletics are extracurricular activities which must fit within the general framework of the student experience, Princeton does not offer academic enhancement programs geared specifically to student-athletes. Among the support or "enhancement" programs available to the student body as a whole, including student-athletes, are:

• Academic Advising. In addition to the directors of studies, who have primary responsibility for academic advising in the residential colleges, each college has a staff of faculty advisers and peer advisers, who provide academic guidance and counsel. Princeton has in 1997-98 implemented a pilot program that will lead to an enhanced advising system in the colleges with an increased number of faculty advisers, a separate set of faculty advisers for sophomores, a group of ten peer advisers per college, and expanded, more systematic term-time programming on academic issues. The academic departments provide much of the academic advising for juniors and seniors. Specially designated faculty members, known as departmental representatives, are available to discuss course selection, departmental requirements, and the assignment of junior and senior independent work advisers. Faculty work individually with juniors and seniors throughout the year to guide the major pieces of independent work which are the capstone of the undergraduate experience at Princeton.

• Writing Center. One-to-one assistance in planning, organizing, drafting, and revising course papers as well as junior projects and senior theses is available free of charge through the Writing Center. Staff members are experienced writers and teachers, trained to help students with writing in any discipline.

• Tutoring. Students in need of tutoring have access to a pool of qualified tutors, usually upper class students or graduate students who have been recommend by their departments. Tutors are paid by the University, and students are charged on a sliding scale, depending on financial aid status. Students may have up to fifteen hours of tutoring per term per subject.

• Summer Scholars Institute. Since 1995, the Summer Scholars Institute in Science and Engineering (SSI) has provided an intensive, seven-week program in mathematics, mathematical applications, and analytic reasoning for a selected group of talented, highly motivated students who are committed to pursuing studies in the natural sciences and engineering and whose success in these areas would be enhanced by more advanced preparation. The program offers two credit-bearing courses, one, a course in differential calculus; the other, a course in the social sciences (the topic varies from year to year) that emphasizes the development of clear arguments through expository writing and fulfills the University writing requirement. In addition, students participate in a series of non-credit workshops taught by Princeton faculty members that emphasize analytic reasoning and the application of numbers to problem solving in the sciences and engineering. The program enrolls about thirty entering freshmen. Participants are not charged for tuition (and students on financial aid have free room and board); in addition Princeton replaces fully the expected summer earnings for students on financial aid. Beginning in 1997, the University instituted formalized term-time programming for Summer Scholars that follows and builds on the summer's work. The Department of Athletics is notified each spring when a recruited athlete has been offered an invitation to participate in the Summer Scholars Institute. Coaches are informed of the invitation and are requested to speak with each athlete and to encourage participation in the program.

• New Summer Program with a Focus on Humanities and Social Sciences. Beginning in summer 1998, a previously noncredit program has been enhanced to provide a pre-freshman experience analogous to the Summer Scholars Institute for incoming students interested in the humanities and social sciences. The new Freshman Scholars Program in Humanities and Social Sciences (FSP) provides an intensive, seven-week program for a selected group of talented, highly motivated students who expect to pursue studies in the humanities or social sciences and who will profit from early course work and advanced preparation that will enable them to take the fullest advantage of the opportunities available to them in those fields at Princeton. The program offers two credit-bearing courses from the regular Princeton curriculum, one of them in the social sciences and the other in the humanities (the topics will vary from year to year). The humanities course emphasizes the development of clear arguments through expository writing and satisfies the University writing requirement. Students participate in a series of non-credit academic workshops taught by faculty members that complement the credit-bearing courses. FSP also enrolls about thirty entering freshmen. As in the Summer Scholars Institute there is no charge for tuition and room and board for students on financial aid, and expected summer earnings are replaced for students on financial aid.

• The Center for Teaching and Learning. A newly created Center for Teaching and Learning will bring improved coordination among the many resources available on campus to help students make the most of their potential, and learn new and improved learning skills. The Center is also a resource for faculty and graduate student assistants in instruction and laboratory assistants who wish to learn about and experiment with new teaching techniques.

3. Describe the institution's process for conducting the student-athlete exit interviews required by the 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.

Student-Athlete Exit Interviews

Beginning with the 1995-96 academic year, senior student-athletes (any student who during his/her four undergraduate years was cleared for eligibility) have been asked to respond to an extensive survey designed to elicit comprehensive information about the experience of student-athletes at Princeton. This survey was designed and is administered by the Department of Athletics, with the assistance of the University’s Psychology Department and the Survey Research Center within the University’s Woodrow Wilson School of Public and International Affairs. It has evolved each year, and topics covered include coach performance, competition, facilities, academic/athletics co-existence, social issues, and services of athletics’ and trainers and of physicians who assist student-athletes. (See Appendix 28.)

Other Avenues for Input

• Student-Athlete Advisory Committee. This committee was formed in 1995 with the purpose of promoting better communication between the administration and varsity athletes. Its central role is to identify and address issues that affect the welfare of student-athletes.

• Resources for Settlement of Student Grievances. The Student-Athlete Handbook clearly defines and outlines procedures for conflict resolution between a student-athlete and a coach. In addition, student-athletes at any time may make use of general University resources in the Ombuds Office, Counseling Center, Office of Religious Life, and the Office of the Dean of Student Life.

• Undergraduate Life Committees. The Undergraduate Life Committees (faculty and student committees) are concerned with fostering positive relationships among academic, residential, and social experiences of undergraduates. The committees review policies affecting residential and extracurricular life.

• Policy Committee on Athletics and Physical Education. The Policy Committee on Athletics and Physical Education is one of the faculty’s standing committees and advises the director of athletics concerning the conduct and direction of the program of intercollegiate athletics, physical education, and recreational health fitness.

• Council of the Princeton University Community. The Council of the Princeton University Community is a deliberative and consultative body with authority to consider and investigate any question of University policy and any general issue related to the welfare of the University, to make rules regarding the conduct of resident members of the University community, and to oversee the making and applying of rules to ensure that they protect the rights of individuals and the legitimate interests of the University.

• Ombuds Office. The Ombuds Officer monitors the implementation of the University’s racial and ethnic harassment guidelines and coordinates a network of advisers across the campus who are responsible for providing information and referrals to campus resources regarding racial and ethnic harassment. In addition, the Ombuds Officer provides expert advice to faculty, staff, and students regarding mediation, conflict resolution, and other issues related to campus climate.

The Office of Athletic Communication is staffed by an Associate Director of Athletics for Public Affairs who is responsible for all departmental communication requirements, an Assistant Director with primary responsibility for publications, three interns who provide sports information staffing for all 38 men’s and women’s varsity sports, and a part-time secretary. The office also provides on-site staffing for selected home and away contests. As the 1994 Trustee Report on Athletics noted, athletics is an integral part of the Princeton experience for many of our students, and for this reason it is important that the information be timely, accurate and fair.
 

The Office of Athletic Communication provides:

• Game-day programs
• Contest press releases
• Media guides
• Media relations
• Ivy league communication
• Scholarship and award clearinghouse.

Programs with on-site athletic communication staffing include:

Marketing, Promotions, Fundraising, and Friends Groups Support

In 1996, the Department of Athletics added the Office of Development and Promotion to its organizational structure. The office is staffed by the Associate Director and supported by a full-time assistant and an intern. The responsibilities of this office include development of support activities, promotions, and corporate outreach to provide funding for, and additional support to, all intercollegiate programs. The primary objective of these efforts is to increase information about athletic activities and encourage attendance at games and support of teams. Events are advertised on the Web page, through schedule cards placed throughout campus and at various local businesses, in the residential colleges and the eating clubs. Special events, such as Staff Day, for football games and other sports events, provide good introductions to the sports and encourage attendance. Students are admitted to all events free of charge, and the department works with student government to facilitate attendance at major varsity championships (for example, providing buses to away championships).

A significant responsibility of the office is to secure the support of Friends Groups. Funds raised by these groups help to support out-of-region competition and travel, end-of-season team banquets, acknowledgment of championships (rings etc), special team stationary, official recruit travel, and other needs of teams that are outside those supplied by the department. The Senior Associate Director for Finance and Administration carefully monitors expenses and is the "gatekeeper" who assures that spending is fair and equitable among men’s and women’s teams. The department has almost completed merging Friends Groups of men’s and women’s teams of the same sport. This goal will be achieved in 1999.

The Princeton Varsity Club was established in 1997 to provide a departmental fundraising arm to assist and provide a safety net to those programs without established Friends constituencies. The Office of Development and Promotion is responsible for the Varsity Club as well.
 

Training and Sports Medicine

It is Princeton’s intention that student-athletes receive high quality health care and appropriate education about prevention of injuries. Princeton’s sports medicine program is under the direction of the Director of University Health Services. The staff consists of a physician, who is the head of athletic medicine, two co-head trainers, and five assistant trainers. The growth in the number and the rise of Princeton’s intercollegiate programs over the years, the increase in the number of practices and contests, the lengthening of sports’ seasons, and the heightened level of specialization in each sport have posed a particular challenge in the allocation of trainer’s time. Decisions about the type of coverage by the athletic training staff are made by the Director of Athletic Medicine and evaluated by institutional medical standards established by Health Services.

These staff assignments are intended to be consistent with guidelines established in the "Ivy League Head Athletic Trainers Consensus Statement," which recognizes student-athletic safety, comparative injury rates of different sports, and gender equity as pertinent factors. In accordance with those principles, for the 1997-98 academic year Princeton’s athletic trainers were assigned to travel with eight men’s sports (football, track and field, soccer, basketball, ice hockey, lacrosse, lightweight football, and wrestling) and five women’s sports (field hockey, soccer, basketball, track and field, and lacrosse), while all other sports had trainers available to them for home contests.

Because of substantial staff turnover in the last two years as a result of retirements and departures for new professional opportunities, Training and Sports Medicine is undergoing a major reorganization. An extensive search was undertaken in the winter of 1997-98 to fill the vacancy left when the athletic medicine physician left the University to take another position. Dr. Lauren Costello, the newly hired Director of Athletic Medicine, comes to Princeton from a similar post at Ithaca College. The hiring of this new director has provided opportunities for reevaluation of practices and staffing to assure that access to care is fair and equitable, and that athletic training is better managed.
 

Strength and Conditioning

The Department of Athletics strength and conditioning program aims to provide student-athletes with the training necessary for them to excel in their chosen sport with health and safety as primary goals. The program is run by a full-time Coordinator of Health Fitness, Strength and Conditioning assisted by hourly workers and three interns. The Coordinator of Health Fitness reports directly to the Associate Director for Physical Education, Club Sports, and Intramurals. Hiring of the interns is coordinated through the Senior Associate Director for Athletic Programming.

Interns provide daily coverage of the varsity weight room and work directly with men and women athletes. Any varsity coach may call upon the strength coach or his interns to work with specific programs or athletes. The department has three satellite weight rooms that are part of a training and competitive facility (DeNunzio Pool, Baker Rink, and the boathouse).
 

Travel and Per Diem Allowances

In order to provide all Princeton teams on an equal basis with the appropriate meal and lodging per diems and arrangements for team travel, team travel budgets are reviewed annually by the Senior Associate Director for Finance and Administration. A department staff member makes all the travel and housing arrangements for all teams competing within the geographical confines designated as fully funded by the department (Washington, DC – Canada – western Pennsylvania). Those trips that are made outside of the designated boundary are supported by funds from Friends Groups and the coach makes all travel and housing arrangements. These trips must be reviewed by the scheduling administrator for the team to ensure that all University and departmental policies are followed. Per diem allowances are consistent for all funded varsity sports, except in those areas where particular competitions and/or guarantees require special arrangements. In those cases, the department assures that teams are treated equitably and, where necessary, makes appropriate adjustments.
 

Sports Equipment

In purchasing and distributing sports equipment, the department’s primary objective is to assure the safety of student-athletes. Team equipment and uniforms for all of the department’s funded varsity sports are supplied and maintained by the equipment manager and his staff. The equipment manager reports to the Senior Associate Director of Finance and Administration. They meet periodically on such issues as uniforms purchase rotation, budget matters, and equitable treatment of men’s and women’s teams. In addition, the Senior Associate Director for Finance and Administration meets annually with each head coach to determine what equipment and uniform needs a program may have in the upcoming year.
 

Focus group discussion with female student-athletes and with coaches of women’s sports did not reveal any significant inequities in the provision of uniforms or equipment. Despite this general satisfaction of coaches and student-athletes, the historical physical constraints of the equipment room within the University’s locker room facility, Caldwell Fieldhouse, have challenged the Department of Athletics to assure women’s team members equal access to and services by the equipment room staff. The locker room construction and renovation which is currently underway (discussed below) will greatly enhance the service capacity of the equipment room staff and ensure the highest level of service to all the intercollegiate athletes who use Caldwell Fieldhouse.
 

Facility Access and Scheduling

Princeton’s objective is to provide student-athletes with excellent facilities that are scheduled for practice and competition equitably between men’s and women’s sports on a priority basis: in-season teams have first priority, then pre-season practices, and finally out-of-season practices. Facilities are scheduled without regard to gender but rather through the in-season/out-of-season priority. Princeton has the advantage of superior training and competitive facilities that enable most programs to practice in the afternoon. (See earlier discussion of recent facilities improvements.) Since the University has only one ice rink, men’s and women’s ice hockey is the only program that must practice in consecutive order. The coaches agree upon a schedule based upon the competitive calendar, which teams plays at home next, the student’s academic schedules, and a fair balance of early and late practices. Coaches and facility managers develop the schedule with final review by the Senior Associate Director for Athletic Programming.
 
 

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.

The Equity Subcommittee and the Steering Committee are confident that Princeton is in substantial conformity with this operating principle. ..The University’s Equal Opportunity Policy and the Statement on Diversity and Community guide the department’s actions with respect to gender equity and its mission statement reasserts its commitment to this principle. At the same time, Princeton continues to monitor and, where required, to upgrade its athletic programs for women, to assure that the University is in the forefront of what the Association has described as "evolving standards" in this area.

Since co-education began, Princeton has consistently provided competitive opportunities, athletic facilities, quality coaching, competitive League and non-League scheduling, and recruiting support, to all of our women's varsity programs. The department has continued to add programs to meet the interest of women on campus and to create more opportunities for varsity competition. As noted earlier in this report, the addition of women’s programs has been consistent over the years. In each of the last two years, a varsity program for women has been added: water polo in 1997; lightweight crew in 1998. The department now sponsors 18 intercollegiate sports for women for more than 500 participants. During the 1997-98 academic year, 28.6% (1316 students) of the undergraduate student body (4600 students) participated in the varsity intercollegiate athletic program. Among women undergraduates 24.3% (521) and among male undergraduates 32.3% (795) participated in varsity intercollegiate competition, which is one of the highest participation percentages in Division I in the country.

The significant commitment to upgrading athletic facilities, also noted earlier in this report, further demonstrates the University's commitment to fair and equitable treatment for women and men. These facility improvements include squash court renovation, locker room renovation and additions, training room addition and renovation, coaches’ office expansion, a new astroturf stadium, a new state of the art track and field stadium, a state of the art grass field, an all purpose stadium with a 30,000 seat capacity, and additions and renovation to the boathouse.

Princeton's ongoing commitment to men's and women's athletics is monitored through regular departmental practices and issue-specific analyses and reviews, as needed. These processes include evaluation and discussions of staffing levels, competitive opportunities, facility access and quality, and all other components of intercollegiate athletic programming. All departmental decisions are based on the principle of fair and equitable treatment for all student-athletes, regardless of gender or sport.

The focus group discussions conducted by the Equity Subcommittee as a part of the self-study, in addition to the subcommittee review of annual student-athlete exit surveys and ongoing observations and discussions with coaches, confirmed that the department’s philosophy of fair and equitable treatment for all athletes and staff was indeed put into practice. Nonetheless, in support of the ongoing commitment of the department to gender equity, the Subcommittee has identified several areas that warrant continuing review and attention:

A. Medical support and access to athletic trainers
B. Access to training, equipment, and dedicated locker room facilities for men and women
C. Friends Groups
D.Orientation program for new coaches.

A. Medical Support and Access to Athletic Trainers

In preparation for a search following the departure of the Director of Athletic Medicine in the spring of 1997, the Director of Athletics and the Director of Health Services reviewed the requirements of the position with students and coaches. Their conclusion was that particular attention should be given to general medical support and improving access to training area and personnel and to the internal management structure of athletic training.

The hiring of a new Director of Athletic Medicine provided the opportunity for a critical review of the access to care and the internal management structure of athletic training. During the review, and also during focus groups held by the Equity Subcommittee, some women’s team coaches expressed the view that some men’s teams had more and better access to athletic trainers. The increase of women's programs, the larger number of both men and women athletes in the last few years, the expansion of the practice and competition season for virtually all sports, the specific needs of female athletes, and new athletic training staff – all of these reasons may contribute to such perceptions of uneven service or responsiveness among the athletic training staff. Under the direction of the new Director of Athletic Medicine, new models of administration and care are now being instituted to help address concerns. (See plan for improvement 1-A.)
 

B. Access to Training, Equipment, and Dedicated Locker Room Facilities for Men and Women

Caldwell Field House (which includes locker facilities, equipment room and an athletic training facility) was built in the 1960's, prior to co-education, as a football locker and training facility. In early 1970 Jadwin Gymnasium, which was to house all indoor sports for men, was completed. Following co-education and the advent of women's teams, Caldwell equipment and training areas had to be reassessed to accommodate both men's and women's varsity programs. This was a significant challenge because the facility was originally designed as a single male sport facility. In 1990, the facility was renovated better to accommodate female athletes and to provide better access to the athletic training area. With further programmatic additions, it became clear that, although recent renovations were intended to give women athletes improved access to the training room, the entire facility needed a more extensive renovation and expansion to provide adequate facilities for men and women athletes. The current renovation effort will include a major addition to the training room so that a greater number of athletes can be served at the same time, thus addressing the perception – and at times the practice – of inequitable access to trainers and training services. In addition, teams will have access to dedicated locker rooms, eliminating the current practice of housing men and women on the same floor, with corridors designated as "male" or "female" depending on the locker room assignment during each season. Moreover, the renovations because of the initial design of Caldwell Field House will make, access to the equipment area was not as as convenient for women as it has beenwas for men The renovations to this facility will also address this problem. (See plan for improvement 1-B.)
 

C. Friends Groups

As a part of an internal review in 1996, the department determined it was in the best interest of both the University and the athletic programs to merge all Friends Groups for men's and women's programs in the same sports. This change helps inform supporters of men’s sports about the accomplishments of women’s teams and helps assure equal levels of support. (See plan for improvement 1-C.)
 

D. Orientation Program fFor New Coaches

During the focus group meetings, it became evident that some newly hired coaches are not well informed about the development and implementation of departmental policies, procedures and practices. This is in good measure a communication issue, especially important for newly hired coaches. Effective communication is particularly important for a department that currently supports 38 varsity sports, with more than 100 coaches, with offices in four separate facilities around campus. While coaches do gather once a month with the athletic administration to review current issues and policies, newly hired coaches have not had the benefit of a separate structured orientation program to introduce them to departmental processes and important departmental or institutional policies. To provide the coaching staff – and therefore student-athletes – with a better understanding of the policies and procedures of the department and how these are established, the Subcommittee suggests that an orientation program specifically for new coaches be developed and that coaches’ monthly meetings include as appropriate discussion of changes in policies or practices. (See plan for improvement 1-D.)
 

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.

As stated in its Equal Opportunity Policy, Princeton University is committed to providing equitable opportunities for minority students, faculty and staff, and the Subcommittee and Steering Committee are convinced that Princeton is in substantial conformity with this operating principle. The department has embraced the University's commitment to diversity and support of educational, cultural and social opportunities for all members of the community. Focus groups conducted specifically for the self-study, as well as the review of the annual student-athlete exit surveys and discussions with departmental staff and coaches help assure that there is adequate information available for assessing the institution’s standing in the area of minority equity. This information confirmed the department’s strong commitment to providing a full range of programmatic and professional opportunities for minority students, staff and coaches.

The University’s Statement on Diversity and Community reaffirms the University’s ongoing commitment. The 1995 Department of Athletics’ affirmative action plan and the 1997 University-wide initiative to increase women and minority representation in the most senior staff positions provide further impetus for commitment to these goals. Various standing committees, including the Faculty Policy Committee on Athletics, the Student-Athlete Advisory Committee, the Faculty Undergraduate Life Committee help assure that equal opportunity for minority staff remains central to the department’s mission. As stated in Princeton’s nondiscrimination statement, the President and the Provost have responsibility for assuring the University’s continued commitment to these principles and the associate provost oversees their implementation.

In the course of the Self-Study the Equity Subcommittee confirmed that minority student-athletes, coaches, and staff do not feel they are victims of discriminatory practices at Princeton. Nevertheless, individual coaches and staff expressed concern regarding the relatively low participation levels of minority student-athletes on Princeton’s intercollegiate teams, and the desire for more minority coaches. The Subcommittee further reviewed statistical information that underscored the importance of continuing to improve the diversity of the candidate pools. The Ssubcommittee recognized that it is important for the department to work within the existing framework of University initiatives and to complement institutional efforts with departmental efforts. In support of ongoing departmental initiatives, the Subcommittee identified the following areas where improvements can be made to enhance the potential for long-term increases in the percentage of minority student-athletes, coaches and staff:

A. Minority representation in candidate pools for coaches and senior administrative positions
B. Intradepartmental communication with minority coaches
C. Minority student-athletes’ experiences throughout the admission process
D. Departmental communication with minority student-athletes
E. Coaches’ awareness of campus opportunities for minority students

A. Minority Representation in Candidate Pools for Coaches and Senior Administrative Positions

The ddepartment and the University are fully committed to providing access to and opportunities for minority coaches and other athletics staff. However, statistically, minorities have been underrepresented in most segments of the department's workforce. The department has made steady improvements in the number of minority coaches hired since the arrival of the new Director of Aathletics, Gary Walters, who has made this issue a departmental priority, and Princeton leads the Ivy League in the hiring of minority coaches. As the search for qualified minority coaches, administrators and other staff becomes increasingly more competitive, Princeton must continue to strengthen efforts to attract a broad and diverse pool of applicants. (See plan for improvement 2-A.)
 

B. Intradepartmental Communication with Minority Coaches

Focus group discussions with minority coaches as part of this self-study underscored the value of participation by them as Princeton continues its efforts to attract the highest caliber of minority student-athletes, coaches, and staff. The establishment of a specific forum for minority coaches will enhance the department’s ability to provide appropriate support and address issues as they arise. Moreover, it will communicate to the administration the minority coaches’ perspective of the positive and negative facets of a Princeton educational and athletic experience for minority student-athletes. (See plan for improvement 2-B.)
 

C. Minority Student-athletes’ Experiences throughout the Admission Process

The competitive market for academically and athletically qualified students becomes more intense every year. Coaches must actively recruit "the "the best and brightest." The challenge of identifying and recruiting students who can both meet Princeton's demanding academic standards, and play Division I intercollegiate athletics, is compounded in seeking highly-qualified student-athletes who are also members of minorities groups. The numbers of these students are relatively small, and the competition to enroll them is very great. To increase Princeton's success in recruiting minority student-athletes, it is imperative that coaches inform minority prospective recruits about the opportunities that exist on campus for minority students, the value of a Princeton education, and the quality of campus life. The focus group discussion organized by the Subcommittee for this self-study revealed that our coaches, including minority coaches, may not be fully informed regarding campus-wide opportunities for minority students, and this lack of information may have some effect on the yield of minority recruits.

The Admission Office regularly hosts specific programs for minority students who have been admitted to Princeton. While these programs predominantly focus on the academic program, coaches must take advantage of these events to help provide students with a complete picture of life at Princeton. The focus group discussions and the experience of departmental administrators suggest that modifications to the on-campus visits for recruited minority student-athletes might yield improved results. (See plan for improvement 2-C.)
 

D. Departmental Communication with Minority Student-Athletes

In spite of efforts to increase minority representation in varsity athletics, the percentage of minority student-athletes does not match the overall percentage of minority students in the undergraduate classes. We need to understand better the reasons for this difference; and talking with minority student-athletes about the broad issues and how they apply to their experience in athletics seems a useful and necessary process. (See plan for improvement 2-D.)
 

E. Coaches’ Awareness of Campus Opportunities for Minority Students

It is important for all coaches to maintain close associations with other members of the University in order to provide accurate information and effective support to minority students, and to encourage them to take full advantage of University resources and campus life. Coaches should have timely access to information about the wealth of University programs and programming specifically provided by such organizations as the Third World Center and other student life offices. This will enable coaches to speak more knowledgeably about various social and cultural opportunities on campus for minority students. (See plan for improvement 2-E.)
 

Operating Principle 3 (Student-Athlete Welfare Issues): 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 Subcommittee and the Steering Committee have concluded that Princeton University is committed to the fair treatment of student-athletics, particularly in their academic role as students. The Athletic Department’s mission statement makes clearstates that as "a matter of its own educational policy, the University seeks to assure that athletes are representative of the student body and are treated as all other students – with the same regard for their health, their academic achievement, and their general personal development." Student-athlete welfare was an area of particular interest to the Trustee Committee on Student Life, Health and Athletics when that Committee conducted its review of athletics in 1993-94. Thus, this is an area given highest priority by the institution and one that receives ongoing attention at the highest levels. The Trustee Committee on Student Life, Health and Athletics continues to receive reports on implementation of the recommendations made as a part of that study, and has as part of its charge the responsibility for ongoing review of the quality of the experience of student-athletes. Standing committees, including the Student-Athlete Advisory Committee and the Faculty Policy Committee on Athletics, in addition to the University’s general student advising resources including residential college Directors of Studies and student faculty advisers, provide other means of ongoing monitoring and evaluation.

As a part of the self-study, the Subcommittee on Equity, through the use of focus groups and interviews and by reviewing exit surveys, was able to confirm that the philosophy of the department of fair and equitable treatment for all athletes is translated into action. Further, the Subcommittee also confirmed that improvements have been made and are currently being made to ensure a high quality for the experience for all student-athletes. However, in support of the ongoing commitment of the department, the Subcommittee suggests several areas that either warrant review or would complement ongoing efforts and further enhance the experience of our student-athletes:

A. Academic experiences of student-athletes
B. Campus perceptions about student-athletes
C. Dining options for student-athletes
D. Richness and variety of social opportunities for student-athletes.

A. Academic Experiences of Student-Athletes

Princeton seeks outstanding students who have excelled in non-academic areas – in student government, music, and dance, in theater performances and in athletic endeavors. Most students must balance this commitment to non-academic excellence with their commitment to academic excellence during their four years at Princeton. There are inevitable tensions. Student-athletes who participated in the focus group meetings held by the Equity Subcommittee and meetings held by the Academic Integrity Subcommittee expressed concern regarding conflicts between academic coursework and athletic practices or competitions. These conflicts exist in spite of efforts on the part of the Registrar and the Department of Athletics to avoid overlap, for instance, by not scheduling classes, precepts and seminars between 4:30 p.m. and 7:00 p.m. (See plan for improvement 3-A.)
 

B. Campus Perceptions about Student-Athletes

The Trustee review of athletics and the focus groups organized and held by the Subcommittee on Equity also suggest that perceptions of some student-athletes by some faculty is at times negative. Improvement is ongoing, and progress has been achieved recently thanks to meetings initiated by Mr. Walters with academic departments to review Athletic Department policies and practices and address concerns. In particular, these meetings appear to have substantially improved communication regarding the experience of student-athletes and the pressures they face. The athletics administration will continue to seek suggestions from faculty (including Chairs of Departments, and members of the Faculty Advisory Committee on Athletics) about ways further to enhance communication. Mr. Walters also plans to identify a faculty representative for each team to provide another resource for mentoring and advice to student-athletes. (See plan for improvement 3-B.)
 

C. Dining Options for Student-Athletes

Current dining options are limited by facilities, budget and the number of students who hold a contract with dining services. Because of practice times and the small window of opportunity between the end of practice and the start of evening precepts or classes, some athletes do not have access to the dining halls during their limited hours of operation. Similar constraints are experienced by upper-class students who are members of the Prospect Street "eating clubs". Dining options and hours sometimes do not adequately meet the needs of student-athletes, causing students to miss meals. Discussions have begun among the Dean of Student Life Office, the Director of Dining Services, and the Department of Athletics to develop additional reasonable dining options for student-athletes. (See plan for improvement 3-C.)
 

D. Richness and Variety of Social Opportunities for Student-Athletes

Historically the Prospect Street eating clubs have been a primary locus of social activity for students on campus. As the University has become increasingly more diverse and individual and group preferences for social opportunities have evolved, the need for a central gathering place, which is both a social center as well as a communication hub, has become more urgent. The year 2000 will mark the opening of the Frist Campus Center. This facility will provide adequate space for dining, social events, meetings, performances, and interaction among all campus constituencies. The Frist Center will be both a complement and an alternative to the eating clubs, which for many minority (and other) students are not an optimal social environment. (See plan for improvement 2-D.)
 
 

2. Given the responses above, evaluate whether the activities of the athletics program are consistent with the mission and purpose of the institution.

The Subcommittee and the Steering Committee are confident that the activities of the athletics program are consistent with the mission and purpose of the institution, though continuing improvement should be and is the University's goal in regard to the experiences of women, minorities and student-athletes.
 
 

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.
 

Operating Principle 1 (Gender Issues)

Plan 1-A Athletic TrainingMedical Support and Access to Athletic Trainers. Restructure the process for scheduling and assigning trainers and offer CPR and first-aid certification for at least one coach per team. Include in the Health Services’ quarterly survey of student-athletes new questions for users of training services, to allow for ongoing assessment of student satisfaction with the training program; and regularly monitor the quality of coverage and the services of athletic training. Increase the level of coverage of athletic training services through (a) reallocation of responsibilities among the athletic training staff, (b) eliminating for the athletic training staff responsibilities for the athletic training staff that are not directly related to intercollegiate athletics, or (c) expanding the size of the athletic training staff.

Plan 2-A Minority Representation in the Candidate Pools for Coaches, Senior Administrative Staff Positions. Continue outreach and recruitment efforts articulated in the department’s internal affirmative action plan begun in 1995 and in the 1997 University-wide special search procedures to increase the diversity of candidate pools.