Rudy Giuliani's Son Sues Duke University for Dismissal from Golf Team

UNITED STATES DISTRICT COURT FOR THE MIDDLE DISTRICT OF NORTH CAROLINA ANDREW GIULIANI, Plaintiff, v. Civil Action No. 1:08—cv—00502 DUKE UNIVERSITY and ORRIN DANIEL VINCENT, III. Defendants. COMPLAINT JURY TRIAL DEMANDED Case 1:08-cv-00502 Document 1 Filed 07/23/2008 Page 1 of 29 NATURE OF THE ACTION Andrew Giuliani brings this action to obtain a declaration from this Court that Duke University must keep the promises that it makes to induce its students to enroll; and, further, that in all of its dealings with its students, the University is bound to the same law of contract and the same covenant of good faith and fair dealing that every party to a contract in North Carolina is bound. Specifically, this action is brought because: It is wrongful for a coach to secretly expel a student from a team, in violation of numerous University policies enacted to protect the student. It is wrongful for a coach to secretly expel a student from a team without notice, without an opportunity to defend himself, and without cause. It is wrongful for a coach, by threat of expulsion, to attempt to coerce a student into waiving rights guaranteed to him. It is wrongful for a coach to retaliate against a student who refuses to waive his rights to fairness and basic due process. It is wrongful for the University’s lawyers to shut down an Athletic Director’s investigation of a student grievance, to conduct a sham investigation, to prevent a student from meeting with his Athletic Director, to insist that a student pursue a “grievance procedure,” and then to vitiate that procedure by publishing false and misleading findings and concluions based on their “investigation.” It is wrongful for a coach to set teammates against one another and then delegate to team members the power to expel a teammate who competes with them for limited places on the roster. Amazingly, Duke University insists that none of these acts is wrongful and that each one is, instead, within its “significant authority.” The purpose of this suit is to establish what common sense and basic morals plainly dictate: each of the acts described above and detailed within is wrongful and must be stopped. 1 Case 1:08-cv-00502 Document 1 Filed 07/23/2008 Page 2 of 29 THE PARTIES 1. PLAINTIFF ANDREW GIULIANI is a rising senior, enrolled as a student in good standing at Duke University. Andrew is, and at all times relevant to this action, was a citizen and resident of New York. 2. DEFENDANT DUKE UNIVERSITY is an educational institution formed under the laws of North Carolina, with its primary place of business in Durham, North Carolina. In furtherance of its educational mission, Duke established an Athletic Department, which operates 26 NCAA Division I teams, including a men’s golf team. 3. DEFENDANT ORRIN DANIEL “O.D.” VINCENT, III, is, and beginning in the summer of 2007, was the Head Coach of the Duke University Men’s Golf Team. At all relevant times, O.D. Vincent reported directly to Associate Athletics Director Michael Sobb. O.D. Vincent is, and at all times relevant to this action, was a citizen and resident of North Carolina. PARTIES NOT PRESENTLY NAMED IN THE ACTION 4. RYAN RESSA is, and beginning in the summer of 2007 was, O.D. Vincent’s Assistant Coach. 5. MICHAEL SOBB is, and at all times relevant to this action was, an Associate Athletics Director with supervisory authority over O.D. Vincent and the Golf Program. 6. PAMELA BERNARD is, and at all times relevant to this action was, Duke University’s Senior Vice President and General Counsel. In that capacity, Bernard is a University officer with policymaking authority over interpretation of documents purporting to establish the procedures, rights, and responsibilities of the University with respect to its students. 2 Case 1:08-cv-00502 Document 1 Filed 07/23/2008 Page 3 of 29 7. MICHAEL QUAGLIANO is, and at all times relevant to this action was, a member of the Duke University Men’s Golf Team. 8. ADAM LONG is, and at all times relevant to this action was, a member of the Duke University Men’s Golf Team. 9. MATTHEW PIERCE is, and at all times relevant to this action was, a member of the Duke University Men’s Golf Team. JURISDICTION & VENUE 10. This Court has jurisdiction over the subject matter of this action pursuant to 28 U.S.C. § 1332, because there is complete diversity in the citizenship of parties, and the amount in controversy, without interest and costs, exceeds the sum or value specified by 28 U.S.C. § 1332. Venue is proper in the Middle District of North Carolina pursuant to 28 U.S.C. § 1391(b)(1), (2), and (3), because all of the Defendants reside or may be found in the Middle District of North Carolina, and a substantial portion of the events that give rise to this action took place in the Middle District of North Carolina. FACTS COMMON TO ALL CLAIMS FOR RELIEF A. DUKE UNIVERSITY MADE PROMISES TO ANDREW TO INDUCE HIM TO CHOOSE DUKE OVER MANY OTHER SCHOOLS THAT SOUGHT HIM. 11. A little more than four years ago, when Andrew was a junior in high school, the late Rod Myers was the Head Coach of Duke University’s Men’s Golf Team. Coach Myers and his assistant coach, Jim Kubinski, both aggressively recruited Andrew to Duke. 12. When Coach Myers was recruiting Andrew, Coach Myers knew that it was Andrew’s dream to become a professional golfer after college. Coach Myers knew well 3 Case 1:08-cv-00502 Document 1 Filed 07/23/2008 Page 4 of 29 the long odds of making it to the professional tour, but he also knew of Andrew’s talent, accomplishments, and strong work ethic. Coach Myers knew about the thousands of hours Andrew had already spent practicing and improving, and he encouraged Andrew to continue. Coach Myers also knew that Andrew was going to select the university that would provide him with the best preparation to achieve his dream. 13. In light of that, Coach Myers focused Andrew’s attention on the University’s “state-of-the-art” training facilities which were “second to none” and were for the exclusive use of the men’s and women’s golf teams. In addition, Coach Myers repeatedly emphasized to Andrew that he would be given life-time access to those training facilities as an alumnus of the Duke Golf Program. Further, Coach Myers assured Andrew that, if he matriculated to Duke, he would have the opportunity to compete with his teammates to earn spots in the most competitive tournaments against the most talented players in the NCAA. 14. These inducements were material to Andrew’s decision to enroll in Duke University. Andrew decided to accept Duke University’s offer to enroll based in material part upon the promises that the University made to him through Coach Myers. Until his untimely passing in the Spring of 2007, Head Coach Myers kept the promises that he made to Andrew on behalf of the University. Things changed when O.D. Vincent took over. B. 15. DUKE UNIVERSITY AND ANDREW ALSO ENTERED INTO A $200,000 CONTRACT. Upon his enrollment at Duke University, Andrew and Duke University entered into an agreement. The Agreement required Andrew to pay Duke University roughly $200,000 in tuition and fees and by definition required him to forego numerous opportunities at other colleges and universities that compete with Duke for top studentathletes. In exchange, the University promised to provide Andrew with various 4 Case 1:08-cv-00502 Document 1 Filed 07/23/2008 Page 5 of 29 educational services, lodging, and a right of access to the Athletic Department’s Varsity program and facilities. 16. The Agreement between Duke University and Andrew is memorialized in several documents that govern the dimensions of the relationship between Andrew and the University. Collectively, these documents will be referred to herein as “the Contract.” C. O.D. VINCENT ILLEGALLY CANCELLED ANDREW’S ELIGIBILITY TO PARTICIPATE IN THE ATHLETIC PROGRAM WITHOUT NOTICE, HEARING, OR CAUSE. O.D. 17. When O.D. Vincent took over the program, the team had 13 players. Vincent wanted to make it smaller, about half the size it was. The goal of a smaller squad was discussed by O.D. Vincent with members of the Athletic Department at the time he was hired as the late Coach Myers’ replacement; the players were not given any choice in the matter. 18. On February 11, 2008, O.D. Vincent announced to the team that he was unilaterally cancelling Andrew’s eligibility to participate in the University’s Athletics Program immediately and indefinitely. Andrew and his teammates were shocked. Andrew had no prior notice of what was about to happen. At no time was Andrew ever given an opportunity to defend himself; instead he was summarily dismissed. 19. None of the events O.D. Vincent cited involved conduct that potentially authorized suspension under the Contract, and certainly not expulsion from the team. Further, most of the alleged conduct occurred in a two day period. The allegations were: • On February 2, 2008 Andrew flipped his putter a few feet to his golf bag; on February 3, 2008 Andrew leaned on his driver and it broke; in O.D. Vincent’s telling, this became “throwing and breaking” a club. 5 Case 1:08-cv-00502 Document 1 Filed 07/23/2008 Page 6 of 29 • On February 3, 2008 Andrew walked ahead of his playing partner, Chance Pipitone, at Treyburn Golf Course; O.D. Vincent later admitted that he had instructed players to do this to help other players increase their pace of play. • The same day, Andrew “gunned” the engine of his car and drove fast while leaving the golf course parking lot. • On February 4, 2008, during a football game that was part of the team’s training session, Andrew played harder than some of the other boys wanted to play. • Andrew was allegedly disrespectful to a trainer sometime in October, 2007, although no trainer has ever said so to Andrew. • On February 10, 2008, after a teammate, Brian Kim, twice hit Andrew’s hand knocking an apple to the ground and slammed a door hitting Andrew’s face, Andrew tossed the apple at the teammate, glancing off the side of his face. 20. As will be demonstrated here and at trial, the foregoing “charges” were a fabricated and insufficient excuse O.D. Vincent employed to cut the Gordian knot that the Contract imposed on his rush to shrink the size of the Men’s Golf Team. D. O.D. VINCENT IMPOSED A BIZARRE, “LORD OF THE FLIES” SCHEME TO DETERMINE WHETHER ANDREW’S ELIGIBILITY WOULD BE CANCELLED PERMANENTLY. 21. O.D. Vincent then created—from whole cloth—unique requirements for Andrew’s Specifically, Andrew’s suspension would become a permanent reinstatement. cancellation of his athletic eligibility at Duke unless every single one of his twelve teammates wrote a letter to O.D. Vincent that O.D. Vincent deemed “satisfactory” supporting Andrew’s reinstatement to the team and explaining the reasons why. If even one member declined, and no reason was required, Andrew was permanently expelled. 6 Case 1:08-cv-00502 Document 1 Filed 07/23/2008 Page 7 of 29 22. All of this took place at a time when O.D. Vincent was increasing the pressure on the players through a forced shrinkage of the roster. The termination of Andrew’s eligibility would mean less competition for the few spots available. E. O.D. VINCENT’S “INDEFINITE SUSPENSION” WAS IN FACT AN ILLEGAL AND SECRET CANCELLATION OF ANDREW’S ATHLETIC ELIGIBILITY. 23. What O.D. Vincent called an indefinite suspension was, in fact and in effect, the termination of Andrew’s eligibility to participate in the University’s intercollegiate athletic program, including its facilities. 24. O.D. Vincent’s conduct breached multiple provisions of the Contract, including, for example: a) O.D. Vincent breached the Contract because the Contract does not give him the power to unilaterally cancel Andrew’s eligibility; b) O.D. Vincent breached the Contract by cancelling Andrew’s eligibility when Andrew had not engaged in any of the specific conduct enumerated in the Contract as sufficient cause for cancelling a student-athlete’s eligibility; c) O.D. Vincent breached the Contract by refusing to consult with the Director of Athletics prior to cancelling Andrew’s eligibility—in fact, he kept it a closely guarded secret—when the Contract requires all coaches to do so prior to taking any adverse action against a student-athlete; 7 Case 1:08-cv-00502 Document 1 Filed 07/23/2008 Page 8 of 29 d) O.D. Vincent breached the Contract because he refused to give Andrew any prior notice of the allegations he used to justify his cancellation; e) O.D. Vincent breached the Contract because he refused to give Andrew an opportunity to respond to his allegations, disprove them, or to simply be heard before imposing the suspension—in violation of the Contract’s due process provisions and procedural safeguards; and f) O.D. Vincent breached the Contract by delegating to Andrew’s teammates the power to terminate Andrew’s eligibility, because (1) the Contract does not authorize O.D. Vincent to delegate such authority to anyone, and (2) the Contract does not give O.D. Vincent power to unilaterally cancel Andrew’s eligibility under any circumstance. 25. O.D. Vincent was well aware that Andrew has been the subject of significant media interest throughout his life, and that news of O.D. Vincent’s wrongful conduct could cause Andrew to be unjustly subjected to harsh public scrutiny. O.D. Vincent’s deliberate misconduct evinces his malicious intent to deprive Andrew of his rights under the Contract, to injure Andrew’s reputation in his chosen profession, and to subject Andrew to public scrutiny and humiliation. Knowing all of the foregoing was occurring, University Senior Vice President and General Counsel Pamela Bernard condoned and ratified O.D. Vincent’s misconduct, evincing her own callous disregard and/or deliberate indifference to the bad faith violations of Andrew’s rights under the Contract. Because Bernard is a University official with final policymaking authority with respect to the Contract, her callous disregard and/or deliberate indifference to Andrew’s rights is imputed to Duke University. 8 Case 1:08-cv-00502 Document 1 Filed 07/23/2008 Page 9 of 29 F. ANDREW WORKED WITH HIS TEAMMATES, AND THEY RESPONDED FAVORABLY, UNTIL O.D. VINCENT INTERVENED AND INCREASED THE PRESSURE. 26. Under the duress of O.D. Vincent’s unfounded accusations and unjustified cancellation of his eligibility, Andrew determined not to quibble with the details of O.D. Vincent’s false and petty allegations; instead, Andrew accepted responsibility for any hurt feelings he may have caused among his teammates and asked for their forgiveness and support in returning to the team. 27. That same night, February 11, 2008, Andrew’s teammate, Brian Kim wrote a long email supporting Andrew’s immediate reinstatement to the team. Kim wrote that he was in a “rage” after his exchange of words with Andrew the day before, that he did not mean the things he said, that Andrew was a “great guy,” and that he did not think Andrew should be suspended. O.D. Vincent wrote back that Brian’s email did not qualify as a letter supporting Andrew’s reinstatement. 28. Andrew personally met with each of the nine returning team members at least two times each over the subsequent weeks. Eight of the nine expressly assured Andrew that they supported Andrew’s return to the team. Several complimented, as they had previously many times, Andrew’s work ethic and dedication to the team. 29. In March, one of Andrew’s teammates who had expressed shock at the surprise suspension, Clark Klaasen, told O.D. Vincent that he wanted to take a leadership role in Andrew’s reinstatement to the team. O.D. Vincent instructed Klaasen to back off, and warned Klaasen to “focus on his golf game.” 30. O.D. Vincent instructed Klaasen and his teammates not to write their letters until they “heard more from Andrew.” At the same time, unbeknownst to the team members, O.D. Vincent instructed Andrew to “back off” and limit his contacts with his teammates. For example, Andrew told O.D. Vincent that he had made plans to drive himself to the tournament the team would play in beginning March 23, so that he could support his teammates as a spectator. O.D. Vincent directed Andrew not to go. Upon information 9 Case 1:08-cv-00502 Document 1 Filed 07/23/2008 Page 10 of 29 and belief, Andrew’s teammates did not know he had made plans to travel to their tournament during the suspension to cheer for them, or that he did not do so only because O.D. Vincent directed him not to do so. 31. Contemporaneously with Andrew’s efforts to win support for his reinstatement from his teammates, O.D. Vincent was instilling new fears in his teammates that their positions on next year’s roster were also in jeopardy. Among other things, O.D. Vincent began implementing his plan to drastically cut the size of the team roster through a qualifier that would and did eliminate several players. 32. It was plainly obvious to each team member that their own personal interests were directly in conflict with Andrew’s reinstatement to the team. They feared that O.D. Vincent could unilaterally dismiss them from the team without warning or notice. G. AFTER WILLFULLY VIOLATING ANDREW’S CONTRACT RIGHTS, O.D. VINCENT TRIED TO COERCE ANDREW TO SIGN A WAIVER OF THOSE SAME RIGHTS. 33. O.D. Vincent originally advised the team that those who participated as a member of the Varsity team in a tournament in 2007-2008 were exempt from O.D.Vincent’s "qualifier"; i.e., the individual would not be required to “re-qualify” to maintain his status as a member of the Duke Men’s Golf Team for 2008-2009. Andrew was one of the team members who qualified through Varsity tournament play. 34. Nevertheless, in late March, O.D. Vincent summoned Andrew to his office. There, O.D. Vincent told Andrew that he would have to participate in the qualifier in order to have a spot on next year’s team roster (but only if, in addition, Andrew’s teammates all wrote “satisfactory” letters supporting his return). O.D. Vincent told Andrew that if Andrew agreed to certain “parameters” O.D. Vincent would draw up, then Andrew would not be required to participate in the qualifier. 35. Andrew immediately objected to O.D. Vincent’s scheme, stating the truth that O.D. Vincent ignored: Andrew had already qualified for the 2008-09 team, having 10 Case 1:08-cv-00502 Document 1 Filed 07/23/2008 Page 11 of 29 played as a member of the Varsity team in two tournaments in the fall in Illinois and Georgia. Undeterred, O.D. Vincent still pursued his efforts to coerce Andrew into agreeing to “parameters.” 36. The “parameters” O.D. Vincent had in mind were presented to Andrew in a written agreement prepared by Vincent (“O.D. Vincent’s Waiver Agreement”). Remarkably, O.D. Vincent’s Waiver Agreement actually commits to writing much of the bizarre manipulation that O.D. Vincent had engaged in since February 11, 2007, and is annexed as EXHIBIT 1. 37. O.D. Vincent characterized the document as an agreement, and styled it as such. It contained two signature lines, one each for O.D. Vincent and Andrew. H. ANDREW DID NOT SIGN THE WAIVER AGREEMENT THAT WOULD FORCE HIM TO GIVE UP HIS RIGHTS AND WOULD CLOAK O.D. VINCENT’S BIZARRE SCHEME IN SECRECY. 38. O.D. Vincent’s Waiver Agreement was designed to obtain Andrew’s release of his rights under the Contract and place a lid of secrecy on the sordid scheme. O.D. Vincent presented his Waiver Agreement to Andrew on two separate occasions. Andrew refused to sign it both times. 39. First, on April 2, 2008, O.D. Vincent presented his document to Andrew for his signature in the presence of Andrew’s step-father, Ed Oster, and Associate Athletic Director Michael Sobb. At the meeting, Sobb was present in his capacity as a University officer, director, or manager with supervisory authority over O.D. Vincent and policymaking authority with respect to the University’s compliance with its obligations under the Contract. 40. At that meeting, O.D. Vincent advised Andrew that his Waiver Agreement was “not a legal document.” In fact, however, O.D. Vincent’s Waiver Agreement would constitute Andrew’s express waiver of his rights under the Contract and the procedural safeguards that O.D. Vincent had already violated multiple times. 11 Case 1:08-cv-00502 Document 1 Filed 07/23/2008 Page 12 of 29 41. O.D. Vincent’s Waiver Agreement’s “secrecy” provisions evinced O.D. Vincent's The secrecy provisions malicious intent and deliberate indifference to Andrew's rights. were also Vincent’s transparent effort to avoid being caught violating the Contract. The most notable of them was that Andrew was prohibited from knowing anything at all about what his teammates wrote to the coaches or vice versa, or even who had written; only O.D. Vincent would know. For example, O.D. Vincent’s Waiver Agreement stated: “All correspondence between players and coaches regarding this topic will be kept anonymous and confidential. … [A] status report on how many ‘approvals’ have been received is acceptable, a question as to who has or has not written is unacceptable.” 42. Andrew reviewed the document and did not sign it. This took place in the presence of O.D. Vincent, Sobb, and Andrew’s step-father, Ed Oster, who is a practicing attorney. After Mr. Oster left North Carolina, O.D. Vincent called Andrew to his office alone. Again, O.D. Vincent presented Andrew the document and demanded that Andrew sign it. When Andrew refused to sign it, O.D. Vincent stated “that’s a bad decision.” O.D. Vincent made clear what he meant in short order. I. AFTER ANDREW DID NOT SIGN O.D VINCENT’S WAIVER AGREEMENT FOR THE SECOND TIME, O.D. VINCENT RETALIATED AGAINST ANDREW BY EXPELLING HIM. 43. Following Andrew’s second refusal to sign O.D. Vincent’s Waiver Agreement, O.D. Vincent retaliated against Andrew by orchestrating a sequence of acts, including, for example: a) The very next day, Andrew’s teammate, Michael Quagliano, wrote Andrew an email, on behalf of himself and four of the other team members mentioned in O. D. Vincent’s Waiver Agreement, notifying Andrew that they had decided that Andrew’s membership on the team should be terminated. In 12 Case 1:08-cv-00502 Document 1 Filed 07/23/2008 Page 13 of 29 the weeks prior to that, all but one of them had expressed their support for his return to the team. The e-mail is annexed as EXHIBIT 2. b) An anonymous notice was placed on Andrew’s vehicle stating that his parking privileges at the Athletic Department’s facilities were revoked, and his car would be towed if he parked there again. The Parking Notice is annexed as EXHIBIT 3. c) O.D. Vincent’s assistant coach Ryan Ressa sent an email to the University golf course’s pro shop stating, “Andrew Giuliani has been removed from the Duke Varsity golf team. We would appreciate if you could take him off the official list of players who is [sic] allowed to play and practice for free.” Ressa’s e-mail is annexed as EXHIBIT 4. 44. All of the foregoing occurred without O.D. Vincent contacting Andrew to tell him that he had terminated Andrew’s eligibility; instead, O.D. Vincent hid behind the returning team members and the pro shop staff. J. UNIVERSITY LAWYERS POISONED THE GRIEVANCE PROCESS, AND THEN INSISTED THAT ANDREW SUBJECT HIMSELF TO IT AS HIS ONLY REMEDY. 45. After his athletic eligibility was terminated, Andrew sought a meeting with the Interim Athletic Director, Dr. Christopher Kennedy. Kennedy initiated an investigation of the matter, meeting with six team members as a group and separately with Andrew for approximately ten minutes. 46. Kennedy notified O.D. Vincent that he wanted to have a further meeting alone with Andrew and his teammates—coaches excluded—to learn more about the situation. O.D. Vincent then met with the returning team members, notified them of Kennedy’s intention, and directed them to confront Andrew publicly, which they did that same day, 13 Case 1:08-cv-00502 Document 1 Filed 07/23/2008 Page 14 of 29 in a public area near O.D. Vincent’s office, where they harassed and attempted to intimidate Andrew. 47. After that, O.D. Vincent contacted Kennedy to insist that no meeting among the returning team members and Andrew was necessary. 48. Shortly thereafter, Kennedy’s investigation was shut down by Pamela Bernard, the University’s General Counsel. Bernard declared that the Counsel’s office would conduct its own investigation into the matter, and demanded that all communication relating to this matter be directed to her. In response, Andrew’s counsel delivered a letter to Bernard that detailed the facts as alleged herein, annexed relevant documents, and requested a meeting. 49. Bernard delegated the responsibility for investigating O.D. Vincent’s misconduct to Deputy General Counsel, Kate Hendricks. At the time, and throughout her investigation, Ms. Hendricks was in Mississippi, on extended leave from her duties. The Hendricks’ investigation was a sham. 50. Ms. Hendricks promised Andrew’s counsel personally that she would meet with Andrew as part of the investigation. Ms. Hendricks never met with or spoke with Andrew at all. 51. At the conclusion of Hendricks’ “investigation,” and knowing that Andrew's mother and step-father had requested a meeting with Provost Peter Lange, Ms. Bernard issued an uninvited and unannounced opinion letter based ostensibly on the Hendricks’ investigation (“Bernard’s Opinion”). Bernard’s Opinion ignored numerous positive letters from other individuals, including student-athletes at Duke, describing Andrew’s interaction with other students, and attesting to Andrew’s good sportsmanship and good character. None of these individuals was interviewed. Nevertheless, Bernard’s Opinion, issued on behalf of the University, purports to declare the facts of the matter and establish the University’s legal conclusions with respect to Andrew's rights under the Contract. 14 Case 1:08-cv-00502 Document 1 Filed 07/23/2008 Page 15 of 29 52. Bernard’s Opinion claimed that O.D. Vincent’s bizarre conduct and his unilateral termination of Andrew’s eligibility was “within the significant authority of the coach.” In the same breath, Bernard insisted that Andrew’s only option was to pursue a grievance procedure conducted by an administrator who must defer to Bernard on such questions. 53. At every turn, Bernard’s Opinion is oblivious to its own most obvious consequence: the Opinion unequivocally declares the University’s position on all issues that were to be adjudicated in any meaningful grievance procedure. 54. Bernard’s Opinion thereby vitiated any meaningful administrative remedy that theoretically could have been available to Andrew in the grievance procedure she directed Andrew to pursue. K. THROUGH THIS ACTION, ANDREW NOT ONLY SEEKS TO VINDICATE HIS RIGHTS BUT ALSO THOSE OF HIS FELLOW STUDENTS, SO THAT DUKE UNIVERSITY MAY NO LONGER INSIST THAT ITS STUDENTS DO NOT ENJOY THE SAME BASIC RIGHTS OF CONTRACT THAT ARE SHARED BY EVERY OTHER CITIZEN WHO ENTERS INTO A CONTRACT IN THIS STATE. 55. Since Andrew’s exclusion from the University Athletics Department's program and facilities, Andrew has been barred from practicing at the University’s state-of-the-art training facilities. Further, because he was a competitor in three NCAA tournaments in the 2007-2008 season, he is disqualified from obtaining a Waiver from the NCAA for his junior year. Andrew cannot recover the lost period of NCAA eligibility during the period beginning on February 11, 2008, until the end of the 2007-2008 season to compete in NCAA tournaments. 56. Andrew has exhausted all viable sources of relief within the University. He has been thwarted in every effort, most recently by the University's General Counsel, who published her findings and conclusions on the matter when she learned that a meeting with the University Provost had been scheduled to address this matter. Andrew asks this Court to declare that Duke must keep the promises it makes to its students, who do not abandon their rights at the University gates. 15 Case 1:08-cv-00502 Document 1 Filed 07/23/2008 Page 16 of 29 CLAIMS FOR RELIEF FIRST CLAIM FOR RELIEF BREACH OF CONTRACT (Against O.D. Vincent and Duke University) 57. Plaintiff incorporates by reference all of the foregoing allegations as though fully set forth here. 58. The Contract is a valid, enforceable agreement for services between Duke University and Andrew. 59. Pursuant to the Contract, Andrew agreed to, among other things; pay Duke University well in excess of $200,000 over four years, to allow the University to use his likeness in its solicitations and advertisements, and to abide by the rules established in the Contract. In exchange, Duke University promised to provide Andrew an array of educational services, the opportunity to participate in the University’s intercollegiate golf program, and lifetime access to the University’s “state-of-the-art” golf training facilities. 60. The specific provisions of the Contract that are at issue in this action are annexed to this Complaint as EXHIBIT 5 (the Duke University Student-Athlete Handbook, Revised May, 2007); EXHIBIT 6 (the Duke University Athletic Department Policy Manual); EXHIBIT 7 (the Duke University Student Bulletin); and EXHIBIT 8 (the 2007-2008 NCAA Division I Manual (Constitution and By-Laws)). 61. Duke University materially breached the Contract with Andrew in multiple ways, including, for example: 16 Case 1:08-cv-00502 Document 1 Filed 07/23/2008 Page 17 of 29 I. CANCELLATION OF ELIGIBILITY 62. The Contract guarantees to Andrew that, while he was a student enrolled at Duke University, he would be able to participate in the University’s intercollegiate golf program (the Program) and that he would have an unfettered right of access to the Program’s facilities. The Contract provides that Andrew’s rights of access and participation could be “cancelled” or “terminated” only upon the occurrence of specific events and conditions. For example, the Contract provides that Andrew’s eligibility could be “terminated” or “cancelled” only under the following circumstances: a) If Andrew failed or refused to pay any portion of the more than $200,000 that the Contract requires Andrew to pay at the time and in the manner detailed in the Contract; b) c) If Andrew failed or refused to submit to a specified number of drug tests; If Andrew was charged with a serious felony (and, in that event, termination would be within the discretion of identified officials); or d) If Andrew was engaged in certain conduct specifically enumerated in the Contract. 63. No other conduct or circumstance justified the cancellation of Andrew’s eligibility. 64. Andrew did not engage in any of the conduct specified in the Contract as a basis for termination or cancellation of his eligibility to participate in the University’s intercollegiate athletic program. The University has never alleged that Andrew did engage in any such conduct. 17 Case 1:08-cv-00502 Document 1 Filed 07/23/2008 Page 18 of 29 65. Nevertheless, O.D. Vincent unilaterally cancelled Andrew’s eligibility to participate, without notice, hearing, or required cause, in violation of the Contract. II. VIOLATION OF PROCEDURES THE CONTRACT ESTABLISHED TO PREVENT WRONGFUL CANCELLATION OF ELIGIBILITY 66. O.D. Vincent violated the due process rights and procedural safeguards that the Contract guaranteed to Andrew. For example: a) O.D. Vincent refused to give Andrew any notice whatsoever of the allegations upon which O.D. Vincent claimed to base his suspension and subsequent cancellation of Andrew’s eligibility; b) O.D. Vincent refused to consult with the Director of Athletics before he unilaterally suspended and before he unilaterally terminated Andrew’s eligibility, in violation of, inter alia, the Contract, Part I, “Standards of Behavior”; c) O.D. Vincent delegated authority to terminate Andrew’s eligibility to each and every one of his teammates, in violation of, inter alia, the Contract, Part I: “Standards of Behavior.” d) In violation of the Contract’s anti-harassment provisions, O.D. Vincent met with five of the returning team members and directed or encouraged them to confront Andrew in a public place, where they shouted obscenities at him, attempted to intimidate him, demanded that Andrew cease his attempt to restore his own eligibility, and warned Andrew that they would wield the power that O.D. Vincent had delegated to them to ensure that Andrew would never play competitive NCAA golf again unless he transferred to a different school. 18 Case 1:08-cv-00502 Document 1 Filed 07/23/2008 Page 19 of 29 67. All of the foregoing constitute material breaches of the University’s obligations under the Contract. III. O.D. VINCENT’S “LORD OF THE FLIES” SCHEME VIOLATED THE CONTRACT 68. Nothing in the Contract or any University handbook, manual, or governing documents contemplates the bizarre scheme O.D. Vincent concocted for the wrongful cancellation of Andrew’s eligibility. himself, and executed it in secret. 69. O.D. Vincent’s scheme imposed undeserved and draconian punishments according Instead, O.D. Vincent designed the scheme to decisions made by students who were subject to O.D. Vincent’s authority, who were in fear themselves that O.D. Vincent would single them out for the same malicious and unfounded punishments, and who stood to lose opportunities to compete in NCAA events if they “allowed” Andrew’s return to compete with them for those opportunities. 70. The Contract prohibits subjecting students to the deprivation of their rights under the Contract to biased or potentially conflicted decision makers, much less decision makers with a personal, vested interest in the decision. The only University document that is consistent with O.D. Vincent’s scheme is the library’s copy of William Goulding’s The Lord of the Flies. O.D. Vincent’s bizarre scheme violated both the spirit and the plain meaning of the Contract. 71. The disciplinary processes codified in the Contract require notice, an opportunity to answer false accusers and false allegations with facts, a determination by neutral factfinders, free of bias, intimidation, harassment, or any other form of obstruction or interference. Students have the right, for example, to challenge any fact-finder who has a bias or a personal stake in the outcome of the inquiry. That is not only an express requirement of the contract, but it is also an essential element of fundamental fairness. 19 Case 1:08-cv-00502 Document 1 Filed 07/23/2008 Page 20 of 29 72. Furthermore, O.D. Vincent did not have the power to cancel Andrew’s eligibility unilaterally; he could exercise the power only if specified facts existed and only in consultation with the Director of Athletics. Thus, his delegation of the power to cancel Andrew’s eligibility to Andrew’s teammates was the delegation of a power that O.D. Vincent himself did not have. Further, the Director of Athletics was never even notified of O.D. Vincent’s extraordinary scheme until long after O.D. Vincent cancelled Andrew’s eligibility and the returning team members “decided” to make it “final.” Therefore, O.D. Vincent’s delegation of the power to cancel Andrew’s eligibility 73. to Andrew's teammates was ultra vires and a material breach of the Contract. ************ 74. As a direct and proximate result of each of the foregoing material breaches of the Contract, O.D. Vincent cancelled and/or terminated Andrew’s eligibility to participate and right of access to the University’s intercollegiate athletic program and facilities, which constitutes a material breach of the Contract. 75. O.D. Vincent engaged in the conduct alleged herein in the course and scope of his employment with Duke University. His conduct is therefore imputed to Duke University for purposes of this action. 76. Further, the University’s Senior Vice President and General Counsel, Pamela Bernard, authorized, ratified and/or condoned O.D. Vincent’s material breaches of the Contract and the tortious conduct that attended those breaches. As a University officer, director, or manager having policymaking authority with respect to O.D. Vincent’s conduct and the cancellation of Andrew’s rights under the Contract, Bernard’s conduct is imputed to the University for purposes of this action. 77. Further, knowing that O.D. Vincent had engaged and was continuing to engage in willful or wanton, fraudulent, and malicious conduct in the course and scope of 20 Case 1:08-cv-00502 Document 1 Filed 07/23/2008 Page 21 of 29 his employment with the University, Bernard, Hendricks, and Sobb participated in, condoned, and/or ratified O.D. Vincent’s wrongful conduct. 78. As a direct and proximate result of the foregoing material breaches of the Contract, O.D. Vincent's tortious conduct, and University officials' ratification of them, Andrew has suffered and will continue to suffer economic losses, including direct and reasonably foreseeable consequential damages. 79. Andrew is therefore entitled to recover direct and consequential compensatory damages and exemplary damages from O.D. Vincent and Duke University, jointly and severally, in an amount to be determined by a jury at trial. SECOND CLAIM FOR RELIEF BREACH OF THE COVENANT OF GOOD FAITH AND FAIR DEALING (Duke University and O.D. Vincent, in his individual and official capacities) 80. Plaintiff incorporates by reference all of the foregoing allegations as though fully set forth here. 81. In every contract governed by the law of the State of North Carolina, there is an implied covenant of good faith and fair dealing that neither party will do anything which injures the right of the other to receive the benefits of the agreement. 82. The University breached the Contract’s implied covenant of good faith and fair dealing when, for example: a) In response to Andrew's refusal to waive his rights under the Contract, O.D. Vincent retaliated against Andrew by transforming Andrew’s already wrongful suspension into a permanent cancellation of Andrew’s eligibility, and/or causing Andrew’s teammates to do so; 21 Case 1:08-cv-00502 Document 1 Filed 07/23/2008 Page 22 of 29 b) O.D. Vincent deliberately and maliciously obstructed the Athletic Director’s investigation of Andrew’s report of O.D. Vincent’s abuse of authority and misconduct in his dealings with Andrew by causing Andrew’s teammates to confront and harass Andrew and (through directives, threats, and/or intimidation) to uniformly make false statements and otherwise misrepresent the facts under investigation; and c) In the absence of any legitimate means of cancelling Andrew’s eligibility, O.D. Vincent concocted his bizarre scheme to do so in secret. 83. In these ways as well as those detailed in the preceding claims for relief, O.D. Vincent and Duke University, individually and in concert, engaged in conduct that injured Andrew’s right to receive the benefits of the Contract. 84. As a direct and proximate result of Defendants’ breaches of the Contract’s implied covenant of good faith and fair dealing, Andrew has suffered and will continue to suffer economic losses, including direct and consequential damages. 85. Andrew is therefore entitled to recover direct and consequential compensatory damages from O.D. Vincent and Duke University, jointly and severally, in an amount to be determined by a jury. THIRD CLAIM FOR RELIEF TORTIOUS INTERFERENCE WITH CONTRACT (Against O.D. Vincent, in his individual and official capacities) 86. Plaintiff incorporates by reference all of the foregoing allegations as though fully set forth here. 22 Case 1:08-cv-00502 Document 1 Filed 07/23/2008 Page 23 of 29 87. The Contract is a valid contract between Andrew and Duke University which conferred upon Andrew certain contractual rights, as described in this action. 88. Knowing the Contract existed, O.D. Vincent intentionally, maliciously, fraudulently, and without justification induced the University to cease performance of the Contract with Andrew. O.D. Vincent’s conduct evinced a conscious and intentional disregard of and indifference to Andrew’s rights and a malicious intent to harm and potentially humiliate Andrew by cancelling Andrew’s eligibility, expelling Andrew from the team, and thereby subjecting Andrew to intense, harsh public scrutiny. 89. As a direct and proximate result of O.D. Vincent’s wrongful conduct, Andrew has suffered actual damages, and is therefore entitled to recover from O.D. Vincent personally an award of compensatory damages in an amount to be determined by a jury at trial. 90. Further, because O.D. Vincent was acting at all relevant times in the course and scope of his employment with Duke University, Duke University is jointly and severally liable for the same damages. ********* 91. The tortious conduct for which O.D. Vincent is liable for damages was aggravated by O.D. Vincent’s bad faith, fraudulent, malicious, and willful or wanton conduct, as described herein. As such, Andrew is entitled to recover from O.D. Vincent, individually, exemplary damages in the amount that the jury determines to be sufficient to deter O.D. Vincent and other similarly situated individuals from engaging in similar misconduct in the future. 92. Further, because Duke University officers, directors, and/or managers, including but not limited to Bernard, Hendricks, and Sobb, participated in and/or condoned O.D. Vincent’s fraudulent, malicious, and/or willful or wanton conduct, Andrew is entitled to recover from Duke University exemplary damages in the amount that a jury determines 23 Case 1:08-cv-00502 Document 1 Filed 07/23/2008 Page 24 of 29 to be sufficient to deter Duke University and its officers, directors, and managers from engaging in similar misconduct in its future dealings with its students. FOURTH CLAIM FOR RELIEF PROMISSORY ESTOPPEL (Against Duke University) 93. Plaintiff incorporates by reference all of the foregoing allegations as though fully set forth here. 94. 95. Duke University aggressively recruited Andrew to enroll at Duke. Knowing Andrew had determined to pursue a career in professional golf, Coach Myers promoted the University’s “state-of-the-art” training facilities, which he hailed as “second to none.” Coach Myers promised Andrew that if he agreed to enroll at Duke, he would have a lifetime right of access to those training facilities. 96. A reasonable person would expect that the University’s promises would induce Andrew’s action and forbearance. 97. Coach Myers’ promises were sincerely made. They were designed to—and did— induce Andrew to enroll at Duke and thereby forego the multitude of other opportunities available to Andrew. 98. Duke University and O.D. Vincent have eviscerated the promises made by the late Coach Myers, and now insist that the University is not bound by the promises made by Coach Myers to induce Andrew to enroll at Duke because they claim that a coach is vested with "significant authority” to dishonor such promises. 99. Because an obvious injustice would result from this Court’s sanction of Duke’s refusal to honor its promises, the Court must enforce them by declaring Duke University in breach of the Contract as described herein. 24 Case 1:08-cv-00502 Document 1 Filed 07/23/2008 Page 25 of 29 100. As a direct and proximate result of O.D. Vincent’s breach of Coach Myers’ promises, Andrew has suffered past economic losses and will incur future economic losses, and harm to his reputation in his chosen profession. As such, Andrew is entitled to an award of direct and consequential compensatory damages in an amount to be determined by a jury at trial. FIFTH CLAIM FOR RELIEF DECLARATORY RELIEF (Against Duke University) 101. Plaintiff incorporates by reference all of the foregoing allegations as though fully set forth here. 102. An actual controversy now exists between Andrew and Duke University. Specifically, Andrew seeks a declaration from this Court that: a) A coach may not unilaterally and in secret cancel a student-athlete’s eligibility to participate in the University’s intercollegiate athletic program and facilities. b) A coach may not delegate to student-athletes the power – which he does not have - to cancel a competitor’s eligibility. c) It is not “within the significant authority of a coach” to cancel a student- athlete’s eligibility in retaliation against him for having refused to waive the same rights that the coach had already violated with impunity. d) It is not “within the significant authority of the coach” to direct student- athletes under his control to harass a student who has lodged a complaint about the coach’s conduct for purposes of thwarting the investigation the student’s complaint launched. 25 Case 1:08-cv-00502 Document 1 Filed 07/23/2008 Page 26 of 29 e) It is not “within the significant authority of the coach” to intimidate student-athletes who were fact witnesses in an active Athletic Department investigation for purposes of interfering with and obstructing an investigation of the coach for purposes of preventing the investigation from uncovering the truth. f) It is wrongful for the University’s General Counsel to demand that a student submit to a “grievance procedure,” and, at the same time, vitiate the procedure by orchestrating its own, bogus “investigation” of the facts at issue and publishing a false and misleading report of the investigation’s factual findings and legal conclusions that would be binding on those who would adjudicate the grievance. 103. Duke University's policies and practices, as alleged in this complaint, have deprived and continue to deprive Andrew of the benefit of his bargain with the University and his rights under the Contract. 104. These continuing deprivations evince a deliberate indifference and/or callous disregard of the Contract rights of Andrew, who was assured of said rights prior to enrollment and deprived of them only after he abandoned other valuable opportunities to contract with other, similarly situated universities who have not adopted the practice of callously disregarding the rights of their students. 105. Therefore, Andrew is entitled to a declaration of rights declaring that the Contract, as stated herein, is a valid and enforceable contract between Andrew and the University; that Defendants' conduct, policies, and practices, as set forth herein, constitute material breaches of the Contract, and, that those breaches give rise to an immediate cause of action against the University for damages and equitable relief. 26 Case 1:08-cv-00502 Document 1 Filed 07/23/2008 Page 27 of 29 PRAYER FOR RELIEF 106. WHEREFORE, to establish and declare the rights and obligations of the parties under the Contract; to redress the injuries proximately and directly caused by the Defendants’ conduct; and to prevent the substantial risk of similar injury to other students enrolled in Duke University as a result of the University’s policy and practice of condoning the misconduct alleged herein, Plaintiff hereby requests the following relief: 1. The issuance of a Declaratory Judgment establishing that the conduct of O.D. Vincent and Duke University, as stated in Paragraph 102, is wrongful, and constitutes a material breach of the Contract as specifically alleged herein, and, further, specifically declaring that: a) Andrew may not be deprived of his full right of access to and use of the University’s intercollegiate golf program’s training facilities for the rest of his college career; b) Upon his graduation, Andrew will have the same right of access to and use of the University’s intercollegiate golf program’s training facilities that is given to alumni of the Golf Program; and c) An individual’s status as a “student” or “student-athlete” does not diminish or impair the contractual or common law rights enjoyed by all citizens who enter into private contracts governed by the laws of North Carolina and the United States. 2. An award of compensatory damages against all Defendants, jointly and severally, in an amount to be determined by a jury, plus interest as provided by law; 27 Case 1:08-cv-00502 Document 1 Filed 07/23/2008 Page 28 of 29 3. An award of exemplary damages, jointly and severally, against O.D. Vincent, individually, and Duke University, in the amount that a jury determines to be sufficient to deter O.D. Vincent and Duke University from engaging in similar conduct in the future; 4. 5. An award of attorneys’ fees and the costs of this action; and All other and further relief that the Court deems proper and just. JURY TRIAL DEMAND Plaintiff hereby demands a trial by jury on all issues so triable in this matter. Dated: July 23, 2008 Respectfully submitted by: EKSTRAND & EKSTRAND LLP /s/ Robert C. Ekstrand _______________________________ Robert C. Ekstrand (NC Bar #26673) Attn: Stefanie A. Sparks 811 Ninth Street Durham, NC 27705 Email: rce@ninthstreetlaw.com Email: sas233@law.georgetown.edu Counsel for the Plaintiff, Andrew Giuliani 28 Case 1:08-cv-00502 Document 1 Filed 07/23/2008 Page 29 of 29 EXHIBIT 1 Case 1:08-cv-00502 Document 1-2 Filed 07/23/2008 Page 1 of 3 Case 1:08-cv-00502 Document 1-2 Filed 07/23/2008 Page 2 of 3 Case 1:08-cv-00502 Document 1-2 Filed 07/23/2008 Page 3 of 3 EXHIBIT 2 Case 1:08-cv-00502 Document 1-3 Filed 07/23/2008 Page 1 of 2 Case 1:08-cv-00502 Document 1-3 Filed 07/23/2008 Page 2 of 2 EXHIBIT 3 Case 1:08-cv-00502 Document 1-4 Filed 07/23/2008 Page 1 of 2 Case 1:08-cv-00502 Document 1-4 Filed 07/23/2008 Page 2 of 2 EXHIBIT 4 Case 1:08-cv-00502 Document 1-5 Filed 07/23/2008 Page 1 of 2 E-MAIL SENT ON APRIL 15, 2008 Case 1:08-cv-00502 Document 1-5 Filed 07/23/2008 Page 2 of 2 EXHIBIT 5 ______________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. Case 1:08-cv-00502 Document 1-6 Filed 07/23/2008 Page 1 of 30 EXHIBIT 5 Page 1 of 29 DUKE UNIVERSITY STUDENT-ATHLETE HANDBOOK 1 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. 1:08-cv-00502 Document 1-6 Filed 07/23/2008 Page 2 of 30 EXHIBIT 5 Page 2 of 29 TABLE OF CONTENTS Topic Introduction Mission Statement Ethical Standards of the Department of Athletics Important Academic Information Academic Advising Textbook Policy Financial Aid Departmental Standards of Behavior Discrimination and Harassment Policy Social Networks Alcohol Policy Drug Policy and Testing Program Important NCAA and ACC Regulations The Media, Sports Information, and You Training Room Policies and Procedures Weight Room Policies Directory Page 3 4 5 6 9 10 11 13 14 15 16 21 25 28 30 32 33 2 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. 1:08-cv-00502 Document 1-6 Filed 07/23/2008 Page 3 of 30 EXHIBIT 5 Page 3 of 29 INTRODUCTION This handbook is designed to provide varsity student-athletes with information concerning policies of Duke University and of the Duke University Athletic Association (DUAA). It is not intended as a substitute for other important university publications such as the First-Semester Registration Workbook, the Bulletin of Undergraduate Instruction, the Bulletin of Information and Regulations, or T-Reqs (http://www.aas.duke.edu/trinity/t-reqs/) . Therefore, it does not duplicate much of the information contained in those publications. This handbook is a supplement to other sources of information and should be regarded and used as such. The most important thing to remember is that help of all kinds--academic, social, athletic, health-related-- is available if you need it. If you cannot find the answers to your questions in these books, ask your dean, ask your RA, ask your coach. A wide variety of services is available to you at Duke; use them. 3 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. 1:08-cv-00502 Document 1-6 Filed 07/23/2008 Page 4 of 30 EXHIBIT 5 Page 4 of 29 ETHICAL STANDARDS of the DEPARTMENT OF ATHLETICS The Duke University Department of Athletics has a long tradition of striving for distinction in athletic competition, in academic pursuits, and in community involvement. As student-athletes, coaches, and staff of the Department of Athletics, we reaffirm our commitment to continuing and enhancing this tradition. In the pursuit of this distinction, we affirm our commitment to integrity in all that we do and to respect for ourselves, for others, and for the University. We affirm that the decisions we make and the behaviors we choose will be informed and guided by integrity and respect at all times. As members of a community of scholars and learners, we reaffirm our commitment to the principles and values expressed in the Duke Community Standard--the honor code to which all undergraduates pledge themselves--and the policies derived from it. We recognize that our position as a public face of the University imposes upon us the responsibility to represent Duke with honor and dignity. As role models to young people, we recognize the necessity of modeling positive values and exemplary behavior. As members of the Duke and Durham communities, we will foster respect for others, regardless of race, ethnicity, sexual orientation, or gender. We affirm our commitment to the Ethical Standards of the Department of Athletics: exemplary behavior, taking responsibility for our actions, conducting ourselves in a respectful and ethical manner in our relationships with others, and making positive choices in representing ourselves, our families, our teams, and our University. 5 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. 1:08-cv-00502 Document 1-6 Filed 07/23/2008 Page 5 of 30 EXHIBIT 5 Page 5 of 29 IMPORTANT ACADEMIC INFORMATION TRANSITION TO COLLEGE Duke is not high school. This may seem so obvious that it need not be said, but every year many freshmen act as if Duke were exactly the same as high school. You cannot study for the same amount of time as you did in high school and expect to succeed. You cannot put things off and get away with it any more. If you try to do four weeks of Duke work in one or two nights before a test, you won=t do very well. You cannot afford to take it easy for the first two or three weeks of the semester; if you don=t keep up early, you may never catch up. You will be much better off if you overestimate the difficulty of Duke and underestimate your level of preparation than the other way around. It is all too common for students who are perfectly capable of doing good work at Duke to have a terrible first semester or year and then spend the rest of their academic careers trying to raise a low GPA. This happens because, although they recognize that Duke is different and harder than high school, they persist in studying in the same ways and the same amounts as they did in high school. KEEP UP--DON=T CATCH UP. CLASS ATTENDANCE If you expect to do well, you must go to class. In virtually every case in which a student has been academically dismissed, lack of class attendance was a factor. In addition, if you do not attend class regularly, you will not be eligible for tutoring assistance or summer school financial aid. Go to class. THE GRAPEVINE Relying on misinformation can be dangerous. Very few students understand all Duke academic and graduation requirements. Do not rely, therefore, on what you hear from other students. Check out what you hear on the grapevine with your academic dean and with the academic support office in the Athletics Department. STUDY HALL Designated students will be required to attend regular study hours. The schedule of these hours will depend on your class schedule and will be arranged during the first week of classes. Your academic performance will determine how long you are required to attend study hall. ACADEMIC PROGRESS REPORTS Some students will be required to make academic progress reports at regular weekly appointments. The reports will cover grades earned, class attendance, incomplete assignments, progress on term papers, etc. SUMMER SCHOOL DUAA does not automatically pay for summer school. In general, those students who are required to attend summer school in order to meet continuation requirements will be supported to the extent that they are supported during the academic year (e.g., if you receive half an athletic scholarship during the academic year, DUAA will pay for half of your summer school expenses). Awarding of summer school financial aid is determined by the Director of Academic Support. If you think that you may have to go to summer school, you should see him prior to March 15 in the spring semester. You are responsible for earning the two Aextra@ credits that are necessary to reach the 6 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. 1:08-cv-00502 Document 1-6 Filed 07/23/2008 Page 6 of 30 EXHIBIT 5 Page 6 of 29 graduation requirement of 34 courses. DUAA will not finance summer school for this reason alone. ACADEMIC DISHONESTY Duke University views academic dishonesty (cheating or plagiarism) as an extremely serious offense. A student who is found guilty of plagiarism or cheating by the Undergraduate Judicial Board is almost invariably suspended from the university for two semesters. In some cases, students have been expelled. This is as it should be. The student who cheats is committing the most serious offense possible in an academic community. It is much better to turn in a paper or assignment late or request an extension from your instructor than to turn in work that is not your own. Moreover, the student who is suspended for academic dishonesty also loses his or her athletic scholarship. You need to be especially careful about indicating the sources of information you have used in writing papers. You need to cite everything you have derived from other sources. If you have citation questions, see your instructor and/or a staff member in the University Writing Studio. What may seem like a simple oversight or act of carelessness will look like plagiarism to the Judicial Board. Remember, no one ever got in trouble for having too many footnotes. For the definitions of various kinds of academic dishonesty and for additional information about rules of conduct at Duke, see the Bulletin of Duke University: Information and Regulations. DEADLINES If you use your time wisely, you should never have trouble meeting deadlines for papers or other homework assignments. Every instructor allows plenty of time to complete the assigned work thoroughly and competently. It is up to you to use that time efficiently. The earlier you start on an assignment, the better your chances to do well. If you think of classes as a form of competition--after all, you are being judged compared to other students in the class--then procrastination amounts to giving your competitors a head start. Is it reasonable to expect to do as well on an assignment in two or three days as other students who have spent two or three weeks on it? In addition, most professors penalize late work or simply do not accept it. Think ahead; give yourself enough time to do a good job. LATENESS Nothing irritates an instructor as much as a student who is frequently late. Lateness is a sign of disrespect, lack of interest, and lack of commitment. Be on time. UNDERSTAND WHAT=S EXPECTED OF YOU Make sure that you know exactly what is expected on each assignment. If a professor assigns a paper, you need to know what kind of paper she expects. How long is it supposed to be? Does she expect research or completely independent thought? How broad or narrow should the topic be? To prepare adequately for a test, you need to know what kind of test to expect. Essay or short answer? Will it be based primarily on class notes or on the readings or both? You have a legitimate right to know the answers to these questions. Do not be afraid to ask them. TUTORING DUAA provides tutoring at no cost to varsity athletes provided that: 7 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. 1:08-cv-00502 Document 1-6 Filed 07/23/2008 Page 7 of 30 EXHIBIT 5 Page 7 of 29 1) You have attended class regularly. DUAA will not provide tutors as a substitute for class attendance; 2) You have utilized the assistance services associated with the class (help sessions, professor=s office hours, etc.) to the extent possible. 3) You arrive on time for each tutoring session. If you are concerned about your performance in any class and meet the above qualifications, report to the appropriate academic support office in the Athletics Department during regular office hours to discuss the possibility of being assigned a tutor or contact a tutor directly at www.duke.edu/web/athletetutor. For the most part, tutoring is most effective when it is undertaken on a sustained, regular basis. Do not expect to be dramatically helped by one or two last-minute sessions. Also, do not expect or ask the tutor to do homework assignments, write papers, etc. You should go to tutoring sessions prepared to tell the tutor clearly what questions you have or what problems you have encountered. DUAA will pay only for tutoring that has been authorized. If you do not follow the proper procedures, you will have to pay for any tutoring you receive. MISSED CLASSES The university=s official policy is that you are excused from classes when you are acting as an official representative of the university (i.e., traveling to away games). You cannot be penalized for what you have missed during these classes and must be allowed to make up any work that was due at the time. You should inform your instructor early in the semester that you will have to miss some classes. Whether the instructor requests it or not, it is a good idea to obtain an official excuse for these absences. These excuses are available from your academic dean. The fact that you will be required to miss some classes to participate in your sport makes it imperative that you do not miss any other classes. Once again, class attendance is crucial to academic success. And under no circumstances will you be excused from class to attend an oncampus athletic practice. DUAA COMPUTERS The Department of Athletics provides computers for the use of student-athletes who are travelling to an out-of-town contest. These computers include a limited number of lap-tops which can be checked out for 48 hours. In addition, computers in the Campbell Academic Center are accessible 24 hours a day. ACADEMIC DEANS Every student has an academic dean, depending on the major that he or she has declared. The deans are your official primary source of academic information and assistance. The academic support unit of the Department of Athletics acts as a supplement to the services the deans provide, but never as a replacement for those services. 8 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. 1:08-cv-00502 Document 1-6 Filed 07/23/2008 Page 8 of 30 EXHIBIT 5 Page 8 of 29 ACADEMIC ADVISING Academic advising may be the most important form of assistance you receive as an undergraduate. This is especially true early in your career when you may be less sure of the direction you want to take and certainly know less than you will about requirements, courses, faculty members, and the curriculum in general. When you first arrive at Duke, your official advisor is the faculty member in the Academic Advising Center or the School of Engineering to whom you are assigned during freshman orientation. When you declare a major you will then be assigned an advisor in your major department. You must consult this advisor during each registration period or you will not be allowed to register. If you cannot register on time, you will have to pay a late fee and will also have a much more difficult time getting onto the courses you want since many required courses close during the registration period. THE ACADEMIC ADVISING CENTER No Duke student in Trinity College may declare a major before the end of the freshman year; your major must be declared, however, before Spring Break of the sophomore year. Until you do so, you will be advised by a faculty member assigned to you by the Advising Center. The directors of the Center are strict, and rightly so, about following the proper procedures for advising and registration. If you fail to do so without a valid excuse, you will have to register late and accept the consequences. DUAA ACADEMIC ADVISING Advising from the academic support office of the Athletics Department should be regarded as preliminary and unofficial. Most students have found that the most productive way to proceed is to consult with the academic support personnel before meeting with their official academic advisors. But remember that this meeting does not excuse you from your official advising conference. ON-LINE REGISTRATION All registration and course changes (drop-add) are completed over the internet using the Automated Computer Enrollment System (ACES). In order to have access to ACES, you must have acquired your personal identification number (PIN) from your advisor at your advising conference. Without this number, you will be unable to register and will have to pay the late fee. Always remember to safeguard your PIN; it grants access not only to registration but also to grade reports and other private information. The procedures for registration through ACES are outlined in the Official Schedule of Courses which is available on-line at www.duke.edu. 9 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. 1:08-cv-00502 Document 1-6 Filed 07/23/2008 Page 9 of 30 EXHIBIT 5 Page 9 of 29 FINANCIAL AID In general, student-athletes who are receiving financial aid fall into three categories: full athletic scholarship, partial athletic scholarship, and need-based, non-athletic institutional aid. Students who are on some form of athletic aid need to be aware of the relevant NCAA regulations. 1) You may not receive any aid in excess of the cost of a full athletic scholarship. For full scholarship students this means that you are not eligible for any other form of financial aid. Students on partial athletic scholarship may receive aid from other sources as long as the total of aid from all sources does not exceed the value of a full scholarship. If, for example, a full scholarship is worth $30,000 and you have been awarded an $18,000 athletic scholarship, you are free to accept other forms of aid up to $12,000. Any aid that you receive in excess of the cost of a full scholarship will have to be deducted from your athletic grant. 2) This prohibition on excessive aid does not apply to earnings from employment, as long as: Τ The compensation does not include any remuneration for value that the student-athlete may have for the employer because of the publicity, reputation, fame, or personal following he or she has obtained because of athletics ability; The student-athlete is compensated only for work actually performed; The student-athlete is compensated at a rate commensurate with the going rate in that locality for similar services. Τ Τ These earnings must be approved and monitored by the Director of Compliance in the Department of Athletics (Campbell Academic Center, Schwartz-Butters Building). 3) The NCAA allows a limited number of exceptions to these rules. The most significant of these for Duke students is the Pell Grant. Students who qualify for a Pell Grant may receive up to $4050. Because this money is in the form of a grant, you are under no obligation to pay it back. Any student who is interested in Pell Grant should contact the Duke Office of Financial Aid (684-6225). In addition, if you receive a Pell Grant, you also have access to the NCAA Needy Student Athlete Fund. This fund, administered by the ACC, can provide additional assistance for medical or dental bills, emergency travel, clothing, and other items. Applications for access to this fund are coordinated by the Duke Office of Undergraduate Financial Aid (6846227). Finally, all student-athletes, regardless of need, have access to the NCAA Student Athlete Opportunity Fund. At Duke, this fund may be used to by textbooks and related academic supplies. This fund is administered by the Business Manager of the Department of Athletics (118 Cameron Indoor Stadium). 11 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-6 Filed have been extracted. Page 10 of 30 EXHIBIT 5 Page 10 of 29 Under NCAA regulations, athletic scholarships are granted for one year renewable terms. Under normal circumstances, Duke=s policy is to treat an athletic scholarship as a four year grant. Your scholarship will not be taken away for reasons of health or injury. However, the university may revoke your scholarship if you render yourself ineligible for athletic competition (this includes academic failure), falsify information on your application or letter of intent, or fail to follow the rules established for your sport, including failure to adhere to the student-athlete drug policy. You are free at any time to withdraw from the team voluntarily and resign your scholarship. If you do so, your scholarship, of course, would not be renewed. 12 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-6 Filed have been extracted. Page 11 of 30 EXHIBIT 5 Page 11 of 29 DEPARTMENTAL STANDARDS OF BEHAVIOR While individual teams are free to develop their own team rules, all studentathletes are also bound by department-wide standards of behavior: It is illegal for underage persons to possess or consume alcoholic beverages. It is illegal to drive while impaired. It is both illegal and a violation of University rules to engage in hazing or harassment. DUAA prohibits all student-athletes from drinking alcoholic beverages, using tobacco products, or using illegal substances whenever traveling with their team and/or acting as official representatives of Duke University. This prohibition extends to travel to and from an event, home games, team gatherings before or after games, and any time the team is together in an official capacity. It also prohibits consuming alcohol at any Athletics Department sponsored event. DUAA prohibits student-athlete hosts from providing potential student-athletes with alcoholic beverages on official or unofficial recruiting visits. DUAA requires any student-athlete cited for any off-campus violation to self report that violation to his/her Head Coach within 48 hours. Failure to adhere to these standards of behavior may result in the Head Coach, after consultation with the Director of Athletics, imposing one or more of the following disciplinary actions: Reprimand Probation Suspension Loss of athletic aid Cancellation of eligibility and dismissal from the athletic program Finally, in the event that a student-athlete is charged with a felony, absent extraordinary circumstances as determined by the University administration, he/she will not be permitted to represent Duke in game competition until the charge is resolved and all court, University, and Athletics Department conditions for reinstatement have been met. 13 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-6 Filed have been extracted. Page 12 of 30 EXHIBIT 5 Page 12 of 29 DISCRIMINATION AND HARASSMENT POLICIES Duke University does not discriminate on the basis of race, color, national and ethnic origin, disability, sexual orientation or preference, gender, or age in the administration of educational policies, admission policies, financial aid, employment, or any other University program or activity. It admits qualified students to all the rights, privileges, programs, and activities generally accorded or made available to students. The University also does not tolerate harassment of any kind. Questions, comments, or complaints of discrimination or harassment should be directed to the Office of the Vice President for Institutional Equity: (919) 684-8222. Further information, as well as the complete text of the harassment policy, may be found at http://www.duke.edu/web/equity/ 14 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-6 Filed have been extracted. Page 13 of 30 EXHIBIT 5 Page 13 of 29 ALCOHOL POLICY University-Wide Policy As a community of scholars and learners, Duke University expects those within its community to be responsible with the use of alcohol. This policy shall guide the role of alcohol everywhere on the Duke campus and at all events sponsored by Duke organizations, schools, or administrative units. Students, staff, and faculty members are encouraged to learn about the social, physiological, and psychological consequences of drinking and alcohol abuse. Excessive and high-risk drinking can lead to negative consequences for the Duke community, including assault, illness, injury, litter, noise, property damage, and driving under the influence. All members of the Duke community share responsibility for creating an environment that limits dangerous drinking behaviors and, therefore, reduces the likelihood of these negative outcomes.The following shall guide the role of alcohol in the Duke community: $ All possession, consumption, and distribution of alcohol at Duke University shall be in accordance with applicable North Carolina state laws. $ Members of the Duke community are responsible for behaving in a manner that is not disruptive or endangering to themselves or others. Being under the influence of alcohol shall not be a mitigating factor for an individual=s behavior. $ When persons under 21 years of age can reasonably be expected to be present at an event, proper precautions must be taken to restrict distribution and consumption of alcohol to persons of legal drinking age. Student organizations shall also adhere to the specific guidelines for events outlined in the undergraduate Bulletin of Information and Regulations or the Graduate and Professional Student Alcohol Policy. $ Advertising or other communication that references the availability of alcohol at a function may not promote alcohol as the focus of the event or promote excessive drinking. $ Each community (e.g. Undergraduate, Fuqua, Law, etc.) may establish additional guidelines and policies governing the possession, consumption, and distribution of alcohol that reach beyond these minimal expectations. Violations of policies shall be adjudicated using existing procedures within each segment of the university. Undergraduate Policy The remainder of this policy, specifically for undergraduates, augments Duke=s university-wide alcohol policy. For individuals as well as groups, prohibited behavior includes: Underage Possession/Consumption; Unsafe/Irresponsible Behavior; Violation of Community Expectations; and General Provisions Violation. Sanctions for violations of any of these prohibited behaviors are outlined in thechapter of this Bulletin entitled Resolution of Student Conflict and Alleged Violations of University Policy. Parents of students under the age of 21 will be notified of alcohol-related disciplinary violations when a student=s health or safety has been/is at risk. See 16 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-6 Filed have been extracted. Page 14 of 30 EXHIBIT 5 Page 14 of 29 Appendix E, Information and Resources Concerning Substance Use, for health effects associated with alcohol and other drug use, helpful resources for assistance, andlegal ramifications of illicit possession, use, or distribution. Underage Possession/Consumption Students under 21 years of age are not permitted to purchase, possess, or consumealcoholic beverages. Being under the influence of any amount of alcohol while underageis considered a violation of this provision. For individuals as well as groups, prohibited behavior includes: Underage Possession/Consumption Unsafe/Irresponsible Behavior Violation of Community Expectations. Sanctions for violations of any of these prohibited behaviors may include, but are not limited to, one or more of the following: educational initiatives, restitution to the community, fines, revocation of housing and/or on-campus driving privileges, referral to a substance abuse specialist, treatment through a professional agency such as the Duke Addictions Program, formal warning, disciplinary probation, suspension, or expulsion from the university. Parents of students under the age of 21 will be notified of alcoholrelated disciplinary violations when a student=s health or safety has been/is at risk.For complete information regarding North Carolina state laws governing alcohol, consult the North Carolina General Statutes, Chapter 18B (available online at http://www.ncleg.net/gascripts/Statutes/Statutes.asp). Criminal penalties for a violation of these laws include a misdemeanor conviction, community service, possible loss of driver=s license, and/or fines. (Click here for information concerning health effects associated with alcohol and other drug use, helpful resources for assistance, and legal ramifications of illicit possession, use, or distribution.) Underage Possession/Consumption Students under 21 years of age are not permitted to purchase, possess, or consume alcoholic beverages. Being under the influence of any amount of alcohol while underage is considered a violation of this provision. Unsafe/Irresponsible Behavior Unsafe or irresponsible behavior is defined as actions that are harmful or potentially harmful to one=s self or others involving the use of alcohol. Such behavior includes, but is not limited to: consuming an excessive quantity in a short amount of time; participating in or facilitating drinking games or progressive parties; taking shots of liquor or consuming through beer bongs; use or attempted use of fraudulent identification or another=s identification to obtain alcohol; and making alcohol available to underage drinkers. Community Expectations Violation It shall be a violation of the alcohol policy to engage in an action while under the influence of alcohol that is disruptive to the community. Such behavior includes, but is not limited to: 17 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-6 Filed have been extracted. Page 15 of 30 EXHIBIT 5 Page 15 of 29 driving; exhibiting disorderly conduct, damaging property, and/or fighting; vomiting and/or urinating in public; and cursing and/or shouting at others. General Provisions Violation Additionally, Duke University has established the following general provisions regarding alcohol: No kegs are permitted in private rooms, student apartments, commons rooms, or other public space. (University-approved bartenders, who will be responsible for carding, may distribute alcohol from kegs in public space at officially approved and registered events.) Only university-approved bartenders are permitted to distribute alcohol on campus, including alcohol from common-source containers. Except at events in a licensed facility providing a cash bar, no spirituous liquor or fortified wines may be served to undergraduates. All students on university property consuming or possessing alcohol mustcarry a valid driver=s license, state identification card, military identificationcard, or passport. Alcohol may not be brought in glass containers to BYOB events that require registration. No alcoholic beverages are permitted in first-year houses (or the surrounding grounds) on East Campus. No alcoholic beverages are permitted within the confines of athletic facilities during sporting events. The use of alcoholic beverages as a prize is prohibited. Group-Sponsored Social Functions Recognized groups may be held accountable for violations of the alcohol policy that occur during a group-sponsored event. As it is expected to ensure that such violations do not occur, a group will be held accountable if the group failed to take appropriate precautions. Appropriate precautions must include: a party monitor for every 25 persons expected to attend the event; adequate and accessible non-alcoholic beverages and food; compliance with all fire safety regulations; adequate control of access to event; enforcing occupancy limits for the venue, including commons rooms, hallways, and stairwells; calling for medical/police assistance as needed; and serving of alcohol by licensed bartenders only. 18 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-6 Filed have been extracted. Page 16 of 30 EXHIBIT 5 Page 16 of 29 Student party monitors must have attended a party management seminar presented bythe Office of Student Activities and Facilities. Their duties shall include, but are not limited to, prevention of alcohol policy violations, intervention and care of inebriated, at-risk individuals, elimination of safety hazards, and attention to group precautions. Checking identification will be the responsibility of licensed bartenders.Social events that fail to meet any of these expectations must be shut down immediately. Health and Safety Intervention Because health and safety of students are of primary importance, students are encouraged not only to look out for their own health and safety but also for that of their peers. When a person=s health and/or safety is/are threatened or appear(s) to be in jeopardy, immediate action should be taken to prevent injury/illness/danger. The action may be a call to Duke Police (911; 684-2444 from noncampus phones) or Student Health (681-WELL (9355)) for assistance and guidance. Whatever the particular need/problem, itis important to respond in a responsible and timely manner.Formal disciplinary action for a violation of the alcohol policy will not be taken against students for whom medical assistance is sought, or against those who seek medical assistance for themselves or for others, provided that the student/group has not violated other university policies that warrant formal disciplinary action. A student who receives medical assistance shall be required to meet with a substance abuse specialist in Counseling & Psychological Services (CAPS) for education, assessment, and possible referral for treatment. The student will also be required to complete an educational assignment. Parents of such students under the legal drinking age will also be notified.In the event that a student fails to meet with the specialist, chooses not to participate inthe treatment program outlined, or exhibits a pattern of abusive behavior with alcohol, the student may be subject to formal disciplinary action and/or placed on a Medical Leave of Absence until he/she produces documentation that appropriate treatment has been successfully sought. Resources The following resources are available to members of the Duke community: Duke Police and Emergency Medical Service: 911 or (919) 684-2444. Professionals will respond to assess the medical needs of an individual who isincapacitated or at-risk. Counseling and Psychological Services: (919) 660-1000. CAPS offers evaluation, consultation, counseling, and referrals for students concerned about alcohol use. Personal Assistance Service: (919) 416-1727. PAS offer assessment, short-term counseling, and referrals for employees and faculty members concerned about alcohol use. Duke Addictions Program: (919) 684-3850. DAP offers evaluation, consultation, and treatment for individuals with alcohol and other substance abuse issues, as well as support services for family members. Holly Hill Hospital: (800) 447-1800. 24-hour confidential advice on alcohol abuse. 19 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-6 Filed have been extracted. Page 17 of 30 EXHIBIT 5 Page 17 of 29 Academic courses related to alcohol use, treatment, and research. See course listings through the Office of University Registrar (http://registrar.duke.edu) or the Bulletin of each school. DUAA Alcohol Policy While student-athletes are governed by the University Alcohol Policy, and individual teams may develop their own policies concerning consumption of alcoholic beverages, all student-athletes are also subject to a department-wide policy. Studentathletes who are found guilty of under-age consumption and/or driving while impaired will be subject to sanction, depending on the severity of the offense. The range of possible sanctions includes suspension from team activities, expulsion from the team, and/or revocation of athletic financial aid. 20 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-6 Filed have been extracted. Page 18 of 30 EXHIBIT 5 Page 18 of 29 DRUG POLICY AND TESTING PROGRAM The intent of these policies is to prevent the use of prohibited substances by studentathletes through education, testing, and professional guidance. Systematic drug testing is appropriate and necessary to ensure the health, safety and welfare of our student-athletes, to promote fair competition in intercollegiate athletics, to affirm compliance with applicable rules and regulations governing drug use, and to identify student-athletes who are improperly using drugs and assist them before they harm themselves or others I. Prohibited use of banned substances. All student-athletes enrolled at the University are prohibited from using any substance belonging to any of the classes of banned substances published by the NCAA, and updated from time to time. The classes of banned substances are: stimulants, anabolic steroids, diuretics (masking agents), street drugs (e.g., heroin, marijuana, cocaine), and peptide hormones and analogues (e.g., human growth hormones and erythropoietin (EPO)). The University may test for any substance contained on the NCAA’s list of banned substances, including unlisted compounds that are related to specific drugs listed by the NCAA (i.e., substances that are included in a class of drugs by their pharmacological action and/or chemical structure). The student is responsible for everything that goes into his or her body; students use all drugs and nutritional or dietary supplements at their own risk. Before taking any drug or supplement, students should consult with their team trainer or physician. Unannounced drug-testing. All student-athletes identified on the NCAA official squad list and all intercollegiate teams will be subject to unannounced drug testing. All student athletes will be required to execute a waiver consenting to such testing. Testing may occur during any period the student is present on campus, including the preseason, during the regular academic year, and during the summer session. The consequences of a positive test for street drugs and other classes of banned substances, other than anabolic steroids, peptide hormones and analogues, and diuretics. A first positive test for a street drug, or other banned substance, other than anabolic steroids, peptide hormones and analogues, and diuretics, will be treated as a matter calling for evaluation, treatment, and counseling. A student will be subject to unannounced drug testing as part of his or her treatment. As part of a treatment plan, the student may be suspended from competition. A positive test which indicates that the student has used a banned substance during the period of evaluation, treatment, and counseling shall 21 II. III. a. Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-6 Filed have been extracted. Page 19 of 30 EXHIBIT 5 Page 19 of 29 be treated as a second positive test, if it is a street drug or other banned substance, other than an anabolic steroid, peptide hormone or analogues, or a diuretic. If the positive test is for an anabolic steroid, peptide hormone or analogues, or a diuretic, it will be treated in accordance with the provision of this policy dealing with a positive test for those substances. b. A second positive test for a street drug or other banned substance, other than an anabolic steroid, peptide hormone or analogues, or a diuretic, will result in a suspension of eligibility to compete in all intercollegiate competition for at least 50% of the total regular season’s contests, to be carried over into the next regular season, if necessary. A third positive test for a street drug or other class of banned substances, other than anabolic steroids, peptide hormones and analogues, or diuretics, will result in the permanent termination of eligibility to compete in all intercollegiate competition at Duke University. The consequences of a positive test for anabolic steroids, peptide hormones and analogues, and diuretics. The use of anabolic steroids and peptide hormones and analogues is cheating and undermines the integrity of any athletic competition in which the offending student participates. A first positive test for an anabolic steroid, a peptide hormone or analogue, or a diuretic will result in a suspension of eligibility to compete in all intercollegiate competition for one calendar year. A second positive for an anabolic steroid, peptide hormone or analogue, or a diuretic will result in a permanent termination of eligibility to compete in all intercollegiate competition at Duke University. Additional sanctions. In addition to the foregoing sanctions, the Athletic Director or coach may treat a violation of this drug policy as student-athlete misconduct and impose appropriate additional sanctions. Labeling of urine samples. All urine samples shall be divided into two parts, Sample A and Sample B. If the student’s A sample tests positive for a banned substance, it will be deemed conclusive proof that the student violated this policy, unless the student requests an appeal from the positive test, in the manner required by this policy. Self-reporting. A student may self-report his or her use of a banned substance, except where it is done to evade an unannounced drug test. When a student selfreports the use of a banned substance, he or she will be tested immediately and will be treated as having tested positive for the banned substance actually used. 22 c. IV. a. b. V. VI. VII. Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-6 Filed have been extracted. Page 20 of 30 EXHIBIT 5 Page 20 of 29 VIII. Notice of a violation of this policy. When a student has been found guilty of using a banned substance, the Athletic Director, the student’s parents or guardians, and his or her coach will be notified. The student also will be required to notify his or her teammates of a positive test for a banned substance, except where the student has self-reported the use of the substance under this policy, in which case whether and when others will be notified of the self-reported use of the banned substance will be decided on a case by case basis. Consequences of failing to participate in or cooperate with the drug testing program. All student-athletes are required to comply fully with the drug-testing program created by this policy. A failure to execute the drug testing consent form; an un-excused absence from a drug test; or a refusal to provide a sample or the tampering with or manipulation of a sample will be treated as a positive for an anabolic steroid. A failure to provide an adequate sample within a reasonable period of time may result in a suspension of eligibility until the student provides an appropriate sample under circumstances set by the University. If, based upon the written report of the sample collector, the failure to provide a urine sample occurs under circumstances that amount to a refusal to provide the sample, the failure will be treated as a positive for an anabolic steroid. All urine samples actually provided by a student may be tested. Appeal from a positive test. Any student who tests positive for the use of a banned substance may appeal to a drug testing appeal board. The request for an appeal must be made in writing within 5 days of the written notice to the student that his A sample tested positive for a banned substance. If the student requests an appeal, his or her B sample will be tested to confirm the presence of a banned substance. In case of an appeal, the Athletic Director, in consultation with the Chair of the Athletic Council, will appoint a 3-member panel to hear the appeal. The members of the board may include an athletic department administrator, a head trainer or team physician, a faculty member from the Athletic Council, and other members from outside the Athletic Department. The chair of the board shall be a person from outside the Athletic Department. No person associated with the student’s team shall be appointed to the board. The student may appeal on any ground, including on the ground that he or she had "no fault" for the doping violation (i.e., that he or she did not know and could not reasonably have discovered or suspected that he or she was 23 IX. a. b. X. a. b. Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-6 Filed have been extracted. Page 21 of 30 EXHIBIT 5 Page 21 of 29 administered or took a banned substance) or that he or she had "no significant fault" (the student's fault or negligence in the totality of the circumstances was not significant in relationship to the doping violation). In the case of no fault, the student will be absolved of the violation; in the case of no significant fault, the board may reduce any suspension by up to 50% of what it other wise would have been, except in the case of a first positive for a street drug or other class of banned substances, other than anabolic steroids, and peptide hormones and analogues. However, it shall not be a basis for appeal solely that the student unwittingly used a product that contained a banned substance. c. On appeal, the student will have the burden of establishing his or her defense by clear and convincing evidence. The sanctions authorized by this policy shall not be imposed ( a )until the hearing board has decided any appeal by the student; ( b ) the student has withdrawn the appeal in writing; or ( c ) the time for the student to appeal has expired. Confidentiality. Except as required by law, the University will treat confidentially all information relating to a student’s alleged or confirmed use of a prohibited substance, aside from such disclosures to University personnel, parents, guardians, coaches, and the student’s teammates that are required to be made under this policy. Employees of the University who breach this policy of confidentiality or who disclose information about unannounced random drug testing, such as the dates of such testing and the students or teams subject to testing on a particular date will be treated in the same manner as employees who breach the confidentiality of patients’ medical records. Oversight Committee. d. XI. a. b. XII. a. The President will appoint a committee to oversee the program established by this policy. The members of the committee shall include an Athletic Department administrator, a member of the faculty, a representative from Student Affairs, and a trainer or team physician. b. The oversight committee will be responsible for determining the appropriate drug screening test to use, the frequency of tests, and the selection process for unannounced testing. The Committee also will be responsible for evaluating the adequacy of all drug educational programs established for student-athletes. Finally, the Committee will be responsible for making an annual report to the President and Athletic Director concerning implementation of this policy. The report shall include any recommendations for modification of the policy, drug educational programs, or sanctions for violating the policy. 24 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-6 Filed have been extracted. Page 22 of 30 EXHIBIT 5 Page 22 of 29 IMPORTANT NCAA and ACC REGULATIONS As a member of the National Collegiate Athletics Association (NCAA) and the Atlantic Coast Conference (ACC), Duke is committed to upholding rules of fair play and to complying with NCAA regulations. The individuals responsible for maintaining compliance with national and conference rules are Chris Kennedy, Senior Associate Director of Athletics and Jamie Pootrakul, Compliance Coordinator. See them if you have any questions or concerns about your eligibility or any other issues related to the rules governing college athletics. COMPLIMENTARY ADMISSIONS POLICY Under NCAA rules, members of teams which charge admission to their contests are entitled to receive up to four complimentary admissions for each regular season contest and six for each NCAA Championship contest or bowl game. There is no restriction on who may receive these passes. You may also give your passes to a teammate who may then designate the recipients. The Department of Athletics will issue a form to each eligible student-athlete prior to each contest. On this form, you will be asked to designate the recipients of your complimentary admissions. On the reverse of the form is a copy of NCAA rules governing complimentary admissions which you are required to obey: NCAA Bylaw 16.2.1.2: AComplimentary admission shall be provided only by a pass list for individuals designated by the student-athlete. >Hard tickets= shall not be issued.@ NCAA Bylaw 16.2.2.1: AA student-athlete may not receive payment from any source for his or her complimentary admissions and may not exchange or assign them for any item of value.@ You will be asked to sign this card. You must understand that DUAA is required to comply with and enforce NCAA rules and will do so if you abuse the use of complimentary admissions. Abuse of this rule will result in penalties ranging from loss of ticket privileges for one or more contests to suspension from the team. GAMBLING Gambling is an enormous industry in this country. Every year, more than 20 billion dollars are wagered on sports. With this much money at stake, gamblers place a premium on anything which will give them an edge, especially inside information. Be careful. Do not discuss Duke athletes or teams with anyone you do not know, including other students. Be especially wary of phone calls seeking information about injuries, weather, or any other factor that could affect the outcome of a game. You could lose your eligibility for placing or accepting a bet or for giving information to gamblers. AMATEURISM In order to participate in intercollegiate athletics, you must be an amateur in your sport. You lose your amateur standing if you use your athletics skill in any form for pay, 25 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-6 Filed have been extracted. Page 23 of 30 EXHIBIT 5 Page 23 of 29 sign a contract to play professional athletics, sign with an agent, compete on a professional team, or accept reimbursement or pay from a professional sports organization, The rules governing amateurism are complicated and your eligibility to compete for Duke is at stake. If you have doubts or questions about any situation, check with the Duke Compliance Office. REDSHIRT/HARDSHIP These two terms, which are frequently used interchangeably, refer to two completely different ways of maintaining eligibility through five years of competition. ARedshirting@ refers to the practice of intentionally holding a student out of competition for an entire year. Since all student-athletes have five years in which to use their four years of eligibility, this means that the student may be a sophomore academically and yet still have four years of eligibility remaining. Duke=s policy is to use the redshirt rule on a very limited basis. Unlike many institutions, Duke will not redshirt whole classes. The Duke policy mandates that the student take an active role in seeking a redshirt year: Ano earlier than the beginning of his or her sixth semester and no later than the end of his or her seventh semester, a student-athlete who desires to compete during a post-eighth semester must apply in writing for permission to do so. The application should be made to the team coach . . . If the coach determines that in his or her judgment approving the request would be beneficial to the student-athlete and to the athletic program, he or she must indicate approval in writing . . . to the Director of Athletics.@ AHardship@ refers to gaining an extra year of eligibility after suffering an injury serious enough to prevent you from competing for the rest of the season. You are eligible to apply for a hardship year if your injury occurs in the first half of the season and if you have not competed in more than two events or twenty percent (whichever is greater) of the institution=s completed events in your sport. If you become eligible for a hardship extension of eligibility, you should consult with your coach concerning application for approval. ENDORSEMENTS NCAA rules prohibit the use of a student-athlete=s name or picture to endorse a commercial product or service. The penalty for doing so is loss of eligibility. Seemingly innocent things, such as posing for a calendar to benefit a fraternity or sorority, can be interpreted as violations of this rule. Check with your coach if you have any questions or concerns. PLAYING AND PRACTICE SEASON LIMITATIONS There are limits on what can be required of you by your coach. During the season, you cannot spend more than 20 hours per week or four hours per day in required athletically-related activities (practice, conditioning, meetings, film study, weight lifting). In addition, you must be granted one day off each week. In the off-season, you cannot be required to spend more than eight hours per week on conditioning activities; two of those eight hours may be spent on skill instruction with your coach. 26 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-6 Filed have been extracted. Page 24 of 30 EXHIBIT 5 Page 24 of 29 TRANSFER TO ANOTHER ACC SCHOOL If you were recruited by Duke, if the Department of Athletics interceded for you in admissions, or if you received athletic financial aid, and you want to transfer to another ACC institution, you are subject to the following restrictions: 1) You must complete a year of residency at the school to which you transfer before you are eligible to compete or receive athletic financial aid; 2) your year of residency will count as one of your four seasons of eligibility; 3) you will count toward the team scholarship limits at your new institution. 27 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-6 Filed have been extracted. Page 25 of 30 EXHIBIT 5 Page 25 of 29 THE MEDIA, SPORTS INFORMATION, AND YOU PURPOSE A high-profile athletics program such as Duke=s attracts extensive media coverage. The Duke Sports Information Department (SID) exists to help student-athletes and coaches cooperate with members of the media in a constructive and efficient manner. Duke student-athletes typically make excellent spokesmen for all the university represents. Therefore, we encourage you to interact with media members whenever possible. The Sports Information staff understands and appreciates the many demands on your time, further emphasizing the need for communication between you and the SID staff when it comes to media access. INTERVIEW POLICIES All interviews with Duke student-athletes are arranged through the Sports Information Office. Media are asked to contact the SID at least 24 hours in advance to arrange a time for an interview that is convenient for you. Interviews are normally scheduled before or after practice sessions so as not to interfere with the student=s time away from athletics. The location is usually the SID office (115 Cameron Indoor Stadium) or the practice site. For post-game interviews, there is a ten minute Acooling off@ period for student-athletes before they interact with the media. Duke has an equal access policy regarding post-game interviews in the locker room. In Football and Women=s Basketball, players are brought to an interview area following comments from the head coach. In Men=s Basketball, the locker room is open to all media members. The rules vary from sport to sport but insure equal access to media members. Representatives of the media are not permitted to call Duke student-athletes in their dorms or apartments or on their cell phones for interviews. The SID office has a strict policy of NEVER distributing student-athletes= phone numbers, and it discourages students from providing their numbers to reporters for Afollow-up@ calls or for any other reason. If a reporter should call your room or cell phone, instruct him or her to contact the SID office and follow the proper procedure. TIPS TO MAKE INTERVIEWS MORE ENJOYABLE Relax and have fun. The media always appreciate honest answers and you=ll feel more comfortable just being yourself. Always remember that you are not only representing yourself, but your coach and your school. Be prompt. When we set up an interview for you, we expect you to keep your appointment. If a problem arises, call us. There is nothing more distressing for the athletics staff and embarrassing for the university and your program than to have media members waiting for your appearance. You can say Ano@. Most of your interviews will come about because of success. On occasion, however, you may be asked about a situation that is delicate or controversial. If you are asked about something that may reflect negatively on you, your team, or Duke, remember 28 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-6 Filed have been extracted. Page 26 of 30 EXHIBIT 5 Page 26 of 29 that you have the right not to discuss a particular subject. Be polite but firm. Say AI=d rather not discuss that subject.@ Use the sports information staff as a sounding board if you are uncomfortable with certain subjects. Be quotable. You can develop a reputation as a good interview by being creative and quotable without being outrageous or controversial. Remember that your opponents already have plenty of motivation. There=s no reason to say anything that will provide them with more. You can improve. If you=re interested in improving your ability to handle interviews or public speaking situations, we can help you. Our business is dealing with the media, so make use of the sports information staff. You can make a positive impression in interview situations if you know what you=re doing. Positive interaction between Duke student-athletes and the media is important to the university, but this importance is relative. You will never be asked to miss class or postpone schoolwork to conduct an interview, and you should not volunteer to do so. In an interview, you are encouraged to be open, honest, and prudent. Avoid situations in which you are speaking Aoff the record@. Information obtained in these circumstances very rarely remains off the record. OTHER FUNCTIONS OF THE SID OFFICE The Sports Information Department publishes the media guides and publicity materials for each varsity sport at Duke. We always work in the best interests of the university and we are not members of the media. During your freshman year you will be asked to fill out a publicity questionnaire by our office so that we have all of your vital information on file. Please fill it out completely and honestly. This helps us with biographical information and allows us to be more knowledgeable about you. We will contact your hometown newspapers as often as possible so your family and friends back home can hear about your accomplishments. We are here to help you, so please feel free to provide us with any facts or accomplishments we may not know. MEDIA IN THE TRIANGLE Five major newspapers cover Duke athletics on a daily basis. They are the Durham Herald-Sun, the Raleigh News and Observer, The Greensboro News and Record, the Winston-Salem Journal, and the Charlotte Observer. Three television stations have full-time sports staffs: WRAL (CBS), WTVD (ABC), and WLFL (Fox). Duke=s radio station rights belong to Moore Productions, Inc. with WDNC (620 AM) as the flagship station in Durham. Over 30 stations cover every Duke football game and over 65 cover every basketball contest. The student newspaper, The Chronicle, also provides the Duke community with extensive coverage of all 26 sports. Duke also attracts a large national audience and thus it is not uncommon to have media members from all over the country in town to cover a Duke event or interview a Duke student-athlete. 29 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-6 Filed have been extracted. Page 27 of 30 EXHIBIT 5 Page 27 of 29 TRAINING ROOM POLICIES AND PROCEDURES There are four Duke University Varsity Training Rooms, located in the Murray Athletic Facility (Olympic Sports), The Yoh Center (Football, injury rehabilitation), the SchwartzButters Building (Men=s and Women=s Basketball), and the Brodie Gym (Field Hockey, Volleyball). These training rooms are open to all students who are members of intercollegiate teams. They are staffed by 10 certified athletic trainers. Along with the staff athletic trainers, there are five physicians who work directly with Duke athletes. Dr. Tee Moorman is Director of Sports Medicine. He is responsible for care of all orthopaedic (injury) problems, along with Dr. Allison Toth, Dr. Bill Garrett, and Dr. Dean Taylor. Dr. Jeff Bytomski is team medical physician. He is responsible for all medical (illness) needs of Duke athletes. Through these physicians, the training room staff can also call upon the resources of the Duke University Medical Center to handle any problems that student-athletes may experience. DOCTOR REFERRALS All doctor referrals for Duke athletes are done through the training room. One of the staff athletic trainers will make any appointment you may need. Do not take it upon yourself to make an appointment with the team orthopaedic physician or any other specialist. In order for any athlete to be seen, he or she must have an Injury/Illness Referral Form from the training room prior to the appointment. PHYSICAL EXAMINATIONS All varsity athletes are required to undergo a physical examination every year in order to be allowed to practice and compete. Physicals will be coordinated by the training room staff and head coach. Your head coach will inform you of the date, time, and place of your physical prior to the beginning of practice. INSURANCE COVERAGE All Duke athletes are covered by a catastrophic injury policy taken out by the Department of Athletics. This covers you in the case of a catastrophic injury and/or death that occurs during practice or a contest. All athletes are also covered by travel insurance which would cover you in case of an accident which occurs while you are traveling with your team to or from a site of competition. Medical insurance is divided into two components. The Athletic Department has secondary insurance coverage on all athletes in case of injury. The athlete=s parents= insurance policy is used as the primary policy in case of injuries which require doctor=s referrals, surgery, etc. Your parents are aware of this policy and have filled out an Insurance Information Form for this purpose. NON-ATHLETIC AND PRE-EXISTING INJURIES AND ILLNESSES The Duke Athletic Department insurance does not provide coverage for any illness, pre-existing condition, or nonathletic injury that you may incur. It provides coverage only for athletic injuries that occur during university sponsored and supervised athletic events. The athletic trainers and team doctors will help in coordination of treatment and care for non-athletic injuries and illnesses but financial responsibility for this care falls upon the athlete and his/her parents. 30 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-6 Filed have been extracted. Page 28 of 30 EXHIBIT 5 Page 28 of 29 HOSPITAL AND DOCTOR=S BILLS If are injured during athletic participation and receive a bill from Duke Medical Center, have it sent to the Head Athletic Trainer as soon as possible. He will make certain that the bill is processed correctly. Because the processing of bills through the DUMC accounting and billing department is sometimes slow, you or your parents may receive the same bill again. If this should occur, make sure that you ents continue to forward the bills to the Head Athletic Trainer. MEDICAL CARE FOR STUDENT-ATHLETES All varsity athletes are under student health medical care. To accommodate your class and practice schedules, Dr. Bytomski is available for medical visits in the Murray Training Room from 1:30-5:00 p.m., Monday through Friday. No appointments are necessary. Because of the necessity of having continuity of care and to keep the trainers and coaches aware of any problems, he should be informed about any treatment or infirmary admission that occurs after training room hours. Consultations, when necessary, will be arranged by Dr. Bytomski. GENERAL TRAINING ROOM REGULATIONS 1) Report all injuries and illnesses to the training room staff immediately. 2) No cleats or spikes are allowed in the training room. 3) No horseplay or foul language in the training room. 4) Do not remove any supplies (tape, elastic wrap, towels, etc.) from the training room without permission from the training room staff. 5) The training room is co-ed; dress appropriately. 6) Return any equipment (crutches, elastic wraps, immobilizers, etc.) which you no longer need. 7) PICK UP AFTER YOURSELF. 31 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-6 Filed have been extracted. Page 29 of 30 EXHIBIT 5 Page 29 of 29 I hereby consent to participation in the Duke University Drug-Testing Program as a condition of my participation in intercollegiate athletics at Duke and as a condition to the receipt of any athletically related financial aid. I affirm that I have been provided an opportunity to review the policy and procedures for the Duke University Drug-Testing Program and have been given an opportunity to ask questions about the Program. I understand that the failure to execute this drug-testing consent form; an unexcused absence from a drug test; or a refusal to provide a sample or the tampering with or manipulation of a sample will be treated as a positive drug test for an anabolic steroid. This will result in the suspension of eligibility to compete in intercollegiate competition for one calendar year and may result in the loss of athletic financial aid. I understand that the results of any positive drug tests will be disclosed in accordance with the policies and procedures of the Duke University Drug-Testing Program. ___________________ Date _______________________________________ Signature of student-athlete ___________________ Date ________________________________________ Signature of parent/guardian (if student is a minor) ___________________________________ Name (please print) ___________________________________ Sport Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-6 Filed have been extracted. Page 30 of 30 EXHIBIT 6 ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. Case 1:08-cv-00502 Document 1-7 Filed 07/23/2008 Page 1 of 49 EXHIBIT 6 Page 1 of 48 Athletic Policy Manual of Duke University Revised, May 2007 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. 1:08-cv-00502 Document 1-7 Filed 07/23/2008 Page 2 of 49 EXHIBIT 6 Page 2 of 48 INDEX I. General A. Mission Statement for Intercollegiate Athletics....................................3 B. Introduction.............................................................................................3 C. Authority for Athletic Policy...................................................................4 Trustee Responsibility A. The Board of Trustees Policy for Athletics ............................................4 Administrative Responsibility A. President's Implementation of Board Policy......................................... 5 B. The Athletic Council................................................................................ 5 C. Responsibilities of the Faculty Athletics Representative ................... 10 D. Responsibilities of the Director of Athletics........................................ 10 Athletic Policies and Procedures A. Admissions............................................................................................. 12 B. Academic Progress ................................................................................ 15 C. Eligibility for Grants in Aid................................................................... 15 D. Student-Athlete Drug Policy................................................................. 18 E. Student-Athlete Grievance Policy ........................................................22 F. Club Sports Policy .................................................................................23 G. Post-Season Play ...................................................................................24 Competition During the Examination Period.....................................25 H. I. Out-of-Season Competition..................................................................25 J. Criteria for Intercollegiate Sports ........................................................25 K. Financial Policy and Procedure............................................................26 L. Selection and Retention of Coaches..................................................... 27 M. Selection and Review of the Director of Athletics...............................28 N. Code of Ethical Conduct .......................................................................28 O. External Representation of the University..........................................30 P. Funds ...................................................................................................30 Q. Policy Governing Post-Eighth Semester Participation in Intercollegiate Athletics.............................................30 R. Criteria for Varsity Awards................................................................... 31 Appendices Athletic Policy Statement (2003)......................................................................32 Activities of the Faculty Athletics Representative and the Athletic Council Chair …. .......................................................46 II. III. IV. V. -2Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. 1:08-cv-00502 Document 1-7 Filed 07/23/2008 Page 3 of 49 EXHIBIT 6 Page 3 of 48 I. GENERAL A. Mission Statement for Intercollegiate Athletics The University endeavors to provide a program of intercollegiate athletics from which participating students can derive all the benefits that participation in competitive sports confers. The goal of the intercollegiate program is the same as that of the University’s academic programs: excellence. In this context, excellence includes commitment to the physical and emotional well-being and social development of student-athletes as well as to the development of their sense of citizenship, dedication to sportsmanship and fair play, the development of individual and team skills, the exertion of best effort, the will to win, and general conduct that brings credit to the University and is a source of pride and enthusiasm for all members of the Duke community. The measure of excellence when applied to intercollegiate athletics means also a level of performance that frequently will produce winning seasons and the realistic opportunity to compete for team or individual championships. It requires that students engaged in intercollegiate athletics be students first, that they be admitted according to this criterion, that they progress satisfactorily toward a degree, and that their attrition and graduation rates as student-athletes not be significantly different from those of non-athletes. Duke’s intercollegiate program shall be composed of nationally or regionally recognized sports that satisfy the following criteria: they meet the needs, interests, and abilities of male and female students; they provide adequate institutional collateral benefits; they reflect due regard for the athletic traditions of Duke University as well as future promise; they fall within Duke’s abilities to provide appropriate facilities; they geographically allow Duke to schedule conveniently and competitively; and they fall within financial capabilities of Duke University to fund adequately. The mission of the athletics program ultimately, is that of Duke itself: “to engage the mind, to elevate the spirit, and stimulate the best effort of all who are associated with the University.” B. Introduction This Manual contains the policies and procedures regarding intercollegiate and club sport programs of Duke University. All sections of this Manual, except "The Board of Trustees Policy for Athletics" (See II) and "The Athletic Council," (See III, B) are administrative matters under the control and direction of the President, and may be modified by the President without referral to the Board. An annual review of this Manual will be conducted by the Athletic Council. A written report recommending changes will be made to the President annually. The President will respond, presenting appropriate matters to the Board of Trustees at his or her discretion. Changes in this Manual will be made only by the President or Board of Trustees. Changes in policy approved by the President or Board of Trustees will be incorporated in the Manual in an appropriate manner. Duplicate official copies will be maintained in the President's Office, the University -3Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. 1:08-cv-00502 Document 1-7 Filed 07/23/2008 Page 4 of 49 EXHIBIT 6 Page 4 of 48 Secretary's Office, the Office of the Secretary of the Athletic Council, and the Office of the Director of Intercollegiate Athletics and Club Sports (hereinafter referred to as Director of Athletics). Copies will be furnished to each Athletic Council member, and will be available to others in the Duke community by display on appropriate websites or upon request to the Chair of the Athletic Council. C. Authority for Athletic Policy The athletic policy of Duke University is established by the Board of Trustees on recommendation by the President. Administration of the policy is under the direct control of the President through the Director of Athletics. The President has two immediate sources of advice and support: the Athletic Council and its Chair and the Athletic Director. II. TRUSTEE RESPONSIBILITY A. The Board of Trustees Policy for Athletics The University should provide a program of athletics for its students involving intercollegiate athletics, club sports, intramural athletics, and opportunities for individual athletic performance, from which participating students can derive a beneficial experience. The goals of its programs are the same as those of its academic programs: excellence (meaning credible academic performance of participants), dedication to sportsmanship and fair play, the development of individual and team skills, the exertion of best effort, the will to win, and general conduct that brings credit to the University. The measure of "excellence" when applied to intercollegiate athletics means also a competitive performance in each team sport that frequently will produce winning seasons and the opportunity realistically to compete for team or individual championships. It also assumes that the institutional collateral benefits from such a program of excellence are not to be measured solely by the benefits to participating students, but will reflect levels of performance in which the Duke community can take pride, and which has a spectator following and interest that will produce positive attitudes and general support from alumni and other friends. It requires that students engaged in intercollegiate athletics be students first, that they be admitted according to this criterion, that they progress satisfactorily towards a degree, and that their attrition rates as student athletes not be significantly different from those of non-athletes. Such an intercollegiate program should be composed of nationally or regionally recognized sports that satisfy the following criteria: they are necessary to meet the needs, interests, and abilities of male and female students at Duke; they provide adequate institutional collateral benefits; they reflect due regard for the athletic tradition of Duke University as well as future promise; they fall within Duke's abilities to provide appropriate facilities; they geographically allow Duke to schedule conveniently and competitively; and they fall within financial capabilities of Duke University to fund appropriately. Such a program may require participation in fewer sports at a higher level of performance. It recognizes that a significant number of participating students will not be recipients of grants-in-aid. -4Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. 1:08-cv-00502 Document 1-7 Filed 07/23/2008 Page 5 of 49 EXHIBIT 6 Page 5 of 48 It shall be the responsibility of the University Administration, acting on the advice of the Athletic Council and the Director of Athletics, to establish and apply these criteria to determine which sports will be eliminated or added for intercollegiate competition within the financial parameters authorized by the Board of Trustees. There will not be a junior varsity program. Excellence in club sports at Duke means a broad and appropriately supported program of sports in which students who were selected at Duke without consideration of their athletic ability may participate as an extracurricular activity. It implies reasonable access to appropriate facilities and equipment, adequate precautions against injury, and University financial support to cover matters such as rental fees, insurance, replacement of equipment, facilities upkeep, trainers, and, where appropriate, volunteer coaches. The Administration will establish procedures for authorizing activities to be included in the University Club Sports Program. Excellence in intramural athletics connotes a broad range of competition within the University as well as the necessary facilities and equipment to permit students to engage in such activities. The University's commitment to excellence also requires that it provide a wide range of facilities to individual students desiring to run, swim, play tennis or golf, and engage in a wide variety of other athletic activities. III. ADMINISTRATIVE RESPONSIBILITY A. President's Implementation of Board Policy The President has implemented the Board policy through this Manual. The Board policy, among other items, requires: 1. 2. The establishment of academic requirements for admissions and eligibility. (See IV, A, B, & C) Implementation of criteria and procedures for determining what sports shall be included in (1) the intercollegiate athletics program, and (2) in club sport program. (See IV, F & J) A plan, formula, and projection for financial support. (See IV, K.) 3. B. The Athletic Council The Board of Trustees reconstituted the Duke University Athletic Council on December 10, 1971. Previously, the Athletic Council was reconstituted by the Executive Committee on January 8, 1949 by a resolution that changed the structure of the original Athletic Council established in June 1907. The Board again changed the structure to conform with amended NCAA requirements on February 28, 1974. The composition and responsibilities of the Council are now governed by resolutions enacted on September 24, 1983, and on February 24, 2007. -5Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. 1:08-cv-00502 Document 1-7 Filed 07/23/2008 Page 6 of 49 EXHIBIT 6 Page 6 of 48 1. Composition The Athletic Council shall be composed as follows: a. A Chair, chosen by the President from the faculty who serve on the Athletic Council (see b. below), after consultation with the Executive Committee of the Academic Council. Seven faculty members, appointed for three-year terms by the President after receiving a nomination or nominations from the Executive Committee of the Academic Council. Faculty terms will be staggered so that at least one faculty member will be appointed each year. Individuals may be re-appointed. One faculty member appointed under this subdivision shall be elected by the Council as vice-chair, preferably one whose term is to expire in one year; Two faculty members who are serving as undergraduate deans shall be appointed annually by the President after consultation with the Executive Committee of the Academic Council; Two students appointed by the President upon advice of the Graduate and Professional Student Council (GPSC); One student, appointed annually by the President in alternate years, from the Graduate School or one of the professional schools of the University; One student representing the Club Sports Council; Three alumni, one of whom is elected annually by the Board of the General Alumni Association, for a term of three years, without right of succession; Two trustees, one of whom may be emeritus, selected for two-year terms by the Chair of the Board of Trustees; Three representatives of the University Administration, who may or may not be members of the faculty, selected annually by the President; The Director of Alumni Affairs shall serve as the Secretary of the Council. The Faculty Athletics Representative serves as an ex officio member of the Council. b. c. d. e. f. g. h. i. j. k. 2. Committees a. The Academic Committee shall consist of all faculty members of the Athletic Council, elected according to paragraphs a, b c, and k. -6Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. 1:08-cv-00502 Document 1-7 Filed 07/23/2008 Page 7 of 49 EXHIBIT 6 Page 7 of 48 above, and shall have the responsibility of enforcing and monitoring, but not administering, scholarship, athletic, admissions, and grants-in-aid requirements of the University for participation in intercollegiate sports, under such policies as shall be established by the Provost. No requirement at Duke shall be less stringent than the eligibility rules of the Atlantic Coast Conference and the National Collegiate Athletic Association. This committee will conduct an annual, comprehensive analysis of the admissions profiles, class performance, and graduation rates for studentathletes. Further, this committee shall review applicable policies and practices where appropriate and shall conduct periodic review of athletics academic support services. Finally, members of this committee will conduct annual student athlete exit interviews. This committee shall provide an annual report to the Provost and its findings shall be included in the annual report to the President. The chair of the Athletic Council will serve as chair of the committee. b. The Executive Committee of the Athletic Council shall be designated by the President, and be composed of the Chair, the Vice Chair, and the Secretary of the Council, one additional faculty member whose term at time of original appointment has remaining at least two years, the Faculty Athletics Representative, one trustee, one student, one alumnus, one member of the University Administration, and one academic Dean. The committee will meet annually with the President and the Provost to set major Council agenda items for the year ahead. The Compliance Oversight committee shall be chaired by the Faculty Athletics Representative and be composed of the Chair of the Athletic Council, the University Registrar, the Director of Undergraduate Admissions, the Director of the Office of Undergraduate Financial Aid, and two additional members of the Council to be designated by the Chair of the Council. This committee shall seek to ensure that the University is exercising adequate “institutional control” over athletics, as defined in the “Principles of Institutional Control as Prepared by the NCAA Committee on Infractions” (February 6, 1996). It shall meet at least once a semester with the chief compliance administrator in the Department of Athletics to review compliance policies and procedures. Its findings shall be included in the annual report to the President. c. 3. Duties The Athletic Council shall meet at least once each semester, and at such other times as it shall determine. The functions of the Council shall be performed by its Executive Committee between the dates of the scheduled meetings of the Council. The council shall: -7Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. 1:08-cv-00502 Document 1-7 Filed 07/23/2008 Page 8 of 49 EXHIBIT 6 Page 8 of 48 a. b. Promote an understanding of intercollegiate athletics among faculty members and other members of the Duke community. Promote the adoption and maintenance of strict academic standards at Duke University, and in the NCAA and the ACC Bylaws, regulations, and legislation. Provide general oversight of the athletic budget and review in the spring of each year the projected athletic budget forecast with the Director of Athletics, giving him or her and the President the benefit of its advice concerning allocations of funds for different athletic purposes within the limits of funding made available by the University. Make recommendations to the President concerning persons to serve as Director of Athletics and to assist the Director of Athletics in the selection of head coaches in the various sports consistent with the provisions of Section IV, L. Report to the President annually concerning the status and prospects of intercollegiate athletics at Duke; review annually the Athletic Policy Manual and make a written report to the President of recommended changes. Monitor compliance with Title IX in athletic matters as a shared responsibility with the Director of Athletics. The University Counsel has the primary responsibility for compliance with Title IX provisions. The University Counsel will furnish advice to the Athletic Council. The Chair shall also call on the Vice President for Institutional Equity for additional advice and recommendations. Review the reports of its Academic and Compliance Committees, and take appropriate action. Provide advice to the Director of Athletics concerning athletic schedules and the award of letters earned by members of athletic teams. Determine, with concurrence of the Director of Athletics, what sports shall be classified as intercollegiate; provided that if a new sport is added, it will normally be as a replacement of an existing intercollegiate sport, or the required funds must, to the satisfaction of the President, be identified and provided exclusive of appropriations from the general University budget; determine, with concurrence of the Director of Athletics, what sports shall be dropped as intercollegiate sports and classified as club sports. Determine whether to accept invitations to post-season events, special holiday games, or other events outside the regular season c. d. e. f. g. h. i. j. -8Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. 1:08-cv-00502 Document 1-7 Filed 07/23/2008 Page 9 of 49 EXHIBIT 6 Page 9 of 48 schedule, after receiving the advice of the Director of Athletics, provided that each team shall approve before any invitation is accepted. k. Make recommendations to the President, Provost, and appropriate faculty bodies concerning eligibility requirements for participation in intercollegiate athletics and the award of financial assistance. 4. Responsibilities of Chair of the Athletic Council The Athletic Council has a chair, selected by the President from the seven faculty members appointed to the Council. The President will consult with the Executive Committee of the Academic Council and seek its advice in the selection of the Chair. The duties of the Chair include: a. b. Preside over and assure the efficient functioning of the Athletic Council; Meet with the Executive Committee of the Academic Council at least once a semester and make two presentations each academic year to the Academic Council. Bring the Director of Athletics and Athletic Council together on matters of mutual responsibility; Assure that required reports and recommendations from the Athletic Council are forthcoming to the President, Provost and others; Report the concerns of the faculty relative to athletics to the President and the Director of Athletics; Interpret to the faculty, especially the Academic Council when so requested, Duke's athletic policies and activities. Other duties as assigned by the President, requested by ECAC, or discussed in Appendix B. c. d. e. f. g. 5. Terms of Athletic Council Members The terms of members shall begin on July 1. The person appointed to fill a vacancy shall serve to the end of the original term. Student, dean and administrator terms are one year. Faculty terms are three years. Alumni terms are three years. Trustee terms are two years. Faculty, alumni, and trustee terms are staggered. The Chair and the Faculty Athletics Representative serve at the will of the President. -9Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 10 of 49 EXHIBIT 6 Page 10 of 48 C. Responsibilities of the Faculty Athletics Representative The Faculty Athletics Representative is chosen by the President from the faculty. This appointment is the sole prerogative of the President, who is not required by the Board Resolution, as he/she is when appointing the seven faculty members of the Athletic Council, to first receive nominations from the Executive Committee of the Academic Council. The President will, however, consult with the Executive Committee of the Academic Council and seek its non-binding advice in the selection of the Faculty Athletics Representative. The term is normally 3 years, renewable by the President. The Faculty Athletics Representative will: 1. 2 Advise the President on all relevant matters; Work with the Director of Athletics and the Chair of the Athletics Council in coordinating the functions of the Council and the duties and responsibilities of the Director of Athletics; Serve as spokesperson to the faculty on behalf of the President on matters appropriate to his or her position and be available to provide information and answer any questions pertaining to Atlantic Coast Conference and National Collegiate Athletic Association membership. Represent the President at the Atlantic Coast Conference and at the National Collegiate Athletic Association as directed by the President, and designated by these organizations: Elicit information and advice from the Athletic Council and transmit it the President; Monitor all athletic activities and confer regularly with the President on all matters which should come to his or her attention; Report the concerns of the faculty relative to athletics to the President and the Director of Athletics; Interpret to the faculty, especially the Academic Council when so requested, Duke's athletic policies and activities. Perform the duties of the Faculty Athletic Representative as required by the ACC and NCAA, as well as those specified in Appendix B. 3. 4. 5. 6. 7. 8. 9. D. Responsibilities of the Director of Athletics The Director of Athletics is responsible to the President, and reports directly to the President. He/She is responsible for the intercollegiate athletic program, the club sports program, and the Department of Health, Physical Education and Recreation program. The Director is responsible for the performance and activities of the various coaches, for fund raising for the athletic programs, for the maintenance and improvement of athletic -10Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 11 of 49 EXHIBIT 6 Page 11 of 48 facilities, and for such other duties as assigned by the President. The responsibilities of the Director of Athletics include: 1. The Director of Athletics has primary responsibility for the integrity of the intercollegiate athletic program and the strict observance of all relevant University, Atlantic Coast Conference, and National Collegiate Athletic Association rules and regulations. The Director of Athletics shall report to the President any action which may reasonably be construed as constituting an infraction. The Director of Athletics is not a member of the Athletic Council and is not responsible to the Athletic Council. The Director of Athletics does not report to the Athletic Council, but should be in regular communication with the Chair of the Athletic Council. The Director of Athletics is expected to attend regular and called meetings of the Athletic Council and meetings of committees of the Council upon request. It is the duty of the Director of Athletics, on behalf of the President, to seek advice from the Council on all appropriate matters and to inform the Council on all actions and anticipated actions relating to the athletic program to the extent that it is reasonable to do so. The Director of Athletics is responsible for the budget of the Department of Athletics, but will report to the Athletic Council on the budget as he or she observes the requirement of the Board of Trustees that he or she review the athletic budget forecast with the Athletic Council and receive "the benefit of its advice concerning allocations of funds for different athletics purposes within the limits made available by the University." The Director of Athletics is responsible for making recommendations to the President regarding the selection and retention of head coaches in the various sports, in accord with the procedures and responsibilities set out in Section IV, L. The Director of Athletics will also observe the requirement of the Board of Trustees that the Athletic Council provide advice concerning athletic schedules and the award of letters earned by members of athletic teams. The Director of Athletics will advise the Athletic Council concerning its responsibility to determine whether to accept invitations to post-season events, special holiday games, and other events outside the regular season schedule. The Director of Athletics, along with the Athletic Council, is responsible for advising the President on criteria to determine which sports will be eliminated or added for intercollegiate competition. 2. 3. 4. 5. 6. The Director of Athletics will be evaluated on the basis of his or her general management of the department; the integrity of the intercollegiate program; the academic success of intercollegiate teams; his or her ability to minimize the level of University subvention by raising endowment, generating external funding, or effecting internal economies; and his or her participation as a leader in the Duke community. -11Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 12 of 49 EXHIBIT 6 Page 12 of 48 IV. ATHLETIC POLICIES AND PROCEDURES A. Admissions The responsibility for the admission of students who evidence an interest in intercollegiate athletics, whether recruited or not, has been delegated to the Provost. Individual decisions are entrusted to the Director of Undergraduate Admissions, who may exercise such authority personally or delegate it to one or more subordinates. At present, the Director of Undergraduate Admissions directly exercises authority over the admission of students recruited to play men’s and women’s basketball and men's football and has delegated the responsibility to a subordinate for other sports. Some admissions policies and procedures are the same for all sports. Some procedures are different for football and men’s and women’s basketball, and for exceptional cases, such as when a student recruited for a non-revenue sport is required to respond to a verified scholarship offer deadline imposed by another institution. 1. Admissions Office Policies for Scholarship Athletes Applicable to all Sports a. No student athlete shall be admitted to Duke unless he or she is able and willing to do the academic work required for graduation. The decision to admit will be based on the professional opinion of the Director of Undergraduate Admissions or his or her designee. No coach shall appeal an admissions decision once it has been finalized in the Office of Admissions. Contacts concerning admissions with the Office of Admissions should be made only by the head coach or one designated assistant. The Office of Admissions will provide admissions materials for distribution to recruited athletes upon request. No applicant will be considered who does not meet the admissions requirements of the ACC and NCAA. No applicant will be offered assurance of admission prior to consideration by the Office of Admissions. Coaches must be explicit in communicating with recruited students and their parents that the only valid offer of admissions is the admission letter from the Director of Admissions. Appointments for interviews for prospective scholarship athletes will be made by coaches at least one week in advance. Interviews will normally be held within office hours. The credentials of a prospect must be tentatively approved by the b. c. d. e. f. g. h. -12Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 13 of 49 EXHIBIT 6 Page 13 of 48 Office of Admissions before a prospective student athlete makes a visit for which Duke is paying, unless such approval is waived by the Director of Athletics. i. j. k. Interviews of recruited athletes may be required at the discretion of the Admissions Office. As with other applicants, additional writing samples may be required from prospects with questionable writing ability. Coaches have the responsibility to inform the Office of Admissions of the identity of applicants tentatively accepted for admission to whom athletic grants-in-aid may be offered. The Office of Admissions will normally write the applicant that he or she has been admitted within three days of receiving notification, with a copy to the coach. The letter of admission will inform the applicant if attendance at any special summer academic program is required or recommended. The coach will send notice of the signing of an athlete to a grantin-aid to the Office of Admissions immediately. Final secondary school transcripts will be solicited by the Office of Admissions in early summer. l. m. n. 2. Additional Practices Governing Men's Football, Basketball, Women's Basketball, and Exceptional Cases. a. Before any applicant is presented to the Director of Admissions, his or her credentials will include a personal information form; an official transcript, including work done in the last term; SAT or ACT scores; and secondary school report or letters from the counselor. The Director of Admissions may act tentatively on the file without the letters of recommendation or writing sample normally required. If the Director of Admissions admits the student tentatively, the student has the obligation of completing his file before the final commitment of the University to admission is made. The coach will inform the Director of Admissions immediately when a prospect signs a grant-in-aid. Admission will be governed by the criteria of whether the applicant can and will do acceptable work at Duke. Coaches shall not submit the names of applicants unless they believe that the applicants can do acceptable work at Duke. b. c. d. -13Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 14 of 49 EXHIBIT 6 Page 14 of 48 e. 3. If requested by the Director of Admissions, coaches will rank applicants in order of preference. Additional Practices Governing All Other Sports a. Before any applicant is presented to the Director of Admissions, his or her application should be complete, including recommendations and a writing sample. The normal admissions criteria shall be applied to applicants desiring to participate in intercollegiate athletics, except that a limited number of students may be admitted in each sport as "discretionary admits." Such students must, in the opinion of the Director of Admissions or his or her designee, be willing and able to do the academic work required for graduation and contribute appropriately to the Duke community. The number of "discretionary admits" in each sport shall be determined by agreement between the Director of Athletics and the Director of Admissions with the consultation of the Academic Subcommittee of the Athletic Council. If an applicant designated as a "discretionary admit" by a coach is denied admission, or declines admission, the coach may nominate an alternate. If a student admitted as a "discretionary admit" withdraws from the University while in good standing, an additional "discretionary admit" will be allocated to that sport in the ensuing year. If a student admitted as a "discretionary admit" fails out of Duke or withdraws when not in good standing, the slot is forfeited until the year in which he or she would normally have graduated. b. c. 4. Admissions Role of Athletic Council: The Board Resolution creating the Athletic Council provides for an Academic Committee which "shall have the responsibility of enforcing and monitoring, but not administering, scholarship, athletic admissions, and grants-in-aid requirements of the University for participation in intercollegiate sports, under such policies as shall be established by the Provost." This committee of the Athletic Council is not responsible for the admission of athletes, and should not intervene in the process. It shall conduct an annual comprehensive analysis of the admissions profiles and graduation rates for student-athletes and recommend to the President and Provost any appropriate changes in policies and practices. All responsibility for enforcement of requirements shall be carried out through the President and Provost. The following procedures are established to facilitate the review by the Academic Committee of the Athletic Council: a. The Admissions Office upon request of the Academic Committee -14Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 15 of 49 EXHIBIT 6 Page 15 of 48 will establish duplicate files for all football and basketball players or any other athletes admitted without having completed a full application that was read and evaluated in the normal admissions process. b. At the end of the basketball and football recruiting seasons and again at the end of the year, the Admissions Office will provide to the Academic Committee of the Athletic Council a report on the credentials of athletes in those sports to whom scholarships have been offered. At least once each year, the Registrar's Office will provide the Academic Committee of the Athletic Council information on the academic performance of all scholarship athletes. Those reports will include SAT, high school GPA, and Duke courses and grades. This information is confidential. c. d. B. Academic Progress High academic standards are expected of all students engaged in intercollegiate sports at Duke University. Athletes are required to be students first and they are admitted according to this criterion. Student athletes representing Duke are required to progress satisfactorily toward a degree, and their attrition rates as student athletes should not differ significantly from those of non-athletes. A team is excellent at Duke not only when it competes successfully, but also when it is composed of students who will graduate and who in other respects embody qualities with which the institution can identify. Athletic success and academic integrity are the crucial elements of athletic excellence at Duke University. Eligibility is an academic matter to be determined by the Dean of Trinity College or the Dean of the School of Engineering. Continuing eligibility for athletic competition is based on NCAA regulations. The University Registrar is responsible for certifying continuing eligibility for athletic competition. C. Eligibility for Grants-in-Aid 1. Initial Awards Grants-in-aid are made by the Director of Undergraduate Financial Aid on the recommendations of the coaches. The Director of Athletics has the primary responsibility for compliance with all relevant rules and regulations, as outlined in the Duke University Bulletin, the NCAA Manual, and the Atlantic Coast Conference Handbook. University eligibility requirements are far more demanding and restrictive than either the NCAA or ACC regulations. As a result, University requirements prevail. Each grant-in-aid is awarded on the following conditions: a That the student conducts himself or herself in a manner that is -15Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 16 of 49 EXHIBIT 6 Page 16 of 48 consistent with the norms of good sportsmanship, the Duke Community Standard, and the Undergraduate Judicial Code; b c That he or she fulfill all the normal academic requirements expected of Duke students each semester; That he or she abides by such rules and regulations as shall be set for his or her sport at Duke University, including participation in supervised team meetings, conditioning, training, practice and intercollegiate competition. A student who voluntarily leaves a team shall lose the scholarship attached to playing for that team. That he or she abides by all regulations contained in the Duke University Athletic Department Drug Policy (see section IV D) and the Code of Ethical Conduct (section IV N). d 2. Renewal A grant-in-aid is normally renewed for student-athletes with remaining eligibility and who have not graduated. In cases in which a coach contemplates recommendation of non-renewal of a grant-in-aid for reasons other than the student-athlete graduating or exhausting eligibility, he or she must provide a clear, unambiguous warning to the student-athlete in writing that non-renewal is being contemplated, indicating the specific reasons for the action. The written warning must be provided in advance of the decision to not renew aid, so that there is sufficient opportunity for the student athlete to meet the expectations of the Coach and the Department of Athletics as expressed in the written warning. Copies of the written warning must be submitted to the Senior Associate Athletics Director and the Director of Athletics. When a decision is ultimately made by the coach and Director of Athletics not to renew a scholarship for reasons other than the student-athlete graduating, exhausting eligibility or transferring, the Department of Athletics shall prepare a statement of particulars in writing, outlining in detail the reasons for nonrenewal. This statement shall be provided to the student-athlete at the time he or she receives formal notice of non-renewal, on or before July 1 prior to the commencement of the period of the award. A copy of that letter shall also be sent to the Faculty Athletics Representative. Decreases in grant-in-aid require prior consultation with the Senior Associate Athletics Director. Coaches recommending a decrease in aid prior to the period of the award must submit a letter to Compliance, with a copy to the current senior administrator for Academic Services, detailing the reasons and term of the decrease (e.g., one semester, one academic year). Formal notice of decrease will be provided on or before July 1st prior to commencement of the period of the award. Athletics grant-in-aid may not be reduced or canceled during the period of the award for any athletic reason. However, aid may be reduced or canceled during the period of the award if the student-athlete renders himself/herself ineligible -16Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 17 of 49 EXHIBIT 6 Page 17 of 48 for intercollegiate competition, fraudulently misrepresents any information on an application, letter of intent or financial aid agreement, engages in serious misconduct warranting substantial disciplinary penalty, or voluntarily withdraws from a sport at any time for personal reasons. Formal notice of reduction or cancellation during the period of the award will be provided within two weeks of the reduction or cancellation. Athletic grant-in-aid may be increased for any reason prior to the commencement of the period of the award. Coaches recommending an increase in aid must submit a letter to Compliance, with a copy to the current senior administrator for Academic Services, detailing the term of the increase (e.g. one semester, one academic year). If the increase is temporary (i.e. after the specified term, the aid will be renewed at the original amount), the coach must obtain a letter signed by the student-athlete and his/her parent or legal guardian in which they confirm that they understand the terms of the award. Once the period of the award begins, aid may only be increased if it can be demonstrated that the increase is unrelated in any manner to an athletics reason. Coaches recommending an increase in aid during the period of the award must submit a letter to Compliance, with a copy to the current senior administrator for Academic Services, detailing the reasons and term of the increase (e.g. one semester, one academic year). If the increase is temporary (i.e. after the specified term, the aid will be renewed at the original amount), the coach must obtain a letter signed by the student-athlete and his/her parent or legal guardian in which they confirm that they understand the terms of the award. 3. Appeals Process Decisions to not renew, or to decrease, reduce or cancel a grant-in-aid may be appealed. The student shall send a letter appealing the decision to the Faculty Athletics Representative within two weeks of receiving the notification of nonrenewal. The Faculty Athletics Representative will convene an Appeals Committee, which shall be composed of the Vice Provost for Academic and Administrative Services, who shall chair the committee, the Director of Undergraduate Financial Aid, three faculty members or academic Deans on the Athletic Council, and two student members of the Council. The procedures for hearing such appeals will be determined by the Vice Provost for Academic and Administrative Services. The student shall be informed of these procedures by the Vice Provost for Academic and Administrative Services. If the student-athlete elects to appeal the decision to not renew, or to decrease, reduce or cancel his or her grant-in-aid, the detailed statement of the Department of Athletics giving reasons for non-renewal or the formal notice of non-renewal, decrease, reduction or cancellation, will provide the basis for the Appeals Committee hearing and the response by the student-athlete before the Appeals Committee. Such a statement shall not, however, preclude the Appeals Committee from seeking additional clarification based on the statement of particulars or formal notices presented by the Department of Athletics and on the appellant's response to it. The Department of Athletics shall have the right to respond to any new issues raised by the appellant. -17Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 18 of 49 EXHIBIT 6 Page 18 of 48 In considering any such appeals, the Committee deliberations will be governed by the understanding that: 1) the Department of Athletics is under no contractual obligation to renew athletic grants-in-aid from year to year; 2) notwithstanding point 1, it is the normal practice of Duke University to renew the athletic grantsin-aid of student athletes who comply with the conditions for initial awards set forth in IV, C, 1. In reaching its decision, the concerns of the Appeals Committee will essentially be those of due process, both procedural and substantive. The committee will seek to determine: a. whether the procedures followed in the case were adequate. Specifically, were the demands of the coach or Department of Athletics sufficiently clear and well communicated that the student athlete should have been expected to understand them and to appreciate the significance of a failure to comply with them? whether these demands were in substance reasonable or arbitrary and capricious. Specifically, were the demands reasonably related to the requisites of successful team performance or proper team conduct? b. If, in the judgment of the Committee, these requirements of due process have been met, the decision of the Department of Athletics should be affirmed. If, in the judgment of the Committee, these standards of due process were not met, the Committee can mandate a renewal of the grant-in-aid under such conditions and for such a time period as it deems appropriate under the circumstances. D. Student-Athlete Drug Policy The intent of these policies is to prevent the use of prohibited substances by studentathletes through education, testing, and professional guidance. Systematic drug testing is appropriate and necessary to ensure the health, safety and welfare of our studentathletes, to promote fair competition in intercollegiate athletics, to affirm compliance with applicable rules and regulations governing drug use, and to identify student-athletes who are improperly using drugs and assist them before they harm themselves or others. 1. Prohibited use of banned substances. All student-athletes enrolled at the University are prohibited from using any substance belonging to any of the classes of banned substances published by the NCAA, and updated from time to time. The classes of banned substances include: stimulants, anabolic steroids, diuretics (masking agents), street drugs (e.g., heroin, marijuana), and peptide hormones and analogues (e.g., human growth hormones and erythropoietin (EPO)). The University may test for any substance contained on the NCAA’s list of banned substances, including unlisted compounds that are related to specific drugs listed by the NCAA (i.e., substances that are included in a class of drugs by their pharmacological action and/or chemical structure). The student is responsible for everything that goes into his or -18Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 19 of 49 EXHIBIT 6 Page 19 of 48 her body; students use all drugs and nutritional or dietary supplements at their own risk. Before taking any drug or supplement, students should consult with their team trainer or physician. 2. Unannounced drug-testing. All student-athletes identified on the NCAA official squad list and all intercollegiate teams will be subject to unannounced drug testing. All studentathletes will be required to execute a waiver consenting to such testing. Testing may occur on- or off-campus at any time, including the preseason, during the regular academic year, and during the summer. 3. The consequences of a positive test for street drugs and other classes of banned substances, other than anabolic steroids, peptide hormones and analogues, and diuretics. a. A first positive test for a street drug or other banned substance other than an anabolic steroid, a peptide hormone or analogue, or a diuretic, will be treated as a matter calling for evaluation, treatment, and counseling. The student’s parents, Head Coach, and the Athletics Director will be notified immediately. The student will be subject to unannounced drug testing as part of his or her treatment. As part of a treatment plan, the student may be suspended from competition. A positive test which indicates that the student has used a banned substance during the period of evaluation, treatment, and counseling shall be treated as a second positive test, if it is a street drug or other banned substance, other than an anabolic steroid, a peptide hormone or analogue, or a diuretic. If the positive test is for an anabolic steroid, a peptide hormone or analogue, or a diuretic, it will be treated in accordance with the provision of this policy dealing with a positive test for those substances. The student will be required to perform a minimum of 20 hours of weekend community service and meet with a trained drug/alcohol professional, and will be encouraged to notify his or her teammates of the positive drug test. A second positive test for a street drug or other banned substance, other than an anabolic steroid, a peptide hormone or analogue, or a diuretic, will result in a suspension of eligibility to compete in all intercollegiate competition for a minimum of 50% of the total regular season’s contests, to be carried over into the next regular season, if necessary. The student’s parents, Head Coach, and the Athletics Director will be notified immediately. The student will be required to perform a minimum of 40 hours of weekend community service and meet with a trained drug/alcohol professional, and will be encouraged to notify his or her teammates of the positive drug test. A third positive test for a street drug or other banned substance, other than anabolic steroid, a peptide hormone or analogue, or a b. c. -19Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 20 of 49 EXHIBIT 6 Page 20 of 48 diuretic, will result in the permanent termination of eligibility to compete in all intercollegiate competition at Duke University and the loss of athletic financial aid. The student’s parents, Head Coach, and the Athletics Director will be notified immediately. 4. The consequences of a positive test for anabolic steroids, peptide hormones and analogues, and diuretics. The use of anabolic steroids and peptide hormones and analogues is cheating and undermines the integrity of any athletic competition in which the offending student participates. a. A first positive test for an anabolic steroid, a peptide hormone or analogue, or a diuretic will result in a suspension of eligibility to compete in all intercollegiate competition for one calendar year. The student’s parents, Head Coach, and the Athletics Director will be notified immediately. A second positive for an anabolic steroid, peptide hormone or analogue, or a diuretic will result in a permanent termination of eligibility to compete in all intercollegiate competition at Duke University and the loss of athletic financial aid. The student’s parents, Head Coach, and the Athletics Director will be notified immediately. b. 5. Additional sanctions. In addition to the foregoing sanctions, the Athletics Director or Head Coach may treat a violation of this drug policy as student-athlete misconduct and impose appropriate additional sanctions, including the loss of athletic eligibility and athletic financial aid. 6. Labeling of urine samples. All urine samples shall be divided into two parts, Sample A and Sample B. If the student’s A sample tests positive for a banned substance, it will be deemed conclusive proof that the student violated this policy, unless the student requests an appeal from the positive test, in the manner required by this policy. 7. Self-reporting. A student may self-report his or her use of a banned substance, except where it is done to evade an unannounced drug test. When a student self-reports the use of a banned substance, he or she will be tested immediately and will be treated as having tested positive for the banned substance actually used. 8. Consequences of failing to participate in or cooperate with the drugtesting program. All student-athletes are required to comply fully with the drug-testing program -20Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 21 of 49 EXHIBIT 6 Page 21 of 48 created by this policy. a. A failure to execute the drug testing consent form, an un-excused absence from a drug test, or a refusal to provide a sample or the tampering with or manipulation of a sample will be treated as a positive test for an anabolic steroid. A failure to provide an adequate sample within a reasonable period of time may result in a suspension of eligibility until the student provides an appropriate sample under circumstances set by the University. If, based upon the written report of the sample collector, the failure to provide a urine sample occurs under circumstances that amount to a refusal to provide the sample, the failure will be treated as a positive test for an anabolic steroid. All urine samples actually provided by a student may be tested. b. 9. Appeal from a positive test. a. Any student who tests positive for the use of a banned substance may appeal to a drug-testing appeal board. The request for an appeal must be made in writing within 5 days of the written notice to the student that his A sample tested positive for a banned substance. If the student requests an appeal, his or her B sample will be tested to confirm the presence of a banned substance. In case of an appeal, the Athletics Director, in consultation with the Faculty Athletics Representative, will appoint a 3-member panel to hear the appeal. The members of the board may include an athletic department administrator, a head trainer or team physician, a faculty member from the Athletic Council, and other members from outside the Athletic Department. The chair of the board shall be a person from outside the Athletic Department. No person associated with the student’s team shall be appointed to the board. The student may appeal on any ground, including on the ground that he or she had "no fault" for the doping violation (i.e., that he or she did not know and could not reasonably have discovered or suspected that he or she was administered or took a banned substance) or that he or she had "no significant fault" (the student’s fault or negligence in the totality of the circumstances was not significant in relationship to the doping violation). In the case of no fault, the student will be absolved of the violation; in the case of no significant fault, the board may reduce any suspension by up to 50% of what it otherwise would have been, except in the case of a first positive test for a street drug or other class of banned substances, other than anabolic steroids, and peptide hormones and analogues. However, it shall not be a basis for appeal solely that the student unwittingly used a product that contained a banned substance. On appeal, the student will have the burden of establishing his or b. c. -21Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 22 of 49 EXHIBIT 6 Page 22 of 48 her defense by clear and convincing evidence. d. The sanctions authorized by this policy shall not be imposed (a) until the hearing board has decided any appeal by the student; (b) the student has withdrawn the appeal in writing; or (c) the time for the student to appeal has expired. 10. Confidentiality. a. Except as required by law, the University will treat confidentially all information relating to a student’s alleged or confirmed use of a prohibited substance, aside from such disclosures to University personnel, parents, guardians, coaches, and others that are required to be made under this policy or under applicable state or federal law. Employees of the University who breach this policy of confidentiality or who disclose information about unannounced random drug testing, such as the dates of such testing and the students or teams subject to testing on a particular date will be treated in the same manner as employees who breach the confidentiality of patients’ medical records. b. 11 Oversight Committee. a. The President will appoint a committee to oversee the program established by this policy. The members of the committee shall include an Athletic Department administrator, a member of the faculty, a representative from Student Affairs, and a trainer or team physician. The oversight committee will be responsible for determining the appropriate drug screening test to use, the frequency of tests, and the selection process for unannounced testing. The Committee also will be responsible for evaluating the adequacy of all drug educational programs established for student-athletes. Finally, the Committee will be responsible for making an annual report to the President and Athletics Director concerning implementation of this policy. The report shall include any recommendations for modification of the policy, drug educational programs, or sanctions for violating the policy. b. E. Student-Athlete Grievance Policy From time to time, a student-athlete may feel that he or she is being mistreated or treated unfairly by his or her coach. In addition to standing University Committees available to all students, the University has established a grievance procedure to provide the student-athlete with an avenue to express his or her concerns. This process is not intended to interfere in issues of playing time, position, or other matters impinging upon the coach’s expertise in the sport. It is intended to provide recourse for student-athletes -22Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 23 of 49 EXHIBIT 6 Page 23 of 48 who feel that they are subject to serious mistreatment. This procedure will consist of up to three steps. 1. 2. The student may meet with the coach in order to communicate his or her concerns. If the student feels that the meeting with the coach is unsatisfactory, he or she may request a meeting with the coach, and up to two Assistant/Associate Athletic Directors. The Director of Athletics will be advised of the outcome of this meeting and consulted concerning any resolution that has been suggested or agreed upon. If the second meeting does not resolve the issue, the student may then apply to the Faculty Athletics Representative for a hearing. If the Faculty representative concludes that further discussion of the student’s grievance is warranted, he or she will then convene a panel consisting of members of the Athletic Council. This panel will then reach a final determination concerning the resolution of the dispute. 3. Appeals regarding decisions not to renew a scholarship are governed by Sections IV C 3. F. Club Sports Policy Sports Clubs are defined as groups of individuals that share common interests to compete against other clubs or organizations with similar interests. A maximum of six clubs may be designated as Sports Club II status. Criteria for this designation are in the Duke Sports Club Council Handbook. The individual purpose of a club may vary from strictly competitive to recreational depending upon the individuals and club. Existing clubs compete in some manner with other clubs or organizations. Sports clubs are student-initiated and student-run. Volunteer coaches receive no compensation; coaches for Sport Club II sports may receive compensation. A clearly designated person should be responsible for administrative supervision of each club sport and should report to the Director of Athletics or his/her designee. The administrative supervisor should be responsible for approving leaders and instructors in club sports. Where possible a member of the Duke student body, faculty or staff should be selected as an advisor to the students in each club. Special care should be given to the selection of instructors and leaders, in order that persons with appropriate skills and experience are chosen. This is particularly important when the persons are employees or faculty of the University. The administrative supervisor should make regular checks on the operation of club activities, especially those that present danger of serious injury. He/She should prepare an annual report which includes evaluation of instructors and leaders involved and an account of the injuries incurred. A definite timetable should be set for evaluation in this regard for all sports clubs. If, at any time, the administrative supervisor concludes that an activity fails to meet the standards suggested, because of excessive injuries, because instructors and leaders adequately skilled in injury prevention are unavailable, or for similar reasons, then the supervisor should recommend withdrawal of University -23Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 24 of 49 EXHIBIT 6 Page 24 of 48 sponsorship of the activity. Decision on such a withdrawal would be made by the Director of Athletics, after considering the cases presented by the supervisor and by students participating in the activity. Appropriate equipment properly fitted and continuously inspected should be utilized. The Office of the University Counsel should be directed to review and rewrite the waiver agreements for all club sports to release explicitly the University from liability for its own negligence in the context of club sports programs, as well as to assure that the waiver form meets the requirements in any state in which the activity is expected to take place. All participants in club sports must certify that they have purchased either the Duke Student Accident and Sickness insurance policy, or an equivalent health insurance policy. Participants in skydiving and club football must further certify that they are covered under a major medical insurance policy, which does not exclude injury resulting from aerial navigation or organized tackle football, with minimum lifetime benefit limits of $250,000. It is understood that student members are the primary moving force in club sports and they should be primarily responsible for selection of the instructors, coaches and advisors, subject to approval by the administrative supervisor. The policy does not intend that an administrative supervisor replace student leadership. Club Sports, including Sport Club II sports, shall be administered in accordance with the most recent edition of the Duke Sports Club Council Handbook and the interpretation thereof of the Director of Sports Clubs, Intramurals and Recreation to the extent not inconsistent with these policies. G. Post-Season Play The Athletic Council is charged with acceptance of post-season invitations, after receiving the advice of the Director of Athletics. No invitation will be accepted unless the team members concerned wish to accept the invitation. Normally, such invitations should be accepted if 1. 2. 3. there is not undue interference with academic programs, the event is such that participation would not bring embarrassment or discredit to the University, and the financial requirements will not be a burden on the University. -24Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 25 of 49 EXHIBIT 6 Page 25 of 48 H. Competition During the Examination Period Normally, competitive games will not be permitted during the time of examinations schedules. The Athletic Council, in its discretion, may make exceptions if the importance of the event and alternative provisions for examinations justify such action. Normally teams will be given permission to compete in NCAA championship tournaments during exam periods. The Chair of the Council and the Faculty Athletics Representative should be notified of such competition as soon as the invitation has been extended, and the Department of Athletics shall provide a list of all student-athletes with specific conflicts to the Provost’s office. It is the responsibility of each student-athlete to arrange for alternatives to scheduled exams. If necessary, the Provost’s office will provide permission to the Deans for students to be excused from normally scheduled exams due to athletic competition. I. Out-of-Season Competition If a coach, through the Director of Athletics, requests permission from the Athletic Council to enter competition outside the regular season schedule, the Council has authority to grant such a request after receiving the advice of the Director of Athletics and the endorsement of the team, and if there is benefit for the team and the University, no undue disadvantage to the team members' academic programs, and no undue financial burden on the University. J. Criteria for Intercollegiate Sports Following the stated policy of the Board of Trustees, the Athletic Council has the responsibility for making recommendations on those sports which constitute the Duke University intercollegiate athletic program. In making its determinations, the Council is also bound by regulations laid down by the Atlantic Coast Conference and the NCAA. ACC rules stipulate that all member institutions must compete in football, men’s and women’s basketball, and either women’s soccer or women’s volleyball (see section IV-2 of the ACC Constitution). NCAA Division I membership requires a minimum of seven male/mixed and seven female sports or six male/mixed and eight female sports (see NCAA Handbook, section 20.8.3). Duke University currently supports twenty-six intercollegiate sports teams, thirteen for men (basketball, soccer, tennis, golf, swimming, fencing, cross country, indoor track, outdoor track, football, baseball, wrestling, and lacrosse) and thirteen for women (basketball, soccer, tennis, golf, swimming, fencing, cross country, indoor track, outdoor track, volleyball, field hockey, rowing, and lacrosse). Intercollegiate sports presently authorized or to be authorized should meet the following requirements: 1. The sport should elicit a following and interest that will produce positive attitudes and general support from both the student body and alumni and friends of the University. The sport should reflect not only long-standing Duke athletic traditions but also the unique character of Duke University and the special talents of 2. -25Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 26 of 49 EXHIBIT 6 Page 26 of 48 its students. 3. 4. 5. The sport should provide opportunity for wide participation and/or for the recognition of exceptional individual achievement. The sport should provide collateral institutional benefits for Duke University. The sport must fall within the financial capabilities of Duke University to fund appropriately within those financial parameters set by the Board of Trustees. The sport should have the capability of having a schedule developed that is both convenient and competitive. 6. No new intercollegiate sport will be authorized except upon the elimination of an existing sport or by permission of the Board of Trustees. Any new sport added normally should provide the opportunity for intercollegiate competition with four or more ACC institutions, thus allowing the chance to compete for a conference championship. Furthermore, the Board Policy generally provides that Duke's goal in Athletics is "excellence, meaning credible academic performance of participants, dedication to sportsmanship and fair play, the development of individual and team skills, the exertion of best effort, the will to win, and general conduct that brings credit to the University" and that there will be "a competitive performance in each team sport and/or the opportunity realistically to compete for team or individual championships." The Athletic Council will make a periodic review of the intercollegiate athletic program to insure adherence to these guidelines and will review petitions of eligibility of other sports requesting elevation to intercollegiate status. K. Financial Policy and Procedure Beginning in FY 98/99, the authorized level of University support to the Department of Athletics will be predicated on 146 full grants-in-aid. A full grant-in-aid shall be defined as follows: 1. 2. 3. 4. 5. 6. 7. Tuition - Trinity College Undergraduate Tuition Room - Air Conditioned, West Campus Double Board - Highest Meal Plan Offered (Plan E) DSG Fee Student Health Fee Books and Supplies Allowance Miscellaneous Other Required Fees -26Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 27 of 49 EXHIBIT 6 Page 27 of 48 It is recognized that these costs will change; the intent is to define clearly the items upon which the value of grants-in-aid will be determined. Grants beyond the 146 level, but not to exceed 235, are authorized when earnings from endowment funds dedicated to the Department of Athletics are available to support and maintain these additional grants-in-aid. Allocations of grants among the various sports will be determined by the Director of Athletics. Beginning in FY 98/99 and beyond, the Department of Athletics will retain any favorable performance to their approved subsidy level as follows: An amount of $200,000 is to be retained by the Department of Athletics for the creation of a quasi-endowment for women’s scholarships and the next $300,000 will flow to the Department of Athletics for either women’s scholarships or facility enhancements. Any favorable performance to the approved annual subsidy level in excess of $500,000 will be returned to the University for distribution by the President. In determining the favorable performance to the approved subsidy level, gifts specified by the donor to be used for endowment or physical plant will be excluded from the sharing agreement. If the Department of Athletics experiences unfavorable performance to its subsidy level, withdrawals from available reserve funds would be required to cover the unfavorable performance. This approach provides the Trustees and all other parties with a clear understanding of the amount of subvention required from the University for the Department of Athletics. This approach also eliminates disincentives to raise new endowment funds for athletic scholarships. Finally, this approach establishes a ceiling for the number of full scholarships funded from University resources. L. Selection and Retention of Coaches Coaches in the various sports are appointed by the Director of Athletics in consultation with the President of the University. In the case of football and men’s and women’s basketball, the President will make the appointment on the recommendation of the Director of Athletics. The Director of Athletics will be assisted in the selection of head coaches by administrators, faculty members, and other members of the Duke community who have useful expertise. The Director of Athletics may appoint a search committee at his or her discretion, with the provision that at least one member of the committee shall be a member of the faculty. In cases in which a formal search committee is not used, at least one faculty member, generally either the Chair of the Athletic Council or the Faculty Athletics Representative, will be directly involved in advising the Director of Athletics. In the case of football and men’s and women’s basketball, representatives of the Athletic Council shall be consulted before final appointment. Head coaches will be reviewed by the Director of Athletics on a continuing basis. The Director of Athletics will then review his or her conclusions and recommendations with the President. The Director of Athletics may call on the Athletic Council for advice and will keep the Council informed. -27Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 28 of 49 EXHIBIT 6 Page 28 of 48 Assistant coaches are appointed by the Director of Athletics upon the recommendation of the head coach in the sport in questions. Assistant coaches serve at the pleasure of their head coach and the Director of Athletics. Coaches are expected to represent the University with dignity and integrity, and are personally responsible for the scrupulous observance of all University, ACC, and NCAA regulations and standards. M. Selection and Review of the Director of Athletics The Director of Athletics is selected by the President and is elected by the Board of Trustees. The President shall consult with members of the Athletic Council before making an appointment. The President will review annually the performance of the Director of Athletics, and may seek the advice of the Athletic Council and others in conjunction with his review. The President may establish an external review committee if he or she so desires. The President will discuss with the Director the conclusions of all reviews. N. Code of Ethical Conduct The Department of Athletics code of ethics is summarized in the annual contracts of coaches. The coaches indicate their awareness of these principles by acceptance of the contractual terms. The actual wording states that ". . . the University may terminate the employment for cause at anytime in the event of your gross neglect of duties, willful violation of University rules and regulations, conduct calculated to bring the University into disrepute or willful violation of rules or regulations of the NCAA or the Atlantic Coast Conference." In addition to the above, the specifics of the principles of ethical conduct required by the NCAA are outlined in Section 6 of the NCAA Manual. These principles are as follows: "Principles of Ethical Conduct. It shall be a member institution's responsibility to apply and enforce the following principles: 1. Individuals employed by, or associated with, a member institution to administer, conduct or coach intercollegiate athletics and all participating student-athletes shall deport themselves with honesty and sportsmanship at all times so that intercollegiate athletics as a whole, their institutions and they, as individuals, shall represent the honor and dignity of fair play and the generally recognized high standards associated with wholesome competitive sports. Conduct by a student-athlete or an institutional staff member that may be considered unethical includes, but is not limited to: a Refusal to furnish information relevant to investigation of a possible violation of an NCAA regulation when requested to do so by the NCAA or the individual's institution; 2 -28Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 29 of 49 EXHIBIT 6 Page 29 of 48 b Knowing involvement in arrangements for fraudulent academic credit or false transcripts for a prospective or an enrolled studentathlete; Knowing involvement in offering or providing a prospective or an enrolled student-athlete an improper inducement or extra benefit; Knowingly furnishing the NCAA or the individual's institution false or misleading information concerning the individual's involvement in or knowledge of a violation of an NCAA regulation. c d 3 Student-athletes found in violation of the provisions of this regulation shall be ineligible for further intercollegiate competition, subject to appeal to the NCAA Eligibility Committee for restoration of eligibility. Institutional staff members found in violation of the provisions of this regulation shall be subject to disciplinary or corrective action as set forth in the NCAA enforcement procedure. Staff members of a member institution's athletic department shall not accept compensation or gratuities of any kind whatsoever, either directly or indirectly, for representing a professional sports organization in the scouting or contacting of athletic talent or the negotiating of a contract. Any compensational arrangement between a professional sports organization and a college staff member (e.g., for scouting other professional teams or assisting the professional employer in coaching its team) shall be prima facie evidence of an indirect arrangement to assure the staff member's assistance in evaluating or procuring college talent. Staff members of member institutions and others serving on the Association's committee or acting as consultants shall not, directly or by implication, use the Association's name or their affiliation with the Association in the endorsement of products or services. Staff members of the athletic department of a member institution shall not knowingly participate, directly or indirectly, in the management, coaching, officiating, supervision, promotion or player selection of any allstar contest involving student-athletes which is not certified by the Association's Extra Events Committee. Staff members of the athletic department of a member institution shall not represent, directly or indirectly, a student-athlete in the marketing of athletic ability or reputation to a professional sports team or professional sports organization and shall not receive compensation or gratuities of any kind, directly or indirectly, for such services. Contractual agreements between a coach and an institution shall include the stipulation that the coach may be suspended for a period of time, without pay, or that the coach's employment may be terminated if the coach is found to be involved in deliberate and serious violations of NCAA regulations." 4. 5. 6. 7. 8. -29Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 30 of 49 EXHIBIT 6 Page 30 of 48 It is the responsibility of the Director of Athletics to make certain that coaches are aware of the University's insistence upon their adherence to these guidelines. O. External Representation of the University The Faculty Athletics Representative represents the University in the Atlantic Coast Conference (ACC) and serves in all duties assigned to that representative by the ACC and the NCAA. The Faculty Athletics Representative, the Director of Athletics, and others specifically designated by the President represent the University at meetings of the National Collegiate Athletic Association (NCAA). The President exercises ultimate responsibility for University positions advanced before the ACC and the NCAA. P. Funds All funds arising from intercollegiate athletics shall continue to be handled entirely by the Treasurer of the University. Q. Policy Governing Post-Eighth Semester Participation in Intercollegiate Athletics 1 Policy Student athletes may participate in intercollegiate competition after eight semesters at Duke, providing that several conditions are met: a b the student-athlete must have eligibility remaining in accordance with NCAA regulations, the student-athlete must be in good academic standing and be making satisfactory progress toward a degree, as defined by University regulations applicable to all students, the student-athlete must request and receive approval to participate in a sport after his or her eighth semester from the team coach, from the Director of Athletics, and from the Academic Committee of the Athletic Council. the student-athlete must enroll in a minimum of two academic courses during his or her post-eighth semester. c. d. 2. Procedures a. No later than December 1 in his or her seventh semester, a student-athlete who desires to compete during a post-eighth semester must apply in for permission to do so. The application should be made to the team coach. If the coach endorses the request, he or she must indicate approval b. -30Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 31 of 49 EXHIBIT 6 Page 31 of 48 in writing and forward the request to the Director of Athletics. c. The Director of Athletics, upon concurrence, must submit all such forwarded requests to the Chair of the Athletics council, who will consult with the Academic Committee of the Athletic Council for final approval. 3. Rights and Responsibilities a The student-athlete has the right to request permission to participate in intercollegiate competition after the eighth semester, providing all specified conditions of such participation be met and to be final judge as to whether such participation is in his or her best interest. However, no student-athlete has a necessary right to participate in a sport or to remain on athletic scholarship beyond the eighth semester. The team coach has the responsibility of determining whether a student-athlete's participation in his or her sport beyond the eighth semester would be in the interest of the team. The team coach has the right to approve or disapprove the student-athlete's request in accord with this determination. The review powers of the Director of Athletics and the Academic Committee of the Athletic Council are principally intended to provide a basis for them to fulfill their responsibility to ensure that student-athletes participating in post-eighth semester competition do so voluntarily and that the academic progress and performance of student-athletes is enhanced or at least not negatively affected by extending their stay at Duke beyond the eighth semester. b c. R. Criteria for Varsity Awards 1. The following awards are authorized: a b c 2. First Award: Jacket Second/Third Award: Certificate Senior Award: Ring Criteria for awards: Varsity awards for each individual sport shall be awarded on the basis of criteria determined by the Head Coach of that sport. The criteria shall be reviewed and approved by the Director of Athletics, an Associate or Assistant Director of Athletics, or the Faculty Athletics Representative. -31Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 32 of 49 EXHIBIT 6 Page 32 of 48 Athletics Policy Statement 2003 There is good in intercollegiate athletics, when properly conducted. They have made considerable contribution to American college life and deserve to be saved from the perils that threaten them and the evils that now actually beset them. --William Preston Few, 1906 Introduction The past 20 years have witnessed change at an unprecedented rate throughout intercollegiate athletics. The guidelines for athletics at Duke developed by President Terry Sanford and Athletics Director Tom Butters and written by President Sanford in 1984 were appropriate and even far-sighted at the time. Indeed, it is a testament to their vision that much of what Sanford and Butters prescribed is still valid today. But at the same time, enough has changed that it is now prudent to re-evaluate Sanford and Butters’ philosophy and the departmental structures and policies that animated that philosophy. This policy statement is based on a careful analysis and evaluation of the current structure of the Duke Department of Athletics. We have considered whether alternative structures might better serve the university’s goals in sponsoring intercollegiate athletics and be better suited to the changing landscape of college sports. This document is the product of the study of an array of ways of realigning the department with an eye to their effect on cost, admissions, level of competition, the number and nature of participation opportunities for student-athletes, compliance with Title IX, and several other factors. We also weighed these alternatives in light of institutional limits and constraints as well as the appropriate role of a department of athletics in an educational setting. Our conclusion after evaluating the various options is that the current structure best meets the needs of the university. What follows is a brief review of the recent past, an assessment of challenges we are likely to face in the next five years, and an explanation of our conclusion that our present course is the right one. Overview When President Sanford set out to define the ground rules for the Department of Athletics in 1984, the landscape of college sports was very different than it is today. So too was this department. In 1983-84, 194 Duke students received athletic financial aid. Twenty-two percent were women, who received 16% of the aid awarded that year. The cost of a full athletic scholarship was $10,431. The total cost of DUAA financial aid was $1,620,329. 1 The university sponsored 13 men’s sports and eight women’s sports. Yet to be added to the women’s program were cross-country, indoor track, outdoor track, soccer, lacrosse, and rowing, while women’s In 2001-02, 308 students received athletic financial aid; 137 of them were women (44%). Women were awarded 43% of all athletic financial aid. The cost of a full scholarship was $34,765. 1 -32Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 33 of 49 EXHIBIT 6 Page 33 of 48 gymnastics was still a varsity sport. The athletics staff that supported the efforts of these athletes was considerably smaller than it is today, as were the coaching staffs in the non-revenue sports. Title IX was the law of the land, and had been since 1972. But under the Reagan administration, and particularly after the Supreme Court’s ruling in Grove City College vs. Bell (2/28/84), it had little or no real impact on college athletics programs. It wasn’t until the Civil Rights Restoration Act of 1987, which effectively overturned Grove City, that the constraints of compliance with Title IX again became an important factor in the deliberations of university administrators. President Sanford could hardly have foreseen the alterations the next 15 years were to bring, the most dramatic example of which is the explosive growth of interest in the NCAA men’s basketball tournament. College athletics has been suffused with money, has garnered increasing media attention (much of it fueled by the not coincidental growth of cable television in general and ESPN in particular), and been subjected to steadily intensifying pressure. That interest and the resultant pressure have changed the character of the whole enterprise in many ways, not all of them salutary. The response to these changes at Duke took the form of a series of discrete decisions which, viewed collectively, have altered the structure and operation of the department in significant ways. Although this is a different department than it was when Sanford was president, the differences are not the product of a conscious plan or design, but rather the outcome of the university’s incremental adjustments to external and internal pressures (e.g., Title IX, escalating coaches’ salaries, amendments to NCAA legislation.). Why Athletics? As the landscape of college athletics continues to change, the overriding question is whether the university will, as it has done so far, accommodate these and other changes. Is our commitment to Division I athletics such that we will go on accepting adjustments to our standards in order to field winning teams? At what point do we decide that Duke can no longer afford the costs of adapting to alterations in intercollegiate athletics without sacrificing something that is vital to the university’s core values and mission? With these cautionary questions in mind, any plan for athletics has to be recognized as unlikely to be as durable as Sanford and Butters’ plan, defined almost 20 years ago. We might begin by recognizing that the university has been successful thus far in sponsoring an athletics program that has been nationally competitive without compromising the fundamental values and goals of the institution. Before evaluating how that program might be adjusted in the future, however, perhaps we need to revisit the oldest, most fundamental question of all: why athletics in a academic setting? Regardless of the type of institution or the level of competition, the core values cited in the athletics mission statements of institutions as diverse as MIT and the University of Georgia are remarkably consistent. 2 Stripped of all but the bare essentials, they amount to three principles: Based on more than 30 athletics mission statements, including those of institutions from the Ivy League, the Big Ten, the Southeastern Conference, the Seven Sisters, the NESCAC, and independent schools. 2 -33Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 34 of 49 EXHIBIT 6 Page 34 of 48 1) An almost unanimous endorsement of the pursuit of excellence in all things, including athletics; 2) universal identification of athletics as an integral component of the educational mission of the institution and citation of the intrinsic value to the participant. This includes personal and social maturation, the education of the whole person, the development of a healthy lifestyle, and learning the value of the pursuit of goals in a collective context; 3) identification of athletics as one of the best ways to develop and foster a sense of community. These universal benefits of athletics are conferred alike on the University of Michigan tailback playing in front of 105,000 spectators and the Brandeis fencer laboring in virtual isolation. Few would disagree that they are appropriate, and even worthy, goals. But at the same time, few would naively assert that they are the only goals of most Division I programs. Implicit in these goals are the efforts to win on the field, not merely to strive to win. And the unfettered pursuit of victory inevitably brings the department of athletics into collision with other institutional goals and priorities. The pursuit of athletic goals, then, cannot be advanced without consideration of the institutional limits and constraints within which we must operate. Limits and Constraints Duke student-athletes must always be legitimate students who are able to perform in the classroom to the maximum of their capabilities. The University has identified a value in offering a wide range of intercollegiate teams. The Athletics Department has been a valuable asset in advancing the diversity goals of the university. The cost of maintaining nationally competitive programs will continue to increase indefinitely. The weight of history and tradition as well as the sentiments of alumni are significant and not to be disregarded in re-evaluating the structure of the program. The NCAA requires a Division I institution to sponsor a minimum of 14 sports: seven for each gender. The ACC requires all member institutions to sponsor football, men’s and women’s basketball, and either women’s volleyball or women’s soccer. Membership in the Atlantic Coast Conference is desirable. It confers recruiting and financial benefits that would be difficult to replace or re-establish if Duke were to leave the ACC. Perhaps more important, it has fostered rivalries that encourage institutional loyalty and pride and are important to students, staff, and alumni. Finally, the geographical proximity of ACC schools somewhat limits the expense-in both time and money of travel for competition. -34Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 35 of 49 EXHIBIT 6 Page 35 of 48 Compliance with Title IX, in conjunction with NCAA and ACC requirements, imposes considerable constraints on our ability to reshape the department. Internal constraints, such as limits on the number of athletic scholarships and athletic admissions spots, must also be taken into account. Our facilities (locker rooms, weight rooms, practice and competition sites) are stretched to the limit by sponsoring 26 varsity teams. We barely have adequate support personnel (trainers, strength and conditioning coaches, academic advisors) to provide services to almost 600 student-athletes. Some of the elements that shaped the Sanford plan, such as spectator interest, do not exert significant influence on current deliberations. Very few of our teams generate significant spectator interest. Even the most successful (women’s tennis, golf and lacrosse; men’s lacrosse, tennis) rarely play before more than 100 spectators. The only exceptions among the non-revenue sports are men’s and women’s soccer. President Sanford’s contentions notwithstanding, clearly this has never been as important a factor in departmental planning as other variables. Planning for the Future With these principles and constraints in mind, we can formulate a list of goals for the foreseeable future: • • • • • • • • To be nationally competitive annually in most fully funded scholarship sports To be competitive annually in the ACC in the partially funded sports and to be as consistently competitive as possible nationally To utilize non-scholarship, individual sports as a vehicle to maintain a broad-based program and to allow for personal growth and accomplishment To retain and enhance the comprehensive value of participation in the program To maintain high graduation rates To comply with Title IX To support a program of intramural and club sports that responds to the recreational and fitness needs and interests of the student body and staff 3 To continue to adhere to the highest standards of integrity in the conduct of all phases of the athletic program Similarly, there are also directions in which we will never go, “a line in the sand”, as it were, which we will not cross: • • Never compromise our commitment to the academic success and graduation of studentathletes Never violate the autonomy of the Director of Admissions in the athletics admissions process and never compromise the fundamental admissions standard: that all admitted 3 More than 1600 students participate in 38 club programs and more than 2000 students play at least one of 21 intramural sports offered. It is important to maintain these programs at their present level for those students whose abilities or interests preclude varsity status but who nonetheless want to enjoy the benefits of athletic participation. -35Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 36 of 49 EXHIBIT 6 Page 36 of 48 • students must be capable of doing acceptable work and graduating from the university Never depart from principles of sound fiscal management As our environment continues to change, we can no longer afford to respond to those changes in an ad hoc fashion. Insofar as possible, we need to anticipate and plan for change so that our responses are consistent with institutional and departmental policy and philosophy and in accord with the goals we have outlined. As we plan, it seems clear that the three most pressing issues we will have to confront in the foreseeable future are expenses, admissions, and compliance with Title IX. The Cost One of the inescapable considerations as we evaluate the direction that the department is to take is cost, of all kinds. While analysis of the cost of IA athletics has tended to focus on academic compromises, it is worth noting that the costs involve actual financial expenditures, as well. The rapidly developing sophistication in training and conditioning techniques, the perceived need for full-time assistant coaches, the increased public interest in women’s athletics, and the consequent intensification of the recruiting wars for non-revenue sport prospects have conspired to raise the cost of running an intercollegiate program to a level that would have seemed incredible to President Sanford. In short, the arms race, once restricted to football and men’s basketball, has now swept up the non-revenue sports. At Duke, with its high tuition rate, scholarship costs alone are spiraling upward. 4 In addition, heightened levels of competition in virtually all the sports we sponsor has translated to increased operating budgets across the board, the expense of maintenance and operations of our new facilities is not inconsiderable, and coaches’ salaries in the revenue sports continue to rise. 5 How can we plan to offset these increased and increasing--expenses? Over the past few years, the athletic development office staff has been augmented. A great deal of the staff’s time and attention had been devoted to fund-raising for a number of large projects: Schwartz-Butters, Yoh, Sheffield, and endowment of scholarships. As these projects are completed, the development personnel will have more freedom to concentrate on raising money to offset and even endow operating costs. As our teams continue to succeed on the field, we anticipate that licensing will be a productive source of revenue. We need to ensure that we are exploiting this revenue source effectively and creatively. The single untapped resource that has the potential to generate significantly increased revenue is football. We are currently operating under a plan to rebuild the football program that, if it works, will return football to competitive stature within the ACC. The success of this plan (focused on improving recruiting, the retention of quality coaches, improvement of facilities, and adjusted admissions procedures) may provide some relief from our growing financial pressures. We also anticipate that our aggressive promotion of women’s basketball, as well as the team’s continued success, will produce more revenue, although realistically, it will be a long time before such revenues offset the costs of that program. The cost of a full scholarship in 2002-03 will be $36,617. We anticipate awarding approximately 235 scholarships: $8,604,995. We are already seeing the gravitational effect of elevated football and basketball coaches’ salaries on non-revenue salaries at other institutions. We can expect the same effect at Duke, as well. 5 4 -36Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 37 of 49 EXHIBIT 6 Page 37 of 48 Careful stewardship of our resources in combination with aggressive and creative fundraising and marketing will enable us to sustain the ambitious goals of each of our teams and of the program itself, as long as current sources of important funding, which are to a certain extent dependant upon economic factors over which we have little control, are not seriously limited by downturns in the economy. Admissions The issue of admissions is likely to be among the most vexing in the future, but this fact is hardly startling, nor is it a new phenomenon. The current system of athletic admissions spots was developed by Clark Cahow during his tenure as Interim Director of Admissions following the abrupt resignation of Jean Scott in 1985. Underlying any such system has always been the recognition that concessions need to be made in athletics admissions in order to field competitive teams. While this has long been true for football and men’s basketball, it is only relatively recently that such concessions have been extended in any systematic way to nonrevenue men’s sports and to women’s sports. As recently as the late 1980's, this was, in fact, still a matter of some debate. During Dick Steele’s term as Director, the offices of the Provost, the Athletics Director, the Director of Admissions, and the President engaged in a somewhat spirited exchange over what then-Vice Provost Paula Burger, in a memo to President Brodie, referred to as the ambiguity of the [admissions] status of non-revenue athletes. President Brodie’s reply was unambiguous: There are a number of very important reasons for the nurturance of our non-revenue athletic programs. In order to maintain these programs we are bound under the athletic policy of the University to excel. That is to say, we are not interested in fielding teams just for the sake of fielding teams. We are fielding teams in order to win and to bring credit to the University in the process. In order to do that we need the use of scholarship funds which are available to the Athletic Department and we need competent student-athletes. Specifically in regard to women, he said: A strong program for women athletes will help attract women, not just women athletes. In order to build strong teams we will probably need to admit some women who will more approximate the admission standards for revenue than non-revenue athletes. This is important if we are to meet our Title IX obligations. He concluded by asserting that “we need to rely less on SAT scores and more on individual capacity to excel as we shape our admissions policy.” While this had been the general understanding of how the admissions policies outlined in the Athletic Policy Manual were to be put into practice, President Brodie’s letter clarified and acknowledged that practice. It is interesting to note that the clarification confirmed and established the same kind of “creep” effect in the admissions process that we have identified in other areas of the athletic program; that is, gradually, non-revenue sports have assumed the profile and characteristics previously reserved only for football and men’s basketball. -37Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 38 of 49 EXHIBIT 6 Page 38 of 48 In the period since President Brodie’s letter, other events have continued this trend, most notably Christoph Guttentag’s development of the concepts of the “reach” and the “stretch” for non-revenue scholarship sports. In 1994, Mr. Guttentag proposed that such sports have available to them on a limited basis these two classifications of admits in addition to their regular “spots”. The “reach” actually represented the codification of established practice: “academic quality below the normal spot, in limited number, generally no more than one a year, and that only if the case is compelling.” A “stretch,” on the other hand, was something different, representing, in Mr. Guttentag’s words, “a new level for non-revenue sports.” The idea was that the academic profiles of stretches would more closely resemble admits in the revenue sports than had previously been possible. 6 In the late nineties, a memo from Christoph Guttentag and Chris Kennedy to President Keohane and Provost Strobehn touched upon some of the larger admissions issues which will become steadily more pressing in the future. The occasion for the memo was a discussion of the appropriate number of slots to be conferred upon the new women’s rowing program. But Guttentag and Kennedy took the opportunity to point out the ramifications of adding admissions spots to any given class: Fundamental to this issue is a decision concerning institutional priorities. While academic and athletic excellence are not mutually exclusive, neither are they inevitably intertwined. The “cost” of winning teams is generally some decrease in the “academic quality” of the class. Making quantifiable indicators of academic ability the greatest priority means that we must either reconsider fundamentally how we are to approach athletics or resign ourselves to a static level of athletic competitiveness. We find ourselves still facing these issues, as well as new ones. One example of such an issue is the trend toward early commitment to a university or, more accurately, a university’s athletic program. The tendency over the last several years has been for high school students to identify the institution they want to attend earlier and earlier. The expectation is that the institution will reciprocate the interest and commit to the prospect at the same time. The consequence of this trend for academically selective institutions will be the pressure to make admissions decisions based on a decreasing amount of information. We recently, for example, received a commitment from a basketball prospect who just completed the tenth grade. Women’s golf coaches at competing institutions have discovered that an effective way to recruit against Duke is to pressure students into making decisions in their junior year before Duke can currently make an admissions decision. Moreover, changes in NCAA legislation will encourage the current trend toward earlier commitments in men’s basketball and will lower the initial eligibility threshold for all incoming freshmen. While Duke has never adopted NCAA minimum academic requirements in making admissions decisions, it has adjusted its internal standards in response to changes in external standards. NCAA initial eligibility requirements have recently been adjusted to become a full Stretches are available only to scholarship programs. Coaches are limited to one stretch every two years and must give up a spot in the year the stretch is used and one more the following year. 6 -38Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 39 of 49 EXHIBIT 6 Page 39 of 48 sliding scale. 7 It is now possible for a prospect with a 400 total score on the SAT to be eligible if his or her high school GPA were high enough. No one would expect the university to admit such a student, but in such a climate it may well be asked to consider students who would not currently be qualifiers. And while we still do not understand the full impact of Curriculum 2000, it is safe to say at this point that it is at least marginally more difficult than the previous curriculum. Judging from the experience of our academically marginal student-athletes, we have probably adjusted our admissions standards as much as possible consistent with our desire to ensure satisfactory academic performance and high graduation rates. However, as a part of the plan to resurrect football, the Director of Admissions will consider admitting more applicants who reside at the lower reaches of our pool of admissible prospects. This means that the Department of Athletics must commit the necessary resources to the academic support and nurturing of these students if we are to ensure that our historically high graduation rates are not to suffer. Academic support in the Department of Athletics has always been guided by the belief that Duke students of all kinds are responsible, mature individuals. Adherence to this principle results in a program which is constantly conscious of the need to maintain the balance between providing adequate support which helps student-athletes to succeed and providing too much support with the result that the student becomes and remains dependent. Ideally, the amount of support a student will need and receive, moreover, will decrease as the student matures and polishes his or her academic skills. With the adjustment in admissions practices, it will be important to monitor closely the academic performance of student-athletes. Currently, the academic subcommittee of the Athletic Council reviews admissions data and the records of all student-athletes once a year. This review needs to be more rigorous and more frequent than in the past and to produce a formal report by the chair of the committee to the Provost. Finally, the slight shift in admissions policy for football is not the first in a series of steps which continue to relax admissions standards. This is a one-time adjustment, the effects of which—both on the success of the football program and on the academic progress of studentathletes—will be carefully monitored and evaluated. Title IX at Duke At Duke, consideration of compliance with Title IX of the Higher Education Act began soon after it was enacted. As part of their deliberations concerning the reorganization of Physical Education and Athletics in 1975, Chancellor John Blackburn, Provost Frederic Cleaveland, and Vice President Charles Huestis concluded that the then-current structure (men’s sports under the aegis of Athletics; women’s under PE) “is not a reasonable solution . . . in terms of Title IX requirements.” Having arrived at the decision to combine Athletics and Physical Education, they issued the following charge to the Chairman of the PE Department and the Director of Athletics: “act positively in formulating detailed steps to bring Duke University into full compliance with Title IX moving toward equal opportunity for all student athletes . . . 7 That is, there is no longer a required minimum score on the SAT or ACT in order to be eligible for competition as a freshman. A student with 400 on the SAT’s would be eligible if he or she earned a high school GPA of 3.55 in 14 core courses. -39Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 40 of 49 EXHIBIT 6 Page 40 of 48 regardless of sex.” These good intentions notwithstanding, efforts to comply with Title IX languished throughout the 70's and most of the 80's, both at Duke and nationally. Indeed, Tom Butters, in March of 1984, recommended either dropping women’s fencing, swimming, and gymnastics or relegating the entire women’s program to Division II status. These recommendations were made even in the face of a Title IX complaint that had been lodged against the university in 1980. The resultant settlement with the Office of Civil Rights (OCR) merely required Duke to ensure that the percentage of athletic aid for women remained within three percent of the percentage of women participating in intercollegiate athletics. In negotiating this settlement, OCR clearly felt the constraints of the recent Supreme Court ruling in the case of Grove City College vs. Bell. Writing for the Office of Civil Rights, William H. Thomas said that “Duke University does not at this time receive any Federal financial assistance . . . for its athletic program in general, and therefore does not appear to be subject to the requirements of Title IX regulation at section 106.41.” Thus, consideration of Grove City resulted in a more limited settlement than would have otherwise been the case. The resultant peculiarity of this agreement was that it actually made it financially advantageous to keep women’s participation rates down. It certainly did not have the effect of dramatically raising the rates of female participation and aid. In 1983-84, women received 25 athletic scholarships; five years later, in 1988-89, they received only 35 scholarships. Although women’s cross-country and track had been granted varsity status in 1986 (without scholarships and simultaneous with the elimination of women’s gymnastics), it wasn’t until the addition of women’s soccer in 1988 that the serious effort to achieve compliance with Title IX began. Although there are no explicit references to the Civil Rights Restoration Act of 1987 in internal Duke documents, it now seems improbable that the mounting of sustained efforts at compliance in the late eighties and throughout the nineties was entirely coincidental. This is particularly likely in light of the law suits which were filed during this period against a variety of institutions across the country alleging discrimination on the basis of gender in their athletic programs. The general consciousness that Title IX was an ever more pressing issue coalesced in Tom Butters’ decision to form a Task Force on the Scope of the Intercollegiate Athletic Program in 1994. 8 The immediate impetus for this decision was the request for varsity status, during the spring of 1994, by the women’s lacrosse and rowing clubs. The task force was instructed “to review our current program and to consider the most plausible contenders for new varsity sports, with the goals of evaluating the philosophy behind our program and recommending whether changes should be made in its composition.” In June of 1994, they recommended adding a women’s sport immediately, possibly dropping a men’s sport, anticipating the addition of a second women’s sport in several years, and creating a category of “super-club” sports. Ultimately the goals of this plan were to equalize the number of men’s and women’s teams at 13 while increasing women’s participation rates to 40% and scholarship rates to 37%. These goals were calculated under the misapprehension that the Office of Civil rights found a five percent variance between participation/aid rates and enrollment to be acceptable. In fact, various courts have set different standards in this regard. 8 The members of this task force were Tom Spragens, Kate Hendricks, Joe Alleva, and Jacki Silar. -40Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 41 of 49 EXHIBIT 6 Page 41 of 48 Proceeding under these recommendations, the Athletics Department hired a varsity women’s lacrosse coach in January of 1995 and competed in the first season of women’s lacrosse in the spring of 1996. Shortly thereafter, in the fall of 1997, two events inspired a re-evaluation of the university’s approach to Title IX: the NCAA Certification process and a complaint against Duke filed with OCR by the National Women’s Law Center. In the course of evaluating the university’s commitment to equity, as required by the NCAA certification process, athletics officials concluded that the goals of the 1994 plan needed to be adjusted to respond to what had been happening in the courts. While different districts ruled differently in the matter of a permissible variance between enrollment and participation/athletic aid, it was clear that reliance on a five percent variance was unwise. Moreover, the high level of athletic expertise achieved by women by this time virtually demanded an increased level of commitment to equitable treatment by the university. That is, the Department of Athletics recognized that an aggressive approach to compliance with Title IX was not only the prudent thing to do, but, more importantly, the right thing. Accordingly, the university gender equity plan was adjusted to add 34 new scholarships by 2001-02, if possible, but no later than 2002-03. This would bring the rate of women’s aid to 45%, within two percent of women’s current enrollment. The 1997 plan was also significantly more comprehensive than previous plans, encompassing operating budgets, coaches’ salaries, and facilities, as well as the detailed financial plan to achieve proportionality. As the university was nearing completion of NCAA certification, the National Women’s Law Center filed a complaint against Duke and 24 other universities and colleges alleging discrimination in their athletics programs. Consequently, the university entered into negotiations with the Office of Civil Rights to reach a settlement of this claim. The settlement, finalized on March 26, 1999, required Duke to keep women’s athletic financial aid rates within one percent of women’s participation rates. 9 This was consistent with OCR’s recent “policy interpretation” (July 23, 1998): “an unexplained disparity of more than 1% is in violation of the >substantially proportionate’ requirements.” Duke was required to report biannually to OCR concerning its participation and aid rates through October, 2002. In complying with this standard, the university was aided by the recent decision to accord varsity status to women’s rowing. Consistent with its standard practice, OCR gave Duke “credit” for as-yet-unawarded rowing scholarships in these biannual calculations. Consequently, the university was able to stay within the established parameters, so successfully, in fact, that OCR released Duke from its reporting obligation a year early, saying “the University’s clear commitment to its responsibilities under Title IX indicates that there is no need to continue monitoring the University in this matter.” In 2001-02, women at Duke received approximately 41.5% of athletic financial aid while representing about 42.5% of the total participants. The aid figures were somewhat distorted by an unusual number (for Duke) of scholarship women either leaving the university or surrendering their aid. In 2002-03, it is anticipated that women’s financial aid will reach the target of 45% and that participation rates will be in the 45-46% range, thus navigating the university into the “safe harbor” of the first “prong” of OCR’s prescribed means of compliance with Title IX: substantial proportionality. It should be noted that this settlement was based solely on aid and participation rates, without regard to enrollment figures among the student body at large. 9 -41Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 42 of 49 EXHIBIT 6 Page 42 of 48 Having achieved the statistical goals laid out in our equity plan, we must, in the future, never lose sight of the perhaps more important and certainly more immediate manifestation of true equity in an athletics program: how it feels to be a participant every day. Aggregate numbers are helpful as indicators of the over-all state of a program, but they mean little to the participants themselves. Equity for them is expressed in the condition of their locker rooms, the quality of coaching, the strength of their playing schedules, accommodations on road trips, and all the other day-to-day activities in the lives of student-athletes. Our goals, then, are two-fold: to maintain statistical compliance with Title IX and to provide an athletic experience that is equally rich and satisfying to athletes of both genders. A Departmental Structure for the Future What departmental structure puts us in the best position to face these challenges while still achieving our departmental and institutional goals? Is the current structure, which is an amalgam of recent calculated planning erected on a foundation of history and tradition, the best one? We undertook a study sketching hypothetical alternative structures and found that models which, in effect, “tweak” current practice do not enhance our opportunities to meet our goals. Indeed, most are unsatisfactory on a number of grounds (not compliant with Title IX, not compliant with NCAA requirements, etc.). If we are to evaluate the best possible course for Duke Athletics, we need to realize that there are really only three alternative structures and philosophies: 1) maintain our present course, characterized by a combination of scholarship, nationally competitive programs and non-scholarship, regionally competitive programs; 2) undertake the expanded commitment required to finish in the top five of the Sears Cup every year; 3) de-emphasize varsity athletics and compete at the NCAA Division III level. Our present department is attempting to fulfill a number of missions through its tiered structure. We sponsor a mixture of sports which are perennially competitive on the highest national level and sports that are competitive regionally on a significantly lower level, 10 but which nonetheless provide the benefits of athletic participation to the competitors and to the institution. Moreover, this structure is both the product and the conveyer of years of tradition, of memorable victories and honorable defeats, of the long athletic history of the university. Such a program is not to be dismissed or thrown away lightly. An alternative, nonetheless, is to restructure (and refinance) the department in order to win, or be competitive for, the Sears Cup (see Table 1). Such a program would require that all sports be funded to the NCAA maximum and that coaching staffs in women’s track, rowing, and all the “third tier” sports be augmented. Wrestling, swimming, men’s track, fencing. These teams are competitive at lower NCAA levels (e.g., vs. UNC-Wilmington, Washington and Lee, etc.), but not within the ACC and certainly not nationally. 10 -42Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 43 of 49 EXHIBIT 6 Page 43 of 48 Table 1 Women's Sport X-C/Track Rowing Field Hockey Golf Basketball Lacrosse Soccer Tennis Volleyball Swimming Fencing Total Total scholarships: Total participants: % female scholarships: % female participants: $ 18 20 12 6 15 12 12 8 12 14 5 134 Participants 40 65 22 6 16 30 26 10 14 30 15 274 312.1 606 43 45 (+76.9) (+12) (+2%) (+2%) Men's Sport Football Golf Lacrosse Soccer Tennis Basketball Baseball X-C/Track Fencing Swimming Wrestling Total $ 85 4.5 12.6 9.9 4.5 13 11.7 12.6 4.5 9.9 9.9 178.1 Participan 90 10 40 26 10 15 26 40 15 30 30 332 The advantage of such a structure is that it gives all the programs the university sponsors the capacity to be nationally competitive year-in and year-out. On the other hand, 76.9 additional scholarships would increase the cost of athletic financial aid alone by approximately $2,815,847 (at the 2002-03 rate). Of the top 30 finishers in the Sears Cup standings in 2001-02, Duke’s financial aid costs ($7,998,000) were the third highest, behind Stanford and Michigan. At the same time, Duke’s total athletic department budget ($28,727,000) was the fifth lowest. To consistently finish among the leaders for the Sears Cup, we would in all probability have to increase operating budgets across the board. This would require a significant reallocation of existing university resources, which is not currently possible. In addition, the gap between athletic admits and “regular” admits would widen with the increase in the number of scholarships offered. That is, the proportion of athletic admits which diverge significantly from “normal” admissions standards would increase. We would also sacrifice the notion of nonscholarship sports which promote individual achievement and personal improvement. Finally, the other true alternative is the most radical of all: do away with athletic scholarships, withdraw from the ACC, and compete at the Division III level. The immediate consequences of such a step would be dramatic. The elimination of approximately 235 scholarships would save the university about 8.6 million dollars (although how much of this cost would then shift to other forms of student aid is impossible to predict). Additional savings would be realized as a result of the inevitable contraction of coaching staffs, and perhaps even of squad sizes. Moreover, shorter practice seasons and fewer contests translate into less travel, lower medical expenses, lower games operations expenses, etc. At the same time, however, virtually all revenue from men’s basketball ($8.7m) and football ($5.8m) would, of course, disappear. The chief benefits of this alternative would be some financial savings and considerable reduction in the number—and nature—of our admissions compromises. But such benefits would come at considerable cost. The long and illustrious athletic history of the university is a source -43Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 44 of 49 EXHIBIT 6 Page 44 of 48 of pride to alumni, students, and staff. Duke’s athletic events have been a productive rallying point for development and alumni officers. The success of our high-profile teams has generated incalculable national and even international publicity for the university. While the effect of this publicity is difficult to quantify, few would disagree that it has had a positive impact on the university’s image and is felt among alumni, donors, and prospective students. Within the immediate Duke community, moreover, varsity athletics encourages and fosters a sense of community that would be difficult to replace or replicate through other means. Many graduates, when asked to name their best memories of Duke, place the experience of Cameron Indoor Stadium high among them. We would also find ourselves with recently completed or renovated Division I facilities— at a cost of some $60 million dollars—which are grossly out of proportion to the needs of a Division III program. In making such a change we will have broken faith with literally thousands of donors whose contributions paid for the facilities necessary to sustain our teams at the highest levels. Indeed, we would have perpetrated a kind of “bait and switch” fraud on our donors. The deleterious effects of a radical retrenchment of our athletic program, some of them intangible, some hard to predict, are nonetheless certain to be profound and to raise considerable bitterness, anger, and resentment across the entire spectrum of Duke graduates and lovers of the university. The problems and challenges that we currently face would have to be considerably more acute and intractable than they currently are for us to seriously consider this alternative. Conclusion Our conclusion, then, is that the structure of the current program will serve the university well in the next decade. We do not believe that we need to fundamentally change what we are attempting to do or how we are attempting it. In some programs, we need to find ways to achieve our current goals more effectively, but within the current structure and philosophy, as embodied in the tiered nature of the department. We do not believe that the athletics program imposes an unjustifiable financial or academic burden on the university. We recognize, however, that the fluidity of the current environment will require more regular evaluation of the structure, goals, and operation of the department to ensure their continued compatibility with the larger structure and goals of the university. For the immediate future, the status of the various tiers of sports can be summarized: Football: A plan is in place to revitalize the program, including improvements in recruiting and facilities, the retention of quality coaches, and adjustment of admissions practices. Men’s basketball: The men’s basketball program has the necessary resources, including competitive coaches’ salaries, to continue to perform at an extremely high level. Our commitment to the academic support of the players needs to remain high. Women’s basketball: Women’s basketball also has sufficient resources to remain in the top five annually and to challenge for the national championship. It will be important to continue our aggressive campaign to promote the sport in the area. -44Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 45 of 49 EXHIBIT 6 Page 45 of 48 Women’s non-revenue scholarship sports: Construction of a boathouse for women’s rowing, currently in the planning stage, is the most pressing facility need for women’s athletics. In addition, we need to make sure that we complete the fund-raising campaign to endow the additional women’s scholarships that will bring us into compliance with Title IX in 2002-03. With the renovation of Card Gym and the Murray Building--and upon completion of the boathouse-- facilities for women student-athletes will be outstanding for the foreseeable future. Men’s non-revenue scholarship sports: As with the women’s programs, the Card and Murray renovations have greatly improved facilities for these teams. The success of these programs speaks to the adequacy of their current support. Non-revenue, non-scholarship sports: In these programs, where national or conference championships are unlikely, we need to ensure that students continue to feel that they have been provided with everything necessary to be as successful as possible. The measure of success among these teams is, to some extent, how the participants feel about their experience as Duke student-athletes. The key is to continue to provide high quality coaching, which is the most important factor in the students’ feelings about their sport and themselves. While President Sanford’s criteria for sponsoring an intercollegiate sport and the goals he identified for the athletic program as a whole may have been modified in practice to some degree, much of what he articulated is still valid. Our program should continue to “produce positive attitudes and general support from both the student body and alumni and friends of the university.” The sports we sponsor “should reflect not only long-standing Duke athletic traditions but also . . . the special talents of its [current] students.” We should ensure that athletics continues to “provide collateral institutional benefits for Duke University.” And, as he warned, we cannot forget that the scope of the program must remain within the university’s ability to fund at a level that will continue to produce competitive teams and individuals. Finally, we need to make sure that we never lose sight of the irreducible educational values that support the presence of an intercollegiate athletics program on a college campus: personal and social development, dedication to sportsmanship and fair play, promotion of a healthy lifestyle, development of the whole person, fostering of a sense of community, and the consistent pursuit of excellence in all we do. -45Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page 46 of 49 EXHIBIT 6 Page 46 of 48 Appendix II Roles of the Faculty Athletics Representative and Chair of the Athletic Council at Duke University With the creation of a separate position of the Chair of the Athletic Council (CAC), the duties of the Faculty Athletics Representative (FAR) have changed. In this document the major responsibilities of the two positions are detailed. Both positions retain the need to interact broadly within and outside the Athletic Department, and to provide advice and information to various entities. The CAC largely reports to the faculty and the Academic Council (and ECAC); the FAR to the President. In the role as Chair of the Academic Subcommittee of the Council, the CAC also reports to the Provost. The Athletic Director and others in the Athletic Department should feel free to call on either or both representatives for advice from a faculty member’s perspective, although the FAR retains a more formal relation with the Athletic Director as Duke’s representative to the ACC. Below is an informal summary of the responsibilities, however as these positions evolve these duties are expected to evolve. In addition to these general roles, the duties of the positions include: Chair of the Athletic Council (CAC) The athletic council and it’s business is largely the responsibility of the CAC, however the FAR will chair the Compliance Committee, and be responsible for activities relating to that committee. General breakdown of duties are: • • • • • • • • • • • • Organizes meetings, sets agendas, and assists the President in appointment of members to the Athletic Council (CAC) Organizes and chairs meetings of the academic committee (CAC) Manages the Athletic Policy Manual – reviews for necessary changes, provides reports on appropriate changes to the President and Board of Trustees (who are authorized to actually make the changes). (CAC) Prepares formal reports of council activities to the President (overall) and Provost (academic subcommittee). (CAC) Reports as necessary to ECAC and Academic Council. (CAC) Communicates with Provost, academic deans and director of admissions on regular basis to discuss issues of student athlete admission, progress and integration into community. (primarily CAC, but also FAR) Participates in reports to the Board of Trustees as deemed necessary by the President (CAC & FAR). Serves on major search committees involving athletic department personnel. (FAR & CAC as appropriate) Works intensively on NCAA certification (equivalent to major accreditation effort; once every 10 years). (FAR & CAC) Receives “student athlete misconduct reports” from the Compliance Office (FAR & CAC) Conducts interviews of current athletes, faculty members and academic and athletic administrators to assess academic programs and student welfare (CAC, FAR and Academic Subcommittee) Conducts annual exit interviews of graduating student athletes (FAR, CAC and Academic Subcommittee). 46 ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page Case 47 of 49 EXHIBIT 6 Page 47 of 48 • • • Meets with President and senior officers at times when major policy issues regarding athletics are on the table. (FAR & CAC as appropriate) Meets on regular basis with President for discussion of variety of athletic issues. Available for advice at any time. (CAC and FAR) Serves on various ad hoc committees involving athletic issues (CAC and FAR as appropriate) Formal on-campus duties of FAR • • • • • • • • A number of activities are appropriately shred between the CAC and FAR, and many of these are listed above. Is responsible for formal student athlete appeals as defined in the Athletic Policy Manual (FAR) Participates in annual exit interviews of graduating student athletes (FAR, CAC and Academic Subcommittee). Nominates student athletes for scholarships and honorary awards (conference and NCAA). (FAR) Formally oversees NCAA eligibility certification process (eligibility certification performed by the Registrar). (FAR) Organizes and chairs meetings of the Compliance Subcommittee (FAR) Is involved in various appeals of ACC or NCAA regulations when necessary. (FAR) Audits violations and Duke’s responses to violations. (FAR) Representation of Duke at the ACC and other organizations (largely the FAR). • • • • • • • Attends meetings of the conference. (FAR) Reviews all legislation, and makes recommendations for Duke’s and the ACC’s voting position. (FAR in consultation with various constituencies) Serves as an officer of the ACC following normal rotation. (FAR) Serves on misc. ACC committees. (FAR) On occasion represents Duke and/or the ACC at the NCAA and FARA conventions. (FAR) Participates in other national organizations regarding athletics. (FAR & CAC) May represent the conference on a major NCAA committee. (FAR) Performs certain tasks assigned by the conference and NCAA (FAR) • • • Administers NCAA recruitment regulation test to all coaches on an annual basis (FAR and CAC as necessary). Signs off on/certifies variety of paperwork (FAR). Administers NCAA sponsored surveys (FAR). President’s/faculty’s eye/representative in athletics (Both CAC and FAR) These are less formal responsibilities, but are activities that will enhance both the CAC and FAR to perform their job better. They are best defined as shared/joint responsibilities of these two positions. 47 ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page Case 48 of 49 EXHIBIT 6 Page 48 of 48 • • • • • • • • • • • Is an active participant in the activities of the athletic department on behalf of the academic side of the University. Serves as an advisor to the Director of Athletics (formally FAR) Establishes and maintains strong relationships with senior athletic department staff and coaches of major teams. Is in frequent communication with directors of compliance and academic support. Serves on search committees and/or interviews candidates for head coaching positions. Maintains a sufficient presence so that individuals in the athletic department would feel comfortable contacting the individual for advice. Attend a variety of athletic events (sporting and social) to become a familiar, supportive presence to coaches, staff and to what extent possible student-athletes. On occasion travels with teams to gain closer relation with coaching staff and students, and also assess demands on student time/energy. Becomes familiar with individuals involved in athletic fundraising. Works as possible with the student athlete advisory committee. Communicates regularly with academic support services to monitor athlete progress and available support services. 48 ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-7 Filed have been extracted. Page Case 49 of 49 EXHIBIT 7 ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. Case 1:08-cv-00502 Document 1-8 Filed 07/23/2008 Page 1 of 53 EXHIBIT 7 Page 1 of 52 bulletin of Duke University 2007-2008 The Duke Community Standard in Practice: A Guide for Undergraduates Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. 1:08-cv-00502 Document 1-8 Filed 07/23/2008 Page 2 of 53 EXHIBIT 7 Page 2 of 52 University’s Mission Statement James B. Duke’s founding Indenture of Duke University directed the members of the University to “provide real leadership in the educational world” by choosing individuals of “outstanding character, ability and vision” to serve as its officers, trustees and faculty; by carefully selecting students of “character, determination and application;” and by pursuing those areas of teaching and scholarship that would “most help to develop our resources, increase our wisdom and promote human happiness.” To these ends, the mission of Duke University is to provide a superior liberal education to undergraduate students, attending not only to their intellectual growth but also to their development as adults committed to high ethical standards and full participation as leaders in their communities; to prepare future members of the learned professions for lives of skilled and ethical service by providing excellent graduate and professional education; to advance the frontiers of knowledge and contribute boldly to the international community of scholarship; to promote an intellectual environment built on a commitment to free and open inquiry; to help those who suffer, cure disease and promote health, through sophisticated medical research and thoughtful patient care; to provide wide ranging educational opportunities, on and beyond our campuses, for traditional students, active professionals and life-long learners using the power of information technologies; and to promote a deep appreciation for the range of human difference and potential, a sense of the obligations and rewards of citizenship, and a commitment to learning, freedom and truth. By pursuing these objectives with vision and integrity, Duke University seeks to engage the mind, elevate the spirit, and stimulate the best effort of all who are associated with the University; to contribute in diverse ways to the local community, the state, the nation and the world; and to attain and maintain a place of real leadership in all that we do. —Adopted by the Board of Trustees on February 23, 2001 The Duke Community Standard Duke University is a community dedicated to scholarship, leadership, and service and to the principles of honesty, fairness, respect, and accountability. Citizens of this community commit to reflect upon and uphold these principles in all academic and nonacademic endeavors, and to protect and promote a culture of integrity. To uphold the Duke Community Standard: • I will not lie, cheat, or steal in my academic endeavors; • I will conduct myself honorably* in all my endeavors; and • I will act if the Standard is compromised. * Corrected from the 2007-08 printed version, which read “I will conduct myself responsibly and honorably in all my endeavors...” Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. 1:08-cv-00502 Document 1-8 Filed 07/23/2008 Page 3 of 53 EXHIBIT 7 Page 3 of 52 bulletin of Duke University 2007-2008 The Duke Community Standard in Practice: A Guide for Undergraduates Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. 1:08-cv-00502 Document 1-8 Filed 07/23/2008 Page 4 of 53 EXHIBIT 7 Page 4 of 52 EDITORS Stephen Bryan David Frankel Valerie Kolko Christine Pesetski COORDINATING EDITOR Rob Hirtz PUBLICATIONS COORDINATOR Jennifer Deer The information in this bulletin applies to the academic year 2007-2008 and is accurate and current, to the extent possible, as of July 2007. The university reserves the right to change programs of study, academic requirements, teaching staff, the calendar, and other matters described herein without prior notice, in accordance with established procedures. Duke University prohibits discrimination, and provides equal employment opportunity without regard to race, color, religion, national origin, disability, veteran status, sexual orientation, gender identity, sex or age. The university also makes good faith efforts to recruit, employ and promote qualified minorities, women, individuals with disabilities, and veterans. It admits qualified students to all the rights, privileges, programs and activities generally accorded or made available to students. The university prohibits harassment of any kind. Questions, comments or complaints of discrimination or harassment should be directed to the Office for Institutional Equity, (919) 684-8222. Further information, as well as the complete text of the harassment policy, may be found at http://www.duke.edu/web/equity/. The Family Educational Rights & Privacy Act (FERPA), 20 U.S.C § 1232g; 34 CFR Part 99, is a federal law that guides the release of students’ education records, of which disciplinary records are a part. For additional information about FERPA, see http://www.ed.gov/policy/gen/guid/fpco/ferpa/index.html. Duke University is prepared to make reasonable academic adjustments and accommodations to allow students with disabilities full participation in the same programs and activities available to students without disabilities. The Student Disability Access Office assists students with disabilities who are enrolled in Trinity College and the Pratt School of Engineering. In order to receive consideration for reasonable accommodations under the Americans with Disabilities Act (ADA), a student must have a physical or mental impairment that substantially limits one or more major life activities such as, but not limited to, hearing, seeing, speaking, breathing, performing manual tasks, walking, caring for oneself, and learning. Substantially limiting refers to an impairment that prevents an individual from performing a major life activity or significantly restricts the condition, manner, or duration under which an individual can perform a major life activity. Students requesting accommodations under the provisions of ADA (e.g., academic, housing, etc.) must consult Dr. Emma Swain, director, Student Disability Access Office, (919) 668-6213 or (919) 668-1329 TTY, to explore possible coverage. Students with medical conditions not covered under the provisions of ADA must consult Duke Student Health Service at (919) 681-9355 for further information. Duke University recognizes and utilizes electronic mail as a medium for official communications. The university provides all students with e-mail accounts as well as access to e-mail services from public clusters if students do not have personal computers of their own. All students are expected to access their e-mail accounts on a regular basis to check for and respond as necessary to such communications, just as they currently do with paper/postal service mail. Information that the university is required to make available under the Student Right to Know and Campus Security Acts may be obtained from the Office of News and Communications at (919) 684-2823 or in writing to 615 Chapel Drive, Box 90563, Duke University, Durham, North Carolina 27708. Duke University is accredited by the Commission on Colleges of the Southern Association of Colleges and Schools to award baccalaureate, masters, doctorate, and professional degrees. Contact the Commission on Colleges at 1866 Southern Lane, Decatur, Georgia 30033-4097 or call 404-679-4500 for questions about the accreditation of Duke University. In accordance with Title IX of the Education Amendments of 1972, Duke University prohibits discrimination on the basis of sex in the administration of its educational policies, admission policies, financial aid, employment, or any other university program or activity. Duke University has designated Dr. Benjamin D. Reese, vice president of the Office for Institutional Equity, as its Title IX Coordinator. This publication may be accessed online at: http://www.registrar.duke.edu/bulletins/communitystandard. July 2007 2 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. 1:08-cv-00502 Document 1-8 Filed 07/23/2008 Page 5 of 53 EXHIBIT 7 Page 5 of 52 University Administration GENERAL ADMINISTRATION Richard H. Brodhead, Ph.D., President Victor J. Dzau, M.D., Chancellor for Health Affairs; and President and Chief Executive Officer, Duke University Health System, Inc. Peter Lange, Ph.D., Provost Neal F. Triplett, M.B.A., President and Chief Executive Officer of Duke Management Company Tallman Trask III, M.B.A., Ph.D., Executive Vice-President Peter C. Agre, M.D., Vice-Chancellor for Science and Technology Joseph L. Alleva, M.B.A., Director of Athletics Pamela Bernard, J.D., Vice-President and University Counsel John F. Burness, A.B., Senior Vice-President for Public Affairs and Government Relations Robert M. Califf, M.D., Vice-Chancellor for Clinical Research H. Clint Davidson, Jr., M.B.A., Vice-President for Human Resources Kemel Dawkins, B.A., Vice-President for Campus Services Tracy Futhey, M.S., Vice-President for Information Technology and Chief Information Officer Catherine Lynch Gilliss, D.N.Sc., Vice-Chancellor for Nursing Affairs and Dean of the School of Nursing N. Allison Haltom, A.B., Vice-President and University Secretary B. Hofler Milam, M.B.A., Vice-President for Finance Larry Moneta, Ed.D., Vice-President for Student Affairs Molly K. O’Neill, M.S.H.A., Vice-Chancellor for Medical Center Integrated Planning; and Vice-President for Business Development and Chief Strategic Planning Officer, Duke University Health System, Inc. Benjamin D. Reese, Jr., Psy.D., Vice-President for Institutional Equity James S. Roberts, Ph.D., Executive Vice-Provost for Finance and Administration Robert S. Shepard, Ph.D., Vice-President for Alumni Affairs and Development Robert L. Taber, Ph.D., Vice-Chancellor for Corporate and Venture Development Samuel M. Wells, Ph.D., Dean of the Chapel Huntington F. Willard, Ph.D., Vice-Chancellor for Genome Sciences and Director of the Institute for Genome Sciences and Policy Gordon D. Williams, B.A., Executive Vice-Dean and Chief Operating Officer, School of Medicine and ViceChancellor for Operations, Duke University Medical Center R. Sanders Williams, M.D., Vice-Chancellor for Academic Affairs and Dean of the School of Medicine Phail Wynn Jr., Ph.D., Vice President of Durham and Regional Affairs GENERAL ACADEMIC ADMINISTRATION Peter Lange, Ph.D., Provost Nancy B. Allen, M.D., Vice-Provost for Faculty Diversity and Faculty Development Bruce W. Cunningham, Ph.D., University Registrar Kimberly Harris, B.S., Director, Academic Human Resources Deborah Jakubs, Ph.D., University Librarian and Vice-Provost for Library Affairs David Jamieson-Drake, Ph.D., Director, Institutional Research Deborah A. Johnson, Ph.D., Assistant Vice-Provost and Director for Student Information Systems and Services Jacqueline Looney, Ph.D., Associate Vice-Provost for Academic Diversity and Associate Dean of the Graduate School Gilbert Merkx, Ph.D., Vice-Provost for International Affairs and Development Amy Oates, B.A., Director, Academic Financial Services and Systems Katharine Pfeiffer, M.A., Assistant Vice-Provost and Director, Student Information Services and Systems Michael P. Pickett, M.A., Special Assistant to the Provost for Academic Technology James S. Roberts, Ph.D., Executive Vice-Provost for Finance and Administration Susan Roth, Ph.D., Vice-Provost for Interdisciplinary Studies Judith Ruderman, Ph.D., Vice-Provost for Academic and Administrative Services James N. Siedow, Ph.D., Vice-Provost for Research John Simon, Ph.D., Vice-Provost for Academic Affairs Jo Rae Wright, Ph.D., Vice-Provost and Dean of the Graduate School 8 University Administration Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. 1:08-cv-00502 Document 1-8 Filed 07/23/2008 Page 6 of 53 EXHIBIT 7 Page 6 of 52 ARTS AND SCIENCES George L. McLendon, Ph.D., Dean of the Faculty of Arts and Sciences Stephen Nowicki, Ph.D., Dean of Undergraduate Education N. Gregson G. Davis, Ph.D., Dean of the Humanities Sarah J. Deutsch, Ph.D., Dean of the Social Sciences Robert J. Thompson, Jr., Ph.D., Dean of Trinity College and Vice-Provost for Undergraduate Education Robert F. Barkhau, B.S., Director, Arts and Sciences Facilities Charles W. Byrd, Jr., Ph.D., Associate Dean for Academic Affairs Colleen Fitzpatrick, M.Ed., Associate Dean for Development Sandra P. Connolly, M.S., Senior Associate Dean for Finance and Administration Molly J. Tamarkin, M.A., MFA, Associate Dean for Information Technology and Director of OIT in Arts and Sciences Lee W. Willard, Ph.D., Associate Dean for Academic Planning and Special Projects TRINITY COLLEGE OF ARTS AND SCIENCES Robert J. Thompson, Jr., Ph.D., Dean of Trinity College of Arts and Sciences Gerald L. Wilson, B.D., Ph.D., Senior Associate Dean for Administration; Social Sciences and Pre-Law Milton A. Blackmon, Ed.D., Assistant Dean, Academic Advising Center Martina J. Bryant, Ed.D., Associate Dean for Social Sciences and Pre-Business Paula E. Gilbert, Ph.D., Director and Associate Dean for Continuing Studies and Summer Session Norman C. Keul, Ph.D., Associate Dean for Humanities and Interdisciplinary Programs Donna Kostyu, Ph.D., Assistant Dean, Academic Advising Center Diane L. McKay, Ph.D., Assistant Dean, Academic Advising Center Mary Nijhout, Ph.D., Associate Dean for Natural Sciences and Pre-Graduate School Margaret Riley, Ph.D., Director of Study Abroad and Associate Dean for Study Abroad Ellen W. Wittig, Ph.D., Associate Dean for Humanities and Director of the Office of Courses and Curriculum Caroline L. Lattimore, Ph.D., Assistant Dean for Social Sciences Michele Rasmussen, Ph.D., Assistant Dean and Director of the Academic Advising Center Lynn K. White, M.D., Assistant Dean, Academic Advising Center THE EDMUND T. PRATT JR. SCHOOL OF ENGINEERING Kristina M. Johnson, Ph.D., Dean Tod Laursen, Ph.D., Senior Associate Dean for Education Linda Franzoni, Ph.D., M.S., Associate Dean for Student Programs Constance E. Simmons, M.B.A., Associate Dean for Undergraduate Affairs STUDENT AFFAIRS Larry Moneta, Ed.D., Vice President for Student Affairs Zoila Airall, Ph.D., Assistant Vice President for Campus Life Sheila Curran, PGCE, Fannie Mitchell Executive Director, Career Center Kathy R. Hollingsworth, Ph.D., B.S.M.D., Director, Counseling and Psychological Services Edward Hull, M.Ed., Dean of Residence Life and Executive Director of Housing Services Caroline Nisbet, M.A., Assistant Vice President for Student Affairs William Purdy, M.D., Executive Director of Student Health Suzanne Wasiolek, M.H.A., J.D., LL.M., Assistant Vice President and Dean of Students ADMISSIONS AND FINANCIAL AID Christoph O. Guttentag, M.A., Dean of Undergraduate Admissions James A. Belvin, Jr., A.B., Director, Office of Undergraduate Financial Aid University Administration 9 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. 1:08-cv-00502 Document 1-8 Filed 07/23/2008 Page 7 of 53 EXHIBIT 7 Page 7 of 52 The Duke Community Standard 10 The Duke Community Standard Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. 1:08-cv-00502 Document 1-8 Filed 07/23/2008 Page 8 of 53 EXHIBIT 7 Page 8 of 52 The Duke Community Standard Duke University is a community dedicated to scholarship, leadership, and service and to the principles of honesty, fairness, respect, and accountability. Citizens of this community commit to reflect upon and uphold these principles in all academic and nonacademic endeavors, and to protect and promote a culture of integrity. To uphold the Duke Community Standard: • I will not lie, cheat, or steal in my academic endeavors; • I will conduct myself honorably* in all my endeavors; and • I will act if the Standard is compromised. Students’ Obligation to Act with Respect to the Duke Community Standard The Duke Community Standard (DCS) stresses the commitment that students share with all members of the community to enhance the climate for honesty, fairness, respect, and accountability at Duke University. Students affirm their commitment to foster this climate by signing a pledge that includes taking constructive action if they witness or know about behavior they perceive to be inconsistent with the DCS, which may include violation of university policies. Although there are no disciplinary sanctions associated with the failure to act, students are nonetheless expected to take action—to do something—as a responsibility of membership in the Duke Community. The university recognizes that it is not always easy to act in these situations, but several alternatives are available to suit a student’s level of comfort and confidence. These alternatives are not mutually exclusive. • Speaking directly with the individual exhibiting the behavior, both to gain clarity about the situation and to inform the individual about the concern. • Publicly calling attention to the behavior as it is occurring. • For incidents involving social behaviors, alerting residence hall, Student Affairs, or other university staff. The information provided will give staff an opportunity to address the matter informally or through appropriate formal channels. • For cases involving academic integrity, alerting the instructor that cheating may be occurring in the course. This alert can be in any form, including anonymous notification, and the reporting student will not be identified. The information provided will allow the faculty member to consider corrective measures, in consultation with the Associate Dean for Judicial Affairs, and to address the topic with the class or suspected student(s). • Directly alerting the Associate Dean for Judicial Affairs within the Dean of Students Office (684-6938, judicial@duke.edu), who will confer with the faculty member involved, if an academic issue, or with the reporting student(s), strategizing next steps. Maintaining the confidentiality of the source is possible, but may limit the extent of action that can be taken. The Context of the Duke Community Standard The honor code at Duke is named the community standard because community is at the center of our conception of what it means to act honorably. Community entails a sense of connectedness to others and their welfare, feeling part of Duke University every day and being responsible for its continual improvement. Community refers as well to a * Corrected from the 2007-08 printed version, which read “I will conduct myself responsibly and honorably in all my endeavors...” The Duke Community Standard 11 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. 1:08-cv-00502 Document 1-8 Filed 07/23/2008 Page 9 of 53 EXHIBIT 7 Page 9 of 52 feeling of connection to the city in which we are located. It posits the counterbalancing of group benefit with individual needs and wants, and a Duke identity with the many personal identities based on demographics and interest. The kind of environment we strive to achieve is one in which civility (but not docility) reigns; an environment in which ideas are promulgated, and challenged, in a stimulating give and take; an environment in which learning (whether from peers, faculty, administrators, or others in the Duke and broader communities) is accomplished with openness, honesty, and respect. The honor code at Duke is named the community standard because it expresses our institution’s core values and a concomitant set of expectations for behavior. Because behavior is derivative of fundamental values, the standard applies off campus as well as on. The principles it articulates, while lofty in one sense, are firmly grounded in individual decisions made on the ground every day about every aspect of undergraduate life, in academic and co-curricular activities alike: in the classroom, residence halls, K-ville, offcampus apartment complexes, Myrtle Beach, Paris, and wherever else students may go. In addition, the standard asks that students not only reflect on their own behavior, as important as that is, but that they also act to encourage the integrity of their peers. By inspiring and supporting each other, students can shape their environment so that it reflects the ideals expressed in the Duke Community Standard. The Standard, therefore, expresses our goals for undergraduate education in the broadest sense and is foundational to undergraduate life at Duke. It is followed by an equally important pledge that students sign as members of the community. Duke University seeks to engage all students in its tradition of honor, a tradition that defines the institution and helps to guide students during their college careers and beyond. The students here today, who are the beneficiaries of the efforts of those who preceded them, have an extraordinarily important role to play in perpetuating and strengthening this tradition. We welcome, and count on, your involvement. The History of the Duke Community Standard In 1999-2000, Duke participated in a national survey through the Center for Academic Integrity. Through responses from undergraduate students, as well as from faculty and staff, the survey assessed the climate of academic integrity at Duke in comparative context with other institutions. As a result of the findings, the provost formed the Academic Integrity Council (AIC) in 2001 by appointing representatives from across the community whose charge was and remains to review academic integrity policies and practices and make recommendations to improve the climate of integrity on campus. An early goal of the AIC was to review the existing Honor Code, which had been in effect for the undergraduate community since 1993. The AIC determined that the Honor Code needed revision to make it shorter while embracing all aspects of a student’s life at Duke. A major element of the revision was the inclusion of the fundamental values that must inform the definition of a community of honor. This Duke Community Standard was proposed to the faculty councils of Trinity College of Arts and Sciences and the Pratt School of Engineering, as well as to the Duke Student Government. It was approved for the undergraduate community and implemented in the fall of 2003. The Standard was also incorporated into the code of each graduate and professional school of the university and, thus, represents the values we uphold as an institution. Duke University is committed to ongoing evaluation of principles, policies, and practices, and to lively conversation about issues of integrity. Thus, Duke participated again in a national survey on academic integrity in the fall of 2005 and in intensive discussions of academic and social integrity from summer 2006 through spring 2007. The result of these continuing and broadened discussions was a revised Community Standard, put before the undergraduate student body in a student government referendum of April 2007 and overwhelmingly approved. Implemented in summer 2007, the new Duke 12 The Duke Community Standard Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 10 of 53 EXHIBIT 7 Page 10 of 52 Community Standard differs from its predecessor chiefly in its level of commitment to taking action (see “Obligation to Act,” above). A Statement of Principles The Duke Community Standard expresses a standard for behavior—a set of expectations of students who claim membership in Duke’s learning community. All incoming undergraduates, upon admittance to Duke, are required to sign a pledge to adhere to these values and to conduct themselves in accordance with these values throughout their undergraduate careers. Likewise, upon completion of each academic assignment, students may be asked to reaffirm their commitment to the Duke Community Standard by signing a statement indicating that they have adhered to the Duke Community Standard in completing the assignment. The Duke Community Standard, thus, is a statement of principles. The specific policies, or rules and regulations of the university, define the conduct for which students can be held accountable. A Statement of Principles 13 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 11 of 53 EXHIBIT 7 Page 11 of 52 Undergraduate Policies 14 Undergraduate Policies Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 12 of 53 EXHIBIT 7 Page 12 of 52 Undergraduate Policies 14 Undergraduate Policies Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 13 of 53 EXHIBIT 7 Page 13 of 52 Policies Duke University has high expectations for students’ scholarship and conduct. In accepting admission, students indicate their willingness to subscribe to and be governed by the rules and regulations of the university, which flow from the Duke Community Standard. These policies reflect the Duke Community Standard’s fundamental values— honesty, fairness, respect, and accountability. Undergraduates acknowledge the right of the university to take disciplinary action, including suspension or expulsion, for failure to abide by the regulations or for other conduct adjudged unsatisfactory or detrimental to the university community. Students may be held accountable for any violation of university policy that may or may not be included in this guide, whether on or off campus. In addition to local ordinances and state and federal laws, the following policies govern the undergraduate community. Academic Dishonesty Lying Lying is communicating untruths or misrepresentations in order to gain an unfair academic or employment advantage. [Wording adopted from the Duke Fuqua School of Business code.] It includes, but is not limited to: • falsifying information on a résumé; • misrepresenting one’s own research; • providing false or misleading information in order to be excused from classes or assignments; or • intentionally underperforming on a placement exam. Cheating Cheating is the act of wrongfully using or attempting to use unauthorized materials, information, study aids, or the ideas or work of another in order to gain an unfair advantage. It includes, but is not limited to: • plagiarism; • giving unauthorized aid to another student or receiving unauthorized aid from another person on tests, quizzes, assignments or examinations; • using or consulting unauthorized materials or using unauthorized equipment or devices on tests, quizzes, assignments or examinations; • altering or falsifying any information on tests, quizzes, assignments or examinations; • using any material portion of a paper or project to fulfill the requirements of more than one course unless the student has received prior faculty permission to do so; • working on any examination, test, quiz or assignment outside of the time constraints imposed; • submitting an altered examination or assignment to an instructor for regrading; or • failing to adhere to an instructor’s specific directions with respect to the terms of academic integrity or academic honesty. “Plagiarism” occurs when a student, with intent to deceive or with reckless disregard for proper scholarly procedures, presents any information, ideas or phrasing of another as if they were his/her own and/or does not give appropriate credit to the original source. Proper scholarly procedures require that all quoted material be identified by quotation Policies 15 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 14 of 53 EXHIBIT 7 Page 14 of 52 marks or indentation on the page, and the source of information and ideas, if from another, must be identified and be attributed to that source. Students are responsible for learning proper scholarly procedures. The term “assignment” includes any work, required or volunteered, submitted for review and/or academic credit. All academic work undertaken by a student must be completed independently unless the faculty member or other responsible authority expressly authorizes collaboration with another. Stealing Stealing is the act of intentionally taking or appropriating the property of another, including academic work, without consent or permission and with the intent to keep or use the property without the permission of the owner or the rightful possessor. Additional Information about Plagiarism at Duke The following information has been modified from the Duke Library Web site at http://library.duke.edu/research/citing/plagiarism.html. Introduction: Our Ideas Emerge Against the Backdrop of Previous Formulations Rarely, if ever, do we develop ideas in our individual minds, free of the effects and influences of others’ previous findings, claims, and analyses. This is not to suggest that writers never forge new ideas; rather, the majority of one’s thoughts—and certainly the intellectual thinking that we do in university settings—is prompted, shaped, and changed in response to and in light of what has already been stated by others. Our ideas emerge in response to reading others’ texts, in sites of conversation and verbal exchange, with and against the grain of the words and formulations of others. It is appropriate to think of the university as a vast society of influences, composed of various formal sites of critical discussion, reporting, and debate, both verbal and written. University persons—both scholars and students—gain status and authority by dint of their intellectual involvement in written and verbal exchange (detailing their findings, casting written arguments, offering careful analyses of their objects of study). Since the university values the public thinking of its faculty and students, it requires that its members formally recognize who has made which sorts of statements in what settings. Scrupulously citing the origin of quotations, summaries, and other borrowed material included in your paper enables the social value of respect to exist within intellectual circles of research and scholarship around the globe. Not to formally recognize the work and influences of others in your writing is to plagiarize, violating an ethic of mutual regard. The Academic Community’s Guidelines: The Practice of Documentation It has become commonplace to envision the verbal and written exchanges between speakers and listeners, readers and writers, researchers and their sources, as interactions constituting communities of discourse. Discourse communities share interpretive, analytic, and argumentative conventions. Academic discourse communities (often shaped as “disciplines” or “fields of inquiry”) agree to refer scrupulously to one another’s writings and research findings by explicitly linking quoted materials to the name of the person or persons who uttered or wrote them, and by carefully describing the influence others have had upon them. In fact, a mark of strong academic writing is the practice of situating one’s claims and findings within a tradition of inquiry into the subject, detailing the 16 Undergraduate Policies Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 15 of 53 EXHIBIT 7 Page 15 of 52 nature of the exchanges that have preceded the present foray into the ongoing conversation, at times indicating one’s affinities or disagreement with one or another avenue of thought. Ethos and authority are enhanced when writers demonstrate their uses of others’ statements, texts, and representations, and when they appropriately identify these sources in their arguments and analyses. This practice is called documentation. Guidelines for how to correctly cite materials used within your writing and rules for assembling the list of works that you cite in your paper are compiled by academic organizations which produce style manuals. Information from these style manuals can be accessed in the Citing Sources section of the Library Web page. Plagiarism Defined Academic communities, then, demand that writers credit others for their work, and that the source of their material clearly be acknowledged. Not to do so is to plagiarize, to intentionally or unintentionally appropriate the ideas, language, key terms, or findings of another without sufficient acknowledgment that such material is not one’s own. As the Modern Language Association defines this transgression: Scholarly authors generously acknowledge their debts to predecessors by carefully giving credit to each source. Whenever you draw on another’s work, you must specify what you borrowed whether facts, opinions, or quotations and where you borrowed it from. Using another person’s ideas or expressions in your writing without acknowledging the source constitutes plagiarism. Derived from the Latin plagiarius (“kidnapper”), plagiarism refers to a form of intellectual theft. . . . In short, to plagiarize is to give the impression that you wrote or thought something that you in fact borrowed from someone, and to do so is a violation of professional ethics. (Joseph Gibaldi, MLA Style Manual and Guide to Scholarly Publishing. 2nd. ed., New York: MLA, 1998: 151). Plagiarism encompasses a range of errors and violations. Though the charge of plagiarism can be leveled against writers who incorrectly or neglect to cite borrowed materials, it most often tempts students who find themselves in the dire straits of having to complete a written assignment without previously having undertaken the laborious and time-consuming process of research, reading, notetaking, interpretation, and analysis. Wholesale copying from sources is an easy way to fill up the page and to turn something—anything—in on time. In all cases, it is far better to contact one’s instructor and honestly to discuss with him or her a strategy for completing an assignment rather than to risk humiliation and judicial redress. Instructors will, within reason and to the best of their abilities, help you to get your papers started and help you to make progress with your work. You will do yourself and your instructors justice if you openly and squarely discuss the circumstances of your progress or lack thereof. On occasion, students accused of plagiarism have claimed that their plagiarism has occurred without their knowledge or intent. Since ignorance of convention is not a reasonable defense, it is best to become thoroughly acquainted both with the various ways in which plagiarism is construed, and with the conventions of source attribution and proper documentation. Some students seem to believe that there are different degrees of plagiarism, some not as a bad as others. No distinctions are made between any of the following acts. All constitute instances of plagiarism as outlined in The Duke Community Standard in Practice: A Guide for Undergraduates, and all constitute transgression of the university’s Community Standard. You will be charged with plagiarism if you: • Copy from published sources without adequate documentation. • Purchase a pre-written paper (either by mail or electronically). Academic Dishonesty 17 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 16 of 53 EXHIBIT 7 Page 16 of 52 • Let someone else write a paper for you. • Pay someone else to write a paper for you. • Submit as your own someone else’s unpublished work, either with or without permission. If the final work you submit is not yours, it does not matter how you came by it. If you use another person’s work to further your own understanding of a subject, you must credit the source. (Hillard, V. Plagiarism: Its Nature and Consequences. Duke Libraries: Citing Sources. Retrieved June 11, 2007, from http://library.duke.edu/research/citing/plagiarism.html) Advertisements Banners Banners on the exterior or interior of the West Union Building, East Union Building, Bryan Student Center, and West Campus Plaza are approved and installed by the Office of Student Activities and Facilities. Residence Life and Housing Services approves banners on the exterior/interior of residence halls (contact the appropriate residence coordinator). Requests for hanging banners on all other university buildings and light poles must be approved by the Facilities Management Department located at 114 South Buchanan Boulevard (684-2122). Contact the Facilities Management Department, the Office of Student Activities and Facilities, or Residence Life and Housing Services for specific guidelines. Posters, Announcements, and Bulletin Boards The following is a checklist of procedures with reference to the posting of notices on university bulletin boards, building doors, containers, light posts, trees, and sidewalks. • Posters/flyers must provide information regarding student activities, give information of an academic nature, make announcements pertinent to the business of the university, or supply information to members of the Duke community regarding available campus services or products. • Posters/flyers must state the name of the sponsoring organization, business, department or person responsible. • Staples, thumbtacks, masking tape or transparent tape may be used to attach posters/flyers to approved bulletin boards or posting areas. The use of glue, nails, and duct tape or any other heavy-duty tape is prohibited. • Posters/flyers must never be attached to doors, windows, trashcans, entryways, exteriors of buildings, interior walls, stairway railings, floors, benches or ceilings, nor may they be placed on the windshields of parked automobiles or on sidewalks. • Posters/flyers may NOT be attached or affixed to any tree or utility pole. • Posters/flyers (and the fasteners used to attach them) must be removed within three days after the advertised event. • Immediately following the first day of fall and spring breaks and at the conclusion of the fall and spring semesters, all posters/flyers will be removed. Alcohol University-Wide Policy As a community of scholars and learners, Duke University expects those within its community to be responsible with the use of alcohol. This policy shall guide the role of alcohol everywhere on the Duke campus and at all events sponsored by Duke organizations, schools, or administrative units. Students, staff, and faculty members are encouraged to learn about the social, physiological, and psychological consequences of 18 Undergraduate Policies Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 17 of 53 EXHIBIT 7 Page 17 of 52 drinking and alcohol abuse. Excessive and high-risk drinking can lead to negative consequences for the Duke community, including assault, illness, injury, litter, noise, property damage, and driving under the influence. All members of the Duke community share responsibility for creating an environment that limits dangerous drinking behaviors and, therefore, reduces the likelihood of these negative outcomes. The following shall guide the role of alcohol in the Duke community: • All possession, consumption, and distribution of alcohol at Duke University shall be in accordance with applicable North Carolina state laws. • Members of the Duke community are responsible for behaving in a manner that is not disruptive or endangering to themselves or others. Being under the influence of alcohol shall not be a mitigating factor for an individual’s behavior. • When persons under 21 years of age can reasonably be expected to be present at an event, proper precautions must be taken to restrict distribution and consumption of alcohol to persons of legal drinking age. Student organizations shall also adhere to the specific guidelines for events outlined in the Duke Community Standard in Practice: A Guide for Undergraduates or the Graduate and Professional Student Alcohol Policy. • Advertising or other communication that references the availability of alcohol at a function may neither promote alcohol as the focus of the event nor promote excessive drinking. • Each community (e.g., Undergraduate, Fuqua, Law, etc.) may establish additional guidelines and policies governing the possession, consumption, and distribution of alcohol that reach beyond these minimal expectations. Violations of policies shall be adjudicated using existing procedures within each segment of the university. Undergraduate Policy The remainder of this policy, specifically for undergraduates, augments Duke’s university-wide alcohol policy. For individuals as well as groups, whether on campus or off, prohibited behavior includes: • underage possession/consumption; • unsafe/irresponsible behavior; • violation of community expectations; and • general provisions violation. Sanctions for violations of any of these prohibited behaviors are outlined in this Guide (see “Resolution of Student Conflict and Alleged Violations of University Policy.”) Parents of students under the age of 21 may be notified of alcohol-related disciplinary violations when a student’s health or safety has been/is at risk. See “Appendix E, Information and Resources Concerning Substance Use,” for health effects associated with alcohol and other drug use, helpful resources for assistance, and legal ramifications of illicit possession, use, or distribution. Underage Possession/Consumption Students under 21 years of age are not permitted to purchase, possess, or consume alcoholic beverages. Being under the influence of any amount of alcohol while underage is considered a violation of this provision. Unsafe/Irresponsible Behavior Unsafe or irresponsible behavior is defined as actions that are harmful or potentially harmful to one’s self or others involving the use of alcohol. Such behavior includes, but is not limited to: Alcohol 19 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 18 of 53 EXHIBIT 7 Page 18 of 52 • • • • consuming an excessive quantity in a short amount of time; participating in or facilitating drinking games or progressive parties; consuming through beer bongs; use or attempted use of fraudulent identification or another’s identification to obtain alcohol; and • making alcohol available to underage drinkers. Community Expectations Violation It shall be a violation of the alcohol policy to engage in an action while under the influence of alcohol that is disruptive to the community. Such behavior includes, but is not limited to: • driving; • exhibiting disorderly conduct, damaging property, and/or fighting; • vomiting and/or urinating in public; and • cursing and/or shouting at others. General Provisions Violation Additionally, Duke University has established the following general provisions regarding alcohol: • No kegs are permitted on campus in private rooms, student apartments, commons rooms, or other public space. (University-approved bartenders, who will be responsible for carding, may distribute alcohol from kegs in public space at officially approved and registered events.) • Only university-approved bartenders are permitted to distribute alcohol on campus, including alcohol from common-source containers. • Except at events in a licensed facility providing a cash bar, no spirituous liquor or fortified wines may be served to undergraduates. • All students on university property consuming or possessing alcohol must carry a valid driver’s license, state identification card, military identification card, or passport. • Alcohol may not be brought in glass containers to on-campus BYOB events. • No alcoholic beverages are permitted in first-year houses (or the surrounding grounds) on East Campus. • No alcoholic beverages are permitted within the confines of campus athletic facilities during sporting events. • The use of alcoholic beverages as a prize is prohibited. Group-Sponsored Social Functions Recognized groups may be held accountable for violations of the alcohol policy that occur during a group-sponsored event on campus. To ensure that such violations do not occur, a group will be held accountable if the group failed to take appropriate precautions. Appropriate precautions must include: • a party monitor for every 25 persons expected to attend the event; • adequate and accessible non-alcoholic beverages and food; • compliance with all fire safety regulations; • adequate control of access to event; • enforcing occupancy limits for the venue, including commons rooms, hallways, and stairwells; • calling for medical/police assistance as needed; and 20 Undergraduate Policies Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 19 of 53 EXHIBIT 7 Page 19 of 52 • serving of alcohol by licensed bartenders only. Student party monitors must have attended a party management seminar presented by the Office of Student Activities and Facilities. Their duties shall include, but are not limited to, prevention of alcohol policy violations, intervention and care of inebriated, atrisk individuals, elimination of safety hazards, and attention to group precautions. Checking identification will be the responsibility of licensed bartenders. Social events that fail to meet any of these expectations must be shut down immediately. Health and Safety Intervention Because health and safety of students are of primary importance, students are encouraged not only to look out for their own health and safety but also for that of their peers. When a person’s health and/or safety is/are threatened or appear(s) to be in jeopardy, immediate action should be taken to prevent injury/illness/danger. The action may be a call to Duke Police (911; 684-2444 from non-campus phones) or Student Health (681-WELL (9355)) for assistance and guidance. Whatever the particular need/problem, it is important to respond in a responsible and timely manner. Formal disciplinary action for a violation of the alcohol policy will not be taken against students for whom medical assistance is sought, or against those who seek medical assistance for themselves or for others, provided that the student/group has not violated other university policies that warrant formal disciplinary action. A student who receives medical assistance shall be required to meet with a substance abuse specialist in Counseling & Psychological Services (CAPS) for education, assessment, and possible referral for treatment. The student will also be required to complete an educational assignment. Parents of such students under the legal drinking age will also be notified. In the event that a student fails to meet with the specialist, chooses not to participate in the treatment program outlined, or exhibits a pattern of abusive behavior with alcohol, the student may be subject to formal disciplinary action and/or placed on a Medical Leave of Absence or Involuntary Administrative Withdrawal until he/she produces documentation that appropriate treatment has been successfully sought. Resources The following resources are available to members of the Duke community: • Duke Police and Emergency Medical Service: 911 or (919) 684-2444. Professionals will respond to assess the medical needs of an individual who is incapacitated or at-risk. • Counseling and Psychological Services: (919) 660-1000. CAPS offers evaluation, consultation, counseling, and referrals for students concerned about alcohol use. • Personal Assistance Service: (919) 416-1727. PAS offer assessment, shortterm counseling, and referrals for employees and faculty members concerned about alcohol use. • Duke Addictions Program: (919) 684-3850. DAP offers evaluation, consultation, and treatment for individuals with alcohol and other substance abuse issues, as well as support services for family members. • Holly Hill Hospital: (800) 447-1800. 24-hour confidential advice on alcohol abuse. • Academic courses related to alcohol use, treatment, and research. See course listings through the Office of University Registrar (http://registrar.duke.edu) or the Bulletin of each school. • A more extensive listing of counseling services, educational programs, and other resources can be found in “Appendix E, Information and Resources Concerning Substance Use.” Alcohol 21 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 20 of 53 EXHIBIT 7 Page 20 of 52 Animals on Campus Any animal brought on campus by students or guests may not be unrestrained. With the exception of medically required dogs, animals are prohibited inside university facilities. Any type of animal abuse is prohibited, including but not limited to abandonment of or failure to properly care for an animal. Animals, live or dead, may not be used in pranks or otherwise for amusement or ceremony in connection with any institutional or student group function or activity. For purposes of this policy, the term “animal” includes any wild or domesticated, warm-blooded or cold-blooded animal. Bridge Painting The bridge on Campus Drive is a place where groups and individuals from Duke can express opinions that are not restricted by content, except by legal standards. The bridge will not be censored for content by the university. As part of a campus maintenance program, the entire bridge may be painted during the summer and semester break. Students are reminded that painting other university property without permission is prohibited. Any group or individual identified as being responsible for painting anything other than the bridge will be charged for clean up and may also be subject to disciplinary action. Classroom Disruption Students who behave in the classroom in such a way that the educational experiences of other students and/or the instructor’s course objectives are disrupted are subject to disciplinary action, including possible exclusion from a course. Such behavior impedes students’ ability to learn or an instructor’s ability to teach. Disruptive behavior may include, but is not limited to: non-approved use of electronic devices (including cellular telephones); cursing or shouting at others in such a way as to be disruptive; or, other violations of an instructor’s expectations for classroom conduct. Computing and Electronic Communications Security and Privacy The purpose of this policy is to establish and promote the ethical, legal, and secure use of computing and electronic communications for all members of the university community. The university cherishes freedom of expression, the diversity of values and perspectives inherent in an academic institution, the right to acknowledgment, and the value of privacy for all members of the Duke community. At the same time, the university may find it necessary to access and disclose information from computer and network users’ accounts to the extent required by law, to uphold contractual obligations or other applicable university policies, or to diagnose and correct technical problems. For this reason, the ultimate privacy of messages and files cannot be ensured. In addition, system failures may lead to loss of data, so users should not assume that their messages and files are secure. Neither the university nor its agents restrict the content of material transported across its networks. While the university does not position itself as a censor, it reserves the right to limit access to its networks or to remove material stored or posted on university computers when applicable university policies, contractual obligations, or state or federal laws are violated. Alleged violations will receive the same academic due process as any other alleged violation of university policy, contractual obligations, or state or federal laws. Acceptable Use In making acceptable use of resources you must: • Use resources only for authorized purposes. 22 Undergraduate Policies Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 21 of 53 EXHIBIT 7 Page 21 of 52 • Protect your userid and system from unauthorized use. You are responsible for all activities on your userid or that originate from your system. Your userid and password act together as your electronic signature. • Access only information that is your own, that is publicly available, or to which you have been given authorized access. • Use only legal versions of copyrighted software in compliance with vendor license requirements. • Be considerate in your use of shared resources. Refrain from monopolizing systems, overloading networks with excessive data, degrading services, or wasting computer time, connection time, disk space, printer paper, manuals, or other resources. In making acceptable use of resources you must not: • Use another person’s system, files, or data without permission (note that permission from an individual user may not be sufficient—some systems may require additional authority). • Give your password to another person. Contact the OIT Help Desk if you need assistance with giving other people authority to access your files or e-mail. • Use computer programs to decode passwords or access-control information. • Attempt to circumvent or subvert system or network security measures. • Engage in any activity that might be purposefully harmful to systems or to any information stored thereon, such as creating or propagating viruses, worms, or “Trojan horse” programs; disrupting services; damaging files; or making unauthorized modifications to university data. • Make or use illegal copies of copyrighted software or other copyrighted works, store such copies on university systems, or transmit them over university networks. • Use mail or messaging services to harass or intimidate another person, for example, by broadcasting unsolicited messages, by repeatedly sending unwanted mail, or by using someone else’s name or userid. • Waste shared computing or network resources, for example, by intentionally placing a program in an endless loop, printing excessive amounts of paper, or by sending chain letters or unsolicited mass mailings. • Use the university’s systems or networks for commercial purposes; for example, by selling access to your userid or by performing work for profit with university resources in a manner not authorized by the university. • The above list only addresses some of the most common issues that arise with regard to computing. All prohibitions found in applicable law and other university policies also apply to the computer systems. Group E-mail Large-scale e-mail communications within groups or units, including surveys, announcements, etc., require the implicit or explicit prior approval of that group or unit. In the case of such communications from outside the unit, the approval must always be explicit. See the OIT Web site for full information (http://www.oit.duke.edu/group-email/). Note that the above computing policies are subject to change. See http://www.oit.duke.edu/oit/policy for current policies. Disorderly Conduct Disorderly conduct is contrary to the mission of the university and will be addressed through the disciplinary process. Disorderly conduct is defined as: Disorderly Conduct 23 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 22 of 53 EXHIBIT 7 Page 22 of 52 • any unreasonable or reckless conduct that is inherently or potentially unsafe to other persons or their real or personal property; and/or • any behavior that disrupts the peace or interferes with the normal operation of the university or university-sponsored activities. Drugs and Drug Paraphernalia Duke University prohibits members of its community to manufacture, sell, deliver, possess, use, or be under the influence of a controlled substance without legal authorization. A controlled substance includes any drug, substance or immediate precursor covered under the North Carolina Controlled Substances Act, including but not limited to opiates, barbiturates, amphetamines, marijuana, and hallucinogens. The possession of drug paraphernalia is also prohibited under North Carolina state law and university policy. Drug paraphernalia includes all equipment, products and material of any kind that are used to facilitate, or intended or designed to facilitate, violations of the North Carolina Controlled Substances Act. In addition to disciplinary action, the judicial officer, or designee, may require a student to take a leave of absence, and return to campus may be conditional upon proof of completion of a substance abuse treatment program. (See “Appendix E, Information and Resources Concerning Substance Use.”) DukeCard As stated on the back of the DukeCard, the card “should be carried at all times and presented upon request to any university official. [It] is not transferable. The transfer of an ID card to another person, or the possession of another person’s ID card, may result in confiscation of the card and judicial action.” Failure to Comply A student may be held accountable for failure to comply with: • directions, requests, or orders of any university representative or body acting in an official capacity, or impeding with the carrying out of such directives; and/or • sanctions rendered during the disciplinary process (including sanctions issued by a residential staff member). Falsification/Fraud Honesty and integrity are critical components of the Duke Community Standard. A student may be subject to disciplinary action for any of the following actions: • Any intentional misrepresentation of fact (by action or concealment), including furnishing false information, to any university official; • Any intentional misrepresentation of fact (by action or concealment) to obtain or attempt to induce another to surrender a right, benefit or property; and/or • Forgery, alteration, or misuse of any official document, record, key, access code or instrument of identification, or possession of such forgery. Fire Safety It is a violation of university policy to light any material on fire on campus. Candles, other open flame devices, and incense are strictly forbidden for use inside university facilities except during official religious ceremonies such as the observance of Chanukah. Those individuals wishing to utilize candles in observance of a religious holiday or any other event shall contact OESO-Fire Safety Division to obtain permission and information concerning fire prevention. Students will be held financially accountable for any damage they cause as a result of violating this policy and will be referred to the disciplinary process. 24 Undergraduate Policies Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 23 of 53 EXHIBIT 7 Page 23 of 52 Electrical Wiring/Appliances. Tampering with electrical wiring, including, but not limited to, the installation of direct-wired ceiling fans and dimmer switches, is prohibited. Damage caused by electrical appliances that are not owned by Duke University is the responsibility of the resident(s). Irons, hair dryers, heaters, coffee pots, hot plates, and other heat-producing appliances shall never be left unattended. All electrical appliances shall be UL approved and maintained in good condition. Numerous electrical devices plugged into one outlet or extension cord may cause a circuit overload or may cause overheating of the electrical appliances. Use an electrical outlet strip with a built-in surge protector or circuit breaker whenever more than one appliance is powered by that cord. Fire Alarms/Drills. Never assume that a fire alarm is a drill or false alarm. Remain calm and evacuate the facility. Evacuation is mandatory for all individuals when the fire alarm is sounding. Anyone who fails to evacuate may face disciplinary action. Remember to follow the instructions of the emergency responders. Do not re-enter the facility until authorized. If you have any information regarding the alarm, present that information immediately to the responding emergency personnel. Fire Extinguishers, Sprinklers, and Other Fire-Fighting / Detecting Equipment. Relocating, removing, tampering with, or destroying smoke detectors or fire-fighting equipment is strictly prohibited. Damage and/or theft of fire equipment also is punishable under North Carolina state law. Fireworks. Students may not possess/use fireworks of any kind on campus. Anyone who sees a person with these materials should immediately report it to Duke Police. Flammable/Combustible Materials in the Residential Areas. Flammable/ combustible materials, including but not limited to gas, lighter fluid, and propane lanterns, are not permitted in residential areas. Grills. North Carolina state law prohibits the use of portable charcoal, gas, or electric grills within 10 feet of all residence halls/apartments. Storage of grills not in use, which are cool, is permitted on the exterior of the structure or in approved locations. Failure to abide by this ordinance may result in a fine as determined by the Durham Fire Marshal in addition to disciplinary action. Halogen Lamps. Fire Safety and Residence Life and Housing Services (RLHS) strongly recommend NOT using halogen lamps. The very high temperatures reached by their bulbs constitute a fire hazard and a potential source of burns. In addition, the geometry of the floor model lamp tends to make them very unstable and easily tipped over. If you use a halogen lamp, make sure it has a guard over the bulb and that the guard is secured to the lamp. Obstruction of Hallways, Stairwells, Sidewalks, and Lawns. North Carolina fire safety codes prohibit the obstruction of hallways and stairwells. The Durham Fire Marshal mandates the immediate removal of all items obstructing hallways and stairwells. RLHS, Facilities Management Department, Fire Safety or Duke Police will remove without warning or reimbursement furniture, bicycles, lumber, and all other items found obstructing hallways or stairwells. University furniture will be removed from hallways and stairwells and residents may be charged for missing furniture. Sidewalks, stairways, and entryways must not be used for purposes other than ingress or egress. Bicycles may not be left in these areas or other locations where they may cause harm to persons or grounds-keeping equipment. Motorcycles must be parked in parking lots. Delivery trucks, automobiles, motorcycles, scooters, and mini-bikes are not permitted on lawns and walkways, patios, or stairwells. These vehicles must be parked in legal parking spaces. Open Fires On Campus. Open fires, including bonfires, are not permitted on Duke University property except as approved by the OESO-Fire Safety Division and the Durham Fire Marshal. Students who either provide or contribute materials to burn or who ignite or attempt to ignite flammable materials will be considered in violation of this policy. Students also should realize that such actions violate state law and may result in a citation for unlawful burning. Fire Safety 25 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 24 of 53 EXHIBIT 7 Page 24 of 52 Open Flames. Candles, incense, burning charcoal, or any other flame/heat producing items are strictly prohibited inside any university facility without the written permission of the Fire Safety Division. Gambling It is against North Carolina state law and Duke University policy to gamble, with the exception of the state lottery. A person/organization is gambling if he/she/it operates, plays, or bets at any game of chance at which any money, property, or other thing of value is bet. Raffles of any kind, including those sponsored by student groups, are also prohibited. A “raffle” is defined as “a game in which the prize is won by random drawing of the name or number of one or more persons purchasing chances” (N.C.G.S.§ 14309.15). Guests Students are responsible for notifying their guests of university rules and regulations and may be held accountable for the conduct of their guests. Guests who do not abide by university policies are subject to being trespassed. Harassment Administrative responsibility for implementing the harassment policy rests with the Office for Institutional Equity (OIE). Individuals who wish to file a complaint of harassment or have questions about the harassment policy should contact the Office for Institutional Equity at 684-8222 or visit the OIE Web site at http://www.duke.edu/web/ equity/. Introduction Harassment of any individual for any reason is not acceptable at Duke University. Harassment may arise in situations unique to a given interpersonal relationship or in actions rooted in an attitude toward a group. Sexual harassment is perhaps the most commonly understood form of harassment, but it is important to note that harassment on any demographic basis—including age, color, disability, ethnic or national origin, gender, race, religion, class, institutional status, or sexual orientation or gender identity—also occurs and is expressly forbidden. Abuse of the relationship between teacher and student, or provider and patient, is of particular concern because of the educational and health care missions of Duke University. In all cases, harassment undermines the university’s commitments to excellence and to respect for the dignity and worth of all individuals. This policy against harassment is consistent with the university’s valuation of academic freedom. Duke University is committed to the free and vigorous discussion of ideas and issues, which the university believes will be protected by this policy. This harassment policy shall be applied in a manner that protects the academic freedom of all parties to a complaint. Academic freedom and the related freedom of expression include, but are not limited to, the civil expressions of ideas, however controversial, in the classroom, residence halls, and other teaching and student living environments. In addition to this harassment policy and procedures, Duke University and Duke University Health System also provide educational programs to raise the level of understanding about the nature of harassment and ways to prevent its occurrence. The full text of the harassment policy and information about these programs may be found on the Web site of the Office for Institutional Equity: http://www.duke.edu/web/equity/. Scope Duke Staff, Faculty, Students. This harassment policy applies to all persons who are enrolled at or employed by Duke University and Duke University Health System, including their entities and subsidiary organizations, while they are on university property or are participating in a university-related activity off campus. All aspects of the harassment procedures described below apply to situations in which both complainant and respondent are enrolled or employed at Duke University or its subsidiaries, except in those 26 Undergraduate Policies Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 25 of 53 EXHIBIT 7 Page 25 of 52 cases in which the respondent is a Duke undergraduate. Claims of harassment against Duke undergraduate students are handled by the Office of Judicial Affairs in the Dean of Students Office. That office can be reached by telephone at 684-6938 and its Web site address is http://judicial.studentaffairs.duke.edu. Claims by or against a member of the Office for Institutional Equity will be handled by the Office of the President or his or her designate. All Others. Situations that involve other individuals (e.g., visitors, patients, graduates of Duke University, applicants for admission or employment, or former employees) who believe they have been harassed by someone either employed by or enrolled at Duke University or Duke University Health System, either on campus or in a university-related activity, may be addressed only through the informal process for handling an allegation. Situations in which Duke University or Duke University Health System employees or students believe they have been harassed by visitors to the university or contractors or vendors serving the university will be resolved through the informal process for handling an allegation. Individuals who have questions about the harassment policy or who wish to file a complaint of harassment should contact the Office for Institutional Equity at 684-8222 or visit the OIE Web site: http://www.duke.edu/web/equity/. Definitions Harassment may take two forms: The first form of harassment is verbal or physical conduct—which may or may not be sexual in nature—that, because of its severity and/or persistence, interferes significantly with an individual’s work or education, or adversely affects an individual’s living conditions. The second form of harassment occurs if a person uses a position of authority to engage in unwelcome sexual advances, requests for sexual favors, or other verbal or physical conduct of a sexual nature when: • submission to such conduct is explicitly or implicitly made a term or condition of an individual’s employment or education; or • submission to or rejection of such conduct is used as a basis for decisions affecting an individual’s education or employment. The conduct alleged to constitute harassment under this policy shall be evaluated from the perspective of a reasonable person similarly situated to the complainant and in consideration of the context of the behavior. Harassment must be distinguished from behavior that, even though unpleasant or disconcerting, is appropriate to the carrying out of certain instructional, advisory, or supervisory responsibilities. Complainant refers to the person making an allegation or complaint of harassment. Respondent refers to the person against whom the allegation or complaint of harassment is made. An allegation is a statement by a complainant that he or she believes an act of harassment has occurred. An allegation is handled through the informal resolution process. A complaint is a formal notification, either orally or in writing, of the belief that harassment has occurred. A complaint is handled through either the informal or formal process for resolving claims of harassment. Retaliation Against the Complainant. It is a violation of Duke’s harassment policy to retaliate against a complainant for making a claim of harassment. If warranted, the appropriate senior administrator may monitor performance review, promotion, reappointment, grading, or other evaluation—or, to the extent possible, may reassign the supervisory relationship—to ensure that retaliation does not occur. Harassment 27 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 26 of 53 EXHIBIT 7 Page 26 of 52 Against the Respondent. A claim of harassment is not proof of prohibited conduct. A claim shall not be taken into account during performance review, promotion, reappointment, or other evaluation unless a final determination has been made that the university’s harassment policy has been violated. If necessary and appropriate, such decisions shall be deferred until the claim is resolved. Against a Witness or Participant in the Investigation. It is also a violation of the harassment policy to retaliate against individuals providing information related to a complaint. Claim of Retaliation. A claim of retaliation by a complainant, respondent or witness may be pursued using the steps followed for an allegation or complaint of harassment. False or Malicious Complaints Knowingly filing a false or malicious complaint of harassment or of retaliation is a violation of the harassment policy. Such conduct may be pursued using the steps followed for a complaint of harassment. Evaluation and Resolution of Claims of Harassment Responsibility for implementing the Duke University and Duke University Health System policy and procedures regarding harassment rests with the Office for Institutional Equity (OIE). Procedures for addressing allegations and complaints of harassment may be viewed at the OIE Web site address: http://www.duke.edu/web/equity. You may also request a full-text copy of the harassment policy, which includes the procedures, by contacting OIE at 684-8222. Other university and health system personnel are also available to provide consultation and assistance. For example, Staff and Labor Relations representatives within Human Resources are trained to assist either with the handling of allegations or the filing of complaints. Supervisors of employees, and senior academic administrators who work with faculty and students, can also provide guidance about responding to situations that may constitute harassment. Harassment Prevention Advisors trained by OIE are available to assist students with harassment concerns. The names of HP Advisors are available on the OIE Web site (http://www.duke.edu/web/equity). Some forms of harassment may violate federal and state laws, and a complainant or respondent may choose to invoke external processes to resolve his or her concerns instead of or in addition to pursuing the procedures set forth herein. Any internal process proceeds without regard to an external process unless university counsel instructs otherwise. Procedures for Resolution of Claims of Harassment Between/Among Undergraduate Students. The Office of Judicial Affairs in the Dean of Students Office has the authority to adjudicate, through the undergraduate judicial system, all claims of harassment where respondent/accused is a Trinity College or Pratt School of Engineering undergraduate student. For these cases, mediation may be attempted with agreement of the parties, but it is neither mandatory nor a right of the complainant or respondent. Students who have concerns about possible harassment may discuss the situation with a harassment prevention advisor, Duke Police, or the Dean of Students Office. Students with such complaints, individuals charged with harassment, and individuals with knowledge of situations in which harassment may exist may seek assistance through a harassment prevention advisor or through the Office for Institutional Equity. Procedures for Resolution of Harassment Concerns Involving a Teaching Assistant, Graduate Student, Faculty Member or Nonfaculty Employee. Harassment complaints that involve both undergraduate students and either graduate students, faculty members or employees are addressed, as necessary, through the intervention of OIE or the official responsible for the respondent’s supervision. Such situations are of particular concern because the possible inherent power differential between the parties increases the potential for coerciveness. 28 Undergraduate Policies Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 27 of 53 EXHIBIT 7 Page 27 of 52 Hazing Hazing is a serious infraction of university regulations. The potential for hazing typically arises as part of a student’s introduction to or initiation in an organization (fraternity, sorority, athletic team, or other group) in which there is often a perceived or real power differential between members of the organization and those newly joining it. Hazing is defined as any action taken or situation created, whether on or off university premises, that is harmful or potentially harmful to an individual’s physical, emotional, or psychological well-being, regardless of an individual’s willingness to participate or its bearing on his/her membership status. Such activities and situations include, but are not limited to: Level I Violations • marching in line • road trips • wearing apparel which is conspicuous and not normally in good taste, and/or • • • • • • • inappropriate for the time of year calisthenics line-ups pledge/signature books periods of silence standing for a length of time personal servitude activities that would not normally construe hazing but because of time, place, or manner make them inappropriate Level II Violations • sleep deprivation or interruption of consecutive sleep hours • expected or forced consumption of food, drink (including alcohol), or other • • • • substance acts of humiliation or degradation (including streaking or wearing degrading or humiliating apparel) restrictions on eating or bathing acts that disrupt academic instruction or learning of others interruption or interference of academic commitments Level III Violations • branding • paddling in any form • compromising (sexual) situations Both individuals and groups may be held accountable under this policy. The action of even one member of a group may result in both individual and group responsibility. The following questions can help individuals/groups assess the appropriateness of an activity: • Does the activity promote and conform to the ideals, values, and mission of both the university and organization? • Is it an activity that all members (current and initiates) engage in together? • Would the group’s advisor, the national headquarters of a fraternity/sorority, and/or other university officials approve of the activity? • Will this activity increase new members’ respect for the group and all members of the group? Hazing 29 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 28 of 53 EXHIBIT 7 Page 28 of 52 • Is the activity free of mental anguish or physical discomfort? • Does the activity have inherent value in and of itself? [Adapted from the Fraternity Executive Association, the North American Interfraternity Conference, Inc., and Washington University.] Any individual or group found responsible for hazing will be subject to sanctions outlined in the disciplinary process, including, but not limited to: disciplinary probation, social suspension, suspension of charter, restrictions on member recruitment and/or group activity, removal of the individual from the group, loss of housing privileges, suspension, and/or expulsion. Sanctioning will increase with the level of violation and any previous hazing violations. (Levels of violation listed above are guidelines only and may change given particular circumstances of a violation.) Students should also be aware that hazing is a misdemeanor under North Carolina state law. Acts or potential acts of hazing may be reported to the Office of Judicial Affairs (6846938) or Duke Police (911, or 684-2444 from non-campus phones). In addition, concerns may be reported confidentially via voicemail to the university’s Hazing Hotline at 6845766. Noise Students are expected to respect the rights of others at all times. During specified hours, higher noise levels will be tolerated but must remain at a level considerate of those students who wish to study or sleep: East, West Campuses: Quiet hours are in effect at all times other than as noted below, when reasonable levels of noise will be permitted: 5:00 pm-7:00 pm Monday-Thursday 5:00 pm-2:00 am Friday 1:00 pm-2:00 am Saturday 1:00 pm-6:00 pm Sunday Central Campus: Quiet hours are in effect 24-hours a day, 7-days a week. All Campuses: From reading day(s) through the end of finals, quiet hours are in effect 24-hours a day. Students who are disturbed by noise should attempt to resolve the situation by contacting the other party(ies) involved; or, if needed, seek the assistance of living group officers, resident assistants, community assistants, graduate residents, or residence coordinators. If necessary, persistent complaints may be registered by calling Duke Police at 684-2444. Students are responsible for the actions of their guests; cohesive units, as a whole, may be held responsible for violations of this policy by their individual members or their guests. Initial complaints will be referred to appropriate residential staff. Depending on the nature and severity of the violation, as well as the existence of prior violations, the complaint may be forwarded to the Office of Judicial Affairs in the Dean of Students Office for disciplinary action. Physical Abuse, Fighting, and Endangerment Any physical abuse, fighting, and/or endangerment to an individual or group is specifically prohibited. This behavior includes, but is not limited to: • Physical violence (initiating or responding to) or attempted physical violence against another person or group. This includes fighting. • Threat of physical violence against another person or group. 30 Undergraduate Policies Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 29 of 53 EXHIBIT 7 Page 29 of 52 • Any action that endangers the health, safety or welfare of a person or group. • Attempting to, or actually harming oneself. [Wording adopted from Eastern Michigan http://www.dsa.emich.edu/sjs/violations.html.] Student Conduct Code, Pickets, Protests, and Demonstrations Statement of Policy. Duke University respects the right of all members of the academic community to explore and to discuss questions which interest them, to express opinions publicly and privately, and to join together to demonstrate their concern by orderly means. It is the policy of the university to protect the right of voluntary assembly, to make its facilities available for peaceful assembly, to welcome guest speakers, to protect the exercise of these rights from disruption or interference. The university also respects the right of each member of the academic community to be free from coercion and harassment. It recognizes that academic freedom is no less dependent on ordered liberty than any other freedom, and it understands that the harassment of others is especially reprehensible in a community of scholars. The substitution of noise for speech and force for reason is a rejection and not an application of academic freedom. A determination to discourage conduct which is disruptive and disorderly does not threaten academic freedom; it is rather, a necessary condition of its very existence. Therefore, Duke University will not allow disruptive or disorderly conduct on its premises to interrupt its proper operation. Persons engaging in disruptive action or disorderly conduct shall be subject to disciplinary action, including expulsion or separation, and also charges of violations of law. Students planning a picket, protest, or demonstration should contact the Office of Student Activities and Facilities (684-4741) for guidance and further information. Rule. Disruptive picketing, protesting, or demonstrating on Duke University property or at any place in use for an authorized university purpose is prohibited. Hearing and Appeal. Cases arising out of violations of the Pickets and Protests Regulations will be heard by the University Judicial Board, in accordance with the procedures outlined herein. The University Judicial Board shall have jurisdiction over members of the student body, members of the faculty, and administrative personnel of the university not subject to the personnel policy handbook. Hearings will be conducted with regard for academic due process. The decision of the University Judicial Board shall be final if the accused is exonerated or if there is no appeal. In other cases, students may appeal to the president, or, in his/her absence, the provost, in which case such appeal shall be solely on the record of the proceedings before the Hearing Committee of the University Judicial Board. Argument on appeal shall be on written submission, but the president may, in addition, require oral argument. A Hearing Committee will consist of two faculty members, one dean, and two students. These students will be selected from members of the judicial boards or governments in the undergraduate, graduate, or professional colleges or schools. The chair of the Hearing Committee will be designated by its members. The Hearing Committee will conduct its proceedings in accordance with academic due process. Amendments. These regulations on pickets, protests, and demonstrations may be changed or amended by the university at any time but any such change or amendment shall be effective only after publication or other notice. These regulations supersede any regulations heretofore issued on the subject. Property/Facilities/Services Students are expected to respect the property of others (including that of the university) and will be subject to disciplinary action for the following: • Theft of the property and/or services of another; Pickets, Protests, and Demonstrations 31 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 30 of 53 EXHIBIT 7 Page 30 of 52 • Damage, destruction, or defacement of the property of another, including littering or chalking of university property; • Wrongful appropriation of the property and/or services of another; • Unauthorized possession and/or use of the property of another, including knowingly being in possession of stolen goods (this includes unauthorized use of vehicles, equipment, services, the Duke University name and logo). • Unauthorized access or entry into university facilities, including but not limited to buildings, classrooms, residential rooms, athletic areas, Central Campus pool, parking areas, roofs, ledges, and tunnels; or • Violation of any policy or guidelines pertaining to specific usage of a university facility. [Wording adopted from Eastern Michigan Student Conduct Code, http://www.dsa.emich.edu/sjs/violations.html.] Sexual Misconduct The tenets of the university’s Community Standard (honesty, fairness, respect, and accountability) are essential components of healthy interpersonal relationships. When relationships become intimate, these principles become paramount. Sexual intimacy requires mutual engagement in an environment of affirmative consent. Sexual misconduct against anyone by anyone, male or female (whether acquaintance or stranger), is unacceptable. Duke University is committed to providing an environment free of personal affronts against individuals and will not tolerate sexual misconduct in its community. Duke University has developed this policy based on these fundamental principles: • Members of the university community are expected to maintain ethical standards of honesty and respect for others. • Sexual misconduct encompasses a range of behaviors, from inappropriate touching to rape, which must be confronted directly by the campus community. • The use of alcohol or other drugs can blur the distinction between consent and manipulation. • Real or perceived power differentials between individuals may create an unintentional atmosphere of coercion. • Educational and preventative measures are necessary components of the university’s commitment to reduce sexual misconduct in its community. • Responding effectively to reports of sexual misconduct necessitates the coordinated efforts of several campus offices including Duke Police, Sexual Assault Support Services in the Women’s Center, the Dean of Students Office, Residence Life and Housing Services, Counseling and Psychological Services, and Student Health. • The university will take seriously every report of sexual misconduct it receives by conducting a careful investigation and working to ensure that both complainants and accused students are given appropriate support and fair treatment. Sexual misconduct defined. Sexual misconduct is defined as any physical act of a sexual nature perpetrated against an individual without consent or when an individual is unable to freely give consent. Acts of a sexual nature include, but are not limited to, touching or attempted touching of an unwilling person’s breasts, buttocks, inner thighs, groin, or genitalia, either directly or indirectly; and/or rape, forcible sodomy, or sexual penetration (however slight) of another person’s oral, anal or genital opening with any object. Sexual misconduct also includes sexual exploitation, defined as taking nonconsensual, unjust sexual advantage of another for one’s benefit or the benefit of another 32 Undergraduate Policies Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 31 of 53 EXHIBIT 7 Page 31 of 52 party. These acts may or may not be accompanied by the use of coercion, intimidation, or through advantage gained by the use of alcohol or other drugs. Consent defined. The university’s definition of sexual misconduct mandates that each participant obtains and gives consent in each instance of sexual activity. Consent is an affirmative decision to engage in mutually acceptable sexual activity given by clear actions or words. It is an informed decision made freely and actively by all parties. Relying solely upon non-verbal communication can lead to miscommunication. It is important not to make assumptions; if confusion or ambiguity on the issue of consent arises anytime during the sexual interaction, it is essential that each participant stops and clarifies, verbally, willingness to continue. Students should understand that consent may not be inferred from silence, passivity, or lack of active resistance alone. Furthermore, a current or previous dating or sexual relationship is not sufficient to constitute consent, and consent to one form of sexual activity does not imply consent to other forms of sexual activity. Being intoxicated does not diminish one’s responsibility to obtain consent. Conduct will be considered “without consent” if no clear consent, verbal or nonverbal, is given. It should be noted that in some situations an individual’s ability to freely consent is taken away by another person or circumstance. Examples include, but are not limited to, when an individual is intoxicated, “high,” scared, physically or psychologically pressured or forced, passed out, intimidated, coerced, mentally or physically impaired, beaten, threatened, isolated, or confined. The use of alcohol or other drugs. The use of alcohol or other drugs can have unintended consequences. Alcohol or other drugs can lower inhibitions and create an atmosphere of confusion over whether consent is freely and effectively given. The perspective of a reasonable person will be the basis for determining whether one should have known about the impact of the use of alcohol or drugs on another’s ability to give consent. Being intoxicated or high is never an excuse for sexual misconduct. Examples of Sexual Misconduct Angela and Aaron have been in an ongoing relationship for a year-and-a-half and have engaged in consensual sexual intercourse. One night while becoming intimate, Angela stops and says she doesn’t feel like having sex that night. Aaron continues to touch her, saying that she got him excited and it wasn’t fair of her to lead him on like that. Again Angela tells him she does not want to have sex, and then is silent. Aaron decides she has given in, and proceeds to have sexual intercourse with her. This is a violation of the Sexual Misconduct Policy. Aaron had sexual intercourse with Angela against her will. The fact that Angela has freely consented to sexual intercourse with Aaron in the past does NOT mean he has her consent in this situation. Erin is talking to several of her friends in the hallway at a crowded party. Ryan, a student she knows from chemistry class, comes up behind her and places his arms around her waist. She says hi to Ryan and continues her conversation. After a while, she realized that Ryan has moved his hands up to her breasts. She turns to him and tells him to stop, saying she doesn’t want to be touched in that way and that he should have more respect for her. He laughs, tells her she takes herself too seriously, and again begins to grope her. This is a violation of the Sexual Misconduct Policy. Ryan touched Erin in a sexual way without her consent, and continued to do so after she told him to stop. This behavior is a form of sexual misconduct. Kristen and Myra have been intimate for a few weeks. One night, Myra calls Kristen and asks her to come over. When she arrives, Myra kisses Kristen passionately and leads her into the bedroom. They each express their excitement and desire to “hook up,” and are soon making out heavily in Myra’s bed. After a while, Kristen tries to engage in oral sex with Myra. Myra tells Kristen that she really likes her, but that she doesn’t feel ready for that. Kristen tells Myra she’s just being shy, and ignores her when she repeats that she doesn’t feel ready. Finally, Kristen threatens to reveal on the Internet that Myra is a lesbian. Because Myra has not yet come out to her friends and family, she becomes Sexual Misconduct 33 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 32 of 53 EXHIBIT 7 Page 32 of 52 frightened and silent. Kristen proceeds with oral sex. This is a violation of the Sexual Misconduct Policy. Because of Kristen’s manipulative and threatening arguments, Myra was afraid and unable to freely give her consent. Kristen did not receive consent from Myra and has committed sexual misconduct. Liz and Tom have been together for six months. She often tells her friends stories of Tom’s sexual prowess, and decided to prove it to them. One night, she and Tom engage in consensual sexual intercourse. Without Tom’s knowledge, Liz sets up her digital camera to videotape them having sex. The next evening, she uploads the video to an online videosharing site and discusses it with her friends online. This is a violation of the Sexual Misconduct Policy. Tom’s consent to engage in sexual intercourse with Liz did NOT mean Liz had obtained his consent to videotape it. This is a form of sexual exploitation. Andrew and Felix have been flirting with each other all night at a party. Around 12:30 a.m., Felix excuses himself to find a bathroom. Andrew notices Felix slurring his speech. Andrew wonders if Felix went to the bathroom to vomit. When Felix returns, the two begin flirting more heavily and move to a couch. As the conversation continues, the two become more relaxed and more physically affectionate. Andrew soon suggests they go back to his room, and Felix agrees. As they walk down the stairs, Andrew notices that Felix looks unstable and offers his arm for support and balance. When they get back to his room, Andrew leads Felix to the bed and they begin to become intimate. Felix becomes increasingly passive and appears disoriented. Andrew soon begins to have sexual intercourse with him. The next morning, Felix thinks they had sex but cannot piece together the events leading up to it. This is a violation of the Sexual Misconduct Policy. Felix was clearly under the influence of alcohol and thus unable to freely consent to engage in sexual activity with Andrew. Although Andrew may not have known how much alcohol Felix had consumed, he saw indicators from which a reasonable person would conclude that Felix was intoxicated, and therefore unable to give consent. Andrew in no way obtained consent from Felix. Support Services and Options for Survivors of Sexual Misconduct A variety of support resources are available on campus and in the community to assist students in dealing with sexual or dating violence, whether it happened recently or in the past. Following is a list of helpful resources. Additional resource information is available at http://wc.studentaffairs.duke.edu. Information, advocacy, counseling and emotional support. The Office of Sexual Assault Support Services (SASS) was created to provide education, advocacy, and support for survivors of sexual and dating violence and their friends and families. The SASS office works closely with other university departments to provide comprehensive information and advocacy with regard to crisis intervention, ongoing counseling, support groups, medical services, law enforcement, academics, judicial and legal concerns, and/or residential living. Appointments to meet with the SASS coordinator can be scheduled during business hours by calling 684-3897 or by visiting the Women’s Center located on West Campus (126 Few Fed Building near the bus stop across from the Allen Building). Counseling and Psychological Services (CAPS) also offers ongoing counseling services; call 660-1000 for an appointment. For 24-hour crisis information and referral, contact the SASS information line at 681-6882, the dean-on-call (pager number 970-4169), or the Durham Crisis Response Center at 403-6562 (for 24-hour hotline). All services are confidential and do not require making a formal report to the police. Medical concerns. For immediate and urgent medical concerns, go directly to the Emergency Department (ED) of Duke Medical Center (off Erwin Road near Trent Hall). You can call the Duke Police Department (684-2444 or 911) for transportation without having to make a report. The services available are: medical care, evidence collection, emergency contraception, and sexually transmitted disease prevention. To leave your options for pressing charges open and to be eligible for victim’s assistance, a state fund which pays for hospital expenses, you will want to have evidence collected by the hospital 34 Undergraduate Policies Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 33 of 53 EXHIBIT 7 Page 33 of 52 within 96 hours of the assault. In order to receive funds from victim’s assistance, you must make a police report. Another funding option for repaying hospital bills is a loan fund available through the SASS office. This loan fund does not require that you make a police report. Contact the SASS coordinator for more information. For less immediate medical concerns, schedule an appointment at Student Health (681-WELL). You can call SASS for someone to accompany you if you would like. The services available are: medical care, emergency contraception and sexually transmitted disease prevention. The student health fee covers all services, except for a minimal charge for emergency contraception. Reporting to the police. Duke Police (911 or 684-2444 from non-campus phones) will respond to emergencies and non-emergencies to provide legal assistance by intervening in cases of assault, providing transportation to the Emergency Department, taking reports of an assault, investigating and participating in appropriate legal or disciplinary action. They are responsible for notifying the community in a case of continuing danger, can issue a trespass order that requires an individual to stay away from campus or a particular area or campus, and will provide referrals including how to obtain a restraining order. Assaults that occur off campus may fall under the jurisdiction of the Durham Police Department or other appropriate law enforcement agency. Students may contact the Durham Police directly (911 off campus or 560-4427/560-4609) or the SASS office or Duke Police can help facilitate reporting. Blind reporting—filing a report without your name attached to it—is an available option with both Duke and Durham’s police departments. Reporting Sexual Misconduct for University Disciplinary Action The Office of Judicial Affairs in the Dean of Students Office (684-6938) receives complaints of a possible violation of this policy for adjudication through the university’s disciplinary process. Reports must be filed within two (2) calendar years from the date of the alleged incident. Complainants should submit a written statement regarding the alleged incident or e-mail judicial@duke.edu. Complainants may meet with Judicial Affairs staff before submitting a written statement. Investigation. The judicial officer, or designee, may meet with the complainant to hear or clarify his/her account of the incident and review the disciplinary process. A formal investigation may be launched, which includes an initial meeting with the accused and an opportunity for the accused to also submit a written statement (generally within five business days) in response to the allegations. After written statements are received, the judicial officer or designee may ask further clarifying questions of the complainant, accused, or witnesses. A determination will be made on whether to proceed with a hearing based on sufficient information to believe that a policy violation may have occurred. During the investigation and until resolution of the matter, interim restrictions may be issued as deemed appropriate by the judicial officer or designee, including restrictions on contact between the complainant and the accused, exclusion from areas of campus, removal or relocation from residential areas, etc. Hearing procedures. Every effort will be made to convene a hearing panel within four weeks of the formal complaint. All hearing procedures as outlined in this guide will be followed with the exception of the following. A three-person hearing panel will preside over a case that is referred to the Undergraduate Judicial Board, comprised of two faculty or staff members and one student. A finding of responsibility must be based on a unanimous vote; any sanction must be decided by a majority vote with the exception of suspension or expulsion, which must be supported unanimously. A complainant may have an advisor (a member of the university community) present during a hearing, but as with the accused’s advisor, he/she may only confer quietly or through notes with the complainant and may not address the panel. Romantic or sexual history of either the accused or the complainant with others will not be allowed in a hearing, except that testimony offered by the accused or complainant about his/her own sexual history. If such information is offered, the other party has the Sexual Misconduct 35 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 34 of 53 EXHIBIT 7 Page 34 of 52 right to respond to that testimony. Testimony and questions regarding any romantic or sexual history of the accused and complainant with each other are permitted. Participants are reminded that any information shared during a hearing is confidential. The hearing panel will decide what testimony, witnesses, or other information is relevant, and may exclude information or a witness that is deemed duplicative or immaterial. The complainant or accused should inform the judicial officer prior to the hearing of the names of any witnesses he/she wishes to testify and to what they will attest. Witnesses should avoid hearsay. Rights of complainants. Complainants will be treated with respect and sensitivity before, during, and after the disciplinary process. The university will make all reasonable efforts to ensure the preservation of confidentiality, restricting information to those with a legitimate need for it. Complainants will be informed of the university’s disciplinary process and possible outcomes. Complainants also have the right to report criminal sexual conduct to local law enforcement, which does not preclude university disciplinary action. Complainants have the right to (and are strongly encouraged to seek) counseling and support available through resources such as Sexual Assault Support Services (SASS) in the Women’s Center, Counseling and Psychological Services (CAPS), and Durham Crisis Response Center (DCRC). Complainants may request changes to academic and living situations and will be notified as to what changes are reasonably available. Complainants also have access to disciplinary advisors to guide them through the disciplinary process. Allegations of sexual misconduct will be investigated in a thorough and timely manner. Complainants will be kept updated of the status of an investigation and the outcome of a hearing. An advisor (who is a member of the university community) may accompany complainants to any meeting with the judicial officer or to a hearing. At their request, complainants have the right to receive—within the parameters of FERPA—a copy of the written information given to a hearing panel. Complainants may offer relevant material witnesses to speak on their behalf. (Note that a hearing panel may exclude witness testimony deemed irrelevant or duplicative.) Complainants may also submit two written character references to a hearing panel before the hearing begins. Complainants will be given the opportunity to make opening and closing statements to a hearing panel. Rights of accused students. Students accused of sexual misconduct have the same rights as any student accused of a policy violation (see “The Undergraduate Disciplinary System”), which includes the right to a 48-hour notice in advance of a hearing, the right to bring material witnesses to speak on his/her behalf (written testimony of two character witnesses may be submitted to a hearing panel before the hearing begins), and the right to ask questions (directed through the hearing panel) of any witness present. (Note that a hearing panel may exclude witness testimony deemed irrelevant or duplicative.) An accused student may request changes to academic and living situations, and will be notified as to what changes are reasonably available. Accused students can expect a presumption of innocence throughout the disciplinary process unless found responsible through an impartial and fair hearing, and will be treated with respect throughout the process. Disciplinary advisors are made available to the accused and should be consulted at the onset of an investigation. Their role is to educate accused students about the disciplinary process and provide support. An advisor (a disciplinary advisor or any other member of the university community) may accompany the accused to a hearing, but may only confer with the accused. Notification of hearing outcome and sanctions. The complainant and accused will receive verbal notification of the outcome of the hearing no sooner than two business days and no later than five business days after the hearing. (Note that re-disclosure by the complainant of a “not responsible” decision to anyone without the prior consent of the accused is a violation of the Family Educational Rights and Privacy Act). Notification will be individually given to the accused and complainant at approximately the same time. A written hearing report outlining the decision and rationale of the hearing panel will be later 36 Undergraduate Policies Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 35 of 53 EXHIBIT 7 Page 35 of 52 delivered to the accused. Sanctions for a finding of responsibility include, but are not limited to, expulsion, suspension, disciplinary probation, recommended counseling, and/ or other educational sanctions deemed appropriate by the hearing body. Students who are found responsible for a violation of this policy have a right of appeal based on the grounds described in this guide. Smoking Duke University seeks to preserve a living and working environment supportive of behaviors that contribute to the physical health and well-being of all community members. Smoking is not permitted in any university building, including residence halls. Smoking is permitted with roommate(s) consent only in the Central Campus Apartments. Smoking is not permitted anywhere on the campus of the medical center. Solicitation Commercial selling or soliciting is prohibited in university facilities and in the residence halls or Central Campus Apartments whether by students or non-students. The West Campus Plaza environs may be used for the purpose of sales, distribution, or events involving the use of sound amplification equipment. Any such activity must be sponsored by a recognized campus organization. Stalking Duke University prohibits stalking and cyberstalking. A student who repeatedly follows or sends unwanted communication to another—placing a person in reasonable fear for his/her safety or causing a reasonable person emotional distress—is in violation of this policy. Weapons/Firearms/Explosives It is against North Carolina state law and university policy to possess a gun, rifle, pistol, or other firearm of any kind, or any powerful explosive on university property. Additionally, students are not permitted to possess on campus any weapon, including mace, BB gun, stun gun, paintball gun, potato gun, realistic-looking toy gun, air rifle, air pistol, sword, bowie knife, dagger, slingshot, switchblade knife, blackjack, and metallic knuckles. Other Violations Students may be subject to disciplinary action for: • Violating any other published or posted university regulation not specifically mentioned in this section, including the Housing License, the residence hall/ Central Campus apartment regulations, student activities regulations, guidelines for organizations, parking regulations, etc. • Acting as an accomplice through action or negligence to the commission of any prohibited act. • Attempting or intending to commit any violation of laws and/or university policies. • Violating local ordinances or state or federal laws (as determined through the university’s disciplinary process), including those related to noise, housing occupancy, and the use or distribution of alcohol. Smoking 37 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 36 of 53 EXHIBIT 7 Page 36 of 52 APPENDICES Appendix A—The Judicial System of Duke University The judicial system of the university shall consist of the University Judicial Board and a judicial board for each of the communities hereafter defined. (The undergraduate judicial system is part of the larger university judicial system.) Authority Over Policies and Procedures Responsibility for prescribing and enforcing rules and regulations governing student conduct rests ultimately with the Board of Trustees of Duke University and, by delegation, with administrative officers of the university and of the college and school. The policies and procedures governing the conduct of undergraduate students may be amended at any time by the vice president for Student Affairs and may be implemented with adequate notice to the university community. Community Judicial Boards There shall be an undergraduate community consisting of the undergraduates in Trinity College of Arts and Sciences and the Pratt School of Engineering; a Divinity School community; a Fuqua School of Business community; a Law School community; a Medical School community; an Allied Health community consisting of all degree and certificate (i.e., paramedical, nondegree) students in the School of Allied Health; a Nicholas School of the Environment and Earth Sciences community; a School of Nursing community; and a Graduate School community. Each community shall have such judicial system as its governing body may provide. THE UNIVERSITY JUDICIAL BOARD Jurisdiction The jurisdiction of the University Judicial Board shall be limited to cases arising out of the pickets and protests regulations and cases involving more than one of the communities as determined by the vice president for Student Affairs in consultation with the president and the chair of the University Judicial Board. The University Judicial Board shall have jurisdiction over members of the student body, members of the faculty, and administrative personnel of the university not subject to the Personnel Policy Manual. Filing of Charges; Responsibilities of Vice President for Student Affairs • The Office of the Vice President for Student Affairs shall have responsibility for receiving complaints, conducting investigations, and preferring charges concerning offenses within the jurisdiction of the board. • The University Judicial Board shall hear no case without a finding of probable cause made by the vice president for Student Affairs, whose signature to the charge or charges shall constitute sufficient evidence of such finding. • To assist the vice president for Student Affairs in the investigation of complaints, the gathering of evidence, and the preparation of charges, investigative and judicial aides may be appointed by the vice president and shall serve at his/her pleasure and under his/her direction. The number and specific duties of such aides shall be determined by the vice president for Student Affairs, who shall be fully responsible for all duties performed by them in their capacity as aides. • The vice president for Student Affairs shall subpoena witnesses as directed by the University Judicial Board. • The vice president for Student Affairs may delegate all or any portion of his/ her duties as regards these judicial procedures to an aide or aides. The vice president for Student Affairs shall be responsible for the discharge of all duties thus delegated. 70 Appendices Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 37 of 53 EXHIBIT 7 Page 37 of 52 Membership The University Judicial Board shall consist of a chair appointed by the president, five faculty members (two of whom shall be from the Law School) appointed by the Executive Committee of the Academic Council, and two student members from each of the communities (except in the case of the undergraduate community where there should be four members) elected by each community’s judicial board. The chair of the board shall select five-person panels consisting of a chair and an equal number of students and faculty. Cases referred to the board shall be assigned to the panels in rotation, provided that a member of a panel may, at his/her request, be excused from sitting on a case by the chair of the board, who may appoint a substitute from among the other members of the board. Each panel shall be known as a “Hearing Committee of the University Judicial Board.” Terms of Members Faculty members shall normally serve for two-year terms, but are eligible for reappointment. The terms should be staggered in order to provide continuity. Two of the initial appointees shall be appointed for one-year terms. Student members shall serve for one-year terms, although they may be eligible for re-election. The board has the right to remove any member of the board for cause by a vote of a two-thirds majority of all members. The vacancy shall be filled promptly according to the original procedure. Conduct of the Hearing • The hearing will be conducted in private unless the accused requests an open hearing. If any objection is raised to conducting an open hearing in any particular case, the Hearing Committee of the University Judicial Board will decide the issue by majority vote. If the decision is made not to hold an open hearing, the accused shall be informed in writing of the reasons for the decision. • The university and the accused may be represented by an adviser of his/her choice. • The board shall promulgate its own rules of procedure consistent with academic due process and all provisions of this document. • The accused has the right to challenge on the grounds of prejudice any member of the Hearing Committee sitting on his/her case. If an accused makes such a challenge, the Hearing Committee shall deliberate in private to determine whether cause exists. By a majority vote of the members of the tribunal (excluding the member being challenged), a member shall be removed from the case and replaced by a member of the board designated by the chair of the Judicial Board. In addition, the accused may exercise a challenge directed at the entire panel, in which case the challenge shall be made to the chair of the University Judicial Board, who shall excuse the panel challenged and refer the accused’s case to the next panel in rotation. The Right of Appeal • In cases heard by the University Judicial Board, there will be no appeal when the accused is acquitted. • A student or administrator who is not a member of the faculty convicted by the University Judicial Board may appeal to the president, or in his/her absence, the provost, in which case such appeal shall be solely on the record of the proceedings before the Hearing Committee. Argument or appeal shall be on written submission, but the president may, in addition, require oral argument. • A member of the faculty convicted by the University Judicial Board may appeal to the Faculty Hearing Committee authorized under the provisions for Academic Freedom and Tenure of Duke University. Appendix A—The Judicial System of Duke University 71 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 38 of 53 EXHIBIT 7 Page 38 of 52 Status of the Accused Charges must be prepared without delay following the alleged commission of the offense. Pending final verdict on charges against the accused (including appeal), his/her status shall not be changed, nor his/her right to be on campus to attend classes suspended, except that the president or provost may impose an interim suspension upon any member of the university community who demonstrates, by his/her conduct, that his/her continued presence on the campus constitutes an immediate threat to the physical well-being or property of the members of the university community or the orderly functioning of the university. The imposition of interim suspension requires that the suspended individual shall immediately observe any restriction placed upon him/her by the terms of the suspension. The suspended individual shall be entitled to a hearing within three (3) days before the Hearing Committee on the formal charges. If he/she requires additional time to prepare his/her case before the Hearing Committee, he/she shall be entitled to an informal review of the decision imposing interim suspension by a three-person committee chosen from the members of the University Judicial Board by its chair. Interim suspension is an extraordinary remedy which will be invoked only in extreme cases where the interest of the university and members of its community require immediate action before the Hearing Committee can adjudicate formal charges against the suspended individual. If interim suspension is imposed and the accused is later found innocent, the university shall seek restitution as provided by the Hearing Committee with respect to the student’s academic responsibilities incurred during the period of suspension. Civil and Criminal Courts Members of the university community may be subject to civil or criminal proceedings in a local court. The president may initiate legal action seeking injunctive or other civil relief, or file criminal charges, when it is necessary to protect the person or property of members of the university community, or the orderly functioning or property of the university. Such action may be in addition to the filing of formal charges before the University Judicial Board and/or interim suspension. Sanctions A Hearing Committee of the University Judicial Board shall have the power to impose the following penalties upon students: • Expulsion. Dismissal from the university with the recommendation that the person never be readmitted. • Suspension. Dismissal from the university and from participation in all university activities for a specified period of time after which the subject may apply for readmission. • Disciplinary Probation. Placing a student on a probationary status for a specified period of time, during which conviction of any regulation may result in more serious disciplinary action. • Exclusion from participation in extracurricular activities. Without limiting the generality of that penalty, such restrictions might involve participation in any collegiate athletics, or any public participation or performance in the name of the university. However, a hearing committee may not exclude a person from performance of the duties of an elective office, but may make such a recommendation to the appropriate organization. This penalty may be imposed by itself or in addition to any of the other enumerated penalties. • Censure. Written reprimand for violation of the specified regulation, including the possibility of more severe disciplinary sanction in the event of conviction for the violation of the same or one of equal seriousness within the period of time stated by the reprimand. • Admonition. By an oral statement to the offender that he/she has violated the university rules or has been in contempt of the board. 72 Appendices Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 39 of 53 EXHIBIT 7 Page 39 of 52 • Restitution. Payment for all, or a portion of property damage caused during the commission of an offense. This penalty may be imposed by itself, or in addition to any of the other penalties. • Fines. Payment of reasonable sums to be determined by a hearing committee. This penalty may be imposed by itself, or in addition to any of the other penalties. • Exclusion from social activities where the nature of the violation so indicates including, but not limited to, curfews or other revocation of upperclass privileges. A Hearing Committee of the University Judicial Board shall have the power to impose the following penalties upon faculty members and administrative personnel not subject to the provisions of the Personnel Policy Manual. • Dismissal. Dismissal or termination of appointment. • Censure. • Admonition. • Restitution. • Fines. Other Powers The Hearing Committee may recommend to the university that it seek restitution with respect to the accused’s university responsibilities incurred during a period of suspension or during the period when a hearing has been conducted or shall make such other nonpunitive recommendations with respect to the accused as it shall deem appropriate. Records The board shall promptly arrange a policy of keeping its own records, subject to the university policy on confidentiality. Excusal of Members of the University Community from University Obligations Any member of the university community whose presence is required at a hearing shall be excused from the performance of any university responsibilities which would normally be performed at the time when his/her presence is required before the Hearing Committee. Appendix A—The Judicial System of Duke University 73 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 40 of 53 EXHIBIT 7 Page 40 of 52 Appendix B—Optional, One-time Faculty-Student Resolution Process for Cases of Academic Dishonesty Involving Undergraduates This option for resolving cases of academic dishonesty is reserved for first-time, minor infractions by Duke undergraduates. The faculty member must first contact the Office of Judicial Affairs in the Dean of Students Office to discuss the appropriateness of this option with respect to the nature of the offense, as well as to learn of any prior violations by the student. If there is no record of prior offenses and the case appears to be one that, if adjudicated by a judicial hearing panel, would result in probation or a sanction less severe than probation, it may be resolved between the faculty member and the student. Otherwise, the case must be forwarded to the Office of Judicial Affairs. A faculty-student resolution may result in a reduced grade on the assignment, a reduced grade in the course, additional assignments, and/or other educational initiatives. (The outcome must be agreed upon by both parties.) The faculty member must report the outcome(s) of a faculty-student resolution to the Office of Judicial Affairs for record keeping. This resolution will not become part of the student’s disciplinary record unless there is a second violation, at which time both cases will be noted on the student’s disciplinary record. Process • The faculty member shall first contact the Office of Judicial Affairs in the Dean of Students Office to discuss the appropriateness of this option with respect to the nature of the offense, as well as to learn of any prior violations. The associate dean of students/director of judicial affairs may be reached at 684-6938. • If the student has no record of prior offenses and the case appears to be one that, if adjudicated by a judicial hearing panel, would result in probation or a sanction less severe than probation, it may be resolved between the faculty member and the student. • The faculty member shall meet with the student and present any information relevant to the case. • The student shall have an opportunity to respond to the allegations. • If the faculty member believes that academic dishonesty has occurred, the faculty member should complete a Faculty-Student Resolution form, including the proposed outcome, and present this form to the student. The form may be found on the Web site of the Academic Integrity Council at http://www.integrity.duke.edu. • Upon receipt of the proposed resolution, the student has 48 hours to consider and seek advice on whether to admit responsibility and accept the resolution. • If the student accepts the resolution, she/he should sign the resolution form in the presence of the faculty member. The faculty member should then forward a copy of the form to the Office of Judicial Affairs in the Dean of Students Office (Box 90893). • If the student does not accept the proposed resolution, the faculty member should refer the case to the Office of Judicial Affairs. 74 Appendices Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 41 of 53 EXHIBIT 7 Page 41 of 52 Financial Information Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 42 of 53 EXHIBIT 7 Page 42 of 52 Tuition and Fees* No college or university can honestly state that an education at the college level is inexpensive. Fees paid by students cover less than half the cost of their instruction and the operation of the university. Income from endowment and contributions from alumni and other concerned individuals meet the balance and assure each student the opportunity to pursue an education of unusually high quality. Students are urged to give their attention first to the selection of institutions which meet their intellectual and personal needs, and then to the devising of a sound plan for meeting the cost of their education. This process will require an in-depth knowledge of both the university's financial aid program and the resources of the student's family. Information describing in detail the various forms of financial aid may be obtained from the Office of Undergraduate Financial Aid web site at: http://dukefinancialaid.duke.edu. Estimated Expenses. The figures in this section are projections and are subject to change. Certain basic expenditures, such as tuition, room, and board, are considered in preparing a student's budget. These necessary expenditures, with a reasonable amount allotted for miscellaneous items, are shown below: Academic Year, 2007-2008 Two Summer Terms, 2007 (two semesters) Tuition Trinity College Engineering Residential Fee Single Room Double Room Triple Room Food (projections include a meal plan service fee) 100% board plan 75% board plan Books and Supplies Student Health Fee Student Activity Student Services Fee Recreation Fee Residential Program Fee 1 (one semester equivalent) $9,000-10,500 $9,000-10,500 n/a $1,700 n/a $34,335 $34,335 $6,800-8,180 $5,150-6,190 $4,590-5,530 $4,829 $4,159 $1050 $546 $206 $225 $200 $108 $1,669 $1,059 $525 $168 $331 This fee is optional. It should be realized that additional expenses will be incurred which will depend to a large extent upon the tastes and habits of the individual. The average undergraduate student, however, can plan on a budget of approximately $48,327. The budget estimate for the summer (two terms, one semester equivalent) is $13,095. These budgets represent most * The figures in this section are projections and are subject to change. Tuition and Fees 107 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 43 of 53 EXHIBIT 7 Page 43 of 52 student living expenses except for cable, telephone, parking, travel costs, loan fees, and major clothing purchases. Fees and Deposits for Fall and Spring. On notification of acceptance, students (including transfer students) are required to pay a nonrefundable registration fee of $100 which includes a one-time transcript processing fee, and to make an advance deposit of $200. The deposit will not be refunded to accepted applicants who fail to matriculate. Late Registration. Continuing students who fail to register during the registration period must pay a fee of $50 to the bursar. Part-Time Students. In the regular academic year, students who with permission register for not more than two courses in a semester will be classified as part-time students. Part-time students will be charged at the following rates: one course, $4,292; half course, $2,146; quarter course, $1,073. Registration for more than two courses requires payment of full tuition. Graduate students registered for undergraduate courses will be assessed three units for non-laboratory courses and four units for laboratory courses. Men and women in nondegree programs who are being considered for admission to degree programs, as designated by the Office of Continuing Education, pay fees by the course whether the course load is one, two, or three courses. Auditing one or more courses without charge is allowed for students paying full fees, provided that the consent of the instructor is obtained. Students who are enrolled for one or two courses may audit other courses by payment of $418 for each course audited. With the consent of the appropriate instructor and the director of Continuing Education, graduates of Duke may audit undergraduate courses for the above payment per course. Payment of Accounts for Fall and Spring. The Bursar’s Office will issue statements to registered students for tuition, fees, and other charges approximately four to six weeks prior to the beginning of classes each semester. The amount due on the statement is payable by the due date as indicated on the statement. Inquiries can be made at the Bursar’s Office by email at bursar@duke.edu, by facsimile at (919) 684-3091, or by telephone at (919) 6843531. Current account information is available on the ACES Web site. Office hours are from 8:30 a.m. to 5:00 p.m., Monday through Friday. As part of the admission agreement to Duke University, a student is required to pay all statements as presented. If full payment is not received, a late payment charge will be assessed on the subsequent statement, and certain restrictions, as stated below, will be applied. Failure to receive a statement does not warrant exemption from the payment of tuition and fees, nor from the penalties and restrictions. Statements are mailed to the student’s permanent home address as maintained by the student on the ACES Web site. Non-registered students will be required to make payment for the current term’s tuition and fees, as well as any past due balance at the time of registration. Payment can be made by e-check at www.bursar.duke.edu. Monthly Payment Option. The Monthly Payment Option Plan allows students and their parents to pay all or part of the academic year expenses in ten equal monthly payments from July 1 to April 1. The only cost is an annual, nonrefundable participation fee of $95. This participation fee can be paid by Visa or MasterCard. Monthly installment plan payments may be made by check or by bank draft. Questions regarding this plan should be directed to Tuition Management Systems (TMS) at (800) 722-4867. Information is also available at the TMS Web site, www.afford.com. At renewal, the plan can be extended to twelve months. The monthly payments can be increased or decreased without additional cost. As a TMS participant, you will continue to receive monthly statements from the Duke Bursar’s Office. These statements will reflect payments made to TMS, as well as any new transactions that are posted to your Bursar account. Duke Student Insurance. All undergraduates are required to maintain adequate medical insurance. Adequate medical insurance is defined as insurance that meets or exceeds the level of coverage provided by the Duke Student Health Insurance Plan. Additional information on the University's health insurance requirement is available at: www.bursar.duke.edu. 108 Financial Information Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 44 of 53 EXHIBIT 7 Page 44 of 52 Students are required to enter their health insurance decision via the ACES Web site. This decision must be updated with each new school year. When entering the decision, students can select coverage under the Duke Student Plan or waive coverage under that plan by indicating proof of adequate coverage by a private policy (students will be required to enter policy information). An international student holding an F-1 or J-1 visa must participate in the student health insurance plan. The student will be automatically enrolled in and charged for the plan. In this case, the insurance decision need not be entered on ACES. Medical insurance coverage is required in addition to paying the mandatory student health fee. Restrictions for Outstanding Account Balances. An individual will be in default if the amount due, as listed on the statement, is not paid in full by the required due date. In addition to the assessment of late payment charges, a student in default will not be allowed to register for future semesters, to receive a transcript of academic records, to have academic credits certified, or receive a diploma at graduation. In addition, an individual in default may be subject to withdrawal from school and have the account referred to a collection agency and credit bureau. Fees for Study Abroad. Students who register to study abroad on programs administered by institutions other than Duke University will pay the tuition and fees of the administering institution. There will be a fee of $2,350 per semester, payable to Duke University, to maintain a student's enrollment at Duke. Fees for Courses. Additional fees are charged for certain physical education activity and applied music courses. For specific charges, consult the Office of the Bursar. Tuition and Fees for Summer Session. Tuition for undergraduates is $2,250 for each 3 semester hour (s.h.) course, $3,000 for each 4 s.h. course, $1,500 for each half course (2 s.h.), and $4,500 for each one and one-half course program (6 s.h.) offered at the Marine Laboratory. Tuition for graduate students taking an undergraduate course is as indicated above. Health Fee. All Duke students and all full-time non-Duke students are required to pay $84 per term. All students at the Marine Laboratory are required to pay $70 per five-week registration period. Music Fee. A fee of $100 will be charged for Music 79. A fee of $200 will be charged for Music 80 and 89. A fee of $400 will be charged for Music 90 and 99. Auditing Fees. With permission of the instructor, students registered for a full course program (two courses) may audit one non-laboratory course except a physical education and dance activity course, a studio art course, an applied music course, and foreign programs. No extra charge is made. Students carrying less than a full course program may be granted permission by the instructor to audit a course (the above exceptions apply) but must pay $225 for the course if it is in Arts and Sciences. Professional school course audit policies may differ. Payment of Tuition and Fees. The Office of the Bursar will mail bills in May, June, July, and August to current Duke students enrolled for Summer Session. The bill due date will be two weeks from the date of the bill. Students will also be able to view their bills on the web. Problems meeting these deadlines should be discussed with the Office of the Bursar prior to the start of the term. Failure to meet deadlines may have implications for fall enrollment. The Summer Session Office will enclose a statement of charges with the confirmation of registration letter sent to all visiting students, Duke graduates, and incoming Duke first-year students. Payment for Term I charges will be due on or before Thursday, May 3, 2007. Payment for Term II charges will be due on or before Monday, June 18, 2007. If payment is not received by these dates, registration will be cancelled. Summer Session retains the right to withdraw students from classes if they never attend, have not paid tuition and fees, or if they have failed to clear with the bursar, by Tuition and Fees 109 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 45 of 53 EXHIBIT 7 Page 45 of 52 the end of the drop/add period. Those withdrawn for these reasons will be billed the health fee and an administrative withdrawal fee of $150 per course. Attendance in classes after the first three days of the term obligates the student for the full tuition and fees for the course. Students who, subsequent to withdrawal, clear with the Office of the Bursar may, with written permission of their academic dean, be reinstated in their classes as originally registered and receive regular grades. The administrative withdrawal fee will stand and the student will be liable for full tuition and fees. Transcripts. Requests for transcripts of academic records can be made via ACES, Duke’s online student records system. Transcripts requested via ACES will be mailed the next business day. (See University Registrar’s web page, http://registrar.duke.edu, for access to ACES.) Former students who do not have access to ACES may request transcripts by submitting a signed request directly to the Office of the University Registrar, in person, by mail, or by fax. E-mail requests are not accepted. Transcripts may be withheld for outstanding financial obligations. Duke Employees. With the permission of their supervisors, employees may, through the Office of Continuing Studies and Summer Session, take up to two courses for credit or audit during any one semester or one during a summer term. A formal application for credit course work must be submitted by August 1 for the fall semester, December 1 for the spring semester, April 15 for Term I of Summer Session, or June 1 for Term II of Summer Session. Only employees desiring to continue in the fall semester should apply for admission during the summer. Employees desiring to take a course for credit only during the summer should complete the Summer Session application/registration form. Many employees may be eligible to receive an Employee Tuition Benefit to enroll in regular university classes. Employees with at least two years of continuous service may be eligible to receive an Employee Tuition Benefit to enroll in regular university classes for academic credit. The Employee Tuition Assistance Program provides reimbursement of tuition for a maximum of two classes per semester (limit six semester classes per calendar year) up to $5,000 per calendar year for full-time employees. The employee's work supervisor must confirm the coursework is directly related to the individual's work assignment or future career development at Duke. For additional information and an application to participate in the Tuition Assistance Program, consult http:// www.hr.duke.edu/benefits/education/tuition_assistance.html. Staff members of Continuing Studies and Summer Session are available to advise Duke employees on educational matters (919) 684-2621. Living Expenses* Housing for Fall and Spring. In residence halls for undergraduate students the housing fee for a single room ranges from $6,800 to $8,180 for the academic year; for a double room, the fee ranges from $5,150 to $6,190; for a triple room, the fee ranges from $4,590 to $5,530 per occupant. Apartment rates for upperclass students range from $4,810 to $6,000 per occupant. Detailed information concerning the student's obligations under the housing license and the consequences of failure to comply are published in the Bulletin of Duke University: Information and Regulations. Housing for Summer. For detailed information on types and costs of accommodations available at Duke University for the Summer Session contact: housing@studentaffairs.duke.edu, (919) 684-4304. Web site: http://rlhs.studentaffairs.duke.edu. * The figures contained in this section are projections and are subject to change prior to the beginning of the Fall 2008 semester. 110 Financial Information Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 46 of 53 EXHIBIT 7 Page 46 of 52 Food and Other Expenses. Duke Dining Services and Duke University Stores operations are located on campus to serve the needs of the Duke community. The university identification card, known as the DukeCard, can be used to gain access to prepaid accounts and make purchases in many Duke University facilities. The first-year student dining program includes twelve prepaid meals per week at The Marketplace at East Union; plus dining plan debit account ''points'' for use at any dining location on campus, three convenience stores, concessions at athletic events, sodas and snacks from vending machines, and late night pizza and sub delivery from approved local on campus vendors. The cost of the First Year Plan is $1,895 per semester for the twelve-meal plan plus one of three ''points'' plans (Plan G-I) which range from $335 to $415. Participation in the First Year Plan is required of all first-year students who reside on East Campus. Upperclass students who live in the residence halls are required to participate in one of five dining plan debit accounts which allows access to all dining locations. The five plan levels (Plan A - Plan E) range from $1,560 to $2,395 per semester. Upper class students who live in Central Campus apartments are also required to participate in the dining plan, but may choose to do so at the lower minimum requirement of Plan J ($1,120 per semester). Nonresident students are not required to participate in the dining plan; however, Plan F at a cost of $545 per semester is offered as an option. An optional summer dining plan is provided in three plan levels ranging from $255 to $815 per summer term. Students may also purchase a Flexible Spending Account (FLEX) which can be used to purchase any goods or services from Dining Services, Duke Stores, and other campus operations. FLEX is optional and may be opened with a minimum balance of $25. Additional funds may be deposited to either the FLEX or dining plan debit account at anytime. Information regarding these accounts is sent to matriculating students. For more information about campus retail and food facilities, see the chapter “Campus Life and Activities” in this bulletin. Fall and Spring Refunds In the case of withdrawal from the university, students or their parents may elect to have tuition refunded or carried forward as a credit for later study according to the following schedule: Withdrawal Before classes begin During first or second week During third, fourth, or fifth week During sixth week After sixth week Refund Full Amount 80 percent 60 percent 20 percent None Tuition charges paid from grants or loans will be restored to those funds on the same pro rata basis and will not be refunded or carried forward. In the event of death, a full tuition, fees, and residence hall refund will be granted. In case of a call to military service, a full semester's tuition, full purchase price of textbooks from the university's book store, and the pro rata amount of the room charge will be refunded. The outstanding balance of the food service plan will be refunded in case of military service or death. In the case of dropping special fee courses (e.g., music, art, golf), or of part-time students dropping audit courses, a full refund will be granted students during the drop-add period. Students changing status to part-time are required to request permission at the time of preregistration; therefore, no refunds are granted during the drop/add period or subsequently for changes which involve carrying less than a full-time load. Fall and Spring Refunds 111 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 47 of 53 EXHIBIT 7 Page 47 of 52 Because Duke University participates in the Title IV federal aid programs, it follows federal guidelines with respect to the refund and repayment of these funds. All first-time students who withdraw within 60 percent of the enrollment period will have their charges and financial aid adjusted according to the federal regulations. Additional information regarding this procedure may be obtained from the Office of Financial Aid. Summer Administrative Withdrawal Charges and Refunds* Drop or Administrative Withdrawal Charges. Students who will not be attending a summer term or course for which they have registered must officially drop the course(s) prior to the beginning of the term whether or not they have paid tuition and fees. (See the section on course changes for the summer term in the chapter''Academic Procedures and Information.'') Students who fail to drop the course(s) prior to the beginning of the term will be charged $150 per course. Refunds (Except Study Abroad Programs). Students who will not be attending a summer term or course for which tuition and fees have been paid are eligible for refunds following these policies: 1. There is a financial obligation of full tuition and fees if the student withdraws from a course(s) or withdraws from the term after the third day. 2. There is a financial obligation of $150 per course if the student officially drops a course(s) or withdraws from the term during the first three days. The health fee is not refunded. (There is no charge for drop/adds that result in no change in course load in the same term.) 3. Full tuition and fees are refunded if the student officially drops a course(s) or withdraws from the term before the first day. Student Aid Duke University is strongly committed to its financial aid program and, for the four years of undergraduate enrollment, will meet 100 percent of the demonstrated need of each eligible admitted U.S. citizen or eligible non-citizen. The university's aid program includes both merit and need-based scholarships, work-study, the Federal Pell Grant Program, the Federal Perkins Loan, and the Federal Stafford Student Loan Program. Admissions decisions are made without reference to a student's application for aid, and students needing assistance are strongly encouraged to apply for financial aid at the same time as for admission. Students awarded financial aid will be notified at the same time they are offered admission. For the student with demonstrated need, the net cost of an education at Duke University will generally be no greater than that for attendance at any private college or university. It is the intention of the Office of Undergraduate Financial Aid to set each award at a level consistent with a family's ability to meet the costs of attending Duke University. This will be done by taking into consideration the contribution that can reasonably be expected from the student and the family. During the current academic year, over 43 percent of the student body receives more than sixty million dollars in aid of various types. Additional information is available on the university’s financial aid Web site at http://dukefinancialaid.duke.edu. Financial Aid for Entering Freshmen. Candidates should initiate their application for financial aid concurrently with their application for admission. Instructions outlining the specific requirements and deadline dates will accompany application materials. To receive institutional funds, two forms must be submitted, the Free Application for Federal Student Aid (FAFSA) to the federal processor and the PROFILE application to the College Scholarship Service (CSS). Students applying for federal loans and grants and not Duke * This policy does not apply to study abroad program students. 112 Financial Information Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 48 of 53 EXHIBIT 7 Page 48 of 52 University aid need to complete only the FAFSA. If a student’s parents are divorced or separated, the custodial parent must submit the PROFILE and FAFSA. The noncustodial parent must submit the CSS Non-Custodial Profile Application. The College Scholarship Service will be collecting the noncustodial parent’s information through an online process; details will be emailed to applicants by CSS immediately following receipt of the PROFILE application. Students will be asked to submit copies of their and their parents’ Federal Income Tax Returns from the most recent year (all schedules and W2s must be included). If tax returns for the most recent year are not available at the time of application, we will accept a copy of the prior year’s return to do an estimated aid award. Early Decision applicants must submit copies of their tax information directly to the Undergraduate Financial Aid Office. Regular Decision applicants are required to submit their tax information directly to the College Board for processing by their Institutional Documentation Service (IDOC). Students will receive information from the College Board about about the IDOC process. Students’ tax information will be sent to Duke electronically by the College Board. Renewal of Financial Aid after the Freshman Year. Each year students must file an application for renewal of financial aid. This application must include a new PROFILE form, a new Free Application for Federal Student Aid, a Noncustodial Parent’s Statement, if appropriate, and a copy of all pages, including schedules and attachments, of the parents' and student's current federal income tax return. Application materials can be completed online after January 1st. The deadline for the receipt of all application materials by the Financial Aid Office is May 1.Failure to meet this deadline will affect the type and amount of aid offered. All qualified students may receive need-based aid for up to eight semesters. To have financial aid renewed, a student must meet the continuation requirements outlined in the chapter "Academic Procedures and Information," as appropriate. Students not qualifying for financial aid due to their inability to meet these requirements may appeal directly to the Financial Aid Office. Students holding merit scholarships are required to maintain an average considerably higher than the minimum required for need-based financial aid recipients. Specific details regarding retention standards will be provided to scholarship winners. Summer School Financial Aid. Financial aid is available for each summer session. A student may choose to attend two summer sessions as part of their ninth semester of aid eligibility. Interested students can obtain specific details as to available funding and an application through the Financial Aid Office in March of each year. TYPES OF FINANCIAL AID Gift scholarships or grants, long-term loans, and employment are integral parts of the financial aid program, and some portion of the aid offered an undergraduate is normally in each of these forms. The work-study opportunity and loan(s) offered as financial aid are considered to be the self-help portion of the award. The standard aid package at Duke provides that the first $3,000 to $8,100 of each student's need be awarded in the form of self-help funds. Funds awarded in excess of this amount will generally be grant funds. This combination of university grant funds and opportunities for self-help enables Duke to extend its resources to a larger number of deserving students. Duke has a number of scholarships based on merit which are available from personal endowments and corporations. Most are intended for entering freshmen and require no separate application. These scholarships may be based on achievement in a particular field or on an outstanding overall record. Gift Scholarships. The following are among the named gift scholarships offered through Duke University. Where specified, these scholarships are renewable for four (4) years of undergraduate study for those students meeting the following academic standards: Student Aid 113 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 49 of 53 EXHIBIT 7 Page 49 of 52 Renewable merit scholarships will be continued for freshmen who complete the first year of studies with a 2.8 average or higher. Upperclass students must complete each academic year with a 3.0 average or higher. Students failing to meet the required average will be put "on review." Thereafter, students on review must receive a 3.0 average each semester to keep the scholarship or fellowship. If a scholar is ineligible to return to Duke for academic reasons, or is dismissed for disciplinary reasons, he or she will lose the scholarship. Angier B. Duke Memorial Scholarships. The Angier B. Duke Memorial Scholarships, competitively awarded on the basis of academic merit, have been established to encourage the intellectual achievement of men and women by recognizing those who possess outstanding academic and leadership abilities. Candidates are selected on the basis of intellectual performance, creative talent, and promise of being eventual leaders in whatever field of endeavor they choose. The scholarship is a four-year program (eight semesters), and a student's continuation in the program is contingent upon good academic performance. All 2001-2002 freshman scholarship holders received full tuition if enrolled in Trinity College of Arts and Sciences or the Pratt School of Engineering. Students demonstrating additional need will receive a grant from Duke University funds up to the amount needed. All Angier B. Duke Scholars are eligible to participate in a six-week summer study program at Oxford University in England. Under the Oxford program the scholarship pays tuition, single room accommodation, full board, designated excursions for all scholars, and an allowance for transatlantic air fare. Those choosing not to participate in the Oxford program are eligible for a $2,000 grant for an approved independent project. At least one of the four years of the scholarship could be used abroad on an approved program. Robertson Scholars. This history-making undergraduate scholarship program, created and funded by visionary alumnus Julian Robertson and his wife Josie, will select its first class of approximately thirty undergraduate scholars in Spring 2001. Half of these scholars will matriculate at the University of North Carolina (UNC)-Chapel Hill, and half at Duke University. All will exhibit exceptional leadership potential, commitment to public service, and proven interest in the diversity of peoples and cultures both within the United States and beyond its borders. The program is designed so that every Robertson Scholar will have dynamic intellectual homes at two superb universities—Duke and UNC-Chapel Hill. Robertson scholars will receive full tuition, room, and living stipends at UNC-Chapel Hill or full tuition at Duke, summer community-building and enrichment opportunities in the United States and abroad, support for research and related travel, and a top-of-the-line laptop computer. The University Scholars Program. The University Scholars Program is an interdisciplinary, intergenerational community of undergraduate, graduate, and professional school scholars. Undergraduate University Scholars are exceptional students who have also demonstrated, through official financial-aid applications, that they need scholarship support to achieve their academic ambitions. Undergraduate University Scholars receive a full-tuition scholarship, assistance for additional demonstrated need, and support for a summer abroad or research project. There is no separate application; interested Duke applicants are urged to file all financial-aid forms as early as possible. W. N. Reynolds Memorial Scholarships. Recipients of these awards are students with outstanding ability and/or need who show promise of constructive leadership. In considering candidates for the awards, consideration will be given in the following order: (1) children of employees of R. J. Reynolds Tobacco Company or any of its affiliates or subsidiaries; (2) children of families residing in Forsyth County, North Carolina; and (3) other candidates who are residents or natives of North Carolina. There are a number of awards available for each freshman class with a minimum value of $500. Lionel Hampton Scholarship. This award of $500 (not renewable) is given to an incoming freshman who demonstrates high proficiency in a musical instrument and strong potential in jazz performance. United Methodist Scholarships. A number of United Methodist Scholarships are available on a basis of demonstrated need to Methodist students who have given evidence of leadership in their local Methodist Youth Fellowship groups. Alice M. Baldwin Scholarships. One or more of these scholarships, varying in amount from $500 to $2,500, are awarded to women who are rising seniors in Trinity College of Arts and Sciences on the basis of scholarship, character, leadership, and need. Panhellenic Scholarship. A scholarship of approximately $1,000 is awarded to an upperclass woman in Trinity College of Arts and Sciences on the basis of scholarship, character, leadership, service, and need J. A. Jones Memorial Scholarships. These scholarships, sponsored through the Jones Fund for Engineering, are awarded to engineering students whose outstanding academic and personal qualifications suggest that they will become leaders in a technological society. The awards may be up to $8,000 based on merit criteria set by the School of Engineering and financial need. 114 Financial Information Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 50 of 53 EXHIBIT 7 Page 50 of 52 Robert H. Pinnix Scholarships. The Robert H. Pinnix Scholarships are awarded annually to two upperclassmen enrolled in the Pratt School of Engineering. The award is based upon demonstrated ability, excellence in engineering, and financial need. Richard Miles Thompson Scholarships. The Richard Miles Thompson Scholarships are awarded annually to two upperclass students enrolled in the Pratt School of Engineering. The awards are based upon academic merit and demonstrated financial need. The Mary Duke Biddle Scholarship in Music Composition. This scholarship with a stipend of up to $3,500 per year is available to a member of each entering class. It is renewable annually as long as the student meets the required standards for renewal. Students wishing to apply for this award will be required to submit examples of their composition. Eligibility is limited to students planning to major in music. The William O'Connor Memorial Scholarship. This music scholarship of up to $2,500, established by the Mary Duke Biddle Foundation in honor of William O'Connor and in appreciation for his many years of service to the foundation, is awarded to student of a string instrument or organ. Air Force ROTC College Scholarship Program. Students can apply for three-year scholarships during their freshman year and two-year scholarships during their sophomore year. Scholarships are available to qualified students who major in most fields, primarily scientific or engineering. The scholarships range from $15,000 up to full tuition, fees, and textbook reimbursement, and a monthly tax-free allotment. Army ROTC Scholarship Program. All Duke students are eligible to apply for Army ROTC scholarships equal to full tuition. Awarded without regard to academic major, these grants pay a portion of tuition, fees, and textbook/equipment allowance of $900 in addition to providing a tax-free monthly stipend of $300500 per month for 10 months. Nonscholarship Advanced Course cadets also receive the $250-400 monthly stipend. Commissioned service, following graduation, can be either on active duty or with the reserve forces as determined by the Secretary of the Army. High school seniors must apply not later than November 1 of their senior year. Current Duke students can apply at any time. Additional information concerning Army ROTC scholarships is available from the professor of military science. Navy ROTC College Scholarship Program. This program provides for up to four years' tuition and textbooks, laboratory fees, and a monthly stipend. These scholarships, based upon academic achievement, leadership potential, and overall performance, can be awarded at any stage of the student's college career through either a nationwide selection process or by the professor of naval science at the university. In addition, two other two-year scholarships are available to rising juniors: one leads to a career in nuclear power, and the other follows a summer attendance at the Naval Science Institute at Newport, Rhode Island. For further information on any of the above scholarship programs, contact the professor of naval science, (919) 660-3700. Reginaldo Howard Scholarships. These scholarships, awarded annually to freshman African-American students, are provided to honor the late Reggie Howard, first black president of the student government. Five scholarships equal to full tuition are awarded each year. Scholarships are available for the four years of undergraduate study as long as the student maintains the academic average specified for renewal. The Anne McDougall Memorial Award. The Anne McDougall Memorial Award for Women is awarded each year to one woman student studying psychology or a related field. Administered through women's studies, this $1,000 award is intended to provide encouragement and support for women who wish to pursue academic study and continue in the area of human service. The Janet B. Chiang Memorial Scholarship Fund. This fund was created by the family and friends of Janet B. Chiang. An award is made annually to a student who has demonstrated strong leadership qualities and a strong interest in his or her Asian cultural heritage. Emma A. Sheafer Drama Scholarships. These scholarships are awarded to talented prospective drama students who would not be able to attend Duke University without financial assistance. Awards shall be made to a single individual or to several qualified students in need, with first preference to students from the New York metropolitan area. Awards range from $1,000 to $5,000. Interested incoming students should apply to the director of the program. The Steven and Toby Korman Drama Scholarships. The scholarship shall be awarded annually to a student(s) with demonstrated need who has demonstrated exceptional talent and ability in the field. Awards range from $1,000 to $5,000.Interested students should apply to the director of the program. Kohler Scholarships in Drama. Several awards each year ranging from $250 to $1,000 are given to needy students active in the Drama Program. Interested students should apply to the director of the program. The Beth Gotham Semans Drama Scholarships. These awards are made annually to currently enrolled undergraduate students who have been and continue to be active in drama, with preference given to African American and other minority students. Applicants need not be drama majors but must have demonstrated need and demonstrate significant involvement in dramatic activities. Awards range from $1,000 to $2,500; decisions are made by a special committee appointed by the Drama Program. Student Aid 115 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 51 of 53 EXHIBIT 7 Page 51 of 52 Dasha Epstein Scholarship in Playwriting. This scholarship is awarded to students interested in playwriting. The recipient of this award is chosen by a faculty committee from among applicants to Duke who qualify for financial aid. The Roger Alan Opel Memorial Scholarship. A grant is awarded annually to a Duke student who will spend a year of undergraduate study at a British university. The student is selected on the basis of intellectual curiosity, academic ability, and financial need. The award was established by the parents of Roger Alan Opel, a senior at Duke University who was killed in November, 1971. Alumni Endowed Scholarships. Three $10,000 per year Alumni Endowed Undergraduate Scholarships are awarded to needy students who demonstrate superior academic ability and leadership potential. These awards are renewable annually for those meeting the stated requirements. Although not restrictive, preference is given to children of alumni. Scholarships for Carolina Residents The Benjamin N. Duke Leadership Award. As part of the Benjamin N. Duke Scholarship Fund, these awards recognize and encourage leadership potential and community involvement of students from North and South Carolina. Ten scholarships, valued at full tuition, are awarded annually. Trinity Scholarships. Awarded to North Carolinians of exceptional ability, these scholarships are named to honor the fact that Duke University was originally named Trinity College. Trinity scholarships provide each winner an award equal to the value of tuition, fees, room, board, and the cost of a summer program. Carolinas Honors Scholarships. Carolinas Honors Scholarships, worth $5,000 each, are awarded each year to fifteen outstanding students from North or South Carolina who demonstrate financial need. The scholarships are applied toward the loan and work-study portion of the financial aid package and are renewable for four years. North Carolina Math Contest. Upon enrolling at Duke, the top student finishing in the top ten in the North Carolina Math Contest taken as a high school senior is eligible to receive a scholarship equal to the amount of tuition. This scholarship is available for each of the four years of undergraduate enrollment as long as the student maintains the specified average. Winners must have applied to and been accepted by Duke University. The Perry Family Scholarship. Awarded to students from Winston-Salem and the Forsyth County area, this scholarship, valued at $5,000, is awarded every other year. Recipients of the scholarship will be required to demonstrate high academic achievement as well as leadership and/or involvement in extracurricular activities. The scholarship is available for four years if the student meets the specified academic requirements. J. Welch Harriss Scholarships. Recipients of these scholarships will receive up to demonstrated need levels based on merit criteria. These awards are made to entering freshmen who have achieved outstanding academic records. They are renewable each year as long as the student maintains the required average. Consideration will be given in the following order: (1) students from High Point, North Carolina; (2) students from Guilford County, North Carolina; and (3) students from North Carolina. (Recipients are chosen by the Office of Undergraduate Admissions at the time of application.) Alyse Smith Cooper Scholarships. Each year scholarships of various amounts are awarded to students demonstrating both merit and need. Preference is given to students from Alamance County, North Carolina. Braxton Craven Endowed Scholarships. Recipients of these scholarships will receive an amount equal to the current tuition at Duke. Braxton Craven scholars will be chosen on the basis of outstanding academic and extracurricular achievement and need. First preference is given to students from North Carolina. The scholarships are renewable, provided that the recipient complies with the specified academic requirements. The John M. and Sally V. Blalock Beard Scholarship. These scholarships are awarded annually to outstanding students from the Wake County area of North Carolina who major in English or the history of the United States. These awards are based on financial need, scholarship, character, and academic achievement. North Carolina Legislative Tuition Grant. The North Carolina General Assembly has established a program of tuition grants available to North Carolina residents who are full-time students at private colleges and universities in the state of North Carolina. The grant for each eligible student is approximately $1,700 per year. Applications will be mailed to all eligible students during the summer. In the case of a need-based financial aid recipient, this grant reduces a student's tuition and therefore his budget. All qualified need-based aid recipients are required to apply for this grant. State Contractual Scholarships for Needy North Carolinians. Funds provided by the state of North Carolina through the Legislative Grant Program are distributed to needy North Carolinians qualifying for the State Contractual Scholarship Program. Application is made through the College Scholarship Service's PROFILE. 116 Financial Information Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 52 of 53 EXHIBIT 7 Page 52 of 52 Loans. The loan programs which are available to students through Duke University are listed below: Federal Perkins Loan. Loan funds supplied by the federal government and Duke University through Part E of Title IV of the Higher Education Act of 1965 are available to qualified students. Repayment of loans under this act normally begins six months after the student has graduated or leaves college, with complete payment scheduled within a ten-year period. Interest accrues at the rate of 5 percent annually, commencing six months after the borrower ceases to be at least a half-time student at an institution of higher education. This loan is part of the student's financial aid award. Federal Stafford Student Loan Program. Loans under the Federal Stafford Student Loan program are available from banks or other incorporated state lending agencies. Duke University can arrange an alternate lender for students who are unable to obtain these loans through their home state agencies or local banks. Need as established by the federal government's formula will be considered in the university's decision regarding applications. The annual limit on a loan, which has a variable interest rate that is capped at 6.5 percent, is $3,500 for freshmen, $4,500 for sophomores, and $5,500 for juniors and seniors. Repayment begins six months after the student leaves school. Students may apply for Stafford loan funds by submitting a loan application directly to the External Loan Aid Office. In addition, loan applicants must submit the Free Application for Federal Student Aid to the federal processor. Additional information about this loan program may be obtained from the Undergraduate Financial Aid Office. Federal Parents' Loan for Undergraduate Students Program. Parents may borrow up to the cost of education less financial aid through the Federal Parent Loan for Undergraduate Students (PLUS) program. Repayment of these loans begins sixty days after loan disbursement. Interest is based upon treasury bill rates but will be no higher than 8.5 percent and begins to accrue at the point repayment begins. Interested parents should contact their home state lending agency or the financial aid office. Federal Unsubsidized Stafford Loan Program. All undergraduate students, regardless of need, are eligible to borrow an Unsubsidized Stafford Loan. The loan limits and the interest rate are the same as for the subsidized Stafford Loan described above. Although repayment of the principal begins six months after the student leaves school, interest payments begin 45 days after the first disbursement of the loan. Duke Signature Select Loan is an alternative educational loan program developed specifically to help students meet the costs of higher education. Students with a credit worthy co-signer may borrow up to $15,000. Principal and interest payments can be deferred until after the completion of the borrower’s education. For more information consult the External Loan Office. Excel Loans. "Excel" is a supplemental educational loan program developed specifically to help families meet the costs of higher education. Credit-worthy families, regardless of income, may be eligible to borrow through this program. Annual loan amounts range from $2,000 to up to the cost of education less financial aid. The interest rate is variable, and Share offers several repayment options. For information call 1-800-EDU-LOAN. Tuition Plans. Many families finance a college education with the assistance of an insured tuition payment plan regardless of whether they receive financial assistance from Duke. The university is pleased to offer a twelve-month payment plan through Tuition Management Systems. More information can be obtained from the bursar’s office. Employment. Most financial aid recipients are offered a job as part of their aid package. The money is paid directly to the student. The Office of Undergraduate Financial Aid maintains part-time employment listings for the campus and Durham area. All students interested in working during the school year should review the jobs listing in the career counseling section of the Duke Home Page (www.duke.edu). Every effort will be made to help students find jobs consistent with their interests. Duke University also expects that students receiving financial aid will work during the summer. In the year before entering college, a freshman should save a minimum of $1,900 for use during the first year of college. In subsequent years, minimum student earnings will be $2,200 for sophomores, $2,300 for juniors, and $2,400 for seniors. These figures are viewed as estimates and are revised consistent with actual earnings. Duke University offers subsidized employment opportunities to many students not qualifying for need-based financial aid. Interested students should submit the appropriate aid applications. Student Aid 117 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-8 Filed have been extracted. Page 53 of 53 EXHIBIT 8 ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. Case 1:08-cv-00502 Document 1-9 Filed 07/23/2008 Page 1 of 28 2007-08 NCAA® DIVISION I MANUAL EXHIBIT 8 Page 1 of 27 MANUAL Page 2 of 28 Constitution Operating Bylaws Administrative Bylaws Effective August 1, 2007 ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. led 07/23/2008 EXHIBIT 8 Page 2 of 27 THE NATIONAL COLLEGIATE ATHLETIC ASSOCIATION P.O. Box 6222 Indianapolis, Indiana 46206-6222 317/917-6222 www.ncaa.org July 2007 [ISSN 1093-3174] Text Prepared By: NCAA Membership Services Staff. Production By: NCAA Membership Services Staff. This publication incorporates the final legislative actions taken by the Division I Board of Directors from August 1, 2006, through the Board’s April 26, 2007, meeting. In addition, interpretations incorporated by the Legislative Review/Interpretations Committee are included in the Manual. Legislation approved by the Board of Directors, interpretations incorporated by the Legislative Review/Interpretations Committee, modifications of wording and editorial revisions are set off by a gray background and also include an adoption or revision date. Readers seeking the legislative history of a given provision (earlier dates of adoption or revision) should consult the appropriate paragraphs in the 1988-89 NCAA Manual or the NCAA membership services staff. Distributed to: directors of athletics; faculty athletics representatives; senior woman administrators; presidents or chancellors; conference commissioners; compliance officers; and provisional, affiliated and corresponding members. NCAA, NCAA logo and National Collegiate Athletic Association are registered marks of the Association, and use in any manner is prohibited unless prior approval is obtained from the Association. ©2007 by the National Collegiate Athletic Association ii Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. 1:08-cv-00502 Document 1-9 Filed 07/23/2008 Page 3 of 28 EXHIBIT 8 Page 3 of 27 Table of Contents TaBle Of fIgureS ...............................................................vI uSer’S guIDe ........................................................................... vII COnSTITuTIOn article 1 name, Purposes and fundamental Policy 1.1 Name ....................................................................... 1 1.2 Purposes.................................................................. 1 1.3 Fundamental Policy ........................................... 1 article 2 Principles for Conduct of Intercollegiate athletics 2.01 General Principle ................................................ 3 2.1 The Principle of Institutional Control and Responsibility ......................................... 3 2.2 The Principle of Student-Athlete WellBeing ................................................................. 3 2.3 The Principle of Gender Equity ...................... 4 2.4 The Principle of Sportsmanship and Ethical Conduct ............................................. 4 2.5 The Principle of Sound Academic Standards ......................................................... 4 2.6 The Principle of Nondiscrimination ............ 4 2.7 The Principle of Diversity within Governance Structures ............................... 4 2.8 The Principle of Rules Compliance ............... 4 2.9 The Principle of Amateurism ......................... 4 2.10 The Principle of Competitive EquIty ........... 5 2.11 The Principle Governing Recruiting ............ 5 2.12 The Principle Governing Eligibility .............. 5 2.13 The Principle Governing Financial Aid ....... 5 2.14 The Principle Governing Playing and Practice Seasons ............................................ 5 2.15 The Principle Governing Postseason Competition and Contests Sponsored by Noncollegiate Organizations .............. 5 2.16 The Principle Governing the Economy of Athletics Program Operation .............. 5 article 3 nCaa Membership 3.01 General Principles ............................................... 7 3.02 Definitions and Applications .......................... 7 3.1 Eligibility for Membership ............................... 8 3.2 Active Membership ............................................ 8 3.3 Member Conference ........................................12 3.4 Affiliated Membership ....................................14 3.5 Corresponding Membership ........................14 3.6 Provisional Membership ................................15 3.7 Dues of Members ..............................................16 article 4 Organization 4.01 General Principles .............................................17 4.02 Definitions and Applications ........................18 4.1 Executive Committee ......................................18 4.2 Division I Board of Directors .........................19 4.5 Division I Management Council ..................22 4.8 Committees/Cabinets ...................................25 article 5 legislative authority and Process 5.01 General Principles .............................................29 5.02 Definitions and Applications ........................29 Conventions and Meetings ...........................29 Elements of Legislation ..................................32 Amendment Process .......................................33 Other Legislative and Amendment Procedures .....................................................39 article 6 Institutional Control 6.01 General Principle ...............................................43 6.1 Institutional Governance ...............................43 6.2 Budgetary Control ............................................44 6.3 Self-Study and Evaluation ..............................44 6.4 Responsibility for Actions of Outside Entities .............................................................44 6.5 Financial Disclosure .........................................45 5.1 5.2 5.3 5.4 OPeraTIng BylaWS article 10 ethical Conduct 10.01 General Principles .............................................47 10.02 Definitions and Applications. ......................47 10.1 Unethical Conduct ...........................................47 10.2 Knowledge of Use of Banned Drugs ..........48 10.3 Sports Wagering Activities .............................48 10.3 Gambling Activities ..........................................48 10.4 Disciplinary Action ...........................................48 article 11 Conduct and employment of athletics Personnel 11.01 Definitions and Applications ........................49 11.1 Conduct of Athletics Personnel ...................50 11.2 Contractual Agreements ................................51 11.3 Limitations on Compensation and Remuneration ...............................................51 11.4 Employment of High School or TwoYear College Coaches .................................52 11.5 Certification to Recruit Off Campus ...........52 11.6 Limitations on Scouting of Opponents ....52 11.7 Limitations on the Number and Duties of Coaches ......................................................53 article 12 amateurism 12.01 General Principles .............................................61 12.02 Definitions and Applications ........................61 12.1 General Regulations ........................................62 12.2 Involvement with Professional Teams .......66 12.3 Use of Agents .....................................................68 12.4 Employment .......................................................69 12.5 Promotional Activities .....................................70 12.6 Financial Donations from Outside Organizations ................................................75 article 13 recruiting 13.01 General Principles .............................................77 13.02 Definitions and Applications ........................78 13.1 Contacts and Evaluations ..............................81 13.2 Offers and Inducements .................................96 13.3 Admissions and Graduation Data, Banned Drug List and InitialEligibility Standards ....................................98 13.4 Recruiting Materials .........................................98 13.5 Transportation ................................................ 102 13.6 Official (Paid) visit .......................................... 103 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. 1:08-cv-00502 Document 1-9 Filed 07/23/2008 Page iii 4 of 28 EXHIBIT 8 Page 4 of 27 Unofficial (Nonpaid) visit ............................ 109 Entertainment, Reimbursement and Employment of High School/CollegePreparatory School/Two-Year College Coaches ........................................................ 111 13.9 Letter-of-Intent Programs, Financial Aid Agreements ................................................ 112 13.10 Publicity ............................................................. 113 13.11 Tryouts ............................................................... 114 13.12 Sports Camps and Clinics ........................... 118 13.13 High School All-Star Games ....................... 122 13.14 Use of Recruiting Funds ............................... 122 13.15 Precollege Expenses ..................................... 122 13.16 U.S. Service Academy Exceptions ............ 124 article 14 eligibility: academic and general requirements 14.01 General Principles .......................................... 125 14.02 Definitions and Applications ..................... 126 14.1 General Eligibility Requirements .............. 127 14.2 Seasons of Competition: Five-Year Rule 133 14.3 Freshman Academic Requirements ........ 140 14.4 Progress Toward Degree Requirements 147 14.5 Transfer Regulations ..................................... 154 14.6 High School All-Star Games, Effects on Eligibility ...................................................... 163 14.7 Outside Competition, Effects on Eligibility ...................................................... 163 14.8 Additional Waivers for Eligibility Requirements ............................................. 165 14.9 U.S. Service Academy Exceptions, Special Eligibility Provisions .................. 165 14.10 Certification of Eligibility ............................. 166 14.11 Ineligibility ....................................................... 166 14.12 Restoration of Eligibility .............................. 166 article 15 financial aid 15.01 General Principles .......................................... 175 15.02 Definitions and Applications ..................... 176 15.1 Maximum Limit on Financial Aid— Individual ..................................................... 178 15.2 Elements of Financial Aid ............................ 178 15.3 Terms and Conditions of Awarding Institutional Financial Aid ...................... 184 15.5 Maximum Institutional Grant-In-Aid Limitations by Sport ................................ 187 article 16 awards, Benefits and expenses for enrolled Student-athletes 16.01 General Principles .......................................... 199 16.02 Definitions and Applications ..................... 199 16.1 Awards ............................................................... 199 16.2 Complimentary Admissions and Ticket Benefits ............................................ 201 16.3 Academic and Other Support Services .. 202 16.4 Medical Expenses .......................................... 203 16.5 Housing and Meals ........................................ 203 16.6 Expenses for Student-Athlete’s Friends and Relatives .............................................. 205 16.7 Team Entertainment ..................................... 206 16.8 Expenses Provided by the Institution for Practice and Competition ....................... 206 16.9 Other Travel Expenses Provided by the Institution .................................................... 209 16.10 Provision of Expenses by Individuals or Organizations Other Than the Institution .................................................... 209 13.7 13.8 16.11 Benefits, Gifts and Services ........................ 211 16.12 Expense Waivers ............................................. 213 article 17 Playing and Practice Seasons 17.01 General Principles .......................................... 217 17.02 Definitions and Applications ..................... 217 17.1 General Playing-Season Regulations ...... 220 17.2 Archery, Women’s .......................................... 226 17.3 Badminton, Women’s .................................... 228 17.4 Baseball ............................................................. 229 17.5 Basketball ......................................................... 232 17.6 Bowling, Women’s .......................................... 235 17.7 Cross Country .................................................. 237 17.8 Equestrian, Women’s ..................................... 239 17.9 Fencing .............................................................. 241 17.10 Field Hockey .................................................... 243 17.11 Football ............................................................. 246 17.12 Golf ...................................................................... 252 17.13 Gymnastics ....................................................... 254 17.14 Ice Hockey ........................................................ 256 17.15 Lacrosse ............................................................. 258 17.16 Rifle ..................................................................... 260 17.17 Rowing, Women’s ........................................... 262 17.18 Rugby, Women’s ............................................. 264 17.19 Skiing .................................................................. 266 17.20 Soccer ................................................................. 268 17.21 Softball .............................................................. 270 17.22 Squash, Women’s ........................................... 273 17.23 Swimming and Diving ................................. 275 17.24 Synchronized Swimming, Women’s ........ 277 17.25 Team Handball, Women’s ............................ 278 17.26 Tennis ................................................................. 280 17.27 Track and Field, Indoor/Outdoor .............. 283 17.28 volleyball .......................................................... 285 17.29 Water Polo ........................................................ 288 17.30 Wrestling ........................................................... 290 17.31 Exceptions for Member Institutions Located In Alaska, Hawaii and Puerto Rico ................................................................ 292 17.32 Foreign Tours ................................................... 293 17.33 Playing Rules ................................................... 293 article 18 Championships and Postseason football 18.01 General Principles .......................................... 295 18.02 Definitions and Applications ..................... 295 18.1 Regulations and Authority for Conduct of Championships .................................... 295 18.2 Criteria for Establishment or Continuation of Championships ......... 296 18.3 Current Championships .............................. 297 18.4 Eligibility for Championships .................... 298 18.5 Automatic Qualification by Conference 300 18.6 Playing Rules for Championships ............ 300 18.7 Postseason Football ...................................... 300 article 19 enforcement 19.01 General Principles .......................................... 303 19.02 Definitions and Applications ..................... 303 19.1 Committee on Infractions ........................... 304 19.2 Appeals Committees .................................... 305 19.3 Establishment and Revision of Enforcement Policies and Procedures .................................................. 305 19.4 Notice of Charges and Opportunity to Appear .......................................................... 306 19.5 Penalties ............................................................ 306 iv Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. 1:08-cv-00502 Document 1-9 Filed 07/23/2008 Page 5 of 28 EXHIBIT 8 Page 5 of 27 19.6 Rights of Member to Appeal ..................... 310 19.7 Restitution ........................................................ 310 article 20 Division Membership 20.01 General Principles .......................................... 313 20.02 Definitions and Applications ..................... 313 20.1 Determination of Divisions ........................ 314 20.2 Establishment of and Compliance with Division Criteria ......................................... 314 20.3 Provisional Membership ............................. 317 20.4 Multidivision Classification ......................... 319 20.5 Change of Division Membership ............. 320 20.7 Division Legislation ....................................... 322 20.8 Eligibility for National Collegiate and Division Championships ........................ 323 20.9 Division I Membership Requirements .... 324 article 21 Committees 21.02 Definitions and Applications ..................... 335 21.1 Playing Rules Oversight Panel ................... 335 21.2 Association-Wide Committees— General Committees ................................ 336 21.3 Association-Wide Committees—Rules Committees Without Championships Administration Responsibilities ........... 338 21.4 Common Committees—Committees with Playing Rules and Championships Administration Responsibilities .......................................... 340 21.5 Common Committees—Committees with Only Championships Administration Responsibilities ........... 342 21.6 Common Committees—Committees with Governance Administration Responsibilities .......................................... 343 21.7 Division I Cabinets and Committees ....... 344 article 22 athletics Certification 22.01 General Principle ............................................ 355 22.1 Committee on Athletics Certification ..... 355 22.2 Mandatory Self-Study and External Peer Review .......................................................... 355 22.3 Certification Decisions ................................. 360 22.4 Conference Assistance ................................. 361 22.5 Other Assistance ............................................ 361 article 23 academic Performance Program 23.01 General Principles .......................................... 363 23.02 Definitions and Application ....................... 363 23.1 Committee on Academic Performance . 363 23.2 Penalties and Rewards ................................. 364 23.3 Appeal Procedures ........................................ 365 23.4 Establishment and Revision of Academic Performance Policies and Procedures .................................................. 366 30.8 30.9 30.10 30.11 Outside Competition, National Team ..... 372 Postseason Bowl Licensing ........................ 372 Recruiting Calendars .................................... 373 Student-Athlete Health Insurance Portability and Accountability Act (HIPAA) Authorization/Buckley Amendment Consent Form— Disclosure of Protected Health Information ................................................. 380 Student-Athlete Statement ........................ 380 Squad List ......................................................... 380 Summer Basketball Leagues ...................... 380 Summer Basketball Event Certification—Men’s Basketball ........... 381 Basketball Event Certification— Women’s Basketball ................................. 382 Final Four Basketball Event Certification ................................................ 383 U.S. Service Academy Waivers ................... 383 30.12 30.13 30.14 30.15 30.16 30.17 30.18 article 31 executive regulations 31.01 General Principles .......................................... 385 31.02 Definitions and Applications ..................... 385 31.1 Administration of NCAA Championships ......................................... 385 31.2 Eligibility for Championships .................... 390 31.3 Selection of Teams and Individuals for Championships Participation ............... 393 31.4 Financial Administration of Championships ......................................... 396 31.5 Financial Administration of Postseason Football ........................................................ 398 31.6 Rights to NCAA Properties and Marketing Restrictions ............................ 398 31.7 General Financial Management ............... 400 31.8 Personnel .......................................................... 402 31.9 National Statistics Program ........................ 403 article 32 enforcement Policies and Procedures 32.1 Committee on Infractions—Special Operating Rules ......................................... 407 32.2 Preliminary Review of Information .......... 407 32.3 Investigative Procedures ............................. 409 32.4 Processing Information for Secondary violations ..................................................... 410 32.5 Notice of Inquiry ............................................ 410 32.6 Notice of Allegations .................................... 411 32.7 Summary Disposition and Expedited Hearing ......................................................... 413 32.8 Committee on Infractions Hearings ........ 413 32.9 Notification of Committee Action ........... 415 32.10 Appeal Procedure .......................................... 416 32.11 Appeal Hearings ............................................. 417 article 33 athletics Certification Policies and Procedures 33.1 Self-Study and External Peer Review ...... 421 33.2 External Peer-Review Teams ...................... 421 33.3 Certification Schedule of Participating Institutions .................................................. 422 33.4 Self-Study Process and Report Procedures .................................................. 422 33.5 Orientation ....................................................... 423 33.6 Peer-Review Evaluation visit ...................... 423 33.7 Report of Peer-Review Team ...................... 424 33.8 Certification Decision .................................... 424 aDMInISTraTIve BylaWS article 30 administrative regulations 30.01 General Principle ............................................ 367 30.1 Admissions and Graduation-Rate Disclosure .................................................... 367 30.2 All-Star Contests ............................................. 367 30.3 Certification of Compliance ....................... 368 30.4 Consortium, Athletics ................................... 369 30.5 Drug-Testing Program .................................. 369 30.6 Five-Year Rule Waiver .................................... 370 30.7 Foreign Tours and Competition ................ 371 Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. 1:08-cv-00502 Document 1-9 Filed 07/23/2008 Page v 6 of 28 EXHIBIT 8 Page 6 of 27 Table of figures article 4 Organization 4-1 4-2 5-1 5-2 Division I Governance Structure...................26 Association Governance Structure ..............27 Division I Legislative Process .........................41 Legislative Activity Calendar for 2007-08 ......................................................42 article 16 awards, Benefits and expenses for enrolled Student-athletes 16-1 16-2 16-3 17-1 17-2 20-1 Participation Awards ..................................... 214 Championship Awards.................................. 214 Special Achievement Awards ..................... 215 Maximum Number of Contests and Dates of Competition for Each Sport.. 258 Playing and Practice Seasons ..................... 259 General Requirements for Division I Membership ................................................ 334 Summary of the Elements in the Administration of Finances for NCAA Championships .......................................... 406 Processing of a Typical NCAA Infractions Case ................................................................ 418 Processing of a Typical NCAA Infractions Appeals Case ............................................... 419 article 5 legislative authority and Process article 17 Playing and Practice Seasons article 11 Conduct and employment of athletics Personnel 11-1 11-2 Coaches’ Compensation and Benefits ........59 Coaches’ Reimbursable Expenses ................60 article 20 Division Membership article 14 eligibility: academic and general requirements 14-1 14-2 14-3 Minimum Core-Curriculum and GradePoint Average Requirements for Initial Eligibility ........................................... 168 Summary of the Definition of Qualifier and Nonqualifier(14 and 16 CoreCourse Standards) ..................................... 168 Relationships between Academic Requirements, Financial Aid and Eligibility for High School Graduates(14 and 16 Core-Course Standards) .................................................... 169 Initial Eligibility ................................................ 170 Academic Requirements for Eligibility for Two-Year College Transfer ................ 172 Academic Requirements for 4-2-4 College Transfer Students ....................... 173 Application of Progress-Toward-Degree Requirements (for student-athletes first entering a college institution on or after August 1, 2003) ........................... 174 article 31 executive regulations 31-1 article 32 enforcement Policies and Procedures 32-1 32-2 14-4 14-5 14-6 14-7 vi Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. 1:08-cv-00502 Document 1-9 Filed 07/23/2008 Page 7 of 28 EXHIBIT 8 Page 7 of 27 user’s guide I. Manual fOrMaT The 81/2 x 11-inch page size and large type size facilitate effective and efficient use of the Manual. LARGE PAGE/LARGE TYPE A “bleed tab” on each page helps the user turn to the desired article quickly. BLEED TABS At the beginning of each article is an abbreviated table of contents to assist the user in locating specific information within the article. ARTICLE TABLE OF CONTENTS 5 LEGISLATIVE PROCESS 31 Legislative Authority and Process 5.01 5.02 5.1 5.2 General Principles ... ............ ............ ........... ..........1 Definitions and Applications ...... ............ ..........1 Conventions and Meetings ......... ............ ..........1 Elements of Legislation ..... ........... ............ ..........4 5.3 5.4 Amendment Process ........... ........... ............ .........5 Other Legislative and Amendment Procedures ............ ............ ........... ............ ......11 CONSTITUTION, ARTICLE 5 General principles that are considered of particular importance in helping the user understand the rationale for the detailed regulations that follow are presented at the beginning of appropriate articles. GENERAL PRINCIPLES 5.01.1 Basis of Legislation. [*] All legislation of the Association that governs the conduct of the intercollegiate athletics programs of its member institutions shall be adopted by the membership in Convention assembled, or by the presidential administrative groups and the division management councils as set forth in Constitution 4, as determined by the constitution and bylaws governing each division, and shall be consistent with the purposes and fundamental policy set forth in Constitution 1, and shall be designed to advance one or more principles such as those set forth in Constitution 2. (Revised: 1/9/96 effective 8/1/97) 5.01.2 Approaches to Legislative Process. [*] e membership of the Association recognizes that certain fundamental polices, practices and principles have applicability to all members, while others are applicable to division groupings of members, based on a common philosophy shared among the individual members of the division and on special policies and concerns that are common to the nature and purposes of the institutions in the division. (Revised: 1/9/96 effective 8/1/97) 5.01 GENERAL PRINCIPLES 5.02 DEFINITIONS AND APPLICATIONS Following the general principles in most articles is a section in which definitions and applications are provided for a number of the more important words or terms used in that article. DEFINITIONS AND APPLICATIONS 5.02.1 Legislative (Constitution and Bylaw) Provisions. 5.02.1.1 Dominant. [*] A dominant provision is a regulation that applies to all members of the Association and is of sufficient importance to the entire membership that it requires a two-thirds majority vote of all delegates present and voting in joint session at an annual or special Convention. Dominant provisions are identified by an asterisk (*). 5.02.1.1.1 Division Dominant. [*] A division dominant provision is a regulation that applies to all members of a division and is of sufficient importance to the division that it requires a two-thirds majority vote of all delegates present and voting at a division’s annual or special Convention. Division dominant provisions are identified by the diamond symbol ( ). (Revised: 1/9/96 effective 8/1/97) 5.02.1.2 Common. [*] A common provision is a regulation that applies to more than one of the divisions of the Association. A common provision shall be adopted by each of the applicable divisions, acting separately pursuant to the divisional legislative process described in Constitution 5.3, and must be approved by all applicable divisions to be effective. Common provisions are identified by the pound sign (#). (Adopted: 1/14/97 effective 8/1/97) 5.02.1.3 Federated. [*] A federated provision is a regulation adopted by a majority vote of the delegates present and voting of one or more of the divisions or subdivisions of the Association, acting separately pursuant to the divisional legislative process described in Constitution 5.3. Such a provision applies only to the division(s) or subdivision(s) that adopts it. (Revised: 1/9/96 effective 8/1/97) 5.1 CONVENTIONS AND MEETINGS The decimal numbering system provides efficiency and flexibility. Section headings, to at least the fourth subsection level, and for further subsections where appropriate, assist the user in identifying the section content, thus facilitating ready access to pertinent regulations. This system also facilitates a “hanging indention” presentation, which helps the reader relate the subsections to the basic section. DECIMAL NUMBERING WITH TOPIC HEADINGS 5.1.1 Authorization. 5.1.1.1 Annual Convention. [*] ere shall be an annual Convention of this Association during the second week of January or at such other time as may be prescribed by the Executive Committee. 5.1.1.2 Special Convention. [*] A special Convention of the Association may be called by the Executive Committee. (Revised: 1/9/96 effective 8/1/97) 5.1.2 Annual or Special Convention Programs. 5.1.2.1 Establishment of Program-Annual or Special Convention. [*] e program of the business session of an annual or special Convention of the Association shall be establish d by the Executive Committee, acting as the Convention program committee. (Revised: 1/9/96 effective 8/1/97) Symbols for voting requirements appear after the title of the bylaw. See page ix for a complete explanation of all symbols. Each division’s manual contains legislation specific to the applicable division and does not contain legislation pertaining only to one or both of the other divisions. VOTING REQUIREMENTS Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. 1:08-cv-00502 Document 1-9 Filed 07/23/2008 Page vii 8 of 28 EXHIBIT 8 Page 8 of 27 II. OrganIZaTIOn Of THe nCaa Manual Divisions I, II and III each have a separate manual that contains legislation specific to the applicable division and does not contain legislation pertaining only to one or both of the other divisions. However, legislation that includes references to one or both of the other divisions will appear in its entirety. In addition, since each division’s manual does not contain legislation specific to the other division(s), some bylaws may have gaps in the numbering sequence. Constitution Articles 1 through 6 are the constitution, which consists of information relevant to the purposes of the Association, its structure, its membership and legislative-process information, and the more important principles for the conduct of intercollegiate athletics. Article 1 Article 2 Article 3 Article 4 Article 5 Article 6 Name, Purposes and Fundamental Policy Principles for Conduct of Intercollegiate Athletics NCAA Membership Organization Legislative Authority and Process Institutional Control Operating Bylaws Articles 10 through 23 are the operating bylaws, which consist of legislation adopted by the membership to promote the principles enunciated in the constitution and to achieve the Association’s purposes. Article 10 Article 11 Article 12 Article 13 Article 14 Article 15 Article 16 Article 17 Article 18 Article 19 Article 20 Article 21 Article 22 Article 23 Ethical Conduct Conduct and Employment of Athletics Personnel Amateurism Recruiting Eligibility: Academic and General Requirements Financial Aid Awards, Benefits and Expenses for Enrolled Student-Athletes Playing and Practice Seasons Championships and Postseason Football Enforcement Division Membership Committees Athletics Certification Academic Performance Program administrative Bylaws Articles 30 through 33 are administrative bylaws, which set forth policies and procedures for the implementation of (a) the general legislative actions of the Association, (b) the NCAA championships and the business of the Association, (c) the Association’s enforcement program and (d) the Association’s athletics certification program. These administrative bylaws may be adopted or modified by the Division I Board of Directors or Management Council (administrative regulations; on recommendation of the Committee on Infractions; on recommendation of the Committee on Athletics Certification, athletics certification policies and procedures; and executive regulations) for the efficient administration of the activities that they govern. These same bylaws also may be amended by a majority vote of the membership [or applicable division(s)] at NCAA Conventions. Article 30 Article 31 Article 32 Article 33 Administrative Regulations Executive Regulations Enforcement Policies and Procedures Athletics Certification Policies and Procedures viii Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document have been extracted. 1:08-cv-00502 Document 1-9 Filed 07/23/2008 Page 9 of 28 EXHIBIT 8 Page 9 of 27 III. vOTIng reQuIreMenTS fOr Manual The Manual attempts to present all regulations on a given subject in logical order. As a result, different paragraphs in the same sections may carry different voting requirements. The following terms designate voting requirements currently in effect for sections in the Manual: • Dominant provision—Legislation that is derived from the constitution in the 1988-89 Manual (the Manual format that was employed until the membership approved the revised format at the 1989 Convention). All such legislation is identified by an asterisk (*) and requires a two-thirds majority vote of the total membership (present and voting) for adoption or amendment. such legislation is identified by a pound sign (#) and requires a majority vote of each of the three divisions, voting separately, for adoption or amendment. voting jointly, for adoption or amendment (e.g., enforcement procedures, some executive regulations). Such legislation is identified by a plus sign (+). • Common provision—Legislation that is derived from the common bylaws (9, 10, 12 and 13) in the 1988-89 Manual. All • General provision—Legislation that applies to all three divisions and that requires a simple majority vote of all divisions, • Federated provision—Legislation that is derived from divided bylaws in the 1988-89 Manual. Such legislation can be adopted or amended by a majority vote of one or more of the subdivisions voting separately. • Division dominant—A division dominant provision is one that applies to all members of a division and is of sufficient importance to the division that it requires a two-thirds majority vote of all delegates present and voting at a division’s annual or special Convention. Division dominant provisions are identified by a diamond symbol (u). Note: The authorization for adoption and amendment of each of the administrative bylaws (30, 31, 32 and 33) is set forth in Constitution 5.2.3.1, 5.2.3.2, 5.2.3.3 and 5.2.3.4. The Executive Committee is authorized to establish the voting requirement for any new section when the content or context does not clearly determine it. The authorization for this is set forth in Constitution 5.3.7.1. Symbols Designating voting requirements and Subdivisions for Which federated legislation is applicable Provision Dominant Common general federated nCaa football Bowl Subdivision nCaa football Championship Subdivision Bowl Subdivision and Championship Subdivision Division dominant Symbol * # + fBS fCS fBS/fCS u Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-9 Filed have been extracted. Page ix 10 of 28 EXHIBIT 8 Page 10 of 27 Iv. DIagraMS anD TaBleS Diagrams and tables are included as supplements to the text to help present the content of certain regulations in a clear and concise manner. They are presented as “Figures” and are listed on page vi. With the exception of Bylaw 17, all diagrams and tables related to a given article of the Constitution or a particular bylaw have been placed at the back of the article or bylaw. eXaMPle Relationships between Academic Requirements, Financial Aid and Eligibility (Bylaw 14.3) for High School Graduates First Entering College On or After August 1, 2005 14 and 16 Core-Course Standards fIgure 14-3 CORE CURRIC­ ULUM PER BYLAW 14.3.1.1 & CORE GPA & TEST SCORE PER BYLAW 14.3.1.1.1 ? QUALIFIER AID, PRACTICE & COMPETITION FOUR YEARS ELIGIBILITY YES NO NONQUALIFIER NO PRACTICE, NO COMPETITION, MAY RECEIvE NONATHLETICS AID BASED ON NEED ONLY, THREE YEARS ELIGIBILITY(1) (1) A fourth season of intercollegiate competition shall be granted to a nonqualifier (per Bylaw 14.02.9.2) provided that at the beginning of the fifth academic year following the student-athlete’s initial, full-time collegiate enrollment, the student-athlete has completed 80 percent of his or her designated degree program (see Bylaw 14.3 3.1). x Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-9 Filed have been extracted. Page 11 of 28 EXHIBIT 8 Page 11 of 27 v. legISlaTIOn THaT IS SHaDeD/SCreeneD Legislation approved by the Board of Directors, interpretations incorporated by the Legislative Review/Interpretations Committee, editorial revisions and modifications of wording approved by the Management Council are set off by a gray background and include an adoption or revision date. 12.2.4.2.4 Exception—Sports Other Than Basketball and Football. An enrolled student-athlete in a sport other than basketball or football may enter a professional league’s draft one time during his or her collegiate career without jeopardizing his or her eligibility in the applicable sport, provided the student-athlete is not drafted and within 72 hours following the draft he or she declares his or her intention to resume participation in intercollegiate athletics. The student-athlete’s declaration of intent shall be in writing to the institution’s director of athletics. (Adopted: 4/26/07 effective 8/1/07) vI. nOTaTIOn Of legISlaTIOn WITH DelayeD effeCTIve DaTe Legislation with a delayed effective date is enclosed in a box and set off by a gray background. A notation of the action taken by the Board of Directors and the date the amendment becomes effective is included. Because this Manual is effective August 1, 2007, the only legislation that will be shown in this manner is that which is to be effective August 1, 2008, or later. The following Bylaw 14.3.1.2.6 was revised at the April 24, 2003 NCAA Division I Board of Directors meeting, effective August 1, 2008, for those student-athletes first entering a collegiate institution on or after August 1, 2008: 14.3.1.2.6 Grade Value of Core Courses. The following grade values are to be used in determining a student's grade-point average in the core courses: A = 4 quality points, B = 3 quality points, C = 2 quality points, D = 1 quality point. In determining the core-curriculum grade-point average, each grade earned in a course (including all numerical grades) must be converted to this 4.000 scale on an individual-course basis. Pluses or minuses within a grade level shall not receive greater or lesser quality points. A school's normal practice of weighting honors or advanced courses may be used to compute the quality points awarded in those courses and the cumulative grade-point average, provided a written statement verifying the grading policy accompanies the prospective student-athlete's official grade transcript. An honors or advanced course shall receive no greater than 1.000 additional quality point (e.g., A=5.000). In calculating the grade in a weighted honors or advanced course, if a high school does not assign quality points to its courses, quality points shall be added to each course prior to calculating the student's grade-point average and not added to a student's cumulative core-course grade-point average. The core-curriculum grade-point average may be calculated using the student's 16 best grades from courses that meet the distribution requirements of the core curriculum. Additional core courses (beyond the 16 required) may be used to meet the core-curriculum grade-point average, provided the distribution requirements are met. (Revised: 1/10/92 effective 8/1/95, 1/14/97, 4/15/98, 1/13/03 effective 8/1/05 for those student-athletes first entering a collegiate institution full time on or after 8/1/05; 4/24/03 effective 8/1/08; for those student-athletes first entering a collegiate institution full time on or after 8/1/08) Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-9 Filed have been extracted. Page xi 12 of 28 EXHIBIT 8 Page 12 of 1 NAME AND PURPOSE name, Purposes and fundamental Policy 1.1 1.2 1.3 Name..............................................................................1 Purposes .......................................................................1 Fundamental Policy ................................................1 CONSTITUTION, ARTICLE 1 1.1 naMe [*] The name of this organization shall be “The National Collegiate Athletic Association.” 1.2 PurPOSeS [*] The purposes of this Association are: (a) To initiate, stimulate and improve intercollegiate athletics programs for student-athletes and to promote and develop educational leadership, physical fitness, athletics excellence and athletics participation as a recreational pursuit; (b) To uphold the principle of institutional control of, and responsibility for, all intercollegiate sports in conformity with the constitution and bylaws of this Association; (c) To encourage its members to adopt eligibility rules to comply with satisfactory standards of scholarship, sportsmanship and amateurism; (d) To formulate, copyright and publish rules of play governing intercollegiate athletics; (e) To preserve intercollegiate athletics records; (f ) To supervise the conduct of, and to establish eligibility standards for, regional and national athletics events under the auspices of this Association; (g) To cooperate with other amateur athletics organizations in promoting and conducting national and international athletics events; (h) To legislate, through bylaws or by resolutions of a Convention, upon any subject of general concern to the members related to the administration of intercollegiate athletics; and (i) To study in general all phases of competitive intercollegiate athletics and establish standards whereby the colleges and universities of the United States can maintain their athletics programs on a high level. 1.3.1 Basic Purpose. [*] The competitive athletics programs of member institutions are designed to be a vital part of the educational system. A basic purpose of this Association is to maintain intercollegiate athletics as an integral part of the educational program and the athlete as an integral part of the student body and, by so doing, retain a clear line of demarcation between intercollegiate athletics and professional sports. 1.3.2 Obligations of Member Institutions. [*] Legislation governing the conduct of intercollegiate athletics programs of member institutions shall apply to basic athletics issues such as admissions, financial aid, eligibility and recruiting. Member institutions shall be obligated to apply and enforce this legislation, and the enforcement procedures of the Association shall be applied to an institution when it fails to fulfill this obligation. 1.3 funDaMenTal POlICy Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-9 Filed have been extracted. Page 1 13 of 28 EXHIBIT 8 Page 13 of 27 Principles for Conduct of Intercollegiate athletics 2.01 2.1 2.2 2.3 2.4 2.5 2.6 2.7 General Principle ......................................................3 The Principle of Institutional Control and Responsibility ......................................................3 The Principle of Student-Athlete Well-Being .............................................................3 The Principle of Gender Equity ..........................4 The Principle of Sportsmanship and Ethical Conduct ...................................................4 The Principle of Sound Academic Standards ...............................................................4 The Principle of Nondiscrimination .................4 The Principle of Diversity within Governance Structures.....................................4 2.8 2.9 2.10 2.11 2.12 2.13 2.14 2.15 2.16 The Principle of Rules Compliance ..................4 The Principle of Amateurism ..............................4 The Principle of Competitive Equity ................5 The Principle Governing Recruiting .................5 The Principle Governing Eligibility....................5 The Principle Governing Financial Aid ...........5 The Principle Governing Playing and Practice Seasons .................................................5 The Principle Governing Postseason Competition and Contests Sponsored by Noncollegiate Organizations ..................5 The Principle Governing the Economy of Athletics Program Operation .........................5 CONSTITUTION, ARTICLE 2 2 PRINCIPLES 2.01 general PrInCIPle [*] Legislation enacted by the Association governing the conduct of intercollegiate athletics shall be designed to advance one or more basic principles, including the following, to which the members are committed. In some instances, a delicate balance of these principles is necessary to help achieve the objectives of the Association. 2.1 THe PrInCIPle Of InSTITuTIOnal COnTrOl anD reSPOnSIBIlITy 2.1.1 responsibility for Control. [*] It is the responsibility of each member institution to control its intercollegiate athletics program in compliance with the rules and regulations of the Association. The institution’s president or chancellor is responsible for the administration of all aspects of the athletics program, including approval of the budget and audit of all expenditures. (Revised: 3/8/06) 2.1.2 Scope of responsibility. [*] The institution’s responsibility for the conduct of its intercollegiate athletics program includes responsibility for the actions of its staff members and for the actions of any other individual or organization engaged in activities promoting the athletics interests of the institution. 2.2 THe PrInCIPle Of STuDenT-aTHleTe Well-BeIng [*] Intercollegiate athletics programs shall be conducted in a manner designed to protect and enhance the physical and educational well-being of student-athletes. (Revised: 11/21/05) 2.2.1 Overall educational experience. [*] It is the responsibility of each member institution to establish and maintain an environment in which a student-athlete’s activities are conducted as an integral part of the student-athlete’s educational experience. (Adopted: 1/10/95) 2.2.2 Cultural Diversity and gender equity. [*] It is the responsibility of each member institution to establish and maintain an environment that values cultural diversity and gender equity among its student-athletes and intercollegiate athletics department staff. (Adopted: 1/10/95) 2.2.3 Health and Safety. [*] It is the responsibility of each member institution to protect the health of and provide a safe environment for each of its participating student-athletes. (Adopted: 1/10/95) 2.2.4 Student-athlete/Coach relationship. [*] It is the responsibility of each member institution to establish and maintain an environment that fosters a positive relationship between the student-athlete and coach. (Adopted: 1/10/95) 2.2.5 fairness, Openness and Honesty. [*] It is the responsibility of each member institution to ensure that coaches and administrators exhibit fairness, openness and honesty in their relationships with student-athletes. (Adopted: 1/10/95) 2.2.6 Student-athlete Involvement. [*] It is the responsibility of each member institution to involve student-athletes in matters that affect their lives. (Adopted: 1/10/95) ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-9 Filed have been extracted. Page 3 Case 14 of 28 EXHIBIT 8 Page 14 of 27 2.3.1 Compliance With federal and State legislation. [*] It is the responsibility of each member institution to comply with federal and state laws regarding gender equity. (Adopted: 1/11/94) 2.3.2 nCaa legislation. [*] The Association should not adopt legislation that would prevent member institutions from complying with applicable gender-equity laws, and should adopt legislation to enhance member institutions’ compliance with applicable gender-equity laws. (Adopted: 1/11/94) 2.3.3 gender Bias. [*] The activities of the Association should be conducted in a manner free of gender bias. (Adopted: 1/11/94) 2.3 THe PrInCIPle Of genDer eQuITy 2.4 THe PrInCIPle Of SPOrTSManSHIP anD eTHICal COnDuCT [*] For intercollegiate athletics to promote the character development of participants, to enhance the integrity of higher education and to promote civility in society, student-athletes, coaches, and all others associated with these athletics programs and events should adhere to such fundamental values as respect, fairness, civility, honesty and responsibility. These values should be manifest not only in athletics participation, but also in the broad spectrum of activities affecting the athletics program. It is the responsibility of each institution to: (Revised: 1/9/96) (a) Establish policies for sportsmanship and ethical conduct in intercollegiate athletics consistent with the educational mission and goals of the institution; and (Adopted: 1/9/96) (b) Educate, on a continuing basis, all constituencies about the policies in Constitution 2.4-(a). (Adopted: 1/9/96) 2.5 THe PrInCIPle Of SOunD aCaDeMIC STanDarDS [*] Intercollegiate athletics programs shall be maintained as a vital component of the educational program, and student-athletes shall be an integral part of the student body. The admission, academic standing and academic progress of student-athletes shall be consistent with the policies and standards adopted by the institution for the student body in general. 2.6 THe PrInCIPle Of nOnDISCrIMInaTIOn [*] The Association shall promote an atmosphere of respect for and sensitivity to the dignity of every person. It is the policy of the Association to refrain from discrimination with respect to its governance policies, educational programs, activities and employment policies including on the basis of age, color, disability, gender, national origin, race, religion, creed or sexual orientation. It is the responsibility of each member institution to determine independently its own policy regarding nondiscrimination. (Adopted: 1/16/93, Revised: 1/16/00) 2.7 THe PrInCIPle Of DIverSITy WITHIn gOvernanCe STruCTureS [*] The Association shall promote diversity of representation within its various divisional governance structures and substructures. Each divisional governing body must assure gender and ethnic diversity among the membership of the bodies in the division’s administrative structure. (Adopted: 1/9/96 effective 8/1/97) 2.8.1 responsibility of Institution. [*] Each institution shall comply with all applicable rules and regulations of the Association in the conduct of its intercollegiate athletics programs. It shall monitor its programs to assure compliance and to identify and report to the Association instances in which compliance has not been achieved. In any such instance, the institution shall cooperate fully with the Association and shall take appropriate corrective actions. Members of an institution’s staff, student-athletes, and other individuals and groups representing the institution’s athletics interests shall comply with the applicable Association rules, and the member institution shall be responsible for such compliance. 2.8.2 responsibility of association. [*] The Association shall assist the institution in its efforts to achieve full compliance with all rules and regulations and shall afford the institution, its staff and student-athletes fair procedures in the consideration of an identified or alleged failure in compliance. 2.8.3 Penalty for noncompliance. [*] An institution found to have violated the Association’s rules shall be subject to such disciplinary and corrective actions as may be determined by the Association. 2.8 THe PrInCIPle Of ruleS COMPlIanCe 2.9 THe PrInCIPle Of aMaTeurISM [*] Student-athletes shall be amateurs in an intercollegiate sport, and their participation should be motivated primarily by education and by the physical, mental and social benefits to be derived. Student participation in intercol4 ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-9 Filed have been extracted. Page Case 15 of 28 EXHIBIT 8 Page 15 of 27 legiate athletics is an avocation, and student-athletes should be protected from exploitation by professional and commercial enterprises. 2.10 THe PrInCIPle Of COMPeTITIve eQuITy [*] The structure and programs of the Association and the activities of its members shall promote opportunity for equity in competition to assure that individual student-athletes and institutions will not be prevented unfairly from achieving the benefits inherent in participation in intercollegiate athletics. 2.11 THe PrInCIPle gOvernIng reCruITIng [*] The recruiting process involves a balancing of the interests of prospective student-athletes, their educational institutions and the Association’s member institutions. Recruiting regulations shall be designed to promote equity among member institutions in their recruiting of prospective student-athletes and to shield them from undue pressures that may interfere with the scholastic or athletics interests of the prospective student-athletes or their educational institutions. 2.12 THe PrInCIPle gOvernIng elIgIBIlITy [*] Eligibility requirements shall be designed to assure proper emphasis on educational objectives, to promote competitive equity among institutions and to prevent exploitation of student-athletes. 2 PRINCIPLES 2.13 THe PrInCIPle gOvernIng fInanCIal aID [*] A student-athlete may receive athletically related financial aid administered by the institution without violating the principle of amateurism, provided the amount does not exceed the cost of education authorized by the Association; however, such aid as defined by the Association shall not exceed the cost of attendance as published by each institution. Any other financial assistance, except that received from one upon whom the student-athlete is naturally or legally dependent, shall be prohibited unless specifically authorized by the Association. 2.14 THe PrInCIPle gOvernIng PlayIng anD PraCTICe SeaSOnS [*] The time required of student-athletes for participation in intercollegiate athletics shall be regulated to minimize interference with their opportunities for acquiring a quality education in a manner consistent with that afforded the general student body. 2.15 THe PrInCIPle gOvernIng POSTSeaSOn COMPeTITIOn anD COnTeSTS SPOnSOreD By nOnCOllegIaTe OrganIZaTIOnS [*] The conditions under which postseason competition occurs shall be controlled to assure that the benefits inherent in such competition flow fairly to all participants, to prevent unjustified intrusion on the time student-athletes devote to their academic programs, and to protect student-athletes from exploitation by professional and commercial enterprises. 2.16 THe PrInCIPle gOvernIng THe eCOnOMy Of aTHleTICS PrOgraM OPeraTIOn [*] Intercollegiate athletics programs shall be administered in keeping with prudent management and fiscal practices to assure the financial stability necessary for providing student-athletes with adequate opportunities for athletics competition as an integral part of a quality educational experience. Case ____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-9 Filed have been extracted. Page 5 16 of 28 EXHIBIT 8 Page 16 of 27 nCaa Membership 3.01 3.02 3.1 3.2 3.3 General Principles ....................................................7 Definitions and Applications ..............................7 Eligibility for Membership ...................................8 Active Membership ................................................8 Member Conference ...........................................12 3.4 3.5 3.6 3.7 Affiliated Membership .......................................14 Corresponding Membership ...........................14 Provisional Membership ...................................15 Dues of Members .................................................16 CONSTITUTION, ARTICLE 3 3.01.1 Classes of Membership. The NCAA offers five classes of membership: active, conference, affiliated, corresponding and provisional. Eligibility for and method of election to membership, obligations and conditions for continuing membership, voting rights, and other membership privileges for each class are defined in this article. (Revised: 1/11/94 effective 9/2/94) 3.01.2 Division Membership. Active and conference members of the NCAA may be divided into divisions for purposes of bylaw legislation and competition in NCAA championships. Criteria for membership in these divisions are defined in Bylaw 20. 3.01.3 Obligation to Meet Division Criteria. Division membership criteria constitute enforceable legislation. Each member institution shall comply with all applicable criteria of its division, and an institution that fails to do so shall be subject to the enforcement procedures, as well as to possible reclassification. 3.01.4 Termination or Suspension of Membership. All rights and privileges of a member shall cease immediately upon termination or suspension of its membership. 3.02.1 Competitive Body. A competitive body is an athletics conference that conducts competition among its member institutions and determines a conference champion in one or more sports. 3.02.2 legislative Body. A legislative body is an athletics conference that develops and maintains rules and regulations governing the athletics programs and activities of its member institutions. 3.02.3 Membership Categories. 3.02.3.1 Active Member. An active member is a four-year college or university or a two-year upper-level collegiate institution accredited by the appropriate regional accrediting agency and duly elected to active membership under the provisions of this article (see Constitution 3.2.3). Active members have the right to compete in NCAA championships, to vote on legislation and other issues before the Association, and to enjoy other privileges of membership designated in the constitution and bylaws of the Association. 3.02.3.1.1 Athletics Consortium. An athletics consortium consists of one member institution and neighboring member or nonmember institutions (but not more than one nonmember institution), recognized and approved by a two-thirds vote of the Management Council. The student-athletes of the combined institutions are permitted to compete on the NCAA member institution’s athletics teams, provided they meet the eligibility requirements of the NCAA and the member institution (see Constitution 3.1.2 and Bylaw 30.4). 3.02.3.2 Provisional Member. A provisional member is a four-year college or university or a two-year upper-level collegiate institution accredited by the appropriate regional accrediting agency and that has applied for active membership in the Association. Provisional membership is a prerequisite for active membership in the Association. The institution shall be elected to provisional membership under the provisions of this article (see Constitution 3.6.3). Provisional members shall receive all publications and mailings received by active members in addition to other privileges designated in the constitution and bylaws of the Association. Provisional membership is limited to a seven-year period. (Adopted: 1/11/94 effective 9/2/94, Revised: 4/25/02 effective 8/1/02) 3.02.3.3 Member Conference. A member conference is a group of colleges and/or universities that conducts competition among its members and determines a conference champion in one or more sports (in which the NCAA conducts championships or for which it is responsible for providing playing rules for intercollegiate competition), duly elected to conference membership under the provisions of this article (see Constitution 3.3.3). A member conference is entitled to all of the privileges of active members except the right to compete in NCAA championships (see Constitution 3.3.2). Only those conferences that meet specific criteria as competi____________________________________________________ Pursuant to M.D.N.C. Local Rule 7.1(e), the non-essential materials contained in the original document 07/23/2008 1:08-cv-00502 Document 1-9 Filed have been extracted. Page 7 3.01 general PrInCIPleS 3.02