October 24, 2001

I.          Commitment to Compliance

                        (A)       The Department of Athletics is committed to delivering intercollegiate athletics programs that are consistent with the University’s mission and that generate the trust and support of its various constituencies.  The goal of the Department is to field sports teams that compete successfully against other NCAA Division I teams, that exhibit honesty and integrity, and that exemplify the Christian principles upon which Baylor was founded.

                        (B)       It is the responsibility of the University to control its athletics program in compliance with the rules and regulations of the NCAA (see NCAA principle 2.1.1) and the Big XII Conference.  Baylor University is fully committed to compliance with NCAA legislation, and as a member of the Big XII Conference, Baylor has accepted “primary responsibility for the administration of rules and regulations, for investigating known or alleged violations . . . , and for taking prompt and effective corrective actions where violations have occurred.” (see Section 1.3.3.2, Bylaws of the Big XII Conference).

II.         Investigation

            In furtherance of its commitment to compliance, the Director of Compliance (DC) shall

carefully investigate any observation, allegation or report of non-compliance with Big XII or NCAA legislation.  Following the completion of the DC’s preliminary investigation:

                        (A)       If it is concluded by the DC that the allegation clearly lacks merit, the investigation shall be terminated, or

(B)                   (i)         If it is concluded by the DC that a violation of NCAA legislation may have occurred, the DC shall consult with the Faculty Athletics Representative about the appropriate future course of action.  If the FAR believes that a major violation of NCAA legislation may have occurred, the FAR may direct that the investigation be conducted under his supervision until a determination can be made. Alternatively, the FAR may impanel the Faculty Compliance and Infractions Committee (FCIC). Working in cooperation with the DC, the FCIC shall direct the ongoing investigation (including the employment of outside experts if it deems such to be necessary), make the determination whether compliance has not been achieved, and resolve any related eligibility issues.

                                                (ii)        The FCIC shall be a standing committee appointed by the President composed of the FAR as chair, an additional tenured member of the faculty, and a lawyer to serve as legal counsel (who may be a member of the law faculty).  The two additional members shall each serve an indefinite term.

                                                (iii)       The FAR, upon being consulted about a potential violation by the DC, shall notify the President and Athletic Director (AD) that an investigation is underway if, in the judgment of the FAR, the circumstances are serious enough to warrant notice.  The FAR shall notify the President and AD if an investigation relating to a potential major violation has been commenced.  Any notice shall include a brief description of the possible violation.  During the course of the investigation which is the subject of the notice:

                                                                        (a)        The FAR, or if impaneled, the FCIC, shall regularly report to and consult with the President.  Any decision or determination made by the President shall be final.

                                                                        (b)        The General Counsel (GC) shall be furnished a copy of any notice sent to the President.  The FAR, or if impaneled, the FCIC shall brief the GC on a regular basis.

                                                                        (c)        The FAR, or if  impaneled, the FCIC shall regularly communicate and meet with the AD.  The AD shall serve as a consultant and resource.

III.  Standard for Determination

Any determination of non-compliance shall be based on information presented or developed that is credible, persuasive and of a kind on which reasonably prudent persons rely in the conduct of serious affairs.

IV.  Sanctions

                        (A)       Penalties for a secondary violation - If a penalty is warranted, the DC shall impose a penalty in accordance with NCAA bylaw 19.6.1 and assess appropriate corrective measures.  At the end of each academic year, the DC shall prepare a memorandum detailing all secondary violations that have occurred that year.  Such memoranda shall be furnished to the President, the AD and FAR.

                        (B)       Penalties for a major violation - The FAR, individually, or  as chair of the FCIC, if impaneled, shall make a recommendation to the President regarding self-imposed sanctions and corrective measures.  NCAA bylaw 19.6.2.1 and decisions of the NCAA Committee on Infractions shall serve as guidance and precedent.  The President’s decision shall be implemented by the FAR.

V.  Report

                        (A)       If it is determined that a secondary violation has occurred, the DC shall prepare the report and forward it to the FAR for review and comment, if any.  Any such report of non-compliance shall be signed by the FAR in accordance with Rule 6.6.2 of the Big XII Conference.

                        (B)       If it is determined that a major violation has occurred, the FAR, individually or as chair of the FCIC if impaneled, in consultation with the DC, shall prepare the report and forward it to the President for review and comment.  The FAR shall cause the report to be filed in a manner consistent with NCAA legislation and rules of the Big XII Conference.

VI.  Exceptions

The President may authorize variances from or exceptions to these Investigation, Determination and Reporting Procedures that are consistent with Baylor’s commitment to compliance with Big XII and NCAA legislation.

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