Current Issues & Resolutions

ADMISSION PROCEDURES FOR STUDENT ATHLETES

I.                   Institutional Philosophy and Standards

All prospective student athletes (PSAs) shall meet admission standards adopted by the University. These standards are set forth below.

SMU athletic admission procedures are to be conducted with three important criteria in mind. First, PSAs are to be recruited to SMU only if there is a reasonable probability that they will graduate within the standard four- to five-year period. As a group, their graduation rate, over time, should mirror, or surpass, the graduation rate of the general student body. To enhance this primary objective, only NCAA qualifiers will be admitted directly from a high school or preparatory school setting. Second, it is in the University’s best interests for its intercollegiate athletic programs to be successful when competing athletically. Third, SMU student-athlete recruitment and admission procedures should be as “user-friendly” and transparent as possible for everyone involved in the process: PSAs, recruiting coaches, admission and academic support staff, and involved faculty.

II.                General Policies and Procedures

Coaches will be familiar with admission criteria used to predict academic success at SMU so as to recruit students who will potentially graduate in the desired four- to five-year period. On an annual basis, a senior officer from SMU Undergraduate Admission should provide all coaches who actively recruit in addition to key athletic administrative personnel with information that would assist in the recruitment of student-athletes who can satisfy the first two criteria upon admission. This information should include, but is not limited to, bullet points of SMU admissions data, updates to any policies, review of individual cases from the prior year, etc. Coaches will recruit PSAs who will be able to be on campus prior to the first day of classes.

A)    Official Visits

Invitations for official visits may be extended at the coach’s discretion. As per NCAA guidelines, a PSA must submit an official standardized test score and transcript to the institution before he/she is eligible for an official visit and must also register with the NCAA initial eligibility center. Whenever possible, at least two days should exist between the invitation and the actual official visit to allow for possible determination of admissibility in the interim.

Coaches shall make concerted efforts to have determination of admissibility for all PSAs prior to official visits.

B)          National Letter of Intent (NLI) and Statement of Financial Aid (SFA) Signings

Only PSAs who have been determined to be admissible (or admissible pending verification of NCAA qualification or who will be signed under the policy identified in 3(c)) may sign NLIs and SFAs.

C)          Admission Process and Procedures

1)      File Preparation

Coaches must prepare an academic file on any PSA projected to receive any level of athletic aid. This file includes, but is not limited to, the ‘blue sheet’ (a demographic, athletic, academic and personal data summary), transcripts, and test scores. All transcripts received and handled by Athletic Department staff members will be considered as unofficial by the Office of Undergraduate Admission. Such documents, however, may be used for preliminary admission evaluations.

2)      File Evaluation

The File is forwarded to the Admission Liaison within the Athletics Department (hereafter ‘liaison’) for preliminary evaluation. After the initial screening by the Athletic Department, the files are forwarded to the Office of Undergraduate Admission. A senior Admission Officer (AO) calculates official testing and GPA indicators. Files without testing information will be processed using GPA indicators only.

The recommended high school course distribution for a minimum program is as follows: 4 units of English, 3 units of mathematics (Algebra I, Plane Geometry, Algebra II), 3 units of science (including two units of laboratory science), 3 units of social science, and 2 units of a foreign language (a two-year sequence).

Category AR (Admissions Review) includes files with an SAT Composite of 900 or above (ACT composite score) AND an SMU calculated GPA of 2.5 or above. In this review, files with these documented academic characteristics will be deemed “admissible” pending the final decision-making authority of the SMU Admissions Office. In cases where the AO would like a second opinion on a file, the AO at his/her discretion may consult internally with the UAC (University Admission Committee) or forward any file for an FR (see below) analysis. For example, in these cases, a PSA may meet the technical academic criteria for a positive AR review, but may not have a high potential to graduate from SMU.

Hence, other measurable criteria in matters of professional judgment also will be utilized by admission officers (during the AR review) and faculty subcommittee members (during a FR review). Such considerations include:

·         High school grade pattern

·         Class rank

·         Choice, strength and consistency of curriculum

·         Projected admission rating range (calculated by AO)

·         General academic competitiveness/strength of high school utilizing measurements such as college attendance rates, extent and strength of advanced course offerings, student standardized test score averages, vocational program participation rates, etc.

·         Changes in standardized test results

·         Specific breakdown of SAT and ACT results (individual Critical Reading/Math SAT Scores and/or individual English/Math/Reading ACT Scores)

·         Junior and senior year performance and course load

·         Degree of academic preparation for intended area of collegiate study (if known)

·         Attendance patterns

·         Extracurricular interests and achievement

·         Performance within specific academic disciplines (i.e. English, Foreign Language, Math, Sciences, Social Sciences, Technology)

·         Other relevant indicators of performance (i.e., family history of success, etc.)

Category FR (Faculty Committee Review) FR reviews will include those files which are initially deemed as “academically marginal” files per an academic screening. These will include any PSA file with an SAT Composite of below 900 (or ACT composite score below 19) AND/OR an SMU-calculated GPA below 2.5.

Files within each category are processed as follows:

AR Review:    Admissions Review

         SAT 900+ (or ACT composite 19 or higher) AND SMU GPA 2.5+

The AO reviews the credentials of the PSAs meeting these criteria. Although additional information may be included within the file, it is not required. The AO recommends approving the file or if there is concern regarding the academic preparation of the PSA based on a review of the previously outlined ‘potential to graduate’ criteria, and as stated previously, the file may be referred to the University Admission Committee (UAC) or to the Faculty Athletic Admissions Subcommittee (FAAS) for an FR review.

FR Review:    Faculty Athletic Admission Subcommittee Review

SMU GPA < 2.5 AND/OR an SAT score under 900 (ACT composite below 19)

The FAAS (composed of five faculty members appointed by the Provost’s Office in consultation with the University Admission Council) reviews the credentials of each PSA meeting these criteria and makes recommendations regarding the admissibility of the PSA. The Director of Athletics (or his/her designate) presents file information. The Assistant Dean of Undergraduate Admission (or his/her designate) presents statements concerning the academic preparation and school quality and other factors that may affect academic performance. The Director of the Altshuler Learning Enhancement Center (or his/her designate) provides information concerning the PSA’s likely curriculum, the academic environment of the team in question, and other factors that may affect academic performance.

FR files are considered based on numeric indicators and other information in the file. Essays, letters of recommendation, and the opportunity to interview will not be required by the FAAS, although they may be included in the file at the Athletic Department’s or the coach’s discretion. Anticipating possible FAAS concerns, the Athletic Department may provide supplemental information at the Department’s discretion.

At the conclusion of the hearing, the FAAS members that are present formally recommend approving or denying files through a voting process. For a Category FR approval, a majority of the FAAS members present at the hearing must formally approve the file. Under this policy, three members of the FAAS will be needed at the formal review to constitute a quorum. The FAAS will be convened by its chair after notification from the AO.

3)      Appeal Process

All appeals of AR and/or FR rejections must be made in writing by the Director of Athletics to the Dean of Undergraduate Admission, with a copy to the chair of the FAAS and the Provost. Appeals of decisions not to admit a PSA reviewed through the FR process can be processed in one of two ways:

a)   Generally, the group having made the decision to deny admission will process appeals. Additional information beyond the numeric indicators, such as letters of recommendation, writing samples, or other relevant information may be added to the file for an appeal at the discretion of the Director of Athletics. The Director of Athletics may also request that the appeal include a personal interview with the PSA. Interviews should include only the PSA (unless ADA guidelines provide otherwise), a representative of the FAAS, and representatives from at least two of the following areas: SMU coaching staff, UAC, and Learning Enhancement Center. Interview appointments should be scheduled at least one week in advance, when possible. Interviews normally will be conducted during University office hours in the Office of Undergraduate Admission.

If the file is denied again through a FR review, the Director of Athletics may send a final written appeal to the Dean of Undergraduate Admission. The Dean of Undergraduate Admission will consider the appeal and will inform the UAC, FAAS and the Director of Athletics of the decision. The Dean of Undergraduate Admission shall state his/her reasons in writing and transmit them to the UAC and FAAS as applicable.  

b)      Cases that have been denied admission initially by the established process may also be appealed by Director of Athletics directly to the Dean of Undergraduate Admission, who will confer with the chair of the FAAS. The Dean of Undergraduate Admission will notify the chair of the FAAS of appeal decisions. Such appeals may be filed only under exceptional circumstances.

c)   Special Case of NLI Signing prior to Final Determination of Admissibility: The Director of Athletics may choose to sign and offer an NLI and/or SFA to a PSA who has not yet been deemed admissible through either the AR or FR process. In these circumstances, the Director of Athletics, or official designee, will affirmatively notify both the AO and the Chair of the FAAS by the conclusion of the subsequent business day after an official signed NLI had been executed by all parties. Also, in such cases, the Director of Athletics understands that the Dean of Undergraduate Admission and the UAC or the FAAS has final authority in granting or denying admission to SMU. Should a PSA within this context (who signed a NLI and/or offer of a SFA) be denied admission to SMU, then the NLI and /or SFA would become null and void per policy. The Director of Athletics would have no additional recourse in such cases of final determination.

As implied in all of the above policies, final decision-making authority regarding the admission of PSAs shall rest with the Dean of Undergraduate Admission. 

E)     Transfer Admission

AR Review: Admissions Review

Transferable SMU GPA 2.3+

FR Review: Faculty Athletic Admission Subcommittee Review

Transferable SMU GPA <2.3.  However, there is an automatic review for any overall GPA (from another institution) under a 2.0.  Accordingly, this GPA calculation may include non-transferable hours under a 2.0.

For transfer PSAs with less than 30 estimated transferable hours, an official high school transcript will be required and high school GPA (SMU-calculated) with test score indicators used in the admission process.

F)           Documentation and Reporting Procedures

               The AO maintains a written record of all files submitted for review and of all PSA decisions rendered. In addition, the AO documents the comments specific to the numeric indicators and to the decision-making criteria outlined in section    II where necessary. A summary of decisions and comments are provided at a minimum of twice a semester to the UAC and FAAS for monitoring purposes. Detailed documentation of denied files also provides necessary insight for appeals cases.

               The Liaison informs the head coach, in writing, of the admission decision and copies all appropriate Athletic Department personnel.

               Each April, the Dean and Assistant Dean of Undergraduate Admission (in consultation with other AO involved in the athletic admission process) shall submit to both the University Admission Council and the Athletic Council a report on all PSAs reviewed for admission. The report will include statistics on both accepted and rejected applicants. Post -matriculation reporting about admitted student athletes will include official admission ratings (where available) as well as pre-matriculation admission categories.

G)           Procedures for University Matriculation

               All matriculants shall be informed by the head coach in the relevant sport of the rigor of the SMU academic program, but that it is the judgment of the University that they have the ability to graduate. No student will be admitted if this statement cannot, in good faith, be made. Students will also be informed that they may need to utilize support resources made available by the University to assist them in their academic progress.

               Before a student matriculates, his/her application and official transcript (secondary and/or college) must be mailed from the secondary school or college directly to the Undergraduate Office of Admission or to the appropriate Athletic Department personnel.

               It must be noted that the Athletics Department can pull the “athletic” endorsement of any PSA file at any time prior to a formal offer of admission to SMU. In such a case, the PSA admissions file shall be treated and reviewed as a file contained within the general applicant pool where athletics ability or previous athletic performances shall only be considered in the context of an extracurricular activity.

               Following each National Letter of Intent signing dates, the Admission Officer (AO) will provide copies of any files of matriculants who were processed under the FR process to the appropriate Learning Enhancement Center personnel with all due diligence. (Copies of all student athletes’ transcripts, with previous semester grades and current semester enrollment will be on file at the A-LEC in time to make informed decisions about summer school enrollment and regular term course placement.)

H)           Procedures for Final Certification of Eligibility

               By August 15, Athletics Compliance shall submit to the Assistant Dean of Undergraduate Admission a master list of all PSAs planning to attend SMU. The Office of Undergraduate Admission shall be responsible for soliciting final high school transcripts.

               First year PSAs must be certified by the NCAA Initial Eligibility Clearinghouse.

               The Athletic Department Compliance Office is responsible for soliciting from each program necessary information on incoming PSAs. Compliance takes this information and submits it to the Clearinghouse (CH). As weekly reports from the CH are received, compliance will update coaches as to the eligibility status of their recruits and what, if anything, additional may be needed by the CH.

               The final eligibility status will be determined by the CH and communicated to the Compliance Office, which then relays the certification decisions to the Athletic Department liaison in the Office of the Registrar. The Registrar’s Office prepares and signs all eligibility rosters. The Faculty Athletic Representative also signs all eligibility rosters. Copies of signed eligibility rosters are sent to the Compliance Office, which is responsible for relaying said eligibility information to each sport as it becomes available.ble.

               Upon signing of a PSA to a grant-in-aid, the appropriate Athletic Department personnel will promptly provide this information to the Dean and Assistant Dean of Undergraduate Admission.

Whereas President Turner convened a Library Planning Committee to draft procedures on Concurrent Appointments with the Bush Institute; and

Whereas the procedures reflect President Turner’s willingness to address and support the concerns expressed by the faculty; but

Whereas the Executive Committee of the Faculty Senate found aspects of procedures to be ambiguous or lacking in force; and

Whereas in spring of 2008, University Counsel Leon Bennett suggested that the Senate draft language giving greater specificity to the procedures by which Fellows or Scholars of the Bush Institute could be hired concurrently by SMU,

The Faculty Senate resolves that the procedures below shall be presented to the President to further define procedures outlined in the Academic Committee’s document (Feb 21, 2007—see Appendix):

1.       Establishment of need by the department.  Concerning the term “department”:  all concurrent faculty (including Lecturer, Senior Lecturer, Assistant Professor, Associate Professor and Professor) appointments will be to academic units with tenured faculty.  No concurrent appointment of any title will be University-wide. These processes will also apply to appointments listed above with the descriptor “visiting” or “adjunct” if the concurrently appointed individual will offer a course for degree credit as instructor of record.  An academic unit will generally be a department, but may also be a school in those units without departments. Programs without tenured faculty are not eligible for Concurrent Appointments with the Bush Institute.

2.       Approval of the respective Dean and identification of source of funding.   The term and nature of any concurrent appointment will be made by contract with the University and will not depend on a continuing appointment to the Institute.  Any Fellow of the Bush Institute who is appointed to the faculty of the University must receive a salary for the academic appointment . Funding for this contractual salary must be available from funds controlled by the University.  This provision is to ensure the academic integrity of the classroom by requiring the faculty position be capable of being funded from University resources in the event the Institute withdraws its financial support for the Bush Institute Scholar who has received a concurrent appointment.

3.       Approval of the Provost.

4.       Advertising the position if appropriate. Every effort will be made to make certain that the candidate considered for concurrent appointment is the most qualified person available.  The decision whether to advertise the position will be made by the faculty of the academic unit in accordance with University Policy and in consultation with SMU Office of Access and Equity.

5.       Interviewing qualified candidates. The faculty will be provided with the credentials, publications, and other research of the candidate; the faculty of the academic unit will be provided with a reasonable opportunity to meet with the nominee for a concurrent appointment.

6.       Recommendation by the departmental faculty to the Dean.  A vote to approve or not approve each appointment will be made by the faculty of the academic unit in accordance with University and the academic unit’s policies.  The Chair, Dean, and Provost will not act absent a vote of faculty.

7.       Recommendation by the Dean to the Provost

8.       Appointment by the President

9.       Any matters not specified here in or in the “Guidelines for Concurrent Appointments” (February 21, 2007; Prepared by the Academic Planning Committee of SMU) will be performed in accordance with SMU Policy and the By Laws of SMU.

Appendix

Guidelines for Concurrent Appointments

between

The Bush Institute and Southern Methodist University

Prepared for President R. Gerald Turner by the Academic Planning Committee

for the Bush Presidential Center

February 21, 2007

                These guidelines specify how concurrent appointments may be offered to the Scholars of the Bush Institute upon the recommendation of any department or a school of the University.  The term “Scholars” includes all categories of Fellows and other distinguished personnel appointed by the Institute.  The guidelines stated below are consistent with the practices currently used in making appointments in departments and schools of the University.

General Principles Observed in Making Concurrent Faculty Appointments

The University, when it sees fit, may appoint Bush Institute Scholars to the faculty of a particular SMU department or school; there shall be no University-wide appointments.  In appointing a Bush Institute Scholar to the SMU faculty, the University shall use the same process that it uses for the appointment of regular SMU faculty of the same rank.  In cases of SMU faculty members being invited to affiliate with the Bush Institute, the practice of the University that a faculty member must have the approval of his or her department or school before accepting an appointment at another institution shall be followed.

Faculty Ranks Eligible for Concurrent Appointments

The following faculty ranks defined in University Policy 6.6 B. are open for concurrent appointments with the Institute.

Professors, Associate Professors, and Assistant Professors.

Visiting Professors and Adjunct Professors with appropriate rank.

Lecturers and Senior Lecturers.

Scholars-(Writers, Composers, Artists, Executives, Diplomats, Legislators, Executives, etc.)-in-Residence.

Research Faculty:  (University Policy # 6.6.J)

Full-time faculty members are those employed to perform full-time teaching duties for nine continuous months of employment each year.  (For the definition of the term, “teaching,” see University Policy 6.6.H.1)  Full-time faculty employed only for one semester will be designated as “Temporary Full-time Faculty” (University Policy 6.6.H.2).  Concurrent appointees are deemed to be full-time employees of the University only if they do not hold a full-time appointment at the Bush Institute.  The members of the University faculty who are part-time receive appointments with the titles of “Visiting” or “Adjunct” preceding the appropriate rank.  They are employed by the semester or by the academic year to carry up to one-half the regular workload of a faculty member.  (University Policy 6.6.I). 

Process for Making Concurrent Faculty Appointments

Dedman College and the six other schools have established procedures by which faculty appointments are recommended to the President.  While all SMU faculty appointments are formally made by the President on the recommendation of the Provost, each School has its own appointment process.  In Dedman College, and the Schools of Arts, Business, Education and Human Development, and Engineering, the process of appointing a faculty member starts at the department level.  Since the Schools of Law and Theology do not have a departmental structure, the appointment process starts at the School level.  The standard procedure for making faculty appointments has the following steps.

1.       Establishment of need by the department

2.       Approval of the respective Dean and identification of source of funding

3.       Approval of the Provost

4.       Advertising the position if appropriate

5.       Interviewing qualified candidates

6.       Recommendation by the departmental faculty to the Dean

7.       Recommendation to the Provost

8.       Appointment

 Visiting and Adjunct appointments are made when there is need to cover specific course(s), and the department chair (or the Dean of the School) identifies a candidate qualified to teach the specific course(s), or if the department wishes to associate itself with an outstanding scholar.  Then a faculty committee of the department or the school evaluates the credentials of the candidate and makes its recommendation to the Dean.  By that time, the source of funding would have been identified.  The Dean then makes a recommendation to the Provost who approves or disapproves the appointment.  Scholars in Residence appointments also follow the procedure.

Letter to Deans and Provost concerning proper use of Code of Ethics 

 To:         Paul W. Ludden, Provost and Vice President
                John Attanasio, Dean, Dedman School of Law
                Jose Bowen, Dean, Meadows School of the Arts
                Cordelia Candelaria, Dean, Dedman College of Humanities and Sciences
                David Chard, Dean, Annette Caldwell Simmons School of Education and Human Development
                William Lawrence, Dean, Perkins School of Theology
                Albert Niemi Jr., Dean, Edwin L. Cox School of Business
                Geoffrey Orsak, Dean, Lyle School of Engineering

From:      Dennis Foster, President, Faculty Senate
                Pat Davis,  President, SMU Chapter, American Association of University Professors

Re:          Use of SMU Code of Ethics

Date:      February 5, 2009

Copy:     R. Gerald Turner, President , Southern Methodist University
                Paul Ward, Vice President, Legal Affairs and Governmental Relations

The Faculty Senate and SMU Chapter of the American Association of University Professors write to express our understanding of the appropriate use of the SMU Code of Ethics (SMU Policy 1.20) with regard to disciplinary action involving members of the SMU faculty.  The Senate and the AAUP consider the use of the Code of Ethics as a basis for disciplinary action to be a misreading of the procedures established in the SMU Policy Manual. 

 The SMU Code of Ethics is an aspirational document expressing “basic values” of the SMU community.  As such, it lays out in general terms attitudes and behaviors that the University hopes will govern the actions of all.   It does not, however, describe precisely what would constitute an infraction of these values, or what consequences for an infraction might be.  Nor does the Code require community members actually to subscribe to these values. 

 In fact, the Code itself describes its own proper limits.  The final section of the Code reads, “To implement the principles of this Code, SMU has developed policies, disciplinary procedures, and sanctions related to academic honesty, non-discrimination, use of University funds and resources, faculty, staff, and student conduct, and other aspects of our life and work together.”  That is, rules describing specific infractions of University policy and governing disciplinary procedures and sanctions are expressed elsewhere.

 Policy 6.16 of the University Policy Manual (and, for the specific problem of research misconduct, 7.6) establishes disciplinary standards and procedures as they apply to faculty.  Policy 6.16, A, 1 sets the standard with regard to involuntary termination of a faculty member: “Adequate cause for an involuntary dismissal will be related, directly and substantially, to the fitness of the faculty member in his/her professional capacity as a teacher or researcher.”  Sections governing the lesser penalties of “Sanctions” (6.16, B and C) imply that this standard remains the operative one.  

 Under the 6.16 standard, questions relating to the appropriateness of any disciplinary action against a faculty member do not arise out of general community values, but out of specific evaluations of professional fitness for teaching and research.  When a member of the faculty is faced with possible dismissal or sanctions, the University is required to provide “proof that adequate cause for sanctions or dismissal exists” and to frame any charges “with reasonable particularity.”  The Code of Ethics is not germane to this requirement..

 The Faculty Senate worked with the University to produce the Code of Ethics as an expression of the SMU Community’s values and as a reminder to all to live up to the highest standards of behavior.  And, the Senate and AAUP continue to endorse the SMU Code of Ethics as an aspirational document.  However, both the Senate and the AAUP maintain in the strongest terms that the Code of Ethics is not to be used as a basis for any disciplinary action against a faculty member at SMU.  Disciplinary actions against faculty members must only arise out of and adhere to those sections of the SMU Policy Manual expressly relating to faculty discipline.  To do otherwise not only violates SMU policy, but it works counter to the purposes of the Code of Ethics. 

 Any questions regarding this issue may be directed to Dennis Foster, President of the SMU Faculty Senate, or to Patricia Davis, President of the SMU Chapter of the AAUP.

Resolution Concerning the Acceptable Number of Post-Matriculation Transfer Hours

 Whereas, the current university policy holds that “once students have matriculated at SMU, they may transfer no more than 15 hours to SMU from accredited colleges and universities”;

Whereas, this policy discourages students from studying for a full year (30 hours) in international programs unaffiliated with SMU, and thereby conflicts with goal five of SMU’s Centennial Strategic Plan, which is “to broaden global perspectives”;

Whereas, this policy also discourages the return of students who, for legitimate reasons, take a leave of absence for more than one semester and enroll in courses elsewhere; and

Whereas, it remains university policy that at least 60 hours must be earned in residence at SMU, and students who enroll in courses elsewhere must obtain prior approval to ensure the transferability and applicability of such courses; now therefore be it

Resolved that the university’s limit on post-matriculation transfer hours be raised to 30 hours.