Compliance Manual

Transcription

1 Compliance Manual

2 Dear Athletics Staff, Student-Athletes and Other UIC Constituents: The following Manual is the UIC Compliance Manual. This book is to be used as a reference guide to help you in your day-to-day tasks that involve NCAA, Horizon League and UIC rules and protocol. However, this is not meant to replace the NCAA Division I Manual, it is only meant to be a supplement to the manual. The following areas will be covered: Eligibility (general regulations and certification of initial, continuing and transfer) Academic Performance Program Financial Aid Recruiting Camps and Clinics Rules violations investigations and self-reporting Rules Education Extra Benefits Playing and Practice Season Student-Athlete Employment Amateurism If questions arise at any time, you can contact the Compliance Office. Please remember to always ASK BEFORE YOU ACT. Sincerely, Shannon M. Norkus Director of Compliance 2

3 Eligibility In order to participate in intercollegiate athletics all students must be eligible based on the rules in Bylaw 14 of the NCAA Manual. The following section will highlight the areas that need to be addressed by the coaches, administrators and student-athletes. In general, a student-athlete s eligibility can be affected by many different issues and factors, including NCAA rules violations, academic issues, etc. If you have a student-athlete who finds themselves with an eligibility issue, their situation will be handled on a case-by-case basis. The Compliance Office will discuss options (i.e. Waiver) with the head coach and the team liaison at which time the decision will be made as to how we will proceed in trying to solve any sort of eligibility issue. General Eligibility Requirements All student athletes must be registered full-time in order to practice and compete in intercollegiate athletics, unless they are certified as having less than 12 hours in order to graduate. The Registration and Records Office will place a hold on all Student-Athlete s accounts after the first two weeks of class to ensure that our student-athletes do not drop below full-time status. All student-athletes must sign the NCAA, Horizon League and UIC required paperwork prior to the first day of practice in order to be eligible. All student-athletes have 5 academic years to participate in 4 seasons of athletics competition. The 5- year period begins once the student enrolls for the first time in a full-time program of studies at any collegiate institution. Delayed enrollment by a student-athlete can affect the number of years they will have available to them to participate in intercollegiate athletics. Season of Competition Waivers (redshirts, medical redshirts, hardship waivers) are handled on a case by case basis and should be brought to the Compliance Office as soon as a coach is aware that they will need to file such a waiver, unless it is a non-participation redshirt (the SA didn t compete in any contests) that should be filed with the Compliance Office within the two weeks following the end of the Championship segment. Roster Management Coaches are responsible for submitting a roster to the Compliance Office by June 15 th prior to the start of the next academic year. At this time the Compliance Office will roll over the roster for that sport and the coach will receive an updated roster for the following academic year. When and if changes need to be made throughout the academic year the Coaching staff is responsible for submitting the changes via the Roster management form to the Compliance Office. Once the changes are submitted the roster will be updated and you can receive an updated roster by request. The Student-Athletes that are deleted from the roster after the start of the academic year will remain on the roster for the rest of the year based on their participation (as defined in Bylaw ) in the sport. They will however 3

4 have a note stating when they were deleted from the roster and the column for eligibility will show that they are not eligible to compete. Tryout Authorization Form Prior to a coach allowing a current UIC student to tryout for their respective team they must fill out a tryout authorization form. The Head Coach is responsible for providing the form to the student; the student is then responsible for filling out the portion of the form that requests general information. They are then responsible for taking the form to the Training Room, where they must either obtain information on where they can get a physical or they must show proof that they have had a physical in the last year. Each student is also responsible for showing they have insurance. The form is then brought to the Compliance Office, where the Compliance staff will certify whether the student is registered full time and in good academic standing and if they are registered with the Eligibility Center. If the student is not registered full-time, in good academic standing, or does not meet the requirements from the Training Room they will not be cleared to tryout. If they have met all the requirements above (except the EC registration), they have a two-week period in which to tryout with the team. If they are added to the roster after the two-week trial they are then responsible for registering with the Eligibility Center (if they have not already). If you are out-of-season at the beginning of the Fall semester, no tryouts will be approved during the first two weeks of classes. Initial Eligibility Every prospective student-athlete (PSA) must be put on the corresponding teams Institutional request list (IRL). The IRL is the list of PSAs that the NCAA Eligibility Center will be certifying to participate in Division I athletics. The PSA is responsible for submitting any necessary payment and paperwork to the Eligibility Center. The Compliance Office will maintain the IRL through the eligibility center. Additions may be made by written request to the Compliance Office. In order to add a PSA to the IRL, one must provide a full first and last name and birthdate or name of high school to the Compliance Office. If a coach would like an individual removed from their IRL they must present a written request to the compliance office. The Eligibility Center will determine the academic standing of your PSAs via Bylaw It is important to keep in mind that although a PSA may be meet NCAA eligibility standards, yet still may be inadmissible to the University. The University admissions standards vary by college. UIC requires that certain benchmarks are met in test score, GPA and class rank. As soon as a coaching staff decides to proceed with recruiting a student-athlete we ask that you provide the Compliance Office and Sam Rush, Assistant Athletic Director for Academic Services a copy of the PSAs transcript and test score. It is advisable that the coaching staff maintain a file with this information, as well. International Student-Athletes All International Student-Athletes will be reviewed by the Compliance Office using the NCAA s most current Guide to International Academic Standards for Athletics Eligibility. However, it is the final decision by the NCAA that will determine the athletic and academic eligibility of these student-athletes. 4

5 Transfer Student-Athletes The Compliance Office will utilize Bylaw 14.5 in order to determine the eligibility of all transfer studentathletes. Outside Competition Student-athletes should never participate in outside competition during the academic year unless it is listed in Bylaw 14.6 as a legislated exception. Outside competition is permitted during official vacation periods listed in UIC s student catalog; however any student-athlete wishing to participate in outside competition must first obtain permission from the compliance office and their respective coaching staff. Certification of Eligibility Initial Eligibility Once a student is deemed a qualifier or a nonqualifier by the NCAA Eligibility Center and they are added to the roster by the Head Coach, the compliance office adds them to the Compliance Assistant Software, they fill out the necessary NCAA paperwork and they are (qualifier) or are not (nonqualifier) certified to participate in practice and competition. If a PSA arrives on campus prior to being certified by the Eligibility Center they will be added to the roster; however they will only have 45 days to practice while their status is being determined. Please note that they are only able to participate in practice, they are not able to compete until the Eligibility Center states they are eligible. Transfer Eligibility The certification of eligibility for transfer students is similar to that of the incoming freshman with a few exceptions. Before a coaching staff member is allowed to talk to a transfer student-athlete the compliance office must ensure that there is a permission to contact on file for that individual. A review of the transcript by the Assistant Athletic Director for Academic Services and the Compliance Office is required to certify the number of credits the student has earned at their previous institution(s). At times, the transcript will be sent to the college that the student is seeking admission to in order to have an advisor within that college review the transcript for the student athlete and also note the number of transfer credits the student will have upon enrollment at UIC. Transfer students are also required to register with the Eligibility Center and the Compliance Office makes sure that the student is cleared to participate by the NCAA Eligibility Center. Prior to the student s enrollment the Compliance Office also must obtain information in the form of a release from the student s former institution(s), this will allow the Compliance Office to confirm the student s academic and athletic eligibility based on their past participation at their former school(s). Once again, after all of the necessary information is collected and the student-athlete fills out the proper NCAA and UIC paperwork they are added to the roster at the coaches request and they are certified (or not certified) to practice and compete. 5

6 Continuing Eligibility Every semester each student-athlete undergoes an eligibility review and certification. At the end of each semester, the Registrar s office provides the Compliance and Academics Office with Academic Review Documents (ARDs) after an initial review by the Compliance Office and Academic Services Staff, the ARDs are sorted by team and copies are provided to the coaching staffs and the team liaisons. The Compliance Office is then responsible for providing each college with a list of enrolled student-athletes and the academic advisors for each college are asked to provide the compliance office with the following information: the number of hours passed that semester, the overall number of hours earned toward graduation and the student s cumulative GPA. There is also a column provided for comments if necessary. The Compliance Office also provides the Academic Advisors with the corresponding Bylaws from the NCAA Division I Manual in order to educate them on the requirements for eligibility. Each college is asked to return the documentation on each student athlete within 10 days. Upon receipt of the information from the college advisors the Compliance Office enters the information into the Compliance Assistant Software. The Compliance Office then determines whether each student is to be noted as eligible or ineligible for the upcoming semester. Along with Rob Dixon, Registrar, who provides ARDs to the Athletic Department, a representative from each of the following colleges which we have enrolled student-athletes aid in determining eligibility: College of Liberal Arts and Sciences College of Business College of Engineering College of Applied Health College of Architecture and the Arts College of Education College of Nursing Eligibility Committee The Eligibility Committee is a group of Athletics Department Staff Members and Non-Athletics Staff Members who meet twice a year to discuss issues within Bylaw 14. If there is something that you would like brought to this groups attention, please see the Compliance Office. 6

7 Academic Performance Program The Academic Performance Program (APP) is a program developed by the NCAA with the purpose of helping institutions to graduate their student-athletes. The reports that are included in the APP are the Academic Progress Rate (APR) and the Graduation Success Rate (GSR). There is a reward and penalty structure based on the numbers that you submit to the NCAA. UIC is required to disclose the scores received on the APR and GSR, if the scores are not reported the institution is precluded from participating in post season play. The APR is a measure of eligibility and retention of UIC s student-athletes receiving athletically related financial aid. Each student can earn up to two points each semester. One point if you are eligible to compete the subsequent semester and one point if you remain at the institution. A student-athlete can earn the same number of points second semester as long as they meet the aforementioned requirements. This data is collected and submitted by the Director of Compliance no later than 6 weeks after the start of the academic year. The data that is submitted is from the previous academic year. An individual team score is earned by each athletic program and an overall score is given to the institution. The previous three years of data and the current data are averaged together to give each team their 4- year score. If the 4-year average score is greater than 930, or if your 2-year average is greater than 940, you will not be penalized. However if the score is below 930 there will be penalties applied to the team. The penalties get progressively worse depending on the number of times you are consecutively below 930 and how far under the 930 average your program is. The penalties range from public warning to loss of practice time, coaching suspensions, and restrictions on Division I membership status (list not inclusive). There are always opportunities to earn points back through an appeals process or through legislated exceptions. The Compliance Office will determine whether a program can earn back or appeal for points that they lost on a student-athlete. The Graduation Success Rate (GSR) is the other measure in the APP. The GSR is similar to the Federal Graduation Rate but it is able to count student-athletes who transfer into the institution and as long as someone who transfers out of the institution is academically eligible when they leave they will not count against the GSR. The GSR is based on four consecutive years of data of entering freshmen and transfer students on athletically related financial aid (e.g. the most recent data the NCAA released is for the cohort). The NCAA Eligibility Center provides UIC s APR and GSR to Prospective Student-Athletes once they are added to our Institutional Request List. The reports are available at or through the Compliance Office. 7

8 Financial Aid Grant-in-Aid Request Prior to offering athletic aid to any prospective or current student-athletes the head coach is responsible for providing the Compliance Office with a Grant-in-Aid Request form. The form must identify the student as an incoming freshman, returning student-athlete or a transfer student. The Head Coach is responsible for providing the amount of money they would like to give for the grant-in-aid broken down by tuition, fees, room and board (on or off campus) and books. The Head Coach must sign the form and return it to the Compliance Office. The Compliance Office will obtain the team liaison s signature. After the signatures have been attained the financial aid agreement will be issued to the student-athletes. Below are the steps that must be taken for each of the following type of student, incoming freshman, returning student-athlete or transfer student: Incoming Freshmen who are receiving a financial aid agreement are also most often receiving a National Letter of Intent (NLI), as well. When the Grant-in-Aid Request is returned to the Compliance Office, the Compliance staff will ensure that the prospective student-athlete is registered with the Eligibility Center, because a NLI may not be issued if they are not registered with the EC. Returning Student-Athletes who are receiving renewals will receive their Financial Aid agreements as soon as the Head Coach provides the Grant-in-Aid requests to the Compliance Office, unless the coach would like them at a later date. If a Head Coach would like to issue a Financial Aid agreement to a transfer student they are required to provide the Compliance Office with the following information: Is there permission to contact or release on file? And, did the student sign a NLI with their previous institution? Renewal and Non-Renewal of Athletic Aid Renewal Procedures The responsibility for the administration of the University s Grants-in-Aid program is vested in the Director of Athletics. It is his/her obligation to insure that the regulations of the NCAA, Horizon League and the policies of the University are being observed. Student-Athletes should be aware that aid is granted on a year to year basis, with no guarantee of renewal. Student-Athletes are expected to participate to the best of their ability in practice, during games and in the classroom; to comply with any and all applicable rules, regulations and procedures; and to illustrate decorum on campus, in the community and while participating in any and all athletic events. It is within the sole discretion of the Head Coach to determine whether or not the Grant-in-Aid should be renewed for the following year. He/she shall make a recommendation to the Athletic Director. If the coach recommends non-renewal, the Athletic Director has the sole authority to request that a notice of non-renewal be issued by the UIC Office of Financial Aid. Pursuant to applicable NCAA regulations, the Office of Financial Aid will send the official notice of non-renewal and alert the student-athlete to his/her right to request a hearing to 8

9 dispute the non-renewal. See the Grants-in-Aid Grievances section of this handbook for further information about the procedures to be followed for the hearing. Grants-in-Aid Grievances Non-renewal/modifications Upon notice of non-renewal issued by the UIC Office of Financial Aid, the student-athlete has the right to request a hearing before the Financial Aid Review Committee. The Student-athlete shall have ten (10) business days from the date of mailing of the notice of non-renewal to request said hearing. Within fifteen (15) business days from the date of receipt of the studentathlete s request for hearing, the Committee shall notify the student-athlete of the date, time and location of such hearing. All such hearings are closed except for the following individuals: members of the Financial Aid Review Committee, the student-athlete, one or more representatives from Athletics, advisors or legal counsel, and any relevant witnesses (who will be present only during their testimony). The student-athlete and the representative(s) from Athletics have the right to have one advisor present during the hearing. The role of the advisor will be restricted to advising the respective parties. No advisor may speak at any time in place of the student-athlete, representative(s) from Athletics or the Committee. The Committee reserves the right to exclude an advisor from the proceedings for failure to abide by these guidelines. If a student-athlete chooses to retain legal counsel as his/her advisor for the hearing, written notice must be given to the Committee chair at least three (3)business days prior the hearing. The committee may then request that a representative from the Office of University Counsel be present. Failure to provide the requisite notice may result in the advisor/legal counsel being excluded from the proceedings. The Committee shall issue its decision to the student-athlete within fifteen (15) business days after the date of the hearing. The decision of the Committee shall be final and binding upon the Athletic Department and the student-athlete. General Provisions: Any notice or decision issued pursuant to the foregoing procedures shall be in writing, forwarded by first class United States registered for certified mail, postage prepaid, to the last-known address of the student-athlete, as designated by that student-athlete upon acceptance of his/her Grants-in-Aid or as subsequently updated in writing by the student-athlete. Notices or copies of notices to the coach, Athletic Director or Department of Athletics shall be sent to Director of Athletics, 839 W. Roosevelt Rd., Chicago, IL Voluntary Withdrawal If a student-athlete on athletic aid decides not to return to their respective team they will be asked to sign a Voluntary Withdrawal Form. This form is available upon request at the Compliance Office. 9

10 Squad List Each Athletic Team is required to have a Squad List on file. The Compliance Office will provide a Squad List to the Head Coach prior to their first date of competition. The Head Coach must sign the Squad List and return it to the Compliance Office. The Compliance Office will sign the Squad List as will the Financial Aid Office. Lastly the form will be given to the Athletic Director for his signature. The Squad Lists will be kept in the Athletic Director s office. The Squad Lists can be amended at any time throughout the academic year, therefore changes can and will be made as your rosters change. Special Assistant Fund for Student Athletes (SAFSA) Each student-athlete whether they are on Athletic Aid or not are eligible to apply for the SAFSA which is a fund provided by the NCAA through the Horizon League Office. Student-athletes must turn their forms into the compliance office where they will be deemed eligible if they have a demonstrated need or ineligible if they do not have a demonstrated need. The forms are sent to the Horizon League Office, they issue checks to each student that is eligible and return the checks to the Compliance Office. The Compliance Office distributes the checks to the student-athletes and requires them to sign a form stating that they understand that they are responsible for providing receipts that total the amount of money they have been given. The receipts are limited to: clothing, shoes, medical expenses, travel, and family emergencies. If the student-athletes fail to turn in receipts their student accounts will be charged the balance and they will not be eligible to receive the funds again the next academic year. Student Athlete Assistance Fund (SAF) The student-athlete assistance fund is a fund provided by the NCAA and distributed through the Horizon League Office. It covers expenses in areas such as summer school, fifth year aid, medical emergencies and many additional expenses. This fund is handled by the Senior Woman Administrator. Outside Aid All aid received by student-athletes that does not come from the athletic department or through parent or student loans must be reported to the Compliance Office at the start of the academic year. Studentathletes will be required to supply in writing the name of the outside aid and the requirements for receiving such an award. This will allow the athletic department to work in conjunction with the financial aid office in deciding whether the student-athlete may accept the scholarship or grant or if they may not accept the scholarship or grant due to NCAA limits. Recruiting NCAA Certification Exam In order to be eligible to recruit off-campus coaches must take and pass the NCAA Certification Exam. Each sport must be within the NCAA allowable recruiting limits for their sport. The Certification Exam is offered throughout the summer and it is recommended that it be taken prior to July 31 st when the prior year s certification lapses. The Certification Exam is proctored by the Faculty Athletic Representative 10

11 (FAR). If the dates that are made available by the FAR and the Compliance Office are not feasible, the coach is responsible for setting up a date with the FAR. All coaches whether they will be off-campus recruiting or not are required to take the Exam to ensure that they are aware of the NCAA rules and regulations. Pre-Recruiting Form Prior to any off-campus recruiting coaches are responsible for submitting a Pre-Recruiting Form. The date, location and event are listed by the coach. The coach must give the form to the Compliance Office, which will indicate whether the sport is in a contact, evaluation, quiet or dead period. If it is a contact or evaluation period the form will be signed off on by the Compliance Office and then given to the team liaison for that sport. The Liaison will make the decision to approve the recruiting trip. If the trip is approved the form is filed in the Athletic Director s office and if the trip is not approved the coach will be informed by the team Liaison. It is requested that the forms are submitted at least 48 hours in advance of the recruiting trip. Dead Period Each sport has dead periods throughout the academic year and they will be informed of these dates via the recruiting calendar issued at the start of the academic year or through reminders provided by the Compliance Office prior to the dead period. Recruiting Logs/Telephone Logs Coaches are responsible for submitting telephone logs by the first Tuesday of the month for the previous month s phone calls to recruits. Each member of the Coaching Staff who makes phone calls is required to turn in their own call logs. The Compliance Office may occasionally ask to review phone records in order to cross check the submitted call logs. Contact/Evaluation Logs Coaches are responsible for submitting contact/evaluation logs by the first Tuesday of the month for the previous month s contacts and evaluations. Staff members who recruit off campus must report their recruiting activity. Visits Official Visits Coaching staffs are responsible for submitting Official Visit Requests to the Compliance Office. All Official Visit request forms must be accompanied by a transcript, test score and core course breakdown prior to approval. Once the Compliance Office receives the required paperwork, the transcript and test score are reviewed for potential NCAA issues. The Assistant Athletic Director for Academic Services will also review the transcript and test score for potential admissions problems. After review, notes will be made 11

12 on the form if necessary, noting the NCAA or admissions issues. The visit will then be approved or denied based on the information presented. Coaches are required to obtain signatures from the student hosts and the prospects prior to returning the forms to the Compliance Office post-visit. Current student-athletes who may serve as hosts to prospective student-athletes will be informed of the rules and regulations governing Official Visits at the start of the academic year during the team meetings. Non-Qualifiers cannot serve as hosts. Unofficial Visits After unofficial visits coaches are responsible for the submission of the Unofficial Visit Form. This form allows you to list the individuals who participated in the visit what activities were and were not paid for by the university (note: The only allowable benefit a PSA may receive on an unofficial visit is a total of 3 complimentary admissions through a pass list to a home athletic event within a 30-mile radius of campus). The Unofficial Visit form requires signatures from the prospective student-athlete and the Head Coach. National Letters of Intent (NLI) A Grant-in-Aid Request is necessary to have on file prior to issuing a NLI. The NLI can only be sent to a prospective student-athlete if a financial aid agreement accompanies the NLI. The NLIs are now created through the Legislative Database (LSDBI). This allows the Compliance Office to ensure that each student is registered with the Eligibility Center. Coaches have the option of sending a NLI via mail, or fax. A Coach cannot hand deliver a NLI. The signees may return the signed paperwork via mail, or fax. As soon as the NLI and financial aid agreement are returned they must be given to the Compliance Office so that the Horizon League can file the NLI with the NCAA. The letters may only be issued during the signing period for each respective sport. In order for the letter to be valid it must be signed within two weeks of the issuance date and once the letter is returned to UIC it must be filed with the conference office within three weeks of the day the prospect signed the letter. The letter become null and void if the student is deemed a non-qualifier or the student is not admitted to the University. Permission to Contact If a current student-athlete is released from their team or decides that he/she would like to pursue opportunities at another member institution they must take the following steps: 1. Student-Athlete must speak with Head Coach to inform them that they will not be returning, if on aid they must sign a voluntary withdrawal. If the student-athlete is informed that their aid will not be renewed he/she may sign a voluntary withdrawal or he/she will receive a Nonrenewal letter from the Financial Aid Office. 2. The Student-Athlete must speak to the Director of Compliance in order to provide a list of schools they are interested in attending. 12

13 3. The Compliance Office will contact the Head Coach, Team Liaison and Athletic Director and provide them with the list of desirable schools. 4. UIC has the ability to grant or deny the request, but must do so within seven days, if the decision is not made within the seven days the Compliance Office must honor the request by default. a. If UIC chooses to deny the request, the student athlete will receive the decision in writing within seven days. b. The student-athlete will then have the opportunity to petition the decision, a hearing conducted by individuals outside of the Athletic Department must be held within fifteen days of the student s written petition. c. The Committee is required to provide a written decision within the same fifteen day period, if that time elapses, the request is granted by default. 5. The student-athlete will not receive a copy of the permission to contact letter. In cases involving incoming transfer students: 1. UIC must receive permission to contact from the incoming student-athletes former institution. 2. If the student-athlete contacts a coaching staff member prior to a permission to contact being on file with the Compliance Office and the coaching staff, the coach must cease conversation immediately and let the student-athlete know that they do not have permission to speak to them. 3. The Compliance Office can send a request for a permission to contact to an institution at the coach s request also if a student did not compete at their original institution(s) the Compliance Office will send a permission to contact to the former institution(s). 4. The Coaching Staff is responsible for informing the compliance office of every school the incoming student-athlete has attended. 5. The student-athlete will be unable to participate until the Compliance Office has a/all release(s) on file for the student. Any questions with regards to the above process must be directed to the Compliance Office. Offers and Inducements Bylaw 13.2 addresses offers and inducements to potential student-athletes. The list is not all inclusive; however it does provide guidelines that all staff members should follow. Camps and Clinics All Camps hosted by UIC Coaches must be incorporated and therefore the camps are all considered privately owned. However due to the fact that the camps are owned by UIC Coaches the camps are also institutional camps. Therefore, all camps and clinics are Privately Owned Institutional Camps. In order to secure dates for camps and clinics, coaches must meet with the Facilities Staff. Once dates are chosen for the camp or clinic the corporation is required to place a deposit with the Facilities Office. 13

14 Once you have secured the space for your camp or clinic, you must meet with the Compliance Office in order to proceed with any other camp or clinic related issues to ensure compliance with NCAA requirements. This includes the following areas: - Review and approval of brochure - Limits on camp attendees - Camp employment of student-athletes - Issuance of camp advertisements and mailings - Free and Reduced Camp and Clinic Admissions After the camp or clinic has taken place it is the responsibility of the coach to provide the following items to the Compliance Office: - List of Individuals receiving free or reduced admission (if any, and provide requirements to receive free or reduced admission) - List of participants/prospects - List of refunds or no-shows - List of Employees and the pay they received for participating as a counselor The corporations will be invoiced by the Facilities office and will be responsible for payment at that time. Rules Violations Investigations and Self Reporting Violations are broken into Levels I, II, III, and IV Level I (Severe Breach of Conduct) 19.1 A severe breach of conduct is one or more violations that seriously undermine or threaten the integrity of the NCAA Collegiate Model, as set forth in the constitution and bylaws, including any violation that provides or is intended to provide a substantial or extensive recruiting, competitive or other advantage, or a substantial or extensive impermissible benefit. Among other examples, the following, in appropriate circumstances, may constitute a severe breach of conduct: (Adopted: 10/30/12 effective 8/1/13) (a) Lack of institutional control;(b) Academic fraud;(c) Failure to cooperate in an NCAA enforcement investigation;(d) Individual unethical or dishonest conduct, regardless of whether the underlying institutional violations are considered Level I;(e) A bylaw violation by a head coach resulting from an underlying Level I violation by an individual within the sport program;(f) Cash payment or other benefits provided by a coach, administrator or representative of the institution's athletics interests intended to secure, or which resulted in, enrollment of a prospective student-athlete;(g) Thirdparty involvement in recruiting violations in which institutional officials knew or should have known about the involvement;(h) Intentional violations or reckless indifference to the NCAA constitution and bylaws; or(i) Collective Level II and/or Level III violations. 14

15 Level II (Significant Breach of Conduct) A significant breach of conduct is one or more violations that provide or are intended to provide more than a minimal but less than a substantial or extensive recruiting, competitive or other advantage; include more than a minimal but less than a substantial or extensive impermissible benefit; or involve conduct that may compromise the integrity of the NCAA Collegiate Model as set forth in the constitution and bylaws. Among other examples, the following may constitute a significant breach of conduct: (Adopted: 10/30/12 effective 8/1/13) (a) Violations that do not rise to the level of Level I violations and are more serious than Level III violations;(b) Failure to monitor (such violations will be presumed Level II but may be deemed to be of a Level I nature if the failure is substantial or egregious);(c) Systemic violations that do not amount to a lack of institutional control;(d) Multiple recruiting, financial aid, or eligibility violations that do not amount to a lack of institutional control;(e) A Bylaw violation by a head coach resulting from an underlying Level II violation by an individual within the sport program; or(f) Collective Level III violations. Level III (Breach of Conduct) A breach of conduct is one or more violations that are isolated or limited in nature; provide no more than a minimal recruiting, competitive or other advantage; and provide no more than a minimal impermissible benefit. Among other examples, the following may constitute a breach of conduct: (Adopted: 10/30/12 effective 8/1/13) (a) Inadvertent violations that are isolated or limited in nature; or (b) Extra-benefit, financial aid, academic eligibility and recruiting violations, provided they do not create more than minimal advantages. Level IV (Incidental Infraction) An incidental infraction is a minor infraction that is technical in nature and does not constitute a Level III violation. Incidental infractions generally will not affect eligibility for intercollegiate athletics. Multiple or repeated Level IV violations collectively may constitute a Level III violation. (Adopted: 10/30/12 effective 8/1/13) Head Coach Responsibility An institution's head coach is presumed to be responsible for the actions of all assistant coaches and administrators who report, directly or indirectly, to the head coach. An institution's head coach shall promote an atmosphere of compliance within his or her program and shall monitor the activities of all assistant coaches and administrators involved with the program who report, directly or indirectly, to the coach. (Adopted: 4/28/05, Revised: 10/30/12) 15

16 Rules Education UIC Athletics is dedicated to the adherence of all NCAA, Horizon League and Institutional rules. Compliance Meetings Rules Education is provided through the Compliance Office. The Compliance Staff conducts monthly meetings, that all are welcome to attend. The Compliance Meetings are held the final Wednesday of each month or an alternate date is chosen to accommodate as many individuals as possible. At these meetings many areas of concern are covered as well as review of bylaws and new legislation. It is mandatory that the coaches attend the Compliance Meetings. If a coach is unable to attend, they are responsible for informing the Compliance Staff and the team liaison that they will not be in attendance and they are responsible for collecting whatever materials were covered in the meeting. All Staff Compliance Meetings The UIC Athletics Department hosts an annual All Staff Compliance Meeting. The purpose of this meeting is to maintain contact with the entire athletics staff and individuals outside of athletics with responsibilities related to athletics and ensure that they are aware that they are responsible for compliance related issues. All staff is welcome to attend the monthly compliance meetings if they choose to do so. Other Materials The Compliance Office is also responsible for distributing materials to the Athletic Staff and others outside of athletics with responsibilities related to athletics when such material is available. This includes but is not limited to new legislation, educational columns and interpretations provided by the Horizon League or the NCAA. All Athletics Staff is responsible for contacting the Compliance Office when they feel they are in need of clarification on a NCAA regulation. Interpretations The Compliance Office requires that all questions regarding NCAA legislation be put in writing by the individuals requesting the interpretation. This allows the Compliance Office to track the interpretation. If the Compliance Office is ever in need of further clarification on a rule, the Compliance Staff will contact the Horizon League Office or the NCAA. At no time should any other individual place a phone call for an interpretation to the NCAA or the Horizon League Office. The Compliance Staff will provide an answer in writing to the question and the individual seeking clarification. 16

17 Extra Benefits A student-athlete receiving any sort of Extra Benefit, as defined by Bylaw , could result in permanent ineligibility. It is imperative that all student-athletes, staff, boosters and fans understand what an extra benefit is and how to avoid providing such a benefit to potential or current studentathletes. Awards The NCAA provides limits on the amount of money that can be spent on awards for student-athletes. Figures 16-1, 16-2 and 16-3 breaks down the allowable amount to spend on Participation Awards, Championship Awards and Special Achievement Awards. The charts can be found at the end of Bylaw 16. Complimentary Admissions and Ticket Benefits Individuals receiving complimentary admissions from a member of UIC Athletics are required to provide identification prior to receiving their ticket. If identification is not provided the individual is required to pay for their ticket. Once identification is provided the individual must provide a signature and they will receive a ticket stub, they will not receive a hard ticket. All student-athletes (and UIC students) are able to attend athletic events for free with an i-card. It is impermissible for any individual to sell a complimentary admission or to receive anything of value in exchange for their complimentary admission. It is also impermissible for a UIC Athletics Department member of student-athlete to purchase tickets and sell them at a greater price. Finally it is not permissible for UIC to allow student-athletes to obtain tickets prior to any other student group on campus. Academic and Support Services UIC Athletics is required to make Academic Counseling or Tutoring available to all student-athletes. It is also permissible for a student-athlete to receive such services from other entities on campus if the athletics department does not have the services at their disposal. It is permissible for students to utilize athletic department copy machines, faxes and internet for all required academic course work. Day Planners are issued to student-athletes at the start of each academic year by the Athletics Department, this is a permissible benefit. UIC Athletics may never provide the above benefits to prospective student-athletes. Medical Expenses It is permissible for UIC to help provide medical expenses 17

18 Housing and Meals UIC is able to provide housing to student-athletes as long as they apply the same housing policies to the general student body. UIC Athletics is able to provide housing to student-athletes who are or are not on aid during vacation periods when the student-athletes are required to be on campus for athletically related activities. UIC Athletics may provide meals to student-athletes who are or are not on athletic aid. The meals may only be provided in conjunction with competition. Coaching staffs have the choice of feeding the student-athletes at their discretion starting the night prior to competition and continuing until the student-athletes are released from team activities, but they may not provide cash to student instead of the meals. Post-game, an institution may provide a meal or cash not to exceed $15 when they are released from competition, however they cannot provide both. Providing meals to student-athletes at road competitions must follow one of the two options listed below: 1) Coaches may provide per diem to student athletes. 2) Coaches, at their discretion, may provide student-athletes with meals from the time they report for departure until they return to campus, the student-athletes cannot receive cash when choosing this option. Fruits, nuts and bagels, as well as, nutritional supplements (that do not contain NCAA banned substances) may be provided to student-athletes at any time. Expenses for Student-Athlete s Friends and Relatives UIC Athletics may not provide expenses for friends or relatives of student-athletes unless otherwise noted in bylaw Team Entertainment UIC Athletics may provide the actual costs for reasonable entertainment for student-athletes in conjunction with practice or competition (budget permitting). Cash may not be provided to studentathletes for such entertainment. All entertainment must be approved by liaison prior to outing. Expenses Provided by the Institution for Practice and Competition All practice and competition expenses may be provided by UIC Athletics as stated within bylaw Benefits, Gifts and Services If a student-athlete receives a benefit that is available to the general public, it is permissible. Occasional meals are permissible for student-athletes or an entire team on infrequent or special occasions from an institutional staff member. Staff members may also provide reasonable local transportation to the student-athletes. 18

19 Boosters are able to provide occasional meals if the following conditions are met: 1) the meal may only be at an individual s home, on campus or a facility that is regularly used for home competition. 2) If the meal is at the booster s home they may provide reasonable local transportation. Reasonable refreshments are also permissible to provide to student-athletes for educational and business meetings or on an occasional basis. Student-athletes may utilize apparel during vacation periods as long as it is supplied under the same issuance and retrieval basis that is used during the academic year. Used equipment can be purchased by student-athletes if they are charged the same that any other individual would be charged for the same gear. Benefits that are never permissible are listed in Bylaw Playing and Practice Season Declaration of Playing and Practice Season All Head Coaches must submit a Declaration of Playing and Practice Season form to their team liaison as early as possible but no later than July 1 st. This will allow the liaison and the Compliance Office to ensure that all NCAA minimums are being met and that no team is exceeding the maximum allowable numbers in their sports. Schedule The Head Coaches are responsible for submitting a calendar of practice and competition activities to the Compliance Office by August 1 st. This allows the compliance office an opportunity to make certain that each team is not exceeding allowable limitations set by the NCAA in dates of competition and allowable practice dates. Countable Athletically Related Activities All Countable Athletically Related Activities must be reported on a weekly basis, whether they are inside or outside the playing season. Coaches must submit a practice log to the Compliance Office on which they have listed any activity that is required throughout the week and is related directly to their sport. All practice activities, strength and conditioning, team meetings required by the head coach, individual meetings not initiated by the student-athlete, film sessions, etc.- all should be reported. The head coach and a student athlete or student-athletes are required to sign off on each log that is submitted. At no time should practice activities occur between the hours of midnight and 5a.m. Missed Class Time Classes may not be missed due to practice activities. 19

20 Required Day Off During the playing season for your sport you are required to provide one day off per week for your student-athletes. Outside of the playing season, countable athletically related activities are prohibited two days a week. Student-Athlete Employment Student-athletes are allowed to obtain jobs as long as the following conditions are met: 1) Only for work actually performed. 2) Are paid at a rate commensurate with what others in that position would receive. Student-athletes cannot receive a job based on their athletics reputation. At the start of the academic year, the student-athletes will be required to fill out a student-athlete employment form supplied to them at their team meeting. If the student-athlete obtains a job during the academic year, they are required to meet with the Compliance Office in order to complete the form. They will be required to have a portion of the form completed by their employer. Amateurism Certification of Amateur Status All student-athletes competing at UIC must be amateurs. The NCAA requires that all incoming studentathletes, freshman or transfer, must answer a series of questions during their eligibility center registration in order for the NCAA to determine whether each Division I and II prospective studentathlete is in fact an amateur. If the NCAA has any questions beyond the original questions they ask, they will send an to the prospective student-athlete and copy the Compliance Office. The prospective student-athlete will continue to receive correspondence from the NCAA until they feel that they have all of the information they need to make a preliminary decision. The prospective student-athletes are then able to Request Final Amateurism Certification on April 1 st of their senior year in high school. If a student-athlete is not certified as an amateur prior to the start of their season, they have 45 days to practice but not compete with their team. If they fail to receive final amateurism certification after 45 days, they are no longer able to participate in any team activities until they are certified. Maintaining Amateur Status If a student-athlete at any time is concerned with losing their amateur status, they should speak to the Compliance Office immediately. Agents 20

21 Student-athletes should not have any contact with agents unless it meets the NCAA guidelines set forth in Bylaw If any questions arise about a possible relationship with an agent, the student-athlete should contact the Compliance Office. Promotional Activities Anytime a student-athlete or student-athletes is/are asked to participate in an institutional, charitable, education or nonprofit promotion they are required to submit the Promotional Activities form that can be found in the Compliance Office. The participating individuals are required to obtain permission from the athletic department prior to participation. Uniforms and Apparel All athletics equipment must meet the NCAA regulations set forth in Bylaw If a coach has any questions with regards to what they can or cannot do when designing/purchasing uniforms, questions may be directed to the Compliance Office or Equipment manager. 21