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THE COMPLIANCE CONSCIENCE HUSKIE ATHLETIC COMPLIANCE OFFICE
OFFICIAL NEWSLETTER OF THE HUSKIE ATHLETIC COMPLIANCE OFFICE January 2017 - Issue: 70
Rapid Reference: December Recruiting Calendar Baseball: January 1-4, 9-31 January 5-8
Quiet Period Dead Period
Recruiting Periods Contact Period - Authorized staff members may make in-person, offcampus recruiting contacts and evaluations. Evaluation Period - Authorized athletics department staff may be involved in off-campus activities like assessing academic qualifications and playing abilities. In-person, off-campus contacts with prospective student-athletes are not permitted.
Men's Basketball: January 1-31
Contact Period
Women's Basketball January 1-31
Evaluation Period
Cross Country/Track and Field: January 1-2 January 3-31
Quiet Period Contact Period
Football: January 1-11, 30-31 January 12-28 January 29
Dead Period Contact Period Quiet Period
Quiet Period - It is only permissible to make in-person recruiting contact on campus. No in-person, off-campus recruiting contacts or evaluations may be made during the quiet period.
Softball: January 1 January 2-31
Quiet Period Contact Period
Dead Period - It is not permissible to make in-person recruiting contacts or evaluations on or off campus or to allow official or unofficial visits to campus.
Volleyball: January 1-13 January 14-31
Quiet Period Contact Period
All Other Sports: January 1-31
Contact Period
January Compliance Question of the Month Question: For prospective student-athletes initially enrolling full-time in the fall 2017 semester, what is the minimum GPA they will need in order to be a qualifier with the NCAA Eligibility Center?
Recruiting Period - Evaluations are allowed just like during contact periods. However, evaluations of live athletic activities are limited to regularly scheduled high school, prep school, or JUCO contests and practices and regular scholastic activities where the PSA is enrolled.
December Compliance Question of the Month Question: During NIU's finals week, what type of activities may a student-athlete, who is outside their playing season, participate in? Answer: Voluntary activities
Email your answer to [email protected] and/or tweet @NIURules to be considered as next month's winner!
Compliance Question of the Month Winner: Connor McKee
Did You Know... The academic and membership affairs staff confirmed that an institution may certify that a student-athlete's financial aid from outside sources is unrelated in any degree to athletics ability (even if the student-athlete lists athletics participation or achievements as part of his or her extracurricular activities), provided: (1) The application form does not request the applicant to list athletics participation, achievements, extracurricular activities or any other category in which athletics may be relevant (e.g., honors); and (2) The awarding agency verifiers, in writing, that it does not consider athletics participation in the awarding of the aid. This "Did You Know" is based on a staff interpretation published on January 4, 2017 regarding certification of outside aid unrelated to athletics ability.
Huskie Q & A Q:
What are academic honor awards for prospective student-athletes (PSAs) based on?
A:
Academic honor awards that are a part of NIU's normal arrangements for academic scholarships are based solely on the recipient's high school record and awarded independently of athletics interests and in amounts consistent with the pattern of all such awards made by NIU.
Q:
Are academic honor awards exempt from NIU's equivalency computation?
A:
Yes, provided that at the completion of high school the recipient was ranked in the upper 10% of their high school graduating class or achieved a cumulative GPA of at least 3.500 (based on a maximum of 4.000) or a minimum ACT sum score of 105 or a minimum SAT score of 1200 (critical reading and math).
Q:
If a PSA or transfer SA does not meet the requirements for the academic award to be exempted from NIU's equivalency computation, what happens?
A:
Any academic award the SA receives will reduce the amount of the SA's athletic financial aid award by the amount of the academic award.
Please note: Some examples have been presented in this Q & A; however, not every possible situation has been covered. If you have any questions regarding your involvement with prospective or enrolled student-athletes and the NCAA rules and regulations, please direct those questions to: Huskie Athletic Compliance Office [email protected] or visit us on the web at: www.niuhuskies.com/compliance
Information for Huskie Student-Athletes
Don't Bet On It The NCAA bans wagering (betting) on intercollegiate and professional athletic events. This policy affects: - Student-athletes (SAs); - Athletic department staff (e.g., coaches, administrators, interns, volunteers, etc.); and - Institutional staff members with responsibilities within or over the athletics department. Sports wagering includes placing, accepting or soliciting a wager of any type with any individual or organization on any intercollegiate, amateur or professional team or contest. A wager is any agreement in which an individual or entity agrees to give up an item of value (e.g., cash, shirt, dinner) in exchange for the possibility of gaining another item of value. Examples of banned sports wagering include, but are not limited to: - Pools or fantasy leagues in which an entry fee is required and there is an opportunity to win a prize - Internet sports wagering - Auctions in which bids are placed on teams, individuals or contests - Brackets - Squares A SA who engages in activities designed to influence the outcome of an intercollegiate contest or in an effort to affect win-loss margins ("point shaving") or who participates in any sports wagering activity involving NIU shall permanently lose all remaining regular-season and postseason eligibility in all sports. A SA who participates in any sports wagering activity through the internet, a bookmaker or a parlay card shall be ineligible for all regular-season and postseason competition for a minimum period of one (1) year from the date of NIU's determination that a violation occurred and shall be charged with the loss of a minimum of one (1) season of eligibility. If the SA is determined to have been involved in a later violation of any portion of Bylaw 10.3, the SA shall permanently lose all remaining regular-season and postseason eligibility in all sports. NOTE: This is a summary of Bylaws 10.02.1, 10.02.2, 10.3, 10.31, 10.32, and 10.4.
From the MAC
From the NCAA
Seeking "Culture of Integrity" in College Sports
Institution: Southern University (11/16/16)
There are many recent high-profile cases of academic fraud and misconduct involving athletics departments, the American Council on Education (ACE) recently issued a report calling for institutions to modify their athletics departments focus on the overall academic mission.
Violation Summary
The report is based on roundtable discussion prepared by the council in April, which included college presidents, coaches, student-athletes, faculty members, researchers, conference commissioner, Steinbrecher who consulted on the publication and the NCAA president. The panel was constructed following a series of cases of academic fraud across the country. In total, the NCAA has convicted Division I institutions at least 17 times for academic fraud in the past decade, with NCAA officials saying last year that 21 institutions were being investigated. Nine (9) cases have occurred in the last two (2) years with more to come. The ACE report highlights three (3) areas: culture of integrity, management of risk, and integration of student-athletes into the student-body. While the NCAA has undertaken various efforts to focus on academic misconduct within the last few years, there is still a strong urge to maintain academic integrity as a primary focus for athletics departments. The ACE panel admitted that some of the report's recommendations are "blindly obvious" since comparable guidelines and processes are already in place; however due to the recent rise in cases of academic fraud reveals a need to ensure that an institution's athletics culture is in full alignment with its primary mission and academic values.
Please note: This is an overview of their major infraction case.
Southern University violated bylaws 12, 14, 15, 16, and NCAA Constitutional Article 2 and 6 when the institution failed to properly certify SAs in 15 sports over a six-year period, improperly apply countable financial aid and exceed equivalency requirements, and failed to apply CAP penalties. Regarding the eligibility certification process, the institution failed to properly certify 218 SAs in all 15 major sports over a six-year period. The main reasons led to the improper certification of the SAs: (1) Numerous coding errors occurred when student academic records (including SA's records) were transferred from an outdated system into a new system, (2) The athletic department failed to maintain adequate records, and (3) There was a lack of training and an absence of involvement by campus departments outside of athletics in the certification process. The institution exceeded grant-in-aid limits in multiple sports. State law allows all SAs who receive athletically-related financial aid to obtain non-resident free waives and qualify for in-state tuition, however, the institution did not properly account for this aid waiver in determining a SA's complete financial aid package. From 2011-2015, the institution failed to count the non-resident fee waiver toward the equivalency limits as required by the NCAA. Five (5) sports exceeded annual equivalency limits. Lastly, the institution failed to comply with CAP prescribed restrictions that resulted from the institution not meeting NCAA mandated academic performance benchmarks. The CAP penalties included the institution reducing the amount of in-season playing and practice season to five (5) days and 16 hours per week for all sports, limitations on out-of-season practice time, and a reduction in the number of contests in the sports of men's and women's track and field, men's basketball, and football.
Findings of Violations of NCAA Legislation 1. BYLAWS 12, 14, AND 16 WERE VIOLATED WHEN THE INSTITUTION IMPROPERLY CERTIFIED 218 SAs ON 439 INSTANCES IN 15 SPORTS. AS A RESULT, 188 SAs RECEIVED TRAVEL EXPENSES WHILE INELIGIBLE. 2. BYLAW 15 WAS VIOLATED WHEN THE INSTITUTION EXCEEDED FINANCIAL AID LIMITS IN FIVE (5) SPORTS. THE INSITITUION FAILED TO PROPERLY ACCOUNT FOR TUITION WAIVERS PROVIDED TO STUDENT-ATHLETES BY THE STATE OF LOUISIANA. 3. BYLAW 14.8.1.1 WAS VIOLATED WHEN THE INSTITUTION FAILED TO FULFILL PRACTICE AND COMPETITION LIMITATIONS LEVIED BY THE CAP OVER THREE (3) SEMESTERS, THE INSTITUTION FAILED TO NOTIFY COACHES OF THE LIMITATIONS. 4. THE INSTITUTION VIOLATED NCAA CONSITUTIONAL PROVISIONS 2.1.1, 2.8.1, AND 6.01.1 BY FAILING TO DEMONSTRATE INSTITUTIONAL CONTROL. THE INSTITUTION FAILED TO PROPERLY CERTIFY SAs OVER MULTIPLE YEARS, TO PROPERLY EDUCATE ATHLETICS PERSONNEL OF NCAA RULES, TO HAVE OTHER CAMPUS DEPARTMENTS INVOLVED IN THE ELIGIBILITY CERTIFICATION PROCESS, AND TO COMPLY WITH CAP LIMITATIONS.
Penalty Summary Penalties in this case include: five (5) years of probation; a $5,000 financial penalty; a reduction in the number of athletically related financial awards in the women's soccer, softball, baseball, football, women's volleyball, men's and women's track, men's and women's basketball; vacation of all regular season, conference tournaments, and individual records over a six-year period in which ineligible student-athletes competed; the institution shall retain an independent, external agency experienced in NCAA compliance matters to conduct a thorough review of the institution's athletics compliance program.
Hot Topics in Compliance
Academic Misconduct Background: Recently, a former tutor reported alleged academic fraud within the institution's athletic department. In a social media post, the tutor stated she took or assisted with entrance exams and completed classes for student-athletes. The tutor also stated she was encouraged to commit academic fraud by the academic coordinators for student-athletes in revenue-generating sports. It is uncertain whether any individual student-athletes are under investigation, however, the institution's football and basketball programs are being investigated by the University and the NCAA. Responsibility of Institution (2.8.1): Individuals employed by (or associated with) a member institution to administer, conduct or coach intercollegiate athletics and all participating student-athletes shall act with honest 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. Honesty and Sportsmanship (10.01.1): Individuals employed by (or associated with) a member institution to administer, conduct or coach intercollegiate athletics and all participating student-athletes shall act 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. Unethical Conduct (10.1): Unethical conduct by a prospective or enrolled student-athlete or a current or former institutional staff member, which includes any individual who performs work for the institution or the athletics department even if he or she does not receive compensation for such work, may include, but is not limited to the following: (c) Knowing involvement in offering or providing a prospective student-athlete an improper inducement or extra benefit or improper financial aid Good Academic Standing (14.01.2.1): To be eligible to represent an institution in intercollegiate athletics competition, a student-athlete shall be in good academic standing as determined by the academic authorities who determine the meaning of such phrases for all students of the institution, subject to controlling legislation of the conference(s) or similar association of which the institution is a member. Benefits, Gifts, and Services - Nonpermissible-General Rule (16.11.2.1): The student-athlete shall not receive any extra benefit. The term “extra benefit” refers to any special arrangement by an institutional employee representative of the institutions athletics interests to provide the student-athlete or his or her family members or friends with a benefit not expressly authorized by NCAA legislation.
OFFICIAL NEWSLETTER OF THE HUSKIE ATHLETIC COMPLIANCE OFFICE January 2017 - Issue: 70
Rapid Reference: December Recruiting Calendar Baseball: January 1-4, 9-31 January 5-8
Quiet Period Dead Period
Recruiting Periods Contact Period - Authorized staff members may make in-person, offcampus recruiting contacts and evaluations. Evaluation Period - Authorized athletics department staff may be involved in off-campus activities like assessing academic qualifications and playing abilities. In-person, off-campus contacts with prospective student-athletes are not permitted.
Men's Basketball: January 1-31
Contact Period
Women's Basketball January 1-31
Evaluation Period
Cross Country/Track and Field: January 1-2 January 3-31
Quiet Period Contact Period
Football: January 1-11, 30-31 January 12-28 January 29
Dead Period Contact Period Quiet Period
Quiet Period - It is only permissible to make in-person recruiting contact on campus. No in-person, off-campus recruiting contacts or evaluations may be made during the quiet period.
Softball: January 1 January 2-31
Quiet Period Contact Period
Dead Period - It is not permissible to make in-person recruiting contacts or evaluations on or off campus or to allow official or unofficial visits to campus.
Volleyball: January 1-13 January 14-31
Quiet Period Contact Period
All Other Sports: January 1-31
Contact Period
January Compliance Question of the Month Question: For prospective student-athletes initially enrolling full-time in the fall 2017 semester, what is the minimum GPA they will need in order to be a qualifier with the NCAA Eligibility Center?
Recruiting Period - Evaluations are allowed just like during contact periods. However, evaluations of live athletic activities are limited to regularly scheduled high school, prep school, or JUCO contests and practices and regular scholastic activities where the PSA is enrolled.
December Compliance Question of the Month Question: During NIU's finals week, what type of activities may a student-athlete, who is outside their playing season, participate in? Answer: Voluntary activities
Email your answer to [email protected] and/or tweet @NIURules to be considered as next month's winner!
Compliance Question of the Month Winner: Connor McKee
Did You Know... The academic and membership affairs staff confirmed that an institution may certify that a student-athlete's financial aid from outside sources is unrelated in any degree to athletics ability (even if the student-athlete lists athletics participation or achievements as part of his or her extracurricular activities), provided: (1) The application form does not request the applicant to list athletics participation, achievements, extracurricular activities or any other category in which athletics may be relevant (e.g., honors); and (2) The awarding agency verifiers, in writing, that it does not consider athletics participation in the awarding of the aid. This "Did You Know" is based on a staff interpretation published on January 4, 2017 regarding certification of outside aid unrelated to athletics ability.
Huskie Q & A Q:
What are academic honor awards for prospective student-athletes (PSAs) based on?
A:
Academic honor awards that are a part of NIU's normal arrangements for academic scholarships are based solely on the recipient's high school record and awarded independently of athletics interests and in amounts consistent with the pattern of all such awards made by NIU.
Q:
Are academic honor awards exempt from NIU's equivalency computation?
A:
Yes, provided that at the completion of high school the recipient was ranked in the upper 10% of their high school graduating class or achieved a cumulative GPA of at least 3.500 (based on a maximum of 4.000) or a minimum ACT sum score of 105 or a minimum SAT score of 1200 (critical reading and math).
Q:
If a PSA or transfer SA does not meet the requirements for the academic award to be exempted from NIU's equivalency computation, what happens?
A:
Any academic award the SA receives will reduce the amount of the SA's athletic financial aid award by the amount of the academic award.
Please note: Some examples have been presented in this Q & A; however, not every possible situation has been covered. If you have any questions regarding your involvement with prospective or enrolled student-athletes and the NCAA rules and regulations, please direct those questions to: Huskie Athletic Compliance Office [email protected] or visit us on the web at: www.niuhuskies.com/compliance
Information for Huskie Student-Athletes
Don't Bet On It The NCAA bans wagering (betting) on intercollegiate and professional athletic events. This policy affects: - Student-athletes (SAs); - Athletic department staff (e.g., coaches, administrators, interns, volunteers, etc.); and - Institutional staff members with responsibilities within or over the athletics department. Sports wagering includes placing, accepting or soliciting a wager of any type with any individual or organization on any intercollegiate, amateur or professional team or contest. A wager is any agreement in which an individual or entity agrees to give up an item of value (e.g., cash, shirt, dinner) in exchange for the possibility of gaining another item of value. Examples of banned sports wagering include, but are not limited to: - Pools or fantasy leagues in which an entry fee is required and there is an opportunity to win a prize - Internet sports wagering - Auctions in which bids are placed on teams, individuals or contests - Brackets - Squares A SA who engages in activities designed to influence the outcome of an intercollegiate contest or in an effort to affect win-loss margins ("point shaving") or who participates in any sports wagering activity involving NIU shall permanently lose all remaining regular-season and postseason eligibility in all sports. A SA who participates in any sports wagering activity through the internet, a bookmaker or a parlay card shall be ineligible for all regular-season and postseason competition for a minimum period of one (1) year from the date of NIU's determination that a violation occurred and shall be charged with the loss of a minimum of one (1) season of eligibility. If the SA is determined to have been involved in a later violation of any portion of Bylaw 10.3, the SA shall permanently lose all remaining regular-season and postseason eligibility in all sports. NOTE: This is a summary of Bylaws 10.02.1, 10.02.2, 10.3, 10.31, 10.32, and 10.4.
From the MAC
From the NCAA
Seeking "Culture of Integrity" in College Sports
Institution: Southern University (11/16/16)
There are many recent high-profile cases of academic fraud and misconduct involving athletics departments, the American Council on Education (ACE) recently issued a report calling for institutions to modify their athletics departments focus on the overall academic mission.
Violation Summary
The report is based on roundtable discussion prepared by the council in April, which included college presidents, coaches, student-athletes, faculty members, researchers, conference commissioner, Steinbrecher who consulted on the publication and the NCAA president. The panel was constructed following a series of cases of academic fraud across the country. In total, the NCAA has convicted Division I institutions at least 17 times for academic fraud in the past decade, with NCAA officials saying last year that 21 institutions were being investigated. Nine (9) cases have occurred in the last two (2) years with more to come. The ACE report highlights three (3) areas: culture of integrity, management of risk, and integration of student-athletes into the student-body. While the NCAA has undertaken various efforts to focus on academic misconduct within the last few years, there is still a strong urge to maintain academic integrity as a primary focus for athletics departments. The ACE panel admitted that some of the report's recommendations are "blindly obvious" since comparable guidelines and processes are already in place; however due to the recent rise in cases of academic fraud reveals a need to ensure that an institution's athletics culture is in full alignment with its primary mission and academic values.
Please note: This is an overview of their major infraction case.
Southern University violated bylaws 12, 14, 15, 16, and NCAA Constitutional Article 2 and 6 when the institution failed to properly certify SAs in 15 sports over a six-year period, improperly apply countable financial aid and exceed equivalency requirements, and failed to apply CAP penalties. Regarding the eligibility certification process, the institution failed to properly certify 218 SAs in all 15 major sports over a six-year period. The main reasons led to the improper certification of the SAs: (1) Numerous coding errors occurred when student academic records (including SA's records) were transferred from an outdated system into a new system, (2) The athletic department failed to maintain adequate records, and (3) There was a lack of training and an absence of involvement by campus departments outside of athletics in the certification process. The institution exceeded grant-in-aid limits in multiple sports. State law allows all SAs who receive athletically-related financial aid to obtain non-resident free waives and qualify for in-state tuition, however, the institution did not properly account for this aid waiver in determining a SA's complete financial aid package. From 2011-2015, the institution failed to count the non-resident fee waiver toward the equivalency limits as required by the NCAA. Five (5) sports exceeded annual equivalency limits. Lastly, the institution failed to comply with CAP prescribed restrictions that resulted from the institution not meeting NCAA mandated academic performance benchmarks. The CAP penalties included the institution reducing the amount of in-season playing and practice season to five (5) days and 16 hours per week for all sports, limitations on out-of-season practice time, and a reduction in the number of contests in the sports of men's and women's track and field, men's basketball, and football.
Findings of Violations of NCAA Legislation 1. BYLAWS 12, 14, AND 16 WERE VIOLATED WHEN THE INSTITUTION IMPROPERLY CERTIFIED 218 SAs ON 439 INSTANCES IN 15 SPORTS. AS A RESULT, 188 SAs RECEIVED TRAVEL EXPENSES WHILE INELIGIBLE. 2. BYLAW 15 WAS VIOLATED WHEN THE INSTITUTION EXCEEDED FINANCIAL AID LIMITS IN FIVE (5) SPORTS. THE INSITITUION FAILED TO PROPERLY ACCOUNT FOR TUITION WAIVERS PROVIDED TO STUDENT-ATHLETES BY THE STATE OF LOUISIANA. 3. BYLAW 14.8.1.1 WAS VIOLATED WHEN THE INSTITUTION FAILED TO FULFILL PRACTICE AND COMPETITION LIMITATIONS LEVIED BY THE CAP OVER THREE (3) SEMESTERS, THE INSTITUTION FAILED TO NOTIFY COACHES OF THE LIMITATIONS. 4. THE INSTITUTION VIOLATED NCAA CONSITUTIONAL PROVISIONS 2.1.1, 2.8.1, AND 6.01.1 BY FAILING TO DEMONSTRATE INSTITUTIONAL CONTROL. THE INSTITUTION FAILED TO PROPERLY CERTIFY SAs OVER MULTIPLE YEARS, TO PROPERLY EDUCATE ATHLETICS PERSONNEL OF NCAA RULES, TO HAVE OTHER CAMPUS DEPARTMENTS INVOLVED IN THE ELIGIBILITY CERTIFICATION PROCESS, AND TO COMPLY WITH CAP LIMITATIONS.
Penalty Summary Penalties in this case include: five (5) years of probation; a $5,000 financial penalty; a reduction in the number of athletically related financial awards in the women's soccer, softball, baseball, football, women's volleyball, men's and women's track, men's and women's basketball; vacation of all regular season, conference tournaments, and individual records over a six-year period in which ineligible student-athletes competed; the institution shall retain an independent, external agency experienced in NCAA compliance matters to conduct a thorough review of the institution's athletics compliance program.
Hot Topics in Compliance
Academic Misconduct Background: Recently, a former tutor reported alleged academic fraud within the institution's athletic department. In a social media post, the tutor stated she took or assisted with entrance exams and completed classes for student-athletes. The tutor also stated she was encouraged to commit academic fraud by the academic coordinators for student-athletes in revenue-generating sports. It is uncertain whether any individual student-athletes are under investigation, however, the institution's football and basketball programs are being investigated by the University and the NCAA. Responsibility of Institution (2.8.1): Individuals employed by (or associated with) a member institution to administer, conduct or coach intercollegiate athletics and all participating student-athletes shall act with honest 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. Honesty and Sportsmanship (10.01.1): Individuals employed by (or associated with) a member institution to administer, conduct or coach intercollegiate athletics and all participating student-athletes shall act 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. Unethical Conduct (10.1): Unethical conduct by a prospective or enrolled student-athlete or a current or former institutional staff member, which includes any individual who performs work for the institution or the athletics department even if he or she does not receive compensation for such work, may include, but is not limited to the following: (c) Knowing involvement in offering or providing a prospective student-athlete an improper inducement or extra benefit or improper financial aid Good Academic Standing (14.01.2.1): To be eligible to represent an institution in intercollegiate athletics competition, a student-athlete shall be in good academic standing as determined by the academic authorities who determine the meaning of such phrases for all students of the institution, subject to controlling legislation of the conference(s) or similar association of which the institution is a member. Benefits, Gifts, and Services - Nonpermissible-General Rule (16.11.2.1): The student-athlete shall not receive any extra benefit. The term “extra benefit” refers to any special arrangement by an institutional employee representative of the institutions athletics interests to provide the student-athlete or his or her family members or friends with a benefit not expressly authorized by NCAA legislation.
