Compliance

    Statement Of Principles on the Conduct of Participants
    in Student Athletic Programs

    1. Introduction

    Student athletic programs are a longstanding and integral part of Indiana University. Participants in the University's athletic programs--students, coaches, faculty, staff and volunteers (collectively "Participants")--are covered by the laws, regulations, policies, and procedures applicable to other members of the University community. In addition, these Participants and the University itself are subject to a wide variety of requirements promulgated by Indiana University, the National Collegiate Athletic Association or the National Association of Intercollegiate Athletics, the Big Ten Conference or other applicable conferences, professional coaches' and sports' organizations, and federal and state government authorities (collectively "requirements") designed to protect student-athletes, ensure the integrity of the University's athletic programs, and promote fair competition. Indiana University is committed to full compliance with all of these requirements, and engages in extensive oversight, education, and training to ensure that all Participants in student athletic programs understand and comply with them.

    The University's approach, however, reflects a deeper commitment to the spirit of fair, honest, skillful, and civil competition that these requirements are designed to facilitate. This statement articulates the fundamental principles of conduct for all Participants in student athletic programs and for those members of the University community responsible for overseeing that conduct. This statement does not in any way replace the specific standards to which Participants in student athletic programs are held. Nor does it replace or modify the terms of Indiana University's Code of Student Rights, Responsibilities, & Conduct (herein the "Student Code"), which applies to the conduct of all Indiana University students.

    Instead, it reaffirms the foundational values of those programs, and reminds members of the University community that conduct inconsistent with those values is inappropriate and cannot be tolerated.

    This statement is divided into five sections. Following the initial introductory section is section two which articulates principles applicable to all Participants--including students, coaches, and other faculty and staff-in student athletic programs. Section three contains corollary principles specifically applicable to coaches and coaching staff (collectively "coaches"). Section four summarizes the obligations of University administrators and others who hold positions or serve on committees with responsibility for student athletic programs and the conduct of their Participants. The final section identifies principles applicable to enforcement of this statement and other requirements applicable to Participants in student athletic programs.

    2. Principles Applicable to all Participants

    2.1.Participants shall treat one another and all others with dignity and respect. They shall behave according to the rules of their sport(s) and of the University, and shall avoid conduct that demeans, harasses, or threatens any one person. Understandably the applicability of this principle is dependent upon the context of the behavior in question. For example, physical contact that is common on the playing field would likely be disrespectful in the classroom or if directed toward an official, umpire, or fan. The intent of and force of this principle is to prevent any participant at any time from physically or verbally abusing another person; from using excessive profane language or vulgar gestures; from demeaning or belittling another person or making derogatory comments about his or her race, sex, religion, age, disability, national origin, or sexual orientation; and from engaging in conduct intended, or so reckless as to be likely, to cause harm to another.

    2.2. Participants shall strive for honesty and integrity in their statements and actions. This requires Participants to tell the truth when asked, and also calls upon them to avoid: (a) knowingly obscuring the truth by their actions or statements (i.e. giving incomplete answers or failing to give answers when required), and/or (b) knowingly assisting any other person in a dishonest act or statement related to student athletic programs and determinations regarding compliance with this policy.

    2.3. The conduct of Participants shall reflect the fact that student athletic programs are primarily an educational experience. Because of this, coaches and student-athletes shall strive to develop skill, experience, prowess, and character. Student-athletes shall not, and shall not be encouraged to, allow their participation in student athletic programs to interfere with their academic responsibilities, such as fulfilling class requirements.

    2.3.1. Student-athletes are expected to attend classes, complete all assignments, take all exams, and act appropriately in class.

    2.3.2. Student-athletes are responsible for informing their professors of upcoming excused class absences and arranging to make-up and exams or assignments missed.

    2.3.3. Individual coaches may impose stricter standards for class attendance as well as any other policies listed in the Statement of Principle on the Conduct of Participants in Student Athletic Programs. Coaches are responsible for providing written documentation of their policies to their respective sport administrators.

    2.4. Participants' conduct shall reflect the fact that, by virtue of their participation in student athletic programs sponsored by Indiana University, they are public representatives of the University. Accordingly, they are expected to exhibit a higher standard of behavior and maturity than might be displayed by other students, staff, and faculty. They should always avoid conduct that could be perceived as improper or unfitting of a University representative.

    2.5. Participants shall be advised of, understand, and comply fully with the rules, standards, and requirements to which they are subject. These include the principles in this Statement; applicable laws; the requirements of the NCAA or the NAIA, the Big Ten Conference and/or other applicable conferences; the policies of Indiana University, including the Student Code, of Indiana University Athletics, and any additional policies specified by their coach.

    2.6. In cases of student-athlete misconduct, which is not minor in nature, coaches have an obligation to inform the Associate Athletic Director for Student-Athlete Well Being and Development of such actions. Additionally, any violation of the following must be immediately reported in writing to the administrator who oversees that sport:

    1. Violation of principles in this section. (Section 2)
    2. Violation of the Drug or Alcohol Policy as set forth in the Indiana University Department of Intercollegiate Athletics Alcohol and Drug Policies and Program.
    3. Violation of the Gambling policy as set forth in NCAA Bylaw 10.3.
    4. Violation of the Big Ten Sports like Conduct agreement as set forth in the Big Ten Conference Handbook, Agreement 10, Section 10.01.
    5. Violation of the NCAA Ethical Conduct Bylaw as set forth in the NCAA manual, Bylaw 10.
    6. Violation of any NCAA or Big Ten legislation.
    7. Any arrest on- or off-campus.

    2.7. Big Ten Fair Play and Ethical Conduct - Student-athletes of Indiana University are expected to follow the Big Ten policies on fair play and ethical conduct, including but not limited to the Big Ten Sportsmanship Policy. It is to be the responsibility of each member university to ensure that all of its Participants conduct themselves in a sportsman-like manner when representing the university, especially at intercollegiate athletic contests.

    2.8. It is recognized that not all instances of student-athlete misconduct are serious enough to be dealt with at a level higher than coach. In such minor cases, resolution should be immediate, will require no formal procedures, and will involve relatively minor sanctions (i.e. verbal correction). Such sanctions should be applied fairly and consistently.


    3. Corollary Principles Applicable to Coaches

    All of the above principles especially apply to coaches because of their influential roles as a) key mentors in the lives and careers of student-athletes, and b) public representatives of the University. Therefore, appropriately professional conduct in dealing with student-athletes, opposing teams, officials, sports organizations, and the public is expected.

    3.1. Coaches shall treat all Participants with dignity and respect.

    3.1.1. Conduct that is verbally or physically threatening, abusive, belligerent, or harassing is never appropriate and shall not occur at any time. Athletic programs by definition require coaches to interact physically and vigorously with student-athletes. As a result, broad latitude is given as to defining appropriate behavior in that context (i.e. athletic training and competition).

    3.1.2. Coaches shall not take advantage of their relationship with, and influence over, student-athletes for personal advantage. This principle prohibits any financial and/or sexual relationships with student-athletes, and requires coaches to avoid attempts to unduly influence or control matters outside of the student-athlete's participation in athletic activities (i.e. social and extracurricular activities, and personal relationships).

    3.1.3. Coaches shall actively promote the good health and well-being of student-athletes, deferring to the judgment of trainers and other medical advisors regarding a student-athlete's ability to participate in any athletic activity. Accordingly, coaches will uphold and enforce the recommendations of trainers and other medical advisors.

    3.1.4. The obligation of coaches to treat others with dignity and respect shall apply to all Participants, including other coaches, faculty, staff, and administrators; the student-athletes and personnel of other teams, officials and referees; members of the news media; and the public.

    3.1.5. In performing their duties, coaches shall not display prejudice or bias based upon race, sex, religion, age, disability, national origin, or sexual orientation, and they shall not permit members of their staff or those under their control to do so.

    3.2. Coaches shall pursue honesty and integrity in their statements and actions.

    3.2.1. Coaches shall actively promote honesty and forthrightness among student-athletes, shall exhibit the highest standard of such behavior themselves, and shall sanction (or report for enforcement) dishonest acts or statements.

    3.3. The conduct of all Coaches shall reflect the fact that student athletic programs are first and foremost an educational experience.

    3.3.1. Coaches shall promote and enforce policies and practices that support the academic success of all student-athletes and their progress toward graduation.

    3.3.2. Coaches shall provide instruction in the rules, standards, policies and requirements applicable to Participants, including the principles in this Statement; the policies of Indiana University; the requirements of the NCAA or the NAIA, Big Ten Conference or other applicable conferences, and other sports and academic organizations; and applicable laws.

    3.3.3. Coaches shall provide instruction on the safety, good health, and well-being of student- athletes.

    3.4. Coaches' conduct shall reflect the fact that, as Participants in athletic programs sponsored by Indiana University, they are representing the University and its ideas.

    3.4.1. Coaches serve in a uniquely public role and therefore shall set high standards in their professional conduct. They shall conduct themselves so as to avoid improper conduct relative to their coaching responsibilities, or to their role as a University representative. Coaches shall conduct themselves as role models of both compliance with the requirements to which they are subjected as Participants in student athletic programs, and the standards of behavior required by this Statement.

    3.4.2. Because as well as athletic contests, and other public settings, this rule applies to interactions with the news media, coaches are presumed to be spokespersons for the University; they shall conduct themselves with respect and dignity and shall refrain from using excessive profane language or vulgar gestures, berating members of opposing teams or referees or other officials, or demeaning or belittling another person or making derogatory comments about his or her race, sex, religion, age, disability, national origin, or sexual orientation.

    3.4.3. To the extent coaches wish to speak as private individuals, in the context of public statements and settings, they shall state their intention to do so. When speaking as private individuals, coaches shall not use University logos or property without the permission of the University.

    3.5. All Coaches shall be advised of, understand, and comply fully with the requirements to which they are subject.

    3.5.1. Coaches shall comply fully and in good faith with this Statement and with other applicable requirements.

    3.5.2. Coaches shall comply fully and in good faith with Athletics Department rules, policies, instructions, and procedures, requests of Athletics Department personnel.

    3.5.3. Coaches shall instruct members of their staff and student-athletes in the requirements of this Statement and other applicable requirements, including University policies on student athletics, conflicts of interest, and use of University resources.

    3.5.4. Coaches shall actively participate in enforcing and monitoring compliance with this Statement and other applicable requirements. They shall guarantee access by University and Athletics Department personnel responsible for monitoring compliance to practices, locker rooms, and training facilities; and sanction (or report for enforcement) acts that violate this Statement or other applicable requirements.

    3.5.5. Coaches may establish additional team policies, provided they are: consistent with this Statement and with other applicable requirements, in writing (including any supplemental team policies), shared with the sport administrator, and provided annually to each team member by the first day of practice and upon a new member's joining the team. Student-athletes will acknowledge in writing their receipt of team rules, and copies of such receipts will be filed with the head coach and sport administrator.

    3.5.6. Coaches shall conduct themselves fairly by enforcing student athletic rules consistently and by not showing preferential treatment in the enforcement of student athletic rules.


    4. Additional Principles Applicable to Administrators

    University administrators, faculty, and others who hold positions or serve on committees with responsibility for student athletic programs and the conduct of their Participants (herein "Administrators"), bear significant responsibility for ensuring the responsible, vigorous, timely, and fair enforcement of the principles contained in this Statement and other requirements. The following responsibilities are in addition to others they have concerning the operation of student athletic programs.

    4.1. Administrators shall ensure the integrity of athletic programs, compliance with this Statement and other applicable requirements, and shall maintain public confidence in the integrity in those programs and in all Participants.

    4.1.1. Administrators shall protect the rights of all Participants in student athletic programs.

    4.1.2. Administrators shall inform and educate all Participants in student athletic programs of their rights and responsibilities; the requirements they must meet as Participants; the possible sanctions associated with noncompliance; procedures for monitoring, enforcing, and reporting noncompliance; and the resources available to them to facilitate their knowledge of their rights.

    4.1.3. Administrators shall ensure that there is a clear chain of command of responsibility for monitoring compliance, reporting noncompliance, and enforcing this Statement and other applicable requirements.

    4.2. While the ultimate responsibility for ensuring the adherence of these policies rests with the President and the Trustees of Indiana University, it is important that specific responsibility for day-to-day enforcement of these policies be clearly assigned. A clear chain of responsibility must exist, the people in that chain must carry out their duties fully, and all Participants in student athletic programs must know and follow that chain of responsibility. Without written instruction from the President to the contrary, primary responsibility for implementation of this Statement, including ensuring the successful completion of each of the tasks identified above, rests:

    • In the case of student-athletes, with their coaches, the Director of Athletics, and the Associate Athletic Director for Student-Athlete Well-Being and Development;
    • In the case of coaches, with the Director of Athletics and the Associate Athletic Director for Student-Athlete Well-Being and Development;
    • In the case of staff and student employees, with their immediate supervisors and the Director of Athletics;
    • In the case of the University Director of Athletics, with the President and the Faculty Athletics Representative, and in the case of other Athletics Directors, with the Chancellor of the campus on which they are located;
    • In the case of faculty or others serving on committees with athletics oversight responsibilities, with the Chair of the committee, the person(s) or body(ies) that appointed them, and to the person(s) or body(ies) to whom the committee reports;
    • In the case of administrators outside of the Athletics Department, with their immediate supervisors and the President of the University;
    • In the case of the President, with the Trustees of Indiana University.

    4.3. The University shall specify publicly the person(s) or body(ies) to which noncompliance should be reported. Unless specified to the contrary, suspected noncompliance shall be reported to the person(s) identified above as having primary responsibility for implementation of this Statement.

    4.4. Exceptions regarding those responsible for implementing this Statement and for receiving allegations of noncompliance shall be in writing and publicly available.

    4.5. The University Athletics Coordinating Council, campus athletics committees, faculty representatives, student athletics boards, the Student-Athlete Advisory Council, and the Athletics Department CORE committee all play an important role relative to student athletic programs and especially to protecting student welfare. These bodies provide valuable resources for Participants in student athletic programs, and may exercise significant responsibility in many areas covered by this Statement. This Statement is not intended in any way to expand or reduce those responsibilities, but rather to highlight the important continuing role of these bodies in guaranteeing the implementation of this Statement and compliance with the principles it contains.


    5. Principles Concerning Enforcement

    The principles in this Statement serve the interests of all Participants in student athletic programs and of the broader University community. Therefore, the University expects that all Participants will comply.

    Of course, not all noncompliance acts are of equal severity or warrant similar sanctions. In addition, the process by which an alleged offense is investigated and adjudicated will also depend in large part on the nature of it and the severity of the potential sanction. Many acts of noncompliance with this Statement or other applicable requirements of Participants in student athletic programs will and should be resolved immediately and informally, and will result in comparatively minor sanctions, such as verbal correction. Such sanctions should be applied fairly and consistently.

    At the other end of the spectrum, some noncompliant acts will be so serious, frequent, or deliberate, that existing University policies on faculty, staff, and student conduct and other applicable requirements provide for potentially severe sanctions and formal processes and standards of review. This Statement in no way alters the application of those policies or processes.

    There are likely to be noncompliant acts that fall between these two extremes, involving offenses or behavior at least moderately serious in the nature that warrants more complete investigation than immediate judgment would allow, but still that may not necessarily fit within existing procedural guidelines. The following enforcement principles provide general guidance that may prove useful, but that are designed specifically to guide investigations, adjudications, and the imposition of sanctions in this broad intermediate part of the spectrum.

    5.1. Enforcement shall be accessible, swift, fair, consistent, certain, appropriate, and accountable.

    5.1.1. The University shall investigate credible reports of noncompliance with this Statement or other applicable requirements. The determination of a report's credibility necessarily involves many factors. However, except in unusual circumstances, a report shall be considered credible only if it is made by a person who has personally witnessed or experienced the allegedly noncomplying act, or by a coach or administrator with oversight responsibilities for Participants in student athletic programs.

    5.1.2. Acts of noncompliance shall be reported as swiftly as possible after the person making the report becomes aware of them. Delays in reporting a violation may significantly impair the University's ability to investigate the complaint and interfere with the alleged perpetrators due process rights. Delays may also raise questions about the credibility of the complainant. Exceptional delay may, therefore, based upon the known circumstances, necessitate that the University decline to investigate a complaint.

    5.1.3. Anonymous allegations will not be formally acted upon by the University, except to the extent required by law. Any person making an allegation concerning a participant shall be informed that his or her identity may be disclosed to that participant.

    5.1.4. The participant shall be given the opportunity to receive and provide information regarding the alleged noncompliance.

    5.1.5. Allegations shall be investigated and resolved as speedily, informally, and confidentially as is possible and consistent with University policies and procedures and other applicable requirements.

    5.1.6. Allegations of noncompliance shall be received, investigated, and adjudicated. Sanctions, if determined to be appropriate, shall be imposed consistently. This does not require that all procedures or sanctions be identical, but that similarly situated Participants be treated consistently and that there be a general consistency among the treatment of all Participants.

    5.1.7. The method of investigation and adjudication should be appropriate to the alleged offense. While all processes should be as swift as possible, the resources devoted to an investigation or adjudication, their extent, and the priority given to them should reflect the nature of the alleged offense.

    5.1.8. Sanctions should also be appropriate to the alleged offense, taking into account the circumstances and context of the offense, the perpetrator's University status, whether a pattern of improper conduct exists, the magnitude of the violation, and the effect the conduct has had on others. A single offense, particularly where the act of noncompliance is found to be unintentional and resulted in little or no harm to another person, might result in a minor sanction such as:

    • A warning
    • Increased monitoring
    • Probation
    • University or community service

    5.1.9. On the other hand, repeated or deliberate noncompliance, or noncompliance that threatens or results in physical harm to another person or other demonstrable injury, should be subject to significant sanction, such as:

    • Suspension from one or more games or leave without pay
    • Dismissal from a team
    • Suspension or expulsion from the University
    • Termination of employment
    • Referral for criminal prosecution

    5.1.9.1.As has been set forth elsewhere in this Statement, student-athletes "are covered by the laws, regulations, policies, and procedures applicable to other members of the University community," including the Student Code. In the event any student-athlete is arrested for a violation of any criminal statute, the fact of their arrest alone shall not be evidence that the student-athlete has violated the law, this Statement, the Student Code, team rules or other applicable standard of conduct based solely upon a student-athlete's arrest. However, if it is determined (in accordance with the procedures set forth below) that the student-athlete has violated this Statement and/or the Student Code, sanctions shall be imposed in a timely manner and shall not await a resolution or outcome in any related criminal case. This process shall be completely independent of any process within the criminal justice system.

    In the event a student-athlete is arrested or is a person of interest in a criminal investigation by a law enforcement agency, the athletic department Enforcer (e.g. a coach regarding team rules) (herein "Enforcer") shall promptly take into account an arrest or investigation and the factual circumstances relating to the arrest or criminal investigation, in concert with all other available credible information, to determine if this Statement and/or the Student Code has likely been violated. If it is determined that a student-athlete violated this Statement and/or the Student Code, the athletic department Enforcer shall promptly impose a sanction consistent with this Statement and/or the Student Code. In the event the arrest or investigation is for a felonious crime, the athletic department Enforcer shall consult with the Athletic Director, and obtain his/her review and approval prior to making any final determination and imposing any sanction.

    Nothing in this section may be interpreted to alter the responsibility of coaches and other department personnel to report student-athlete misconduct consistent with Section 2.6 and other relevant provisions of this Statement.

    If it is later determined that the student-athlete's conduct was more egregious than original determined, or if additional information comes to light regarding the student-athlete's conduct, the Athletic Director, in consultation with the pertinent Head Coach and Sport Administrator, reserves the right to change and/or impose greater sanctions on the Student-Athlete. Status of the Student-Athlete's tender will be determined according to policy set forth under "Tender (Scholarship) Renewal, Reduction, or Revocation" described in the Indiana University Student-Athlete Handbook.

    5.1.10. As noted above, sanctions are intended to facilitate compliance by all Participants. Therefore, when considering the imposition of sanctions, the University shall take into account the impact on Indiana University, other Participants, other members of the University community, other constituencies of the University, and the public, and the extent to which the conduct clearly constituted noncompliance and was known to constitute noncompliance, the fairness to the noncomplying party and to other Participants.

    5.1.11. The University shall, to the extent permitted by law, make reports of enforcement activities publicly available. Names and other identifying information shall be withheld as required by law, University policy, or other applicable requirements, or as necessary to protect the privacy of the persons involved.

    5.2. Appeals

    5.2.1. Student-athletes have a right to appeal disciplinary decisions or express grievances in response to actions made by their coaches. The process follows: the student-athlete must make an appointment to see the Sport Administrator. At this time, the student- athlete will explain the basis of the appeal, including any mitigating factors that may not have been taken into consideration by the coach. The Sport Administrator, Associate Athletic Director for Student-Athlete Well-Being and Development, and/or the Athletic Director will then determine the appropriate action.

    5.2.2. If a sanction that is imposed for an act of noncompliance would give rise to an opportunity for review under an applicable University policy or other applicable policies, then that review shall be governed by the policy giving rise to it. This Statement does not create any independent right of review or appeal.

    5.2.3. In the event that a contract with a participant in student athletic programs contains terms concerning rights of review that are inconsistent with this Statement, the contract shall govern.

    5.2.4. Nothing in this Statement shall limit the right of the University to take immediate action regarding a participant in student athletic programs to protect the interests of the University community.

    Adopted by the Athletic Code of Conduct Commission on September 6, 2000. Section 5.1.9.1. added by action of the University Athletics Committee, May 9, 2001. Revised on January 23, 2003, October 10, 2013 and April 16, 2014 by the Faculty Athletics Committee.


    Athletic Code of Conduct Commission

    Ken Beckley, Indiana University alumnus

    Fred H. Cate, Professor of Law, School of Law, IUB

    Clarence Doninger, Director, Intercollegiate Athletics (Chair)

    Bruce Jaffee, Professor of Business Economics and Public Policy and Associate Dean of Academics, Kelley School of Business

    Julie Knost, Director, Affirmative Action

    Dan Maki, Professor and Chair of Mathematics, College of Arts and Sciences, IUB

    Tony Mobley, Dean, School of Health, Physical Education and Recreation, IUB

    Ernest Neal, Director of Athletics, IUS

    Charlie Nelms, Vice President for Student Development and Diversity

    Amanda Noblet, Student-Athlete, IUB

    Bill Perkins, Professor of Information Systems, Kelley School of Business

    Becky Porter, Associate Professor of Physical Therapy School of Medicine-School of Allied Health Sciences, IUPUI

    Jim Sherman, Professor of Psychology, College of Arts and Sciences, IUB

    James Wimbush, Associate Professor of Business Administration, Kelley School of Business, and Associate Dean of the Faculties

    Jerry Yeagley, Head Coach, Men's Soccer, IUB


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