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Compliance Manual - Introduction
hr

bullet graphic Purpose of Manual
bullet graphic Compliance Related Personnel
bullet graphic CSUF Mission & Goals
bullet graphic Department of Athletics Mission & Goals
bullet graphic Compliance Policy Statement
bullet graphic Compliance Committee Purpose & Functions
bullet graphic Hearing Committee Purpose & Functions
bullet graphic NCAA Compliance Committee Organizational Chart
bullet graphic Faculty Athletic Representative
bullet graphic Compliance Program Evaluation Policy
bullet graphic Transfer Appeal Petition Hearing Committee
bullet graphic Chapter Related NCAA - Required Forms


Purpose of Manual

This manual is intended as a supplement to the NCAA manual and other official NCAA rules and regulations. All areas are not covered herein, but an effort has been made to touch on critical matters of compliance. This manual is meant to serve as a guide for coaches and staff.

This manual is designed to:

  1. Assist athletics personnel in understanding and applying compliance policies and procedures required by California State University, Fullerton, the Big West Conference, and the NCAA.
  2. Facilitate and help ensure compliance standards within the athletics department.
  3. Provide staff members with samples of materials required for their use by the institution, the Big West Conference, and the NCAA.
  4. Assist with the institution's responsibility of monitoring the compliance standards within the athletics department.

Any questions regarding NCAA regulations or information related to this manual should be directed to the CSUF Department of Athletics office or to the compliance office.


California State University, Fullerton
800 N. State College Blvd
Fullerton, CA 92834
(657) 278-3058
(657) 278-3431
(657) 278-5819 FAX

Section 1.1
Reviewed 6/02

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California State University, Fullerton
Compliance Related Personnel

Position
Name
Office
Phone
Fax
President Dr. Milton A. Gordon LH 900 3456 2649
Director of Athletics Brian Quinn Titan House 2777 5396
Senior Associate
Director of Athletics		 Dr. Maryalyce Jeremiah Titan House 2777 5396
Assistant Director of Athletics, Academic Services Dr. June Kearney LH 215 3057 7674
Director of Admissions & Records Dr. James Blackburn LH 102 2350 2341
Admissions & Records, Assistant Supervisor Betsy Stuck LH 108 2300 2341
Admissions & Records, Evaluator Betsy Knight LH 111 2396 2341
Athletics Business Manager Rob Scialdone Titan House 3554 5396
Compliance Committee Brian Quinn Titan House 2777 5396
  Dr. Maryalyce Jeremiah Titan House 2777 5396
  Dr. June Kearney LH 219 3431 5819
  Dr. Steven Murray MH 254A 7291 3426
  Barbara McDowell UH 205 3928 7090
  Dr. Steve Walk PE 166 2571 5317
  Dr. Lee Gilbert H 835H 3534 5898
Coordinator of Athletics Eligibility & Admissions Cheryl Anderson LH 219 5218 5819
Director of Analytical Studies Dolores Vura MH 136 2121 3370
Assistant Director of Athletics, Compliance Dr. June Kearney LH 219 3431 5819
Director of Drug Testing Paul K. Miller UH 101 3117 2408
Equipment Manager Cliff Hatter PE 117C 3429 2005
Faculty Athletics Representative Dr. Lee Gilbert H 835H 3534 5898
Director of Financial Aid Deborah McCracken UH 146 3025 7090
Financial Aid Counselor Andrea Cowser UH 146 3025 7090
Head Athletics Trainer Julie Max PE 131A 2219 3908
Associate Director of Athletics, Media Relations Mel Franks Titan House 3970 3141
Ticket Manager Kristina Luna Titan House 2677 5396
Personnel Director Patty Sexton Titan House 2129 5396

Department of Athletics Office - Titan House
Phone (657) 278-2777
FAX (657) 278-5396
Compliance FAX (657) 278-5819
e-mail: Available for all personnel
1st initial last name@fullerton.edu

Section 1.2
Reviewed 6/02

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California State University, Fullerton
Mission & Goals

Mission, Goals & Strategies*
California State University, Fullerton

California State University, Fullerton
...where learning is preeminent

Mission Statement

Learning is preeminent at California State University, Fullerton. We aspire to combine the best qualities of teaching and research universities where actively engaged students, faculty, and staff work in close collaboration to expand knowledge.

Our affordable undergraduate and graduate programs provide students the best of current practice, theory, and research and integrate professional studies with preparations in the arts and sciences. Through experiences in and out of the classroom, students develop the habit of intellectual inquiry, prepare for challenging professions, strengthen relationships to their communities and contribute productively to society.

We are a comprehensive, regional university with a global outlook, located in Orange County, a technologically rich and culturally vibrant area of metropolitan Los Angeles. Our expertise and diversity serve as a distinctive resource and catalyst for partnerships with public and private organizations. We strive to be a center of activity essential to the intellectual, cultural, and economic development of our region.

Goals and Strategies

I. To ensure the preeminence of learning, we will

A. establish an environment where learning and the creation of knowledge are central to everything we do.

B. integrate teaching, scholarly and creative activities, and the exchange of ideas.

C. assess student learning collegially and continually use the evidence to improve programs.

D. affirm the university’s commitment to freedom of thought, inquiry, and speech.

E. recruit and retain a highly-qualified and diverse staff and faculty.

F. develop and maintain attractive, accessible, and functional facilities that support learning.

G. integrate advances in information technologies into learning environments.

H. Develop a strong library which provides rapid access to global information and serves as a nexus for learning.

II. To provide high quality programs that meet the evolving needs of our students, community, and region, we will

A. support undergraduate and graduate programs in professional and preprofessional studies and in the arts and sciences.

B. integrate knowledge with the development of values, professional ethics, and the teamwork, leadership, and citizenship skills necessary for students to make meaningful contributions to society.

C. develop a coherent and integrated general education program.

D. provide experiences in and out of the classroom that attend to issues of culture, ethnicity, and gender and promote a global perspective.

E. offer continuing education programs that provide retaining and meet professional certification and other community needs.

F. capitalize on the uniqueness of our region, with its economic and cultural strengths, its rich ethnic diversity, and its proximity to Latin America and the Pacific Rim.

G. provide opportunities to learn from external communities through internships, cooperative education, and other field activities.

H. provide opportunities for students to participate in a competitive intercollegiate athletics program.

I. provide opportunities for recreation and enhanced physical well-being

III. To enhance scholarly and creative activity, we will

A. support faculty research and grant activity that leads to the generation, integration and dissemination of knowledge.

B. encourage departments to reconsider the nature and kinds of scholarship within the discipline and to create a culture conducive to scholarly and creative activity.

C. encourage departments to implement a plan and personnel document supportive of scholarly and creative activities consistent with collegial governance and the University’s mission and goals.

D. cultivate student and staff involvement in faculty scholarly and creative activity

E. provide students, faculty, and staff access to an training in the use of advanced technologies supportive of research, scholarly, and creative activity.

IV. To make collaboration integral to our activities, we will

A. create opportunities in and out of the classroom for collaborative activities for students, faculty, and staff.

B. leverage our membership within the largest university system in the United States to advance the University’s mission.

C. encourage, recognize, and reward interdisciplinary and cross unit collaboration.

D. promote collaborative and innovative exchanges with other educational institutions at all levels to maximize the efficient use of resources and enhance opportunities for all learners.

V. To create an environment where all students have the opportunity to succeed, we will

A. develop an innovative outreach and simplified admissions system that enhances recruitment of qualified students.

B. ensure that students of varying age, ethnicity, culture, academic experience, and economic circumstances are well served.

C. facilitate a timely graduation through class availability and effective retention, advisement, career counseling, and mentoring.

D. provide an affordable education without sacrificing quality.

E. provide an efficient and effective financial aid system.

F. maximize extramural funding and on-campus employment to defray students’ educational costs.

G. provide an accessible, attractive and safe environment, and a welcoming campus climate.

VI. To expand connections and partnerships with our region, we will

A. develop mutually beneficial working partnerships with public and private sectors within our region.

B. serve as a regional center for intellectual, cultural, athletic and life-long learning activities.

C. develop community-centered programs and activities, consistent with our mission and goals, that serve the needs of our external communities.

D. involve alumni as valued participants in the on-going life of the university.

VII. To strengthen institutional effectiveness, collegial governance and our sense of community, we will

A. assess university activities and programs to ensure that they fulfill our mission and to identify areas of needed improvement, change, or elimination.

B. create simplified and responsive decision-making structures that reduce fragmentation and increase efficiency.

C. strengthen shared collegial governance in order to build community and acknowledge our collective responsibility to achieve the University’s goals.

D. provide a good work environment with effective development and training programs that assist employees in meeting their job requirements and in preparing for advancement.

E. ensure our reward systems are compatible with our mission and goals by reviewing the multiple roles of faculty and staff through the various stages of their careers.

F. integrate advances in information and communication technologies into work environments.

G. enhance a sense of community to ensure that faculty, students, and staff have as a common purpose the achievement of the overall goals of the University.

 

*The goals and strategies are not in any priority order. The Roman numerals and letters have been added as reference points.

Section 1.3
Reviewed 6/97

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Department of Intercollegiate Athletics
Mission & Goals

Mission Statement

The mission of the intercollegiate athletics program at CSUF is:

A. To provide an intercollegiate athletics program that is an integral part of the total educational experience at CSUF and fits within the overall mission of the university.

B. To ensure a quality academic experience for all student-athletes.

C. To provide a quality athletics experience for all student-athletes.

D. To enhance the image of CSUF, both locally and nationally, and to develop greater pride and involvement among the university’s students, faculty, staff, alumni, and community members.

E. To manage a fiscally responsible program.

Goals

In order to carry out the mission of CSUF's intercollegiate athletics program, the following goals have been developed:

A. Athletics as a part of the total CSUF mission

1. Ensure institutional control of intercollegiate athletics through department policies and procedures, the athletics council and the faculty NCAA representative.

2. Recruit and retain a diversified body of student-athletes for all sports.

3. Provide equal opportunity for men and women athletes.

4. Strive to maintain a level of excellence, guided by the same high standards set for all other aspects of the university.

B. Ensure a quality academic experience

1. Ensure that student-athletes accomplish normal progress toward receiving degrees.

2. Provide academic support to ensure the best possible educational experience.

3. Serve as a human laboratory for those students interested in physical education, recreation, and/or coaching as careers.

4. Provide internship opportunities for students in sports management programs.

C. Provide a quality athletics experience

1. Ensure standards of fair play and ethical conduct.

2. Teach the values of sportsmanship, teamwork, and competition.

3. Ensure the physical welfare for all student-athletes.

4. Provide the resources and facilities necessary to be competitive at the NCAA Division I level.

5. Provide the best possible athletics environment within which each student-athlete has the opportunity to compete to the fullest extent of his or her abilities.

6. Recruit and retain quality coaches.

7. Encourage involvement in regional and national organizations and their committees.

D. Enhance image and involvement

1. Be regionally and/or nationally competitive in selected sports.

2. Design opportunities for the development of a positive relationship between faculty, staff, students, alumni, and the community.

3. Maintain membership at the NCAA Division I level.

4. Schedule athletics contests primarily with other NCAA Division I members.

5. Promote and maintain a positive public image.

E. Fiscal responsibility

1. Develop and maintain a balanced budget on an annual basis.

2. Develop and maintain an adequate cash reserve.

3. Develop appropriate 5-year budget plans.

4. Establish departmental fiscal guidelines to ensure accountability.

5. Publish timely fiscal information.

6. Encourage all teams to generate funds through special projects as well as contributions to improve their programs.

Section 1.4
Reviewed 8/98

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Compliance Policy Statement

The Associate Director of Athletics/Senior Woman Administrator shall administer, through the Director of Compliance, all NCAA and Big West Conference rules and regulation. The Associate Director of Athletics/Senior Woman Administrator is responsible to the Director of Athletics.

The Director of Compliance and/or the Associate Director of Athletics/Senior Woman Administrator are the individuals authorized to make calls to the NCAA and Big West Conference offices for official interpretations and clarifications. Coaches are not authorized to make such calls.

Compliance Policy

  1. Each head coach is issued an NCAA manual and must take responsibility for compliance issues related to his/her staff and student-athletes. The manual should be studied thoroughly.

  2. Coaches are encouraged to ask questions of the Director of Compliance, Associate Director of Athletics/Senior Woman Administrator, or Director of Athletics. If the Faculty Athletics Representative is to be involved in policy questions, it should be done through the Associate Director of Athletics/ Senior Woman Administrator or the Director of Compliance, not through a coach. In general, when in doubt, check before acting.

  3. It is department policy to adhere to applicable rules and regulations to the letter.

  4. Should a violation occur, it is department policy to report the occurrence to the Director of Athletics, Associate Director of Athletics/ Senior Woman Administrator, or Director of Compliance for appropriate self-report action. Violations of the rules will not be tolerated in any form. Ignorance of the rules is not an acceptable excuse.

  5. Should a self-report action be necessary, the Compliance Committee, made up of the Director of Athletics, Associate Director of Athletics/ Senior Woman Administrator, Faculty Athletics Representative, Director of Compliance, and three faculty members from university departments outside of athletics, shall take action to report to the Big West Conference and/or NCAA and to administer any necessary disciplinary action.

  6. Compliance is the responsibility of the entire athletics department, as well as all individuals and organizations that promote athletics at California State University, Fullerton.

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Compliance Committee Purpose and Functions

This committee consists of the Director of Athletics, Senior Associate Director of Athletics/Senior Woman's Administrator, Faculty Athletics Representative, Assistant Director of Athletics, Compliance, and three faculty members from university departments outside of athletics. The committee meets whenever necessary to discuss various compliance issues arising throughout each semester.

In accordance with NCAA bylaws 13.1.1.3 and 13.1.1.3.1, general responsibilities of the committee relate to NCAA/Big West and university compliance with rules and regulations, which pertain to the athletics department, staff, coaches, and student-athletes, and communicating to all involved individual responsibility for compliance matters.

Special functions of the compliance committee include, but are not limited to, the following

  1. Investigating and processing violations as they occur and applying penalties suitable to the offense using NCAA and Big West bylaws and guidelines.

  2. Recommending and revising compliance-related policies and procedures in the various aspects of the athletics program.

  3. Assisting in the rules education of coaches, staff, and student-athletes.

  4. Developing and maintaining procedures to ensure the existence of effectively shared compliance responsibilities among institutional personnel.

  5. Reviewing procedures for providing student-release-hearing opportunities. Providing the CEO with updated reports of possible violations and/or allegations which relate to the athletics department.

  6. Providing the university compliance committee with information related to NCAA certification self-study.

  7. Monitoring the total compliance program with periodic self-reviews as well as evaluating the various aspects of the program.

Section 1.5
Reviewed 8/98

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Hearing Committee Purpose and Functions

This committee consists of the Faculty Athletics Representative, Director of Drug Testing, and Chair of the Athletics Student Advisory Board. In accordance with NCAA bylaw 14.5.5.3.11 (d), the committee exists solely on an as needed basis to hear cases from students who have been denied permission to speak to another institution regarding transferring to that institution or students who have been denied an exception to the transfer residence requirement in a particular sport.

Section 1.6
Reviewed 8/98

 

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California State University, Fullerton
NCAA Compliance Committee

 

NCAA Compliance Committee organization chart

*Committee meets monthly unless issues arise that require more frequent meetings.
*Assistant Director of Athletics, Compliance acts as chair of committee.
*Selection of faculty and staff members:

Two faculty members are selected in consultation with the Academic Senate on a yearly basis.
One staff representative is selected in consultation with the Vice President for Student Affairs on a yearly basis.

Section 1.7
Reviewed 8/98

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Faculty Athletic Representative (FAR)

"The Faculty Athletic Representative is a member of an institution's faculty or administrative staff who is designated by the institution's chief executive officer or other appropriate entity to represent the institution and its faculty in the institution's relationships with the NCAA and its conference(s), if any. An individual so designated shall be a member of the institution's faculty or an administrator who holds faculty rank and shall not hold an administrative or coaching position in the athletics department." (NCAA bylaws 4.02.2 and 6.1.3). The president provides release time units of .6 for this position.

The Representative serves as a voting member of the Big West Conference Council and sits on various committees as assigned by the conference office, which may include executive, compliance, long-range planning or other ad hoc committees as necessary.

The Faculty Athletics Representative serves as an advisor/resource person to the Director of Athletics and staff on academic, compliance, eligibility, athletic policies and personnel issues and other NCAA, Big West issues that may arise. The president of the university appoints the FAR and establishes direct reporting lines for this position. The job description of the FAR focuses on the areas of eligibility, compliance, institutional control and other duties as assigned by the president of the institution.

Eligibility

  • Verifies eligibility of returning student-athletes, transfers, and incoming student-athletes for competition, practice and eligibility to receive financial aid
  • Monitors academic progress of continuing student-athletes to ensure satisfactory progress
  • Administers the CSUF Academic Eligibility 2.0 rule
  • Facilities prior approval of summer school classes

Compliance

  • Serves as a member of CSUF Compliance Committee
  • Assists in eligibility rule interpretations when needed
  • Serves as chair of the Athletics Council Compliance Committee
  • Approves all waiver appeals to the Big West Conference and the NCAA
  • Provides direction for periodic outside audits of the compliance program
  • Attends appropriate NCAA and Big West Conference compliance seminars
  • Coordinates committee hearings for student-athletes who have been denied permission to speak to another institution or who have been denied a release to transfer

Institutional Control

  • Serves as a liaison with the Department of Athletics and the president of California State University, Fullerton
  • Represents the institution on compliance issues before appropriate conference committees
  • Reports periodically to the president of the university on department of athletics issues
  • Oversees any major institutional inquiry into alleged or suspected NCAA rules or violations
  • Reviews proposed NCAA legislation and its impact on the institution

Section 1.8
Reviewed 7/01

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Cal State Fullerton
Department of Intercollegiate Athletics

Compliance Program Evaluation Policy

Purpose
To insure the continued compliance with NCAA, Big West, and California State University, Fullerton rules and regulations, a periodic evaluation of the compliance program will be conducted, in the form of an outside audit.

  1. The audit of the complete or partial portion of the program will be conducted tri-annually.
  2. Members of the auditing team will be selected from the following sources:
    1. A minimum of two members of the compliance committee who are not members of the Department of Athletics
    2. A minimum of two California State University, Fullerton faculty members from outside of the Department of Athletics
    3. A minimum of two peer faculty from other area universities
    4. Members of the the Big West Conference compliance staff
    5. NCAA compliance auditors
    6. Professional auditors from the community
    7. Or a combination of the above individuals
  3. The auditing group or individuals will be selected by California State University, Fullerton's Faculty Athletics Representative.
  4. Members of the auditing team will determine the type and extent of the audit.
  5. The Department of Athletics will pay for the expenses of the auditing team.

Section 1.9
Reviewed 7/01

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Transfer Appeal Petition
Hearing Committee Procedures

Committee Membership

The committee consists of the Faculty Athletics Representative, Director of Drug Testing, and Chair of the Athletics Student Advisory Board. The Faculty Athletics Representative serves as chair of the committee. In the case of the petitioning student-athlete being a team member of the Student Advisory Board, an alternate will be appointed by the Student Advisory Board Chair to serve on the hearing committee.


Purpose

In accordance with NCAA bylaws 14.5.3.11(d) and 13.1.1.3.1, the committee exists solely on an as needed  basis. The committee will hear cases from students who have been either denied permission to speak to another institution regarding transferring, or students for whom permission has been denied for a release for the transfer residence requirement.


Procedures

  1. When all completed written appeals have been submitted to the Faculty Athletics Representative, in accordance with NCAA bylaws 14.5.5.3.11(d) and 13.1.1.3.1, the committee shall "promptly" review the appeal and schedule a hearing for the student-athlete.
  2. The student-athlete shall be given an opportunity to present his/her circumstances to justify the appeal before the hearing committee.
  3. The committee will promptly render a decision, by either granting or denying the appeal. If further information is needed, the status of the appeal will continue to be pending.
  4. The appeal disposition will then be distributed to the appropriate individuals for its application.

Section 1.10
Reviewed 7/01

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Chapter Related NCAA-Required Forms: A summary of compliance-related general yearly forms required by the NCAA for each institution.

  1. Certification of Compliance for Staff Members-Form 94-2, bylaw 18.4.2(d): This form must be signed by all staff members of the athletics department (including part-time staff and graduate assistants) and covers the previous academic year. Signing this form certifies that they have reported, through the appropriate individuals on campus, any knowledge of violations of NCAA legislation involving our institution.

  2. Certification of Compliance for Institution-Form 94-1, bylaw 30.3: This form must be signed by the Chief Executive Officer of the institution to certify that the institution met the requirements of bylaw 30.3.

  3. Outside Income Agreement bylaw 11.2.2: Full-time or part-time athletics-department staff members are required to receive annual prior written approval from the CEO for all athletically related income and benefits from sources outside the institution. Each staff member's request for approval shall be in writing and shall include the amount and source of the income. It is permissible for the institution's CEO to grant general prior written approval for a staff member to receive income that does not exceed an institutionally determined nominal amount (not to exceed $1000 per event). This standard form is provided to coaches and staff at the beginning of each academic year in anticipation of outside income for the coming year.

  4. Information and Sports Sponsorship Report-Form 94-7, bylaws 20.9,18.4.2.1: To be eligible for NCAA championship, this form must be completed and returned to the NCAA office by September 15th each year.

  5. Coaching Staff Designation Form: For better control and compliance monitoring of bylaw 11.7.4, each head coach completes this form for his/her staff each academic year. Educational programs for new staff, coaching exams, and other pertinent official documents can be more closely monitored from the information herein.
  6. Department of Athletics - Compliance Forms: This form lists all compliance related forms (which are used in monitoring the program) and how they are produced, updated, maintained, and filed.

Section 1.11
Reviewed 8/98

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