Compliance Manual - Introduction
 Purpose
of Manual
Compliance
Related Personnel
CSUF
Mission & Goals
Department
of Athletics Mission & Goals
Compliance
Policy Statement
Compliance
Committee Purpose & Functions
Hearing
Committee Purpose & Functions
NCAA
Compliance Committee Organizational Chart
Faculty
Athletic Representative
Compliance Program Evaluation Policy
Transfer
Appeal Petition Hearing Committee
Chapter
Related NCAA - Required Forms
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:
A. Assist athletics personnel in understanding and applying compliance
policies and procedures required by California State University,
Fullerton, the Big West Conference, and the NCAA.
B. Facilitate and help ensure compliance standards within the athletics
department.
C. Provide staff members with samples of materials required for
their use by the institution, the Big West Conference, and the NCAA.
D. 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) 278-3431
(657) 278-5819 FAX
Section 1.1
Reviewed 9/06
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|
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/SWA |
Dr. Allison Rich |
Titan House |
2777 |
5396 |
| Director of Athletic Academic Services |
Dr. Meredith Basil |
UH 205B |
3194 |
5134 |
| Assistant Vice President for Enrollment Services |
Nancy Dority |
LH 102A |
2350 |
2341 |
| Admissions & Records, Assistant Supervisor |
|
LH 108 |
2300 |
2341 |
| Admissions & Records, Evaluator |
Patty Chang |
LH 111 |
2396 |
2341 |
| Athletics Business Manager |
Rob Scialdone |
Titan House |
3554 |
5396 |
| Compliance Committee |
Brian Quinn |
Titan House |
2777 |
5396 |
| |
Dr. Allison Rich |
Titan House |
2777 |
5396 |
| |
Julie Bowse |
LH 219 |
3431 |
5819 |
| |
Dr. Allen Axelrad |
MH 254A |
7291 |
3426 |
| |
Barbara McDowell |
UH 205 |
3928 |
7090 |
| |
Dr. Steve Walk |
KHS 231 |
4763 |
5317 |
| |
Dr. Betty Chavis |
LH 630A |
4595 |
4518 |
| Coordinator of Athletics Eligibility & Admissions |
Cheryl Anderson |
LH 219 |
5218 |
5819 |
| Director of Analytical Studies |
Ed Sullivan |
MH 136 |
2121 |
3370 |
| Associate Director of Athletics, Compliance |
Julie Bowse |
LH 219 |
3431 |
5819 |
| Director of Drug Testing |
Paul K. Miller |
UH 101 |
3117 |
2408 |
| Equipment Manager |
Joe Camacho |
KHS 156 |
3429 |
2005 |
| Faculty Athletics Representative |
Dr. Steve Walk |
KHS231 |
4763 |
5317 |
| Director of Financial Aid |
Deborah McCracken |
UH 146 |
3025 |
7090 |
| Financial Aid Counselor |
Andrea Cowser |
UH 146 |
3025 |
7090 |
| Head Athletics Trainer |
Julie Max |
KHS 190 |
2219 |
3908 |
| Associate Director of Athletics, Media Relations |
Mel Franks |
KHS 101H |
3981 |
3141 |
| Ticket Manager |
Jennifer McGhen |
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 9/06
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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 9/06
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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 9/06
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The Senior Associate Director of Athletics/Senior Woman Administrator
shall administer, through the Director of Compliance, all NCAA and
Big West Conference rules and regulations. The Senior Associate
Director of Athletics/Senior Woman Administrator is responsible
to the Director of Athletics.
The Assistant Director of Athletics for Compliance and/or the Senior
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
- 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.
- Coaches are encouraged to ask questions of the Assistant Director
of Athletics for Compliance, Senior 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 those listed above, not through a coach.
In general, when in doubt, coaches and staff should check before
acting.
- It is department policy to adhere to all applicable rules and
regulations.
- Should a violation occur, it is department policy to report
the occurrence to the Director of Athletics, Senior Associate
Director of Athletics/ Senior Woman Administrator, or Assistant
Director of Athletics for 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.
- Should a self-report action be necessary, the Compliance Committee,
made up of the Director of Athletics, Senior Associate Director
of Athletics/ Senior Woman Administrator, Faculty Athletics Representative,
Assistant Director of Athletics for 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.
- Compliance is the responsibility of the entire athletics department,
as well as all individuals and organizations that promote athletics
at California State University, Fullerton.
[Top]
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
for 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
- Investigating and processing violations as they occur and applying
penalties suitable to the offense using NCAA and Big West bylaws
and guidelines.
- Recommending and revising compliance-related policies and procedures
in the various aspects of the athletics program.
- Assisting in the rules education of coaches, staff, and student-athletes.
- Developing and maintaining procedures to ensure the existence
of effectively shared compliance responsibilities among institutional
personnel.
- 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.
- Providing the university compliance committee with information
related to NCAA certification self-study.
- Monitoring the total compliance program with periodic self-reviews
as well as evaluating the various aspects of the program.
Section 1.5
Reviewed 9/06
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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 14.5.5.2.10
(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 9/06
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California State University, Fullerton
NCAA Compliance Committee
*Committee meets monthly unless issues arise that require more
frequent meetings.
*Assistant Director of Athletics for 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 9/06
[Top]
"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 9/06
[Top]
Cal State Fullerton
Department of Intercollegiate Athletics
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.
- The audit of the complete or partial portion of the program
will be conducted every four years.
- Members of the auditing team will be selected from the following
sources:
- A minimum of two members of the compliance committee who
are not members of the Department of Athletics
- A minimum of two California State University, Fullerton
faculty members from outside of the Department of Athletics
- A minimum of two peer faculty from other area universities
- Members of the Big West Conference compliance staff
- NCAA compliance auditors
- Professional auditors from the community
- Or a combination of the above individuals
- The auditing group or individuals will be selected by California
State University, Fullerton's Faculty Athletics Representative.
- Members of the auditing team will determine the type and extent
of the audit.
-
The Department of Athletics will pay for the
expenses of the auditing team.
Section 1.9
Reviewed 9/06
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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 14.5.5.2.10(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
- When all completed written appeals have been submitted to the
Faculty Athletics Representative, in accordance with NCAA bylaws
14.5.5.2.10(d) and 13.1.1.3.1, the committee shall "promptly"
review the appeal and schedule a hearing for the student-athlete.
- The student-athlete shall be given an opportunity to present
his/her circumstances to justify the appeal before the hearing
committee.
- 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.
- The appeal disposition will then be distributed to the appropriate
individuals for its application.
Section 1.10
Reviewed 9/06
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Chapter Related
Forms: A summary of compliance-related general yearly forms
required by the NCAA for each institution.
Certification
of Compliance for Staff Members-Form 05-2, bylaw
18.4.2.1(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.
Certification
of Compliance for Institution-Form 06-1, 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.
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.
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.
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.
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 9/06
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