Humboldt State University Athletics Department. Athletics Policies Revised October 2014

Transcription

1 Humboldt State University Athletics Department Athletics Policies Revised October

2 ATHLETICS POLICIES 1. Fundraising 2. Home Game Events 3. Grants-in-Aid/Scholarships 4. Compliance 5. Sports Clinics and Camps 6. Inventories 7. Athletic Training Room 8. Financial Operations Appendix A: Grants-in-Aid Procedures Appendix B: Compliance Procedures Preface This Humboldt State University (HSU) Athletics Policies summary handbook is designed to educate and assist members of the Campus and Athletics Community on the Policies and Procedures utilized by the HSU Intercollegiate Athletic Department. This document follows HSU policies and procedures and incorporates the policies outlined in the National Collegiate Athletic Association (NCAA) Division II manual. The document also incorporates the policies and procedures included in the California Collegiate Athletic Association (CCAA) manual and the relevant procedures included in the Great Northwest Athletic Conference (GNAC) sports regulations. This handbook was reviewed and approved by the HSU Intercollegiate Athletic Advisory Committee. 2

3 1. Fundraising Fundraising Principles Fundraising is a point of emphasis within the department. All coaches are expected to participate in this area Funds for student-athlete scholarships are derived from fundraising. Increasing scholarship budgets for all programs is a top priority within the department Accounting chart fields will be used to identify and track restrictions regarding donated funds One of the primary responsibility of the Assistant Athletic Director and the Director of Development is fundraising. The Associate Athletic Director is actively involved in fundraising with the annual Celebrity Dinner and Sports Auction The Director of Athletics is actively involved in fundraising Types of Fundraisers The department will engage in the following fundraisers: perpetual giving, annual giving, corporate partnerships, department-wide special events, and sport-specific special events Any monthly perpetual giving will be deposited directly into the designated scholarship fund Any annual giving is part of the Lumberjack Legacy campaign with benefits the same for all sports programs. Promotional gifts to donors will be controlled by the Assistant Athletic Director and/or Director of Development who will maintain a log for dissemination of all related membership benefits. Money not designated to any account goes into the Athletics Undesignated Scholarship Account Corporate partnerships will be entered in conjunction with oversight from the Contracts/Procurement office. Relationships with corporate partners are developed by the Director of Athletics, the Associate Athletic Director, the Assistant Athletic Director and the Director of Development Coaches should not be making their own agreements with corporate partners. The Assistant Athletic Director is responsible for ensuring that each party receives the MOU provisions from the other. The Assistant Athletic Director will provide a checklist outlining the various components of each agreement and the dates they are completed. 3

4 Contracts/Procurement will ensure that corporate partner licensing agreements include appropriate campus legal oversight To ensure that sponsor agreements are signed by individuals with authority to contract of the campus and that the campus has appropriate oversight of the agreements, Contacts/Procurement will receive each corporate partnership agreement that will include a signature line for University Representative other than HSU Athletics Values for items and services such as signage, radio advertising and tickets will be based on fair market value or sales of similar items and services Department-wide special events include the Women s Walk, Celebrity Dinner & Sports Auction, and Hall of Fame Induction Dinner. Each coach is expected to participate in the Celebrity Dinner & Sports Auction and encouraged to participate in other events Coaches are encouraged to develop sport-specific special events or fundraisers which directly benefit their programs. Sport-specific special events or fundraisers need to be approved by the Assistant Athletic Director who, in turn, notifies University Advancement. Fundraisers that involve coupons or raffle tickets must include individually numbered cards or tickets. A record that will be reconciled with a cash deposit or return of the unsold cards or tickets will be kept by University representatives. Raffles will be conducted in accordance with terms set forth in CA Penal Code Section Charitable Raffles University Advancement All fundraisers will be coordinated and/or communicated with University Advancement on a regular basis using its Fundraising Activity Form. This form defines the fund restrictions before the event or campaign begins. Advancement will also be responsible for related thank-you letters and tax receipts Public Release of Fundraising Totals Net proceeds for events will be determined by establishing the related expenses and subtracting them from the revenue raised for the event. A final net total will not be released publicly until all related expenses are paid. When it is necessary to track the revenue and expenses of a fundraising event, the class chart field will be used to identify the revenue and expenses by event Estimates will be used for historical fundraising results where there is not a complete financial record available. All totals are estimates will be listed on historical summary documents. 4

5 1.5.0 Budgets Anticipated revenue for the fundraisers will be established in the regular annual budget prepared by the Director of Athletics Each fundraising event will have a target for revenue and expenses Support Groups Support groups/athletic Representatives are organizations, individuals or businesses that want to support the sports program. While support groups have no official University recognition, those that become known to the management of Athletics will be given a Humboldt State University Guidebook to NCAA Regulations for Representatives of Athletics Interests The Compliance Coordinator annually will mail to all supporters or members of support organizations a Humboldt State University Guidebook to NCAA Regulations for Representative of Athletics Interests Support groups with acting officer(s) will be required to have the acting officers sign a statement that they have received, reviewed and agree to follow the Guidebook Support groups without leaders will be treated as individual donors and treated accordingly; i.e., will be sent the Guidebook annually HSU Athletics does not support formal booster clubs. Involvement of support groups in the program is strictly regulated by the NCAA All support groups that desire the use of Humboldt State University (HSU) Athletics name in their fundraising efforts must obtain written approval from the University and maintain the funds in a campus designated account. See Support group donations or fundraising monies will be deposited in the University established accounts as designated by the donor Generated Income 2. Home Game Events Season tickets will be sold for home football and basketball games. A data base is maintained for all season ticket purchases by the Assistant Athletic Director. 5

6 Season ticket orders will be sent directly to the HSU Cashiers. Order forms will be forwarded to athletics. A daily report for tickets purchased will be sent from the cashier s CASHNet system to the Asst. AD for Business, Associate Athletic Director and Assistant Athletic Director Holders of lifetime passes for athletics can be issued up to two complimentary season tickets at the discretion of the Director of Athletics Reserved and general tickets to home football and basketball games will be available for purchase at hsujacks.com. A daily report for tickets purchased from the website will be sent from the cashier s CASHNet system to the Asst. AD for Business, Associate Athletic Director and Assistant Athletic Director Reserved and/or general tickets to home football and basketball games with an expected high volume (televised games or postseason games) will be sold at various outlets in the community. A log is maintained for each set of game tickets. The log is reconciled with cash and/or checks and leftover tickets. Reserved tickets will also be sold at the door for home football and basketball games General admission tickets will be sold at the door for home soccer, volleyball, football, basketball, and softball games Annual Family Passes will be sold for all sports excluding home men s basketball games. Athletics staff and coaches are expected to attend home events for as many sports as possible. For this reason, each staff member and coach is issued a complimentary family pass. Staff members and coaches will also have an option of purchasing season tickets at half-price. Full-time coaches in sports that sell season tickets will receive four complimentary season tickets to their respective sports or two complimentary premium tickets. Full-time staff members with fundraising duties will receive up to four complimentary season tickets. Full-time staff members with event management duties can receive up to four complimentary season tickets based on availability and at the discretion of the Director of Athletics All tickets sales will be reconciled in the Assistant Athletic Director s office using standard university procedures HSU students will be admitted free on a space available basis. Students will be admitted using an ID-card scanning system. The system will tie into the University data base allowing athletics to determine whether the student ID is held by a currently enrolled student Concessions sold at home contests will be coordinated by a team or group as designated by the Director of Athletics. This team or group will be responsible for ordering, inventory, quality control, and various permits and requirements. 6

7 2.2.0 Crowd Control and Risk Management A plan to manage those attending home games will be developed and implemented by the Assistant Athletic Director. Included in those plans are strategies to not exceed the maximum capacity of any venue, to maintain outer security to maximize tickets sales, to maintain a secure perimeter around the playing area, and to keep all exits and aisles clear in case of emergency University Police will be notified of dates for all home games Parking and Commuter Services will be notified of dates for all home games. A plan will be developed between Parking and Athletics to ensure proper customer service so that those attending home games are not ticketed for parking in regular parking spaces Off-campus events will be covered by appropriate insurance Student Staffing of Home Events Areas involving ticket sales, security, and parking may be staffed by students. Those positions will be filled with the following priorities. First, intercollegiate sports teams will be offered the jobs on a season-long basis. If no teams are available, student-athletes with work study will have the next opportunity. If student-athletes with work study are unavailable, other students with work study will have the next opportunity. If other student-athletes with work study are not available, student-athletes without work study will have the next priority. If student-athletes without work study are not available, other students will have the next opportunity When intercollegiate teams staff games, student-athletes who work events will be required to fill out a CSU Volunteer Identification Form. The completed forms will be kept on file in the Human Resources Department Procedures in Athletics 3. Grants-in-Aid/Scholarships The Athletics Grants-in-Aid program is based on the following premises: athletics grants-in-aid are a privilege, not a right; student-athletes will be admissible and meet NCAA grant-in-aid standards; the head coach of each sport must identify the student-athletes to be offered an athletics grant-in-aid; and the administration of 7

8 athletics aid will meet the rules and regulations of HSU, federal and state financial aid guidelines, the conference affiliation and the NCAA Each sport will receive annually an athletics grants-in-aid budget. Factors for dispersal of grants-in-aid include the following: they will reflect earned income by the individual sports programs; compliance with Title IX regulations will be maintained; allocations will fit in with the emphasis and philosophy of the conference affiliation; the appeal and public relations potential of the program; and overall budget management for each program Grants-in-aid funds will be maintained in the individual trust accounts for each sport, but will be viewed in aggregate to ensure that funds are available when needed Procedures in Enrollment Management Recruiting lists will be coordinated between the Athletics Department and the Office of Enrollment Management NCAA regulations regarding compliance and eligibility will be coordinated between the Compliance Coordinator in Athletics and the Office of Enrollment Management Procedures in Financial Aid Office Offers for Athletics Grants-in-Aid will be sent to the Financial Aid Office by the Director of Athletics. The Financial Aid Office will determine the studentathlete s eligibility for athletics grants-in-aid Student-athletes are required to accept the offer by the deadline noted on the Financial Aid Agreement. 4. Compliance Overall Department Compliance Principles HSU Athletics will conform to all NCAA and conference rules and regulations. All athletics personnel are expected to comply with all university, NCAA and conference rules and regulations All athletics personnel are expected to report through the appropriate channels any violations or potential violations of these rules. 8

9 4.1.3 Per NCAA regulations, regular training sessions for coaches and staff will take place regularly during the academic year and will be led by the Compliance Coordinator Compliance Issues Compliance staff consists of the Compliance Coordinator, the Faculty Athletics Representative, the Asst. AD of Business, the Enrollment Management Compliance Clerk, the Senior Woman Administrator and the Financial Aid Compliance Clerk Requests for NCAA rules interpretations will go through the Compliance Officer and will consist of the following steps: consult the current NCAA Division II manual, check the NCAA Legislative Services Database, consult with other appropriate staff members, call the conference Compliance Coordinator for an interpretation; contact the NCAA for interpretation The major areas of emphasis for compliance are recruiting, eligibility, and education The annual Equity in Athletics Disclosure Act report will be posted on the Humboldt State athletics website (hsujacks.com) Overall Department Principles 5. Sports Clinics and Camps Clinics and camps are to emphasize the following components: instructional opportunities, recruiting, community service, exposure and publicity, public relations, and retention of student-athletes Background live scan checks will be made of all staff who work clinics and camps. (revised 1/28/2008) Coaches are not required to do clinics or camps. Camps are one way of meeting overall budget revenue targets Budgets for clinics and camps are part of the regular annual budget process between the Director of Athletics and respective head coaches with targets for revenue and expenses Camps contracted by a coach to an outside source will be approved by the Director of Athletics. 9

10 5.1.6 Children of athletics department staff members can be employed or serve as volunteers for HSU athletic camps per NCAA regulations A child or children of athletics department staff members may receive free or reduced admission to department camps or clinics unless the child or children have started classes for the ninth grade or later. If a staff member receives free or reduced admission to a camp or clinic, the coach in charge of the camp must report the amount of the fee reduction to the Asst. AD for Business within one week of the completion of the camp. The Asst. AD for Business will notify the payroll office of the taxable benefit received Free or reduced admission to a camp or clinic may be provided to the child of a coach who is an instructor in the camp or clinic who is not an athletics department staff member at the university unless the child has started classes for the ninth grade or later Risk Management & NCAA Liability release waivers and insurance for each camper will be required as part of the camp application process. During the camps, the file will be kept with the athletic trainer. After the camp, the file will be kept with the respective head coach for three years Injuries during camp will be logged and be attended to by a first aid provider/first responder. Minor injuries will be treated on site. If a serious injury occurs, parents or guardians will be notified and the camper will be taken to the hospital, if necessary, by either the parents or guardians or by ambulance Clinics and camps will meet all related NCAA requirements. Sports Camps and Clinics are covered by NCAA Bylaw Camps contracted to an outside organization must have adequate insurance and policies and procedures addressing liability, injuries, etc Equipment Room 6. Inventories The University Property Office will maintain detailed receiving/physical inventory and accounting records. This will include all items, excluding furniture, valued at more than $ The Equipment Manager will oversee ordering, dispersing and monitoring the return of clothing/gear. 10

11 Equipment will be ordered by the Equipment Manager in consultation with the head coaches and in conjunction with the Asst. AD for Business. Price quotes will be collected and larger orders will be sent out for bids by the Asst. AD for Business Athletic apparel and equipment will be issued, collected and stored by the equipment room. These items will be inventoried at the beginning and conclusion of each sports season At the end of each sports season, issued gear will be collected from student-athletes who will be held accountable for items not returned. Fines at the replacement cost of each item will be sent to the cashier s office Athletic equipment is maintained and kept in proper working order by the equipment room and Plant Operations. Athletic apparel is maintained by the equipment room in the form of stain removal, sewing, proper drying, storage and some altering The Equipment Manager will monitor the disposal of excess or used athletic apparel, equipment and supplies Old game uniforms will be converted to practice gear Worn out apparel and supplies will be thrown out Some equipment and apparel will be available for purchase by student-athletes or donated to the annual Celebrity Dinner & Sports Auction. The sale of clothing/gear to student-athletes will be coordinated by the Equipment Manager in conjunction with the Asst. AD for Business Outdated equipment, apparel and supplies can be donated to local institutions per NCAA and University regulations The equipment room will issue all locks and lockers to student-athletes and keep a record. Maintenance of lockers will be done by the equipment room and Plant Operations The Equipment Manager or Assistant Equipment Manager will monitor access to the athletic equipment area. In their absence, access will be monitored by one of the following: Athletic Director, Associate Athletic Director, or Assistant Athletic Director or Athletics Administrative Assistant. (revised 1/28/2008) Off-Campus Equipment 11

12 6.2.1 California Government Code prohibits the use of state property for personal purposes. Department heads may authorize off-campus use of property within their assigned programs for university business. In such cases, it is the department head's responsibility to account for the property through appropriate checkout procedures. The employee or student taking possession of the property should provide a signed, dated receipt to the department. The receipt should be held as the department's record of asset location until the item is returned Traded Asset (In-Kind) Inventories and Non-Cash Donations Coupons for in-kind lodging and meals acquired through the Corporate Partner program are developed and printed by the Assistant Athletic Director who maintains a log for all coupons, issuing them to HSU coaching staff members for prospective student-athletes who visit campus. The coupons are also used for corporate partner lunches, job search candidates and some special events. University Advancement will be notified of all in-kind donations not tied to a corporate partnership. The Advancement In-Kind Gift Form will be used Memberships acquired through the Corporate Partner program in trade such as health clubs or country clubs shall be decided by the Director of Athletics. The Assistant Athletic Director will maintain a log where each membership will be documented as to whom is receiving the benefit. The memberships are used to create positive relationships with existing or potential new boosters, corporate partners, and fans. It is expected that when the membership is being used, the employee is promoting support for HSU Athletic programs. Any incurred fees beyond initial start up fees and monthly dues are solely responsible to be paid by the individual receiving the membership. An example of this would be costs incurred by a massage at a gym or quarterly mandatory spending at a country club Cell phones may be provided to certain employees that need such equipment for their required work duties. The Director of Athletics will decide who those employees are. HSU Athletics will pay for and provide a cell phone with talk and text capabilities needed to complete their job. If an employee decides they need to have a smart phone or a phone with Internet capabilities, then they can choose to opt out of the phone provided by HSU Athletics. It is assumed that a majority of the use of the cell phone provided by HSU Athletics will be used for business purposes. If an employee decides to opt out they will be responsible for their own phone and service plan. For all employees that opt in, the Asst. AD for Business will maintain the service and bill payments for the said phones Apparel may be provided to certain employees who need to be identified at home events or practices as athletics staff or who need to be identified in the community as members of the athletics department. The apparel will include the department 12

13 logo and/or University name and the department for which the individual works (i.e., Training Staff, Sport Information, Event Staff. ). The apparel approved is needed to perform the job duties of the specific employees and will be provided by the athletics department. They should be seen as work attire only. The clothing provided by the department is to be worn for specified activities only and not for any other purpose. Specified activities would include home events, meeting with supporters or prospective donors, recruiting, or team practices At the discretion of the Director of Athletics, apparel will be approved on a year-by-year basis Apparel orders will be organized by the Assistant Athletic Director. All employees will indicate size, color and product code for the apparel allotted them in the Athletics Apparel Google doc. Once all information is collected, the equipment manager and Assistant Athletic Director of Business Operations will place the order with the appropriate supplier and generate purchase order numbers If there are additional items an employee would like to order but are not supplied by the department, they will need to do so at their own expense and on a separate order from the athletics apparel order. Employees would need to work directly with the supplier in these situations The equipment manager will coordinate all issuance of the apparel. A document shall be signed in acknowledgement of receipt of the items ordered and acknowledgement by applicable staff that they understand the provisions under which the clothing is provided Apparel that is not worn for specified activities may be a taxable fringe benefit Athletic Training Room 7. Athletic Training Room The Athletic Trainer will maintain a medical history folder for each studentathlete. The folder will consist of a medical history questionnaire, current health insurance information, a pre-participation physical completed by a qualified health care professional, and an annual health history update. (revised 10/09/2014) It is mandatory for all student-athletes participating in high risk sports (football, men s soccer, women s soccer, volleyball, men s basketball, women s basketball and softball) to carry their own primary insurance policy for the duration of the traditional season in their respective sport. It 13

14 is important that their insurance policy does not deny injuries sustained while participating in intercollegiate athletics The Athletic Training staff will help to coordinate all necessary medical referrals as required by the injury or illness reported by the student-athlete. The lone exception is in the case of a medical emergency All off-campus medical referrals must have prior authorization from the University s Team Physician or Head Athletic Trainer. After being seen by an off campus physician a medical release must be obtained from the health care provider before the athlete will be cleared for participation The Athletic Training Room serves as a treatment and rehabilitation facility for student-athletes Return-to-play decisions on student-athlete ability to participate for practice or game competition after an injury are the sole responsibility of the members of the Athletics Training Staff. (Certified Athletic Trainer or University s Team Physician) Traditional season practices for high risk sports (football, men s soccer, women s soccer, volleyball, men s basketball, women s basketball and softball) will be directly supervised by a Certified Athletic Trainer. In the rare occasion that a Certified Athletic Trainer is not available to be onsite at a practice, there will be one available in the Athletic Training Room or at another athletic venue on campus who will be able to assist if needed With the exception of football, non-traditional seasons will not be covered by a Certified Athletic Trainer. Home contests in the non-traditional seasons will only be covered if a team from Humboldt State University is competing against another team from a four-year institution The Head Athletic Trainer and an Assistant Certified Athletic Trainer will travel on all away contests with the football team. All other high risk sports (men s soccer, women s soccer, volleyball, men s basketball, women s basketball and softball) have the option of traveling with a Certified Athletic Trainer with the travel cost absorbed by the respective sports program. 8. Financial Operations The athletics department is subject to the internal control policies and procedures established by the Financial Services Department of the University. The policies and procedures contained in this document are intended to supplement those policies and procedures to guide the daily transactions within the Athletics Department. 14

15 8.1.0 Purchasing Purchasing Policies All areas within athletics must remain within specific budget allocations Coaches and staff are not to place an order directly with a vendor. Coaches must request that a purchase requisition be generated by the Assistant Athletic Director for Business Operations. In order to expedite the purchase requisition, coaches/staff may request the vendor send/fax a written price quote (including shipping charges). Items ordered without first requesting a purchase requisition may not be paid to the vendor and potentially become the personal responsibility of the individual who placed the order All goods should be received through the University s Shipping and Receiving Department, who in turn will log the receipt of the item into PeopleSoft which will notify Accounts Payable that the items have been received and that payment may be issued. All goods must be received through the receiving department except where vendor does not deliver and any other unusual circumstances. Any exceptions to this must be approved by the Athletics Director or the Asst. AD for Business All Operating Expense purchase requests which total $10,000 or more, excluding tax and shipping charges, should include one preferred and two alternate vendors. All vendor information including full name and address must be provided. These purchases will be subject to vendor bidding unless submitted with appropriate sole source documentation and justification Purchasing Responsibilities: The Director of Athletics, or his/her designee, will approve all operating expense purchase requisitions The Asst. AD for Business will prepare purchase requisitions or make procurement card purchases Coaches and staff will first verify available budget balances and then submit purchase requisition requests to the Asst. AD for Business Purchasing Procedures: Coaches and staff will submit purchase requests to the Asst. AD for Business. These requests must be provided in writing, preferably including a price quote from the vendor. 15

16 By submitting a purchase request, the coach is verifying that funds are available within his or her budget for that purchase The Asst. AD for Business will prepare the appropriate purchase requisition, and forward it to the Director of Athletics for signature The Director of Athletics will sign and return the purchase requisition to the Asst. AD for Business The Asst. AD for Business will retain copies and the requisition is transmitted electronically to the Procurement Office Student-Athlete Apparel/Shoe Purchases and Payments Policies: All payments for mandatory, required sports gear sales to student-athletes will be charged directly to the student-athletes student account by the Student Financial Services office and deposited into the respective University trust account All coaches need to ensure that the information needed (student name, student ID, amount charged) to charge the student accounts be sent to the Asst. AD for Business before any sports gear is issued to a student athlete Student-athletes will be charged only the amount of money to cover the actual cost of the items ordered, including embroidery or screen-printing, sales tax and shipping Student athletes who wish to keep their team equipment may also purchase their helmets, uniforms or other team equipment for the cost of replacing the item purchased. Students will contact the Athletics Equipment Manager to obtain the replacement cost. All payments for these purchases will be charged directly to the student-athlete s student account by the Student Financial Services office and deposited into the respective University trust account Procedures: The coach in charge of ordering the apparel and/or shoes will send the Asst. AD for Business a list of all student athletes to be charged. This list will include the students name, ID number and amount to be charged The Asst. AD for Business will send via the list of the students to be charged to Student Financial Services and request that the charges be put on their student accounts. 16

17 Student Financial Services will place a charge on each students account and will credit the appropriate university trust account. The coach in charge of ordering apparel and shoes will initiate the purchase following purchasing procedures. Apparel and shoes will be distributed to studentathletes after all student accounts have been charged Cash Handling for Gate Receipts, Fundraisers and Donations: Cash Handling policies Athletics encourages sponsorship of special events such as tournaments, conference meets, and promotional events All revenues generated by the Athletics Department will be deposited into the University s trust account assigned to the appropriate sport (department) All proceeds from special project fundraisers will be deposited into the University s trust account through the Gift Processing Center. All Athletic Department funds that are solicited via direct mail campaigns shall list the Gift Processing Center as the appropriate return address. Any donations that are returned directly to the coach or the Athletic Department will be forward to the Asst. AD for Business for processing with the Gift Processing Center Prior approval must be obtained from the Assistant Athletic Director and/or Director of Development for all special project fundraisers All gross income from special projects, gate receipts, and donations must be delivered to Asst. AD for Business immediately or by the next business day after receipt of funds. Whenever possible, Cashiers from the Office of Student Financial Services will assist with the collection of revenue at events Deposits will be made into the appropriate revenue accounts. All funds must be deposited into the sport (department) that generated the revenue or the sport that the donor has specified. The GPC will provide copies to Advancement for all donation deposits The Asst. AD for Business will work with the Associate Athletic Director and the Assistant Athletic Director and/or Director of Development to determine the donation/gift versus revenue (benefit) amounts for recording purposes prior to the special event for purposes of receipting funds into the correct revenue account. 17

18 Gift-in-kind donations report for Athletics will be maintained by the Associate Athletic Director for items received for the Celebrity Sports Auction. All Gift-in-Kind donation forms will be given to the Asst. AD for Business for processing with the office of University Advancement RESPONSIBILITIES: The Director of Athletics will receive a deposit report each night via which will detail the day s cash receipts deposited into Athletics accounts by the Student Financial Services Office The Director of Athletics will approve special projects/ The Athletics Administrative Assistant will prepare and send a letter of thank you for each monetary gift and in-kind donation The Asst. AD for Business will: Verify all money submitted is receipted into the appropriate revenue account Ensure deposits are processed by the next business day into appropriate accounts, funds and departments Ensure the deposit transmittal log is signed by a representative of the Student Financial Services Office for all deposits Receive a deposit report each night via which will detail the day s cash receipts deposited into Athletics trust account by the Student Financial Services Office. The Asst. AD for Business will review the daily deposit report and verify the deposit is recorded in the cash account and corresponding revenue accounts Ensure that the combination or access to the safe will be known to only two people: The Asst. AD for Business and the Athletics Administrative Assistant Ensure that the combination will be changed when it becomes known to any other faculty or staff; or if any faculty or staff having such knowledge leaves the University or Athletics Maintain a current record showing the date the safe combination was last changed and the names of persons receiving the updated combination Notify campus police, the Director of Athletics and the office of the Internal Auditor of any theft or loss of money. 18

19 University Advancement will provide the Director of Athletics, the Asst. AD for Business and Assistant Athletic Director and/or Director of Development with quarterly monetary donations (including addresses as available) Verify special event revenues are deposited into the appropriate accounts The ticket seller or concession supervisor will: Count beginning cash and sign event gate receipts report or concession sales report in the presence of the Asst. AD for Business, University Cashier or ticket seller supervisor. Ticket sales are tracked using preprinted numerical tickets Seal the event gate receipt revenues in a tamper-proof deposit bag and give the deposit bag to the Asst. AD for Business, the University Cashier or the ticket seller supervisor The ticket seller supervisor will: Give pre-counted and verified change fund to ticket seller or concession supervisor. Ensure they count the cash, verify and sign the event gate receipts report or concession sales report, seal original sales report and event revenues in tamper-proof deposit bag and ensure revenues are locked in the safe in the Athletics Business office or the safe in the Assistant Athletic Director s office until the next business day when it will be given to the Asst. AD for Business Coaches will: Deliver all donations and various other revenues (policy discourages coaches from taking money directly from donors) with the Asst. AD for Business or designee by the next business day worked after receiving funds Submit any requests for required payments or reimbursements, with appropriate receipts, to the Asst. AD for Business Complete donation and booster forms as necessary and submit to the Assistant Athletic Director University Advancement will provide the Director of Athletics, the Asst. AD for Business, and Assistant Athletic Director and/or Director of Development with quarterly monetary donations (including addresses as available). 19

20 8.3.3 PROCEDURES: Game Revenue Procedures: The Asst. AD for Business, University Cashier or ticket seller supervisor will provide home game event tickets and appropriate start-up cash in a sealed, tamper-proof bag to the ticket sellers and concession stand supervisor. An event s gate receipts report or concessions report that details the beginning cash count will be included inside each cash box. The ticket seller or concession supervisor will count the beginning cash, verify the amount on the gate receipts report and sign the report that the beginning cash matches the gate receipts report or concession report Upon completion of the event, the ticket seller or concession supervisor will seal all revenue collected in a tamper-proof bag in the presence of the ticket seller supervisor, University Cashier or Asst. AD for Business The revenues will then be locked into the safe in the Athletics Business office, the safe in the Assistant Athletic Director s office or transported immediately following the event to the Student Financial Services office All revenues held in the safe in the Assistant Athletic Director s office will be returned to the Asst. AD for Business by the next business day for transport to the Student Financial Services office Other Revenues: All coaches and staff members must request revenues be directly sent or delivered to the Student Financial Services office whenever possible. This includes solicitation of donations, camp applications, season tickets and special event tickets All revenues received by any member of the Athletics Department will be submitted by the next business day to the Asst. AD for Business. All donations received by any member of the Athletics department shall be submitted by the next business day to the Asst. AD for Business for deposit through the GPC No donations or revenue (cash, checks, etc.) shall be left in the Asst. AD for Business Operations mailbox. If the Athletics Business office is not open, the Athletics Administrative Assistant may deposit any items into the safe. 20

21 All coaches and staff will receive training at the opening coaches meeting regarding cash handling procedures. At that time, all coaches and staff will receive a copy of the current cash handling procedures If a coach accepts a gift with restrictions, it is the coach s responsibility to inform the business office of what the restriction is and how it was met. Large restricted donations will be accounted for separately Depositing Revenues and Donations: The Asst. AD for Business will submit the sealed bags containing event revenue to the Student Financial Services Office for deposit into the appropriate Athletics departments If necessary (for deposits other than event revenue), type a deposit transmittal form or GPC deposit form Ensure a timely deposit is processed as necessary Ensure the Deposit Transmittal Log is signed by cashier in Student Financial Services Office Notify campus police, the Director of Athletics and the office of the University Internal Auditor of any theft or loss of money File copies of deposits, ticket sales reports and concession sales reports in appropriate files and binders Internal Controls Internal Control Policies: As noted in Section II (Cash Handling) above, the Asst. AD for Business and the Director of Athletics will each receive a deposit report each night via detailing the daily cash deposits As noted in Section I (Purchasing) above, the Director of Athletics, or designee will approve all operation expense purchase requisitions As noted in Section V and VI (Individual Travel and Team Travel) the Director of Athletics will approve all requests for authorization to travel and travel expense claims. 21

22 Appropriate PeopleSoft chart field strings will be used to control and manage restricted revenue and donations RESPONSIBILITIES: The Director of Athletics or designee will: Review daily deposit reports Approve all purchase requisitions, work requests, requests for authorization to travel, travel expense claim forms, transfers of funds between scholarship accounts Review copies of the ledger report for the department once the accounting period is closed each month The Asst. AD for Business will: Review daily deposit reports and verify the deposits are receipted into the appropriate chart fields in PeopleSoft Produce for each sport detailed transactions and ledger reports each month once the accounting period is closed and forward to the Director of Athetics and the coaches Periodically review the entries in the PeopleSoft athletic departments to verify the cash receipted through CashNet has been deposited into the appropriate PeopleSoft revenue accounts and departments Periodically review the entries in PeopleSoft to verify the purchase orders have been charged to the appropriate account, fund and department Periodically review all departments to ensure that the expenses and revenues are recorded into the correct account, fund and department are being charged Rely on the financial services department to notify the athletics department if any travel advances are not cleared in a timely manner Ensure that any restricted revenues or donations are coded correctly in PeopleSoft to accurately manage restrictions. Also ensure that expenses associated with restricted revenues are coded correctly in PeopleSoft to accurately manage restrictions. 22

23 Funds that are designated to be used by a specific athletic program will be receipted into that department. Any further restrictions will be identified using the appropriate account, program or class chart field Coaches will: Review their sports detailed transactions and ledger reports each month once they have received them from the Athletics Business Office Report any discrepancies or errors noted to the Asst. AD for Business for correction Back-up and Control of Financial Records The official financial records of Athletics are maintained by Financial Services and are backed up and controlled by their policies and procedures Supporting Athletic financial records will be maintained by the Asst. AD for Business. These records will be maintained on the university server and are backed up nightly Reports from Advancement or the Gift Processing Center are used for sending thank-you letters and invitations to future events. These records will be backed up at the conclusion of each event Hard copies related to these events (such as season ticket order forms or women s walk donor forms) will be shredded annually. Original documents are maintained for five years by Student Financial Services Scholarship Accounts Scholarship Account Policies: All donations to scholarship accounts will be deposited according to the procedures listed in Section II. Cash Handling for Gate Receipts, fundraisers and donations All donations that are not specifically designated toward a specific sport will be deposited into the NCAA/Athletic Administration (Undesignated) account All proceeds from scholarship fundraisers, including the Celebrity Dinner and Sports Auction, that are not designated or attributable to a specific 23

24 sport will be deposited into the NCAA/Athletic Administration (Undesignated) account At the completion of the fiscal year accounting cycle, each scholarship account must have a positive or zero balance. It is the athletic department s policy that funds will be transferred from the NCAA/Athletic Administration (Undesignated) account to cover any negative balances. No funds shall be transferred from a sport with a positive balance to cover a sport with a negative balance RESPONSIBILITIES: The Director of Athletics will: Establish scholarship budgets for each sport prior to the beginning of the fiscal year Sign all financial aid offers and renewal letters authorizing the expenditure of athletics scholarship funds The Asst. AD for Business will: Ensure that donations and fundraising proceeds are handled according to the procedures listed above in Section II. Cash Handling for Gate Receipts, fundraisers and donations At the completion of the fiscal year accounting cycle, upon the athletic director s approval transfer funds from the NCAA/Athletic Administration (Undesignated) account to cover any deficits in all other NCAA scholarship accounts. Scholarship trust accounts are not allowed to carry a negative balance The Associate Athletic Director will: Submit a report to head coaches identifying their participation in the auction, relating the amount of auction proceeds that were generated by each sport and are to be transferred to each specific sport s NCAA scholarship account. Head coaches will be asked to confirm the figures in the report as related to their sport Advise the Asst. AD for Business in writing of the amount of auction proceeds that were generated by each sport and are to be transferred to each specific sport s NCAA scholarship account The Assistant Athletic Director and/or Director of Development will: 24

25 Notify University Advancement of all scholarship fundraisers and mailings Deposit all donations with the Asst. AD for Business or designee by the next business day worked after receiving funds PROCEDURES: The Director of Athletics will: Establish scholarship budgets for each sport prior to the beginning of the fiscal year. It is possible that some scholarship budgets will exceed the current balance in the sport and it is understood that funds from the NCAA/Athletics Administration (Undesignated) account will be transferred to cover the deficit Sign all financial aid offers and approve all renewal offers Monitor amount of scholarship funds allocated/awarded per sport The Associate Athletic Director will: Notify the Asst. AD for Business of the amount of proceeds from the Celebrity Sports Auction to transfer to each sports NCAA scholarship account The Asst. AD for Business will: Ensure that all donations and fundraising proceeds are handled according to the procedures listed above in Section II. Cash Handling for Gate Receipts, fundraisers and donations At the completion of the fiscal year accounting cycle, send a memo signed by the athletics director to the accounting office identifying the amount of funds to transfer from the NCAA/Athletic Administration account to cover any deficits in all other NCAA scholarship accounts The Assistant Athletic Director and/or Director of Development will notify University Advancement of all scholarship fundraisers that are schedule to occur The coaches will: Ensure that all donations and fundraising proceeds that they personally receive are handled according to the procedures listed above in Section II. Cash Handling for Gate Receipts, fundraisers and donations. 25

26 Monitor the amount of grants-in-aid (scholarships) that are awarded within his or her sport to ensure that the total amount of aid awarded is within the budget established by the Director of Athletics at the beginning of the year Individual Travel Individual Travel Policies: All department staff must submit written requests for authorization to travel to the Director of Athletics prior to departure, preferably at least two weeks in advance. No travel will be reimbursed unless the travel authorization is approved by the Director of Athletics or his/her designee All required receipts and any unused travel advance refunds must be submitted to the Asst. AD for Business (team travel) or the Athletics Administrative Assistant (all other travel) within 48 hours of return from trip All travel requests must be prepared within the guidelines established in the University Travel Manual For in-state and out-of-state travel, employees will be reimbursed actual lodging expenses, supported by appropriate receipts. No reimbursement will be authorized without required receipts. Wherever feasible, employees should obtain lodging at establishments offering discounted rates for state employees when such rates are favorable for the area When travel occurs using one s own private vehicle, mileage reimbursement will occur at a rate not to exceed university travel policy If a rental car is less expensive than using a personal car, department staff are expected to use the rental car In the event rental of a vehicle is required; staff members may not purchase vehicle insurance offered by the rental company. Staff members must either pay for the rental using their university travel card or book the car on the state account. If a coach has questions regarding insurance on rental vehicles, they should consult with the Athletics Administrative Assistant Detailed receipts for all expenses except meals must be provided. Failure to provide required receipts may result in personnel not being reimbursed for travel expenses Hotel receipts must contain specific information including the total number of rooms, expense detail for each room (room rate, taxes, other 26

27 expenses charged to specific room), parking expenses, etc. Hotel receipts should show the method of payment and a zero balance Unauthorized telephone expenses or other expenses that are non-business related will not be reimbursed RESPONSIBILITIES: The Director of Athletics will approve all requests for authorization to travel and travel expense claims The Asst. AD for Business and/or the Athletics Administrative Assistant will: Prepare requests for authorization to travel forms, travel expense claims, process refunds and reimbursements Ensure compliance with University regulations and Department policies All department staff will: Submit written requests for authorization to travel to the Director of Athletics prior to departure, preferably at least two weeks in advance Submit all required receipts and unused travel advance refunds to the Asst. AD for Business (team travel) or Athletics Administrative Assistant (all other travel) within 48 hours of returning from each trip Sign travel expense claim reports Ensure compliance with University regulations and Department policies PROCEDURES: All department staff must submit written requests for authorization to travel to the Director of Athletics prior to departure, preferably at least two weeks in advance Upon approval, the Director of Athletics will forward travel requests to the Asst. AD for Business The Asst. AD for Business or the Athletics Administrative Assistant will complete the request for authorization to travel form and acquire the signature of the traveling employee. The form will then be forwarded to the Director of Athletics for approval. Travel authorizations for the Director of Athletics will be sent to the President s Office for signature, preferably at least two weeks in advance. 27

28 The Director of Athletics will sign the request for authorization to travel form and return to the Asst. AD for Business or the Athletics Administrative Assistant The Asst. AD for Business and/or Athletics Administrative Assistant will retain a copy of the request for travel form with all required signatures and forward to Accounts Payable Upon completion of trip, the traveling employee will submit all required receipts to the Asst. AD for Business (team travel) or the Athletics Administrative Assistant (all other travel) within two business days The Asst. AD for Business or the Athletics Administrative Assistant will review all expenditures for compliance with University regulations and Department policies The Asst. AD for Business or the Athletics Administrative Assistant will prepare a travel expense claim and acquire the signature of the traveling employee. The travel expense claim report will then be forwarded to the Director of Athletics for approval. The travel expense claims for the Director of Athletics will be forwarded to the Office of the President for approval The Director of Athletics will sign the travel expense claim and return it to the Asst. AD for Business or the Athletics Administrative Assistant The Asst. AD for Business will retain a copy of the travel expense claim with all required signatures, along with copies of all receipts. The travel expense claim will then be forwarded with original receipts attached, to Accounts Payable Team Travel Team Travel Policies: Scheduled travel for competition should be detailed in the budget that each sport submits to the Director of Athletics prior to the beginning of each academic year Team travel requests must be submitted to the Director of Athletics for review and approval before any travel expenses are incurred or encumbered Each coach responsible for team travel expenses shall apply for a University corporate credit card. This card shall be used to pay expenses for airfare, lodging, vehicle rentals, parking, and fuel. Travel advances for 28

29 meals and entry fees will be issued to coaches. Any coach who is unable to qualify for a University corporate credit card may be given travel advances for lodging and transportation with approval by the Director of Athletics Per diem disbursement sheets and all required receipts must be submitted to the Asst. AD for Business within two business days from return from trip All areas within the Department must remain within specific budget allocations In the event rental of a vehicle is required, insurance coverage provided by the rental agency should be declined. The University will not provide reimbursement for additional optional insurance offered by the vehicle rental agencies. Payment for the rental vehicle should be either charged to the State contract with Enterprise or charged to a University corporate credit card Detailed receipts for all expenses with the exception of meals must be provided. Failure to provide required receipts may result in personnel not being reimbursed for travel expenses Hotel receipts must contain specific information including the total number of rooms, expense detail for each room (room rate, taxes, other expenses charged to specific room), parking expenses, etc. Hotel receipts must also show the method of payment and a zero balance Unauthorized expenses that are non-business related will not be reimbursed Team sizes beyond established travel squads must be approved in advance and in writing by the Director of Athletics RESPONSIBILITIES: The Director of Athletics will approve: Requests for authorization to travel Travel expense claims Championship travel requests The Asst. AD for Business will ensure: 29

30 Requests for travel advances are within Department guidelines Travel expense claims are processed per University and Department policies and procedures Refunds and reimbursements are processed per University and Department policies and procedures Coaches will: Submit travel party and itinerary prior to departure Submit signed per diem disbursement sheets Ensure that all student-athletes listed on travel expense claims and per diem reimbursement sheets are declared eligible per the latest (prior to the event) eligibility list Submit all required receipts Sign travel expense claim reports PROCEDURES: Coaches will submit travel requests to the Athletics Administrative Assistant by the designated target dates. These travel requests must be prepared with the following guidelines: Coaches must remain within their maximum team travel size allowances for traveling squads Meal allowances for team travel are established in the budget process as approved by the Director of Athletics The Asst. AD for Business or Athletics Administrative Assistant will prepare the request for travel form, acquire the coach s signature, and forward to the Director of Athletics for approval The Director of Athletics will sign the travel request form and return it to the Asst. AD for Business or Athletics Administrative Assistant The Asst. AD for Business and/or Athletics Administrative Assistant will retain a copy of the travel request form with all required signatures and forward to Accounts Payable. 30

31 Upon completion of trip, the coach will submit all required receipts to the Asst. AD for Business within 48 hours The Asst. AD for Business will review all expenditures for University and Department regulations, prepare a travel expense claim, acquire the coach s signature, and forward claim to the Director of Athletics for approval The coach will ensure each student-athlete listed on the travel expense claim and per diem reimbursement sheet are declared eligible per the latest (prior to event) eligibility list The Director of Athletics will review the travel expense claim for approval and return it to the Asst. AD for Business The Asst. AD for Business will retain a copy of the travel expense claim with all required signatures along with copies of all receipts. The travel expense claim will then be forwarded to Accounts Payable Budget Policies ATHLETIC DEPARTMENT BUDGET POLICIES: Each sport and the administrative area are set up as departments in the PeopleSoft accounting system. Expenses that are directly attributable to a sport are charged directly to the appropriate department. Administrative expenses are charged to the administrative department and are not allocated to the various sport departments All purchases/expenses that benefit multiple departments are allocated to those departments based on their proportional usage. Certain items that benefit multiple sports are considered administrative and charged to the administrative department, i.e. towels, office supplies, copiers, postage, general fundraising expenses that benefit all sports The Director of Athletics will receive an IRA Student Fee Revenue budget from the University Budget Office, which will include salaries, benefits and operating expenses Upon recommendations and advice from staff and coaches, the Director of Athletics will prepare a department wide budget, consolidating the budgets by sports into a department wide budget, which includes the administrative budget. 31

32 The Asst. AD for Business determines which budget expenses will be paid out of IRA funds, trust fund, etc. and balances all funds to the total department budget The President or designee will approve the departmental budget The budget will be given to the University Budget office for entry into the PeopleSoft system RESPONSIBILITIES: The coaches will: Submit a proposed operating expense budget for their sport to the Director of Athletics Meet with the Director of Athletics to discuss their budget request The Director of Athletics will: Meet with coaches to discuss each sport s budget request Compile a budget for the athletics administrative department Consolidate all sport budgets and the administrative budget into a comprehensive department budget Oversee the submission of the finalized budget to the President for approval Oversee the submission of the approved budget to the University Budget office for input into the PeopleSoft accounting system The Asst. AD for Business will: Receive initial department budget from Director of Athletics and determine which expenses will be budgeted in the IRA Student Fee revenue fund and which expenses will be budgeted in the trust fund Take comprehensive department budget and create two separate budgets for each department, one for IRA fund expenses and one for trust fund revenues and expenses Submit both IRA fund and trust fund budgets back to the Director of Athletics for approval. 32

33 Appendix A HSU Athletics Grants-in-Aid Policies and Procedures TABLE OF CONTENTS HSU Athletics Grants-in-Aid Policies...1 Athletics Grant-in-Aid Procedures...5 Office for Enrollment Management...14 Financial Aid Office...15

34 Humboldt State University Athletics Grants-in-Aid Policies A. The Athletics Grants-in-Aid Program at Humboldt State University is based on the following premises: 1. Athletics grants-in-aid are a privilege not a right. 2. Student-athletes will be admissible at Humboldt State University as determined by the Office of Enrollment Management and meet NCAA grant-in-aid standards. 3. The Head Coach of each sport must identify the student-athletes to be offered an athletics grant-in-aid. 4. Administration of athletics aid will meet the rules and regulations of Humboldt State University, federal and state financial aid guidelines, the conference affiliation, and the NCAA. B. Budgeting and Allocating Grants-in-Aid: The Director of Athletics will be responsible for budgeting and distributing grants-in-aid among teams based on Title IX requirements, NCAA guidelines, available funding and the principle of providing every sport the opportunity to be competitive in its conference, region or alliance. Other related factors are as follows: 1. Each sport will receive annually an athletics grants-in-aid budget. 2. Athletics grants will be given to student-athletes for fall and/or spring terms. A limited number of athletics grants may be given for the summer term. 3. The Head Coach of each sport, with the approval of the Director of Athletics, will select individuals to receive athletics grants-in-aid. Athletic ability, specific program needs and academic abilities will be part of the evaluation and determination of who receives an athletics grant-in-aid. No single criteria will be given priority in the selection process. 4. Athletics grants-in-aid will be awarded annually or by semester. 5. A full grant-in-aid will not exceed the maximum allowed by the NCAA (tuition and fees, room and board, course-related books and required course-related supplies). Student-athletes may receive the maximum allowed in athletics aid from the combination of any sports. Athletic aid will count on the squad lists for the sports it was awarded per bylaw Multiple-Sport Participants. An athletics grant-in-aid may be allocated for one or two semesters (fall and spring only). Summer term awards will be made separately. 6. Funding for an Athletics Grants-in-Aid program will be generated through various external sources in cooperation with University Advancement.

35 7. Since the status of a student-athlete may change, it is incumbent on all parties to assure that changes be reflected on the Squad List. When a student-athlete joins or leaves a team, stops attending classes or withdraws from school, or their financial aid changes, the office with primary knowledge must inform other offices to assure that the Squad List remains updated. C. Renewal, Reduction and/or Non-renewal of Grants-in-aid 1. The renewal of Athletics Grant-in-Aid based in any degree on athletic ability shall be made on or before June 15 prior to the academic year in which it is to be effective. The financial aid office shall notify in writing each student-athlete who received an award in the previous academic year whether the grant has been renewed, reduced or not renewed for the ensuing academic year. 2. The Financial Aid Director will inform student-athletes when their athletics grant-in-aid is not renewed no later than June 30. The Financial Aid office will inform studentathletes electronically when their athletics grant-in-aid is reduced for the ensuing academic year no later than June 30. The procedures for an appeal and opportunity for a hearing will be sent under the same cover as the letter of non-renewal or reduction. Student-athletes will have 30 days from the date of the letter to file an appeal with the Director of Athletics. 3. A student-athlete's athletics grant-in-aid may not be increased, reduced or terminated during the period of its award because of: a. A student-athlete's athletic ability or positive or negative contribution to the team's success. b. An injury that prevents the student-athlete from participating or hinders participation in athletics. 4. A student-athlete's athletics grant-in-aid may be reduced or terminated during the period of its award if he/she: a. Receives resources in excess of those used in the initial determination of eligibility for Financial Aid and/or Athletics grant. b. Does not satisfy the stated academic requirements for athletics grants-in-aid (2.00 GPA, 24 units earned per academic year or an average of 12 units per full-time term, normal degree progress, enrolled in 12 units per semester, earn at least 6 units of academic credit from term to term). c. Fraudulently or inadvertently misrepresents any information on a university application for admission, transcripts, letter of intent, financial aid or verifications forms. d. Engages in serious misconduct warranting substantial disciplinary penalty by the appropriate institutional committee or agency. Serious misconduct means misconduct that is of sufficient gravity that if comparable conduct occurred in other departments of the institution, similar substantial disciplinary penalty could properly be imposed. Serious misconduct includes violation of institutional regulations or the Athletic Department Code of Conduct applicable to all student-athletes. 2

36 e. Voluntarily withdraws from a sport for personal reasons. f. Renders oneself ineligible for intercollegiate competition by violation of applicable NCAA or conference rules. g. Signs a professional sports contract. NOTE: A student-athlete who signs a professional sports contract, accepts money for playing in an athletic contest, or agrees to be represented by an agent, jeopardizes his or her eligibility under NCAA amateurism regulations. 5. If a student-athlete's academic ineligibility per NCAA standards includes mitigating circumstances, the student-athlete may be considered for renewal of an athletics grant-inaid at the same level for one academic year after the academic ineligibility occurs (per NCAA). The awards must be approved by the Director of Athletics and Faculty Athletics Representative with input from the Head Coach. 6. Student-athletes who have exhausted their athletic eligibility, but are continuing undergraduate student-athletes, may apply for continued athletics aid on a semester to semester basis. Grant eligibility will be determined through consideration of academic progress toward a degree, GPA, availability of money and statement of need. These awards must be approved by the Director of Athletics and Faculty Athletics Representative with input from the Head Coach. 7. Student-athletes who are permanently injured in activities associated with their sport participation and are unable to continue participation (based on medical documentation) will receive athletics aid for the remainder of the academic year. Injured student-athletes may apply for renewal of athletics aid in subsequent years. Grant eligibility will be determined through consideration of academic progress toward a degree, GPA, availability of grant money and statement of need. These awards must be approved by the Director of Athletics and Faculty Athletics Representative with input from the Head Coach. D. National Letter of Intent: Humboldt State University subscribes to the National Letter of Intent administered by the NCAA Eligibility Center and governed by the Collegiate Commissioners Association (CCA) with the following stipulations: 1. All requests for offers of National Letters of Intent must be approved and processed by the Director of Athletics. 2. Public announcements of signing must be approved by the Athletics Compliance Coordinator. E. Academic Factors That Relate to Grant-in-Aid 1. All student-athletes must have a Humboldt State University identification number. 2. Student-athletes who receive an athletics grant-in aid must be enrolled in 12 units in order to be eligible for practice or competition and meet NCAA guidelines for eligibility. 3

37 Student-athletes may retain athletic grant-in-aid eligibility with fewer than 12 units under the following conditions: a. In their last semester before graduation when they have fewer than 12 units required to complete the degree. b. Student-athletes who enroll in less than 12 units must be notified that their nonathletics financial aid may be impacted. F. Review of Athletics Grants-in-Aid Program 1. The Intercollegiate Athletics Advisory Committee will review the Grants-in-Aid Policies and Procedures Handbook periodically for effectiveness of procedures. 2. Policies and Procedures will be reviewed for content and compliance. Grants-in-Aid Procedures A. Athletics Grants-in-Aid Funds 1. All fund-raising activities must be approved by the Director of Athletics and coordinated with the Office of University Advancement and the Office of the President. 2. Grants-in-aid donations solicited by the Athletics Department shall specify that donations be mailed directly to the university s Gift Processing Center. Grants-in-aid donations received in the mail or by coaches shall be forwarded to the Assistant Athletic Director of Business Operations who forwards them to the Gift Processing Center. 3. University Advancement sends a receipt to the donor. Director of Athletics sends a thank you letter acknowledging the donation. 4. Gift Processing Center deposits funds in appropriate State Athletics Grants-in-Aid account. 5. No later than July 15 th, sufficient funds will be transferred to appropriate State Athletics Grant-in-Aid accounts for disbursement by Financial Aid for the academic year. 6. After the end of the fourth week of each semester, two weeks before the end of each semester, and upon request, Financial Aid will notify the Athletics Compliance Coordinator who will notify Head Coaches of grants-in-aid funds for student-athletes which were approved but not disbursed and the reasons why the funds were not disbursed. B. Athletics Grants-in-Aid Budgets (Director of Athletics) 1. For each sport, determine the total amount of athletics aid that will be available. 2. For each sport, determine with Head Coach the amount of athletics aid that will be committed to returning student-athletes (renewals). 4

38 3. For each sport, determine the amount of athletics aid available and dates it can be committed to prospective student-athletes. C. Identify and Track Each Sport s Prospective Student-Athletes 1. New prospects as identified by coaches are tracked by the Assistant Athletic Director on a Google Doc that is shared with the Office of the Registrar and the Office of Admissions. 2. The Assistant Athletic Director will indicate on the Google Doc where prospective student-athletes are in the application process. D. Initial Athletics Grants-in-Aid Head Coach consults with Director of Athletics prior to initiating new grants-in-aid offers. Head coach then completes the Financial Aid/NLI Offer Form, attaches the student-athlete s most recent transcript, and gives it to the Athletics Compliance Coordinator for approval. Athletics Compliance Coordinator confirms that all prospects have registered with the on-line NCAA Eligibility Center and are on the NCAA Eligibility Center Institutional Request List (IRL) for Humboldt State University and have not already signed an NLI, and checks for copies of the current transcripts for high school, preparatory school or two-year college transfers. For four-year transfers a copy of the release from the prior institution is attached. The Compliance Coordinator initiates the grant. 1. The Athletics Compliance Coordinator processes the offer letter, obtains signatures of Head Coach and Director of Athletics, enters it in Compliance Assistant and forwards it to the Financial Aid Office. Financial Aid records offers to PeopleSoft except for offers Athletics specifically request a hold on. The athletics aid offer is effective once it is recorded in PeopleSoft. Financial Aid office returns the signed offer letter to Athletics. 2. Compliance Coordinator s the offer letter signed by Financial Aid and Director of Athletics and Coach to the student-athlete along with a letter detailing the signature and return procedures. If offer letter is part of the National Letter of Intent, Compliance Coordinator processes the National Letter of Intent and s it to the student-athlete along with the approved offer letter. 3. Student-athlete returns (by or fax) the signed award letter (and National Letter of Intent, if offered) to the Athletics Office or Financial Aid Office within 7 days of letter date. If returned to Athletics, the Compliance Coordinator forwards the acceptance letter to Financial Aid (if returned to Financial Aid, a copy of the award letter is sent to Athletics). 3. If Head Coach requests a Conference Letter of Intent (CLI), the procedure is exactly the same as detailed above. A CLI can be used only for a 4-year transfer. 4. The original offer letter and National Letter of Intent will be filed in the Athletics Grantin-Aid binder for that academic year. 5

39 5. For National Letter of Intent, Compliance Coordinator s signature pages of the NLI and offer letter to the California Collegiate Athletic Association office. For football, the NLI and offer letter are sent to both the CCAA and the Great Northwest Athletic Conference. For Conference Letter of Intent, Compliance Coordinator s the signature page of the CLI alone to the California Collegiate Athletic Association office. E. Renewal/Non-renewal/Reduction of Athletics Grants-in-Aid 1. Head Coaches submit list of all student-athletes (including the status of all prior year award recipients) and the dollar amount of award recommendations to Director of Athletics no later than the first week in June. A memo from the Head Coach to the Director of Athletics indicating the reasons for any non-renewals or reductions are submitted with the list. 2. Director of Athletics retains documentation for reduction decision to be made available to Appeals Committee upon request. 3. Director of Athletics reviews award recommendations and will verify compliance with team limits per the squad list prior to competition. 4. Financial Aid Office prepares renewal/reduction offers electronically for continuing student-athletes by June 30. Financial Aid records renewal offers in PeopleSoft. 5. Student-athletes will have 30 days to accept or initiate an appeals process. 6. Financial Aid notifies Athletics who notifies Head Coach of student-athletes acceptance of renewal of grant-in-aid offer. F. Non-renewal: 1. Head Coaches submit recommendations for non-renewal of athletics aid to Director of Athletics for review and approval by the end of the first week of June. 2. Director of Athletics retains documentation for non-renewal/reduction decision to be made available to Appeals Committee upon request and forwards reason for reduction to Financial Aid. 3. Director of Athletics submits a list of non-renewal recommendations, including reasons for non-renewal, to Financial Aid Office no later than June Financial Aid Office reviews recommendations and Director of Financial Aid by June 30 notifies student-athletes electronically of non-renewal of athletics aid, reason for nonrenewal, time limit (30 days) to appeal and procedure to request a hearing. G. Repayment of funds by student-athlete due to violation: In some instances, a student athlete may repay funds as restitution for a violation. Such restitution may allow the institution to petition NCAA for reinstatement of the studentathlete s eligibility to compete. Student-athlete submits check to Athletics Compliance Coordinator who forwards it to Student Financial Services with an explanation. Athletics Compliance Coordinator notifies Financial Aid of the repayment by forwarding a copy of the document. H. Reduction and Cancellation During the Period of Award 1. Head Coach submits a request to the Compliance Coordinator stating the circumstances that have led to the request to reduce or cancel a student-athlete's grant-in-aid. 6

40 Compliance Coordinator s Financial Aid requesting the change and including the reason. a. If the student-athlete renders him/herself academically ineligible per NCAA or conference rules, a head coach may request a reduction or athletics aid during the period of the award. This type of reduction is not made automatically; it is at the discretion of the head coach. 2. Head Coach and Director of Athletics meet to discuss coach s request. 3. Upon approval of the Director of Athletics, the Head Coach and Director of Athletics meet with the student-athlete to inform her/him of the reduction or cancellation. A meeting with the student-athlete is not necessary when the student-athlete has voluntarily withdrawn (quit) from the team. 4. Director of Athletics retains documentation for non-renewal/reduction decision. 5. Compliance Coordinator s requested reduction or cancellation of a student-athlete s athletics grant-in-aid with the reason to the Financial Aid Office. a. Financial Aid Office notifies (within seven days) student-athletes in writing of the reduction or cancellation of their athletics grant-in-aid and makes immediate changes in PeopleSoft. b. Student-athlete has a hearing opportunity that shall be conducted by a committee outside the athletics department that will be comprised of the Faculty Athletics Representative, a Department Chair, and a member of the Student Athletic Advisory Committee. 6. Financial Aid Office forwards a copy of the notification letter to Director of Athletics. 7. Director of Athletics forwards a copy of the notification letter to the Head Coach. I. Expiration of Athletic Eligibility 1. At the conclusion of each sport s traditional season, Head Coaches provide the Director of Athletics with a memo listing those student-athletes whose eligibility for athletics aid will expire before the next academic year begins. 2. Director of Athletics verifies memo listing student-athlete s competitive status is accurate and determines new equivalency limits and budget for each sport. J. Squad List 1. In late spring, the Athletics Compliance Coordinator requests from coaches a list of new and continuing student-athletes expected on the team for the next year. Athletics Compliance Coordinator enters them in Compliance Assistant in early summer. 7

41 2. Athletics Compliance Coordinator administers the student-athlete eligibility packet to student-athletes, the majority of which is through online forms where a link is ed directly to the student-athletes. 3. Athletics Compliance Coordinator enters the information from the packets for the Squad List into PeopleSoft and Compliance Assistant for each sport. 4. Athletics Compliance Coordinator completes pertinent information in PeopleSoft and Compliance Assistant (student-athlete s name, HSU identification number, number of seasons of eligibility used, whether recruited or not recruited First term attended at HSU and any institution, etc.). 5. Squad list is available on Compliance Assistant for Office of the Registrar and the Financial Aid Office to view. 6. Squad Lists are prepared by the Compliance Coordinator and given to the Faculty Athletics Representative for review and approval. 7. Athletics Compliance Coordinator monitors Squad List to stay within sport-by-sport limits and for changes in eligibility. 8. On an ongoing basis the Athletics Department and Office of the Registrar will make updates that reflect on the Squad List Report. 9. Faculty Athletics Representative signs Squad List for each sport before the first competition and as needed during the academic year. 10. Head coaches sign the squad lists for their sports the day before the first competition and as needed after that. K. Responsibilities for Squad List by Column 1. High School Graduation Date is gathered from Eligibility Questionnaire or NCAA Eligibility Center and entered in Compliance Assistant. 2. Term First Attended Any Institution: First term attended are gathered from Eligibility Questionnaire and entered into the squad list. 3. First Term Attended HSU: First term attended at HSU data are gathered from Eligibility Questionnaire and entered into the squad list. 4. Fall/Spring Academic Eligible column data are pulled from Compliance Assistant data entered by the Office of the Registrar Compliance Assistant. 5. Number of Years of Financial Aid Utilized: This information is pulled from two sources. On the Eligibility Questionnaire the student-athlete is asked to indicate if he/she has received financial aid at any other institutions and if so for which years. This is entered 8

42 into Compliance Assistant. Second, the squad list report pulls number of years of financial aid utilized at HSU from Compliance Assistant and adds it to financial aid years at other institutions to come up with a total for the squad list. 6. Number of Seasons Utilized: This column represents the number of seasons utilized in this sport for the student-athlete. This information is entered into Compliance Assistant by Athletics from the Eligibility Questionnaire and is verified by the head coach. 7. Recruited Per Bylaw : This information is gathered from the Eligibility Questionnaire and from the Head Coaches. Student-athletes who are not recruited are required to fill out the "Certification of Non-Recruitment" form. Student-athletes will notify athletics of their recruitment status electronically with verification from the head coach. 8. Period of Award: These data are pulled from Financial Aid's Compliance Assistant 9. Amount of Athletics Grants: These data are pulled from offer letters and entered in Compliance Assistant and verified periodically with Financial Aid's weekly report to FA Athletes reports. 10. Amount of Other Countable Aid: These data are pulled from Financial Aid FA Athletics reports. 11. Total Countable Aid: This total is the sum of Amount of Athletics Grant column and Amount of Other Countable Aid column. 12. Exempt: This column is programmed to be marked "Y" for those student-athletes who meet the criteria for non-counters. The Non-Counter Certification forms are prepared by Athletics and run from Compliance Assistant. See: Athletics Department Procedures "Document Student-Athletes as Non-Counter" next. 13. Full Grant Amount is total cost for tuition and fees, room and board, required courserelated books and required course-related supplies per bylaw Maximum Institutional Financial Aid to Individual. This amount is provided by Financial Aid's and entered in Compliance Assistant by Athletics Compliance Coordinator. 14. Equivalent Award: This amount is Total Countable Aid divided by Full Grant Amount. 15. Status: This is coded by Athletics a. Codes definition A = Added to Team C = Cut/Dismissed From Team E = Exhausted Eligibility/Exhausted Eligibility-Fifth Year G = Graduated H = Hardship Waiver Granted M = Medical Exception/Medically Unable to Participate N = Non Qualifier 9

43 O P Q R T V W = Other = Partial Qualifier = Quit Team = Red Shirt/Did not Compete = Transfer/Residence Requirement = Ineligible Due to Violation = Withdrew 16. Change in Status Date: This is the date the status changed and is entered into Compliance Assistant by Athletics Compliance Coordinator. L. Document Student-Athletes as Non-Counter (Athletics Compliance Coordinator) 1. Non-Counter forms are generated from Compliance Assistant. Non-counter forms are for student-athletes who receive non-athletics aid only. They are signed by the Director of Financial Aid and Faculty Athletics Representative to certify the student-athlete is receiving institutional financial aid granted without regard in any degree to athletics ability. 2. The signed forms are returned to the Athletics Office and filed with the squad lists. 3. The forms are completed by mid semester. M. Monitoring Student-Athletes Sources of Financial Aid and Employment to Ensure NCAA Compliance. 1. The Athletic Grant Information Request forms are required of each student-athlete offered an athletics grant and must be completed before any Grant-In-Aid is disbursed. Student-athletes will have access to the form in their HSU Student Center account. 2. Student-Athletes are informed about the NCAA employment rules by signing a statement on the Eligibility Questionnaire agreeing to report employment to the Athletics Compliance Coordinator if they are employed off-campus during the academic year and are paid for work they did not perform, or are paid at a rate higher than the going rate for similar employment in the area or if their employer uses their athletics reputation to promote the sale of their employer's products or services. 3. In the case of a potential over award, Financial Aid will notify Athletics Compliance Coordinator that a reduction needs to be made to the grant-in-aid, including the reason why. If it is after Spring semester begins and the money has already disbursed, the Athletics Compliance Coordinator will work with the Financial Aid Director for a recoup of an overage of awarded aid. 4. The Office of Financial Aid will notify the student-athlete in writing about the adjustments made in his/her financial aid package due to changes in employment and/or financial aid. Student-athlete will be advised to view award adjustments on the HSU web site. 10

44 5. Financial Aid may request a letter from the individual and/or organization that provides the outside aid that describes the type of award, the criteria for selecting recipients and the terms under which it is given. 6. When they have the information, Coaches notify Athletics Compliance Coordinator of the following types of aid to student-athletes: tuition fee waivers, state fee waivers, grants/loans from foreign student-athlete s native country, educational grants from professional sports organizations. N. Monitor Progress Toward Degree (Office of the Registrar) 1. Each term monitor academic progress per NCAA regulations. 2. Notify Compliance Coordinator and Athletics Academic Coordinator of academic progress and any eligibility implications on the Athletics Roster Google Doc and by Director of Athletics or designee notifies Director of Financial Aid of cancellation or reduction of a student-athlete s athletics grant-in-aid. O. Completion of the Free Application for Federal Student Aid (FAFSA) (Head Coach) 1. The FAFSA captures data required by NCAA, verifying student identification and citizenship status via Social Security Administration and Homeland Security edits. HSU has chosen the FAFSA as the vehicle to verify this data. The requirement to file a FAFSA to receive a Grant-In-Aid is reiterated on the Award letter and in the Athletics Financial Aid Agreement. 2. New grant-in-aid recipients will be contacted as soon as they commit to Humboldt State University to notify them that they need to complete the FAFSA if they want to apply for need-based aid. 3. Returning grant-in-aid recipients will be advised by the coaches to re-file their FAFSA as soon as possible after January 1. P. Monitor Financial Aid Satisfactory Progress 1. The Financial Aid Office will monitor each student-athlete s financial aid for satisfactory progress. 2. The Office of Financial Aid will notify the Director of Athletics of any student-athletes who do not make financial aid satisfactory progress and how it affects the individual s aid package. 3. The Office of Financial Aid will make appropriate changes to the aid package and notify the individual in writing. 11

45 4. The Athletics Compliance Coordinator will monitor the squad list for compliance with individual and team limits. P. Grant-in-aid eligibility while enrolled in less than 12 units: Student-athletes may be eligible to receive athletics grants-in-aid in their last semester before graduation when they have fewer than 12 units required to complete the degree. Office of the Registrar reviews the degree check to confirm that the student-athlete is enrolled in the units needed to complete the degree. Institutional financial aid cannot be awarded to the student-athlete after that term. In order to release the funds, the Director of Athletics or designee must send a memo or to Financial Aid requesting release of funds, indicating the student-athlete is in his/her last semester and that Office of the Registrar has reviewed the degree check and certified that the student-athlete is enrolled in the courses needed for graduation. Q. Summer Financial Aid: As a result of The State of California s Student Athlete Fair Opportunity Act of 2005, Executive Order 967 requires that (starting in summer 2006), HSU give athletics grants to at least two but not more than five student-athletes. The minimum costs to be covered are fees and books. 1. Priority for the grants will be given to student-athletes who need to reestablish satisfactory academic progress that may be required for their continued eligibility to enroll at the campus, to participate in intercollegiate athletics, to receive student financial aid or to complete additional courses required to keep them on track with respect to completing their degree. 2. Priority will also be given to student-athletes who were special admits and who are at risk for not completing their degree before their athletic eligibility ends. After that, priority will be given to student-athletes who need to satisfy NCAA progress toward degree requirements or to maintain or establish their eligibility to receive student financial aid funding. 3. The provision of summer athletic scholarships shall be consistent with Title IX and NCAA regulations. 4. Per NCAA regulations, summer aid does not count on the squad list. Student-athletes who are enrolled in less than full-time are eligible for summer aid. Summer aid can only be given to student-athletes who received athletics aid during the previous academic year and it can only be given in proportion to the athletics grants they received towards their educational expenses during the academic year. If the student-athlete s equivalent for the academic year was.52, then 52% of their educational expenses can be awarded for the summer. 12

46 Enrollment Management Athletics Grants-in-Aid Procedures A. Coach notifies Assistant Athletic Director of new prospects. These prospects are added to the Recruit Google Doc. Upon application to the University, they will receive regular communication from the Office of Admissions. B. The Recruit Google Doc will be periodically updated to provide a list of prospective studentathletes by sport indicating where they are in the application process. C. Office of the Registrar s Compliance Assistant accesses student-athlete information in Compliance Assistant. D. The Office of the Registrar s Compliance Assistant determines the class level of each student-athlete. 1. Names and high school information are entered by the Athletics Compliance Coordinator NCAA Eligibility Center via a web page. The Eligibility Center determines initial eligibility for freshmen and makes a list available via the web (requiring an I.D. and password) indicating the eligibility status of each student-athlete. Athletics Compliance Coordinator enters the initial eligibility decisions from the Eligibility Center to Compliance Assistant. E. Each term academic progress is monitored and any eligibility implications are noted on the Eligibility Checklist. F. Squad List is available for Office of the Registrar s to view in Compliance Assistant. Updates to Compliance Assistant will be reflected on the Squad List. 1. Fall Units and Spring Units are monitored by the Athletics Compliance Coordinator from PeopleSoft data. Full-time enrollment checkbox in Compliance Assistant is entered in Compliance Assistant by Athletics Compliance Coordinator 2. High school graduation date, first term attended any institution, and first term attended HSU are entered in Compliance Assistant by Athletics Compliance Coordinator. 3. Fall/Spring academic eligible column is pulled from Compliance Assistant data entered by Office of the Registrar Compliance Assistant. G. Verification procedure for student-athletes in last semester enrolled in less than 12 units: Office of the Registrar reviews degree check to determine that student-athlete is enrolled in units needed for graduation and certifies via the Compliance Assistant that the studentathlete is carrying (for credit) the courses necessary to complete degree requirements per Bylaw Final Semester/Quarter. H. Report possible violations to Director of Athletics, Athletics Compliance Coordinator, or Faculty Athletics Representative. 13

47 A. Athletics Grant-in-Aid Offers Financial Aid Office Athletics Grants-in-Aid Procedures 1. Receive offer letters from the Director of Athletics for athletics grants. 2. Determine student-athlete s eligibility for athletics grant-in-aid and notify Director of Athletics of student-athletes who are not eligible to receive a Grant-in-Aid. 3. Sign offer letters for eligible student-athletes and forward to Athletics. Record offers to PeopleSoft except for offers where Athletics specifically requests a hold. The athletics aid award is effective once it is recorded in PeopleSoft. 4. Student-athletes are required to accept offer by deadline noted on Financial Aid Agreement. Student-athlete must sign and return Grant-in-Aid award letter to accept award offer. Signed award offers received within six to sixty days after the posted deadline require authorization by the Director of Athletics or designee to be honored. Signed award offers received more than sixty days after the deadline will be reissued upon authorization from the Director of Athletics. 5. Financial Aid Office will send a copy of student-athletes signed offer letters to Athletics after input into PeopleSoft. If received directly by athletics, signed letters will be sent electronically to Financial Aid Office. 6. Student-athletes who are unable to complete a FAFSA because they are neither citizens nor eligible non-citizens must submit a copy of their passports and student visas to determine whether they are eligible for any benefits, including scholarships or athletic grants. B. Clearance for first-time freshmen: Two weeks prior to the first day of the semester Athletics Compliance Coordinator will notify Financial Aid by of first-time freshmen athletic grant recipients who have not yet been cleared by NCAA Eligibility Center or who have a non-qualifier status. The Financial Aid Office will place a hold on their record in PeopleSoft to prevent disbursement of Athletic Grants to these student-athletes. C. Renewals (includes increases or reductions from prior year Grant-in-Aid amount). The Director of Athletics generates award letters for all Grant-In-Aid renewals. All studentathletes who received an Athletics Grant-in-Aid award the previous academic year and who have eligibility remaining in the sport in which financial aid was awarded the previous academic year must be notified by June 30 of their Grant-in-Aid status for the ensuing year If award is reduced from prior year when student-athlete has remaining eligibility, Grantin-Aid offer letter will include reason for reduction, student-athlete s right to appeal and procedure to appeal. Director of Athletics will provide reason for reduction to Financial Aid Office and maintain documentation of circumstances to be made available to Appeal s Committee upon request.

48 15 3. Determine student-athlete s eligibility for athletics grant-in-aid and notify Director of Athletics of student-athletes who are not eligible to receive a Grant-in-Aid. Notify Director of Athletics of student-athletes not eligible to receive Grant-in-Aid offer. 4. Financial Aid Office will send electronically renewal Grant-in-Aid award letters to eligible student-athletes and enter offers in PeopleSoft. D. Non-renewal of Grant-in-Aid: Director of Athletics submits list of non-renewal recommendations at least two weeks prior to June 15. Director of Athletics will provide reason for non-renewal to Financial Aid Office and keep documentation of circumstances to be made available to Appeals Committee upon request. Student-athlete will be notified of reason for non-renewal and of her or his right to appeal. A copy of the letter will be sent to Director of Athletics. E. Reduction and Cancellation during the period of award. 1. Director of Athletics submits request (copied to the Athletics Compliance Coordinator) to reduce or cancel student-athlete's Grant-in-Aid. Reason for reduction or cancellation will be given to Financial Aid Office and this reason will be included in the student-athlete's letter. Documentation of reason to reduce or cancel are kept by Director of Athletics and made available to the Appeals Committee upon request. Compliance Coordinator enters the change in Compliance Assistant. 2. Letter of reduction or cancellation is sent to student-athlete by Financial Aid. This letter will include notice of student-athlete s right to appeal, time limit (30 days) to appeal and procedure to request hearing. 3. Copy of letter of reduction or cancellation is sent to Director of Athletics. 4. Request for reduction or cancellations must be received in the Financial Aid Office 15 days prior to the beginning of the semester in order to prevent disbursal. G. Athletic Grant for Fall Semester Only Compliance Coordinator will notify Financial Aid Office of student-athletes who will be attending only the Fall semester of the academic year in order for the full athletics grant to disburse in the Fall semester. This option is not available for athletics grants awarded through a National Letter of Intent which requires the grant to be for the academic year. H. Non-counters. 1. Athletics Compliance Coordinator sends Non-Counter forms generated from Compliance Assistant to Financial Aid Director to verify that financial aid was granted without regard in any degree to athletics ability. Verified and signed forms are returned to Athletics Compliance Coordinator for Faculty Athletics Representative to sign. They are noted in Compliance Assistant and filed in the Athletics Office. 2. If student-athlete voluntarily withdraws from the team prior to the first day of class and aid has not yet disbursed or before the first contest of the season (whichever is earlier)

49 and releases the institution from its obligation to provide financial aid, the individual no longer is considered a counter provided athletically related money has not been disbursed. I. Squad lists 1. Financial aid data on the Squad list will be populated from Compliance Assistant fields. 2. Financial aid updates will be made in a reasonable and timely manner. 3. A memo will be sent from Financial Aid Director to Director of Athletics with the estimates for a full grant-in-aid (total cost for tuition, fees, room, board, and books) for the next academic year when the information becomes available. Actual amounts will be provided when available. I. Monitoring Individual Limits a. Financial Aid Compliance Assistant monitors student-athletes for individual limits. b. No financial aid will be disbursed to student-athletes until the HSU Athletic Grant Information Request form is received and reviewed in the Financial Aid Office. The Financial Aid Office will determine how outside aid is counted and will input this information to PeopleSoft. A report is generated from People Soft showing other countable aid and ed to the Athletics Compliance Coordinator on a weekly basis. The Financial Aid Office s the Athletics Compliance Coordinator periodically with a list of outside athletically related aid which Athletics Compliance Coordinator enters in Compliance Assistant. c. Countable employment information is reported directly from student-athletes to Athletics Compliance Coordinator who enters it in Compliance Assistant submits this information to the Financial Aid Office. K. After the end of the fourth week of each semester, two weeks before the end of each semester, and upon request, Financial Aid will notify the Athletics Compliance Coordinator who will notify Head Coaches of grants-in-aid funds for student-athletes which were approved but not disbursed and the reasons why the funds were not disbursed. L. Confidentiality: Access to financial aid data on the NCAA Squad list and/or financial aid forms shall be limited to person(s) with a need to know. Person(s) with viewing permission assumes the responsibility to insure compliance of privacy rights for studentathletes under Federal Family Educational Rights and Privacy Act (FERPA). M. Report possible violations to Director of Athletics, Athletics Compliance Coordinator, Faculty Athletics Representative or Registrar. 16

50 Appendix B HSU Athletics Compliance Handbook TABLE OF CONTENTS Intercollegiate Athletics Mission Statement... 1 Purpose of the Compliance Handbook... 1 Athletics Department Compliance Staff Duties and Responsibilities... 2 Procedures for Obtaining NCAA Rules Interpretations... 6 Policies and Procedures for Investigating Rules Violations... 6 Student-Athlete Promotional Activities... 8 Recruiting Policies and Procedures... 8 Eligibility Awards and Benefits Grants-in-Aid Policies and Procedures Playing and Practice Seasons Compliance Education Certification of Compliance Conference Compliance Review of Compliance Program Title IX Gender Equity Compliance Procedures Compliance Document Retention Sports Wagering Activities Prohibition... 22

51

52 I. Intercollegiate Athletics Mission Statement The Humboldt State University Intercollegiate Athletics Program functions as an integral part of the academic and social environment of the university and the community in which it resides. Consistent with the university s stated mission and goals, its coaches, student-athletes and professional staff strive to maintain the highest standards of academic achievement, sportsmanship, athletic competitiveness, integrity and citizenship. The intercollegiate athletics program is committed to the principles, mission and guidelines set forth by Humboldt State University and the NCAA including equitable opportunity for all student-athletes and staff including women and minorities. We are committed to the principles of sportsmanship and ethical conduct, rules compliance and amateurism as defined by NCAA for athletics staff, student-athletes and institutional personnel. The purpose of intercollegiate athletics at Humboldt State University is to provide those who participate in intercollegiate athletics the opportunity to: - Further skill development and development of personal relationships to improve the human condition and our environment; - Excel in social responsibility and action by developing such values as fair play, ethics, leadership, integrity, accountability and the pursuit of excellence; - Establish and maintain an environment that values and supports cultural diversity, gender equity and the physical, emotional and social welfare among its student-athletes, coaches and staff including gender issues, ethnic diversity and sexual orientation related issues; - Commit to increasing our diversity of people and perspectives; - Provide a public relations vehicle to enhance regional and national awareness of Humboldt State University; - Develop and maintain physical fitness; - Bring out the spirit, pride and enthusiasm of participants and spectators; - Be stewards of learning to make a positive difference; - Act in good conscience and engage in informed action. Intercollegiate athletics also aims to augment the physical education professional preparation program by providing the practical experiences, research opportunities and internship essential for prospective teachers, coaches and sports medicine professionals. (Revised 4/09) II. Purpose of the Compliance Handbook A. This Compliance Handbook is designed to educate and assist Athletics staff members in understanding the Athletics Department s adherence to NCAA and California Collegiate Athletic Association (CCAA) and Great Northwest Athletic Conference (GNAC - for football only) policies and procedures. Members of the university community, boosters, and alumni as well as Athletics staff members are encouraged at any time to seek assistance in rules matters directly from the Compliance Coordinator, Faculty Athletics Representative, Senior Woman Administrator, or Director of Athletics B. Compliance Philosophy: It is the policy of Humboldt State University to conform to all NCAA and California Collegiate Athletic Association (CCAA) and Great Northwest Athletic Conference (GNAC - for football only) rules and regulations. All Athletics personnel are expected to comply 1

53 with all university, NCAA and conference rules and regulations, and to report through the appropriate channels any violations or potential violations of these rules. C. Disclaimer: This manual is intended to be utilized in conjunction with institutional, NCAA and California Collegiate Athletic Association (CCAA) and Great Northwest Athletic Conference (GNAC - for football only) rules. The policies and procedures listed herein are not necessarily comprehensive. During the course of a year, additional policies may be added or existing policies changed. The Compliance Coordinator, Faculty Athletics Representative, or Director of Athletics will communicate these additions or changes promptly to the coaches, athletics staff and other representatives of HSU Athletics interests (i.e. boosters, alumni). III. Athletics Department Compliance Staff Duties and Responsibilities A. Compliance Oversight Team 1. The Compliance Coordinator for Athletics represents the institution in matters of NCAA and conference compliance issues while maintaining coordination of oversight responsibilities with the Faculty Athletics Representative and Director of Athletics. 2. Areas of oversight include: a. Coordinate student-athlete eligibility and financial aid b. Act as program s primary liaison with the Financial Aid office and Registrar's office c. Interact with program staff and student-athletes to ensure compliance through education and audit/review of daily activities d. Act as program liaison with the NCAA and California Collegiate Athletic Association (CCAA) and Great Northwest Athletic Conference (GNAC - for football only) offices regarding rules interpretations and compliance issues, interact with university staff, students and representatives to develop, improve and coordinate rules education e. Coordinate efforts to review university operating procedures that deal with certification of initial and continuing eligibility and financial aid and develop/monitor a system to safeguard those procedures. B. President 1. Sign Institution Certification of Compliance Annually (for attendance in NCAA championships). 2. Attend first coaches and staff meeting at the beginning of the fall term to stress the importance of compliance with institutional, NCAA, CCAA and GNAC rules. 3. Has ultimate responsibility for NCAA compliance - responsible for the administration of all aspects of the athletics program, including approval of the budget and audit of all expenditures 4. Approve procedures for eligibility certification 5. Officially approve varsity sports 6. Final authority for the conduct of the intercollegiate athletics program and the actions of any board in control of that program. 7. Promotional Activities of student-athletes - The student-athlete receives written approval to participate from the institution's chancellor or president (or his or her designee), subject to the limitations on participants in such activities as set forth in Bylaw Approve Community Engagement Activities 9. The president or chancellor, or a designated representative, has reviewed with all athletics department staff members the rules and regulations of the NCAA as they apply to the administration and conduct of intercollegiate athletics 2

54 C. Director of Athletics Reports to the President 1. Oversee Compliance Coordinator and SWA 2. Sign squad lists and eligibility checklists prior to each sport s initial competition against outside competition, and as needed after that. 3. Approve NCAA Waivers 4. Sign reports of violations 5. Ensure compliance education at coaches meetings 6. Stress importance of Compliance to coaches and staff 7. Written approval for Promotional Activities of student-athletes. 8. Approve celebrity sports activity. This is for competition involving a maximum of two studentathletes from a team who participate in local celebrity activities conducted for the purpose of raising funds for charitable organizations provided they don t miss class for it and they have approval from the Athletics Director to participate in it. D. Faculty Athletics Representative - Reports to President 1. Approve squad lists and eligibility checklists prior to each sport s initial competition against outside competition, and as needed after that. 2. Oversee Compliance Coordinator and Registrar s Compliance Assistants in initial and continuing eligibility process 3. Serve as primary oversight and liaison to the Registrar s Compliance Assistants 4. Oversee the process of reporting major and secondary NCAA violations 5. Provide ongoing oversight and review of compliance model in the area of: a. Initial academic eligibility b. Financial aid awards c. Athletics 6. Oversee waivers and appeals 7. Administer the NCAA Coaches Certification Exam (recruiting test) 8. Sign non-counter forms E. Compliance Coordinator - Reports to Director of Athletics 1. Compliance Forms and Documentation: Document policies and procedures for various compliance issues including Compliance Handbook and Student-Athlete Handbook. Create and revise compliance forms. 2. Rules Clarification and Interpretation: Respond to requests by coaches and staff for rules clarification and interpretation (liaison to conference and NCAA Membership Services). Write and distribute interpretations. 3. Grants-in-Aid: Serve as an advisor to the Intercollegiate Athletics Advisory Committee that approves changes to Grants-in-Aid Manual. Maintain and update Grants-in-Aid document. Take a major role in recommending revisions. 4. Compliance Education: a. Development and delivery of educational materials for meetings held with coaches, staff and student-athletes. b. Hold team meetings each year to educate student-athletes on NCAA rules and to administer the required NCAA and institutional documents. c. Attend NCAA annual regional rules seminar. d. Produce and distribute Booster Publication once a year. e. Create and Edit on a regular basis the NCAA Compliance Handbook, Student-Athlete Handbook and HSU Athletics Grants-in-Aid Policies and Procedures Manual 5. Squad Lists and Eligibility Checklists: 3

55 a. Review, audit, and enter student-athlete data from required NCAA and institutional documents. b. Update student-athlete eligibility status in database. c. Monitor and update squad list and eligibility checklist as needed. d. Document non-counters for each term e. Monitor changes in athletics aid f. Monitor offer letter procedures g. Monitor student-athlete full-time enrollment h. Monitor student-athlete seasons of competitions used 6. Monitor compliance with NCAA rules: a. Facilitate the release of student-athletes seeking transfer b. Declaration of Playing Season and Playing Season logs c. Camps d. Recruiting logs e. Seasons Used f. Gender Equity - participation and athletics aid 7. Process Waivers: Gather information to process eligibility waivers for submission to NCAA and Conference offices 8. Required Reporting: a. Provide data for EADA reports. b. Provide data for NCAA Graduation Rate, Academic Success Rate and Academic Performance Census c. Take lead role in detecting, investigating and reporting NCAA rules violations. Advise Infractions Compliance Committee on possible violations and draft reports of violations to NCAA. 9. NCAA Eligibility Center a. Serve as liaison to NCAA Eligibility Center b. Monitor prospects and student-athletes on Institutional Request List (IRL). c. Call Eligibility Center about initial eligibility and amateurism issues. d. Get Eligibility Center status and determine qualifier status e. Certify amateurism eligibility for student-athletes attending a non-ncaa Division I or II institution for the first time. 10. Certify amateurism eligibility for all student-athletes by reviewing Amateurism Questionnaire in the online HSU compliance forms and NCAA Eligibility Center amateurism status for each student-athlete. 11. With Director of Athletics, review coaches athletic grant award recommendations and ensure amount is within team budgets F. Assistant Athletic Director of Business Operations - Reports to Director of Athletics 1. Audit grant-in-aid distributions for each sport with Office of Financial Aid 2. Review and audit recruiting expenditures 3. Monitor financial component of camps/clinics 4. Submit data for EADA and NCAA Financial reports G. Registrar s Compliance Assistants - Reports to Registrar 1. Monitor initial freshmen eligibility for competition a. Serve as liaisons to the NCAA Eligibility Center b. Get Eligibility Center status and determine qualifier status 2. For continuing student-athletes eligibility for competition monitor: 4

56 a. Good academic standing b. Six-hour rule c. Progress toward degree d. 12/24-hour Rule e. 75/25-Percent Rule f. Grade Point Average Rule g. Designation of Degree Rule h. Exceptions to progress toward degree i. Hours earned or accepted for degree credit j. Full-time terms 1. For Transfers student-athletes eligibility for competition monitor: a. Full-time terms b. 6 unit rule c. Residence Requirement (i.e., initial eligibility check) d. Two-Year College Transfer Residence Exceptions e. Four-Year College Transfer Residence Exceptions f. Eligibility for competition H. Senior Woman Administrator - Reports to Director of Athletics 1. Participates on senior management team 2. Strategizes ways to support and manage gender equity and Title IX plans and issues. 3. Advocates issues important to female and male student-athletes, coaches and staff. 4. Ensures representation of women s interests at the institutional, conference and national level. 5. Serves as a role model and resource for students, coaches, administrators and others. 6. Recipient of NCAA correspondence in addition to Director of Athletics, Faculty Athletics Representative and President 7. Assists the Director of Athletics and FAR in reviewing proposed NCAA legislation prior to the annual convention, and in reviewing newly-adopted rules with coaching staff afterwards. 8. Serves on committees as assigned. 9. Attends and participates in conference meetings 10. Interprets NCAA rules for coaches in the absence of the Compliance Coordinator 11. Nominates female student-athletes for awards as appropriate (including CCAA Woman of the Year) I. Financial Aid Compliance Assistant - Reports to Director of Financial Aid 1. Enter financial aid information into student information database 2. Monitor student-athletes outside aid 3. Notify student-athletes of initial award and renewal/non-renewal/reduction and cancellation 4. Notify student-athletes of their right to an appeal 5. Notify Athletics Department of individuals who have not completed or renewed their FAFSA as needed 6. See Humboldt State University Athletics Grants-in-Aid Manual for more information about the role of the Financial Aid Office in NCAA Compliance. 5

57 IV. Procedures for Obtaining NCAA Rules Interpretations A. Procedures for obtaining NCAA rules interpretations 1. Consult the current NCAA Division II Manual. 2. Request an interpretation: If the rule is unclear or you cannot locate the appropriate rule or if there is any doubt in your mind, ask the Compliance Coordinator. The question can be asked verbally or be put in writing. a. Students may wish to direct their questions to the Faculty Athletics Representative. 3. Follow-up calls to the NCAA or conference for an interpretation will be made by the Compliance Coordinator. 4. The Compliance Coordinator keeps a copy of all the completed HSU NCAA Interpretation forms in an interpretations binder. B. Procedures for Compliance Coordinator regarding NCAA Interpretations 1. Check the current NCAA Division II Manual. 2. Check the NCAA Legislative Services Database. 3. Check the NCAA Interpretations Binder. 4. Consult with other appropriate staff members (Director of Athletics, Faculty Athletics Representative, Senior Woman Administrator, Athletics Business Manager, Registrar s Compliance Assistants, Financial Aid Compliance Assistant). 5. Contact the conference Compliance Coordinator. 6. Submit the request via the online NCAA interpretations system. C. NCAA Eligibility Center Issues: The Compliance Coordinator and the Registrar s Compliance Assistants are our Eligibility Center liaisons. If you have Eligibility Center issues, contact the Compliance Coordinator. V. Policies and Procedures for Investigating and Reporting Rules Violations It is the policy of Humboldt State University to conduct its athletics programs in full compliance with all NCAA and affiliated conference and association rules and regulations. All employees are expected to be committed to this policy and are to report any situations or activities that may represent violations of any of these rules. The following policies and procedures are to be followed in carrying out this policy. A. It is the responsibility of all Humboldt State University Athletics employees to report any actions that appear to be violations. B. The Sports Information Director will handle all inquiries by the public regarding investigations and violations. C. Violations shall be reported to the Director of Athletics, Faculty Athletics Representative, Registrar or Compliance Coordinator. D. An investigation shall be conducted by the Compliance Coordinator in any instance where there is reason to believe a violation has occurred. There should be some type of written documentation to prompt an investigation. If written documentation does not exist, a written statement signed by the 6

58 person making the allegation of a violation is desirable. The Compliance Coordinator will notify the Infractions Compliance Committee members (Director of Athletics, Faculty Athletics Representative, Registrar) that an investigation has been started and what and who it involves. 1. The Director of Athletics, Faculty Athletics Representative, and Registrar will constitute a committee which shall investigate the facts and determine if a violation or violations did occur. These findings will be shared with the person or persons involved. If a violation is found, a written report shall be forwarded to the President. a. The committee investigates the issue by obtaining documentation and, if necessary, interviewing coaches, student-athletes, staff, and other individuals involved. When all the information has been gathered and facts determined, if it is believed a violation has occurred, proceed to the next item. If it is determined a violation has not occurred, the file is closed and filed in the Director of Athletics office. b. The Faculty Athletics Representative can report an allegation of a violation directly to the President or appropriate administrator in certain cases at his/her discretion. 2. Based on NCAA regulations, the committee will determine if the violation should be reported as a secondary level I violation or secondary level II violation or a major violation. a. A secondary violation is one which is inadvertent and provides little or no recruiting or competitive advantage for the sport or institution. If it is determined there is a level I or level II secondary violation, it will be submitted via the NCAA Requests/Self-Report Online system. The committee will determine the appropriate corrective actions to be taken based on prescriptive penalties and report in writing the violations and corrective actions. Level I violations are reported directly to NCAA and copied to the conference, the Faculty Athletics Representative and the President. b. Major violations are actions that meet any one or more of the following conditions: Any persistent or repetitive pattern of secondary violations, Providing false or misleading information to either institutional personnel or to the NCAA, Any rules violation that provides a recruiting or competitive advantage, and/or Any intentional rules violation or encouragement of others to violate NCAA, conference, or institutional policies, or procedures. The following policies and procedures shall be used in situations in which there is reason to believe that a major violation may have occurred: - All allegations related to possible major violations regardless of the source shall be reported to the Director of Athletics, Compliance Coordinator or Faculty Athletics Representative who will immediately inform each other, the Registrar and President. - The Director of Athletics, Registrar, Compliance Coordinator and Faculty Athletics Representative shall make an initial investigation to determine if there is a reason to believe that a major violation has occurred. - If there is evidence of a major violation (or violations), the matter will be referred to the President. The President will serve as advisor to the investigating committee along with any other appropriate resource persons needed, such as legal counsel. In addition, the Faculty Athletics Representative will consult with NCAA Enforcement staff in developing the investigation and report. - The investigating committee will report all its findings in writing with timely submission to the President and the Director of Athletics. A summary of all findings and follow-up corrective actions shall be reported to the NCAA and the conference. 7

59 VI. Student-Athlete Promotional Activities A. Promotional Activities are governed by NCAA Bylaw Permissible Promotional Activities. A promotional activity is involvement of student-athletes in conference, institutional or Athletics fund raising, community service, or non-institutional charitable, educational or nonprofit agency or other activity in which their name, picture or appearance is used to support that activity. B. A Promotional Activities form will be sent to each student-athlete as part of the initial online HSU compliance forms and must be completed prior to participating in practice.. C. If the promotional activity involves off-campus agencies, then the student-athlete and an authorized representative of the charitable, educational or nonprofit agency (who is organizing the fundraiser, community service, etc.) must sign a release statement ensuring the student-athlete s name, image, or appearance is used in a manner consistent with NCAA bylaw VII. Recruiting Policies and Procedures A. Coaches Certification Examination 1. All coaches and other staff involved in off-campus recruiting (graduate assistants, volunteer coaches) will take and pass the Coaches Certification Examination each year before being eligible to recruit off-campus for the coming year. NCAA off-campus recruiting certification expires on August 1 each year. The test is given in the summer for continuing staff and in the fall for new staff. The Faculty Athletics Representative administers the test. 2. NCAA rules state all in-person, off-campus recruiting contacts with a prospect or the prospect s relatives or legal guardian(s) shall be made only by authorized athletics department staff members (NCAA Bylaw - Authorized staff members). Volunteers who have completed a volunteer appointment form with the Athletics program and have taken and passed the Coaches Certification Exam are considered authorized athletics department staff members for recruiting purposes. B. Recruiting Calendar. All coaches and staff involved in recruiting will abide by the NCAA recruiting calendars for their sports. Check NCAA DII Manual recruiting calendars. C. Recruiting Record Keeping 1. Definition of Recruitment: A student-athlete is recruited if actions by HSU athletics staff members or athletics representatives: a. Provide the prospect with an official (paid) visit; or b. Arrange an in-person off-campus encounter with the prospect or his/her relatives or legal guardians; or c. Initiate or arrange telephone contact with the prospect or his/her relatives or legal guardians on more than one occasion for the purpose of recruitment. This includes calls returned to the prospect. d. Issue a NLI or offer of athletically related financial aid to a prospective student-athlete. 2. Individual Recruiting Records: Each sport will identify the initial contact date for all recruits on a monthly recruiting log. 3. Recruiting Logs will be submitted once a month to the Compliance Coordinator on the first week of each month. If no recruiting activity has occurred for the time period, submit a form with no contact indicated or a memo explaining no recruiting activity occurred in the time period. 4. Release to Contact Four-year College Prospects 8

60 a. If a coach is contacted by a prospect currently attending another four-year college, an official release is needed from the college he/she is currently attending, or attended in the last two years. b. If such a prospect contacts the coach, the coach should explain that he/she cannot speak any further until his/her current institution has released him/her in writing to HSU. Get the student-athlete s name, name of college and dates attended. Give this information to the Compliance Coordinator who will request the release. c. A release form for the prospect will be ed to the other institution requesting a release. The coach and Compliance Coordinator will be given a copy of the signed release form when it is received. Coaches shall have no contact with this prospect until the form is received and contact is granted. 5. Official Visit Form a. Prior to the official visit, complete the Official Visit Form. b. High school prospects must be registered with the NCAA Eligibility Center and placed on our Institutional Request List before they can take an official visit. c. If the prospect is trying out, attach a copy of the medical exam administered within 6 months of the date of participation with her/his team in the current academic year signed by a physician which indicated that the prospect was cleared to participate. Also include a completed Try-Out Insurance Information and Liability Waiver form, and either Sickle Cell test results or an Opt-Out Waiver. d. Attach a copy of the latest transcripts with the form. Do not have the prospect bring the transcript with him/her. If the prospect begins the visit before presenting a transcript we cannot pay travel expenses and it must be an unofficial visit. If the prospect has been admitted here, don t assume we have the transcript. e. The form must be approved before the prospect leaves to travel here. Take the form to the Compliance Coordinator for pre-approval at least five business days before the official visit. All forms should be submitted at that time (transcript and try-out documents). If she/he is not available, the Director of Athletics or Senior Woman Administrator can pre-approve the form. f. If you are requesting hotel or meal coupons or tickets to a home game, the Assistant Athletic Director must complete the bottom portion of the Official Visit form. The Compliance Coordinator will forward the form to the Assistant Athletic Director. g. Copies of completed forms will be submitted scanned and sent via to the Compliance Coordinator. The original will be returned to the head coach. h. For reimbursement of expenses, the Assistant Athletic Director of Business Operations requires the Intercollegiate Athletics Student Recruitment Payment Request form filled out and submitted with receipts. The Student Payment Request form requires the prospect's signature, dates of visit and signature of coach. 6. Student-Host: If you are using a student-host during an official visit, whether or not any money is being given to the host, you must review the rules with him/her. a. If money is being provided for entertainment, review the Student Host Instructions/Receipts with the student host and have him or her sign the form. b. If you are providing money to the student host for entertainment of the prospect, you must give a copy of the form to the Assistant Athletic Director of Business Operations in order to receive reimbursement. Receipts in addition to the form are required. c. If no money is being provided use the Student Host Instructions When No Money is Provided. Have the host sign the form and the coach sign the form. Keep the forms on file in the coaches office. 9

61 7. Currently Enrolled Student Try-Out Form: A Division II institution may conduct a tryout of a full-time student currently enrolled (who has not had a previous tryout) on its campus or at a site at which it normally conducts practice or competition during the regular academic year. If such a tryout occurs prior to the beginning of the playing and practice season and the student-athlete is not recruited, he/she must sign the form. Head Coaches must keep it on file with their recruiting records. 8. Try-Outs on Unofficial Visits: If a prospect is trying out on an unofficial visit, it must be approved in advance by presenting the Compliance Coordinator or Senior Woman Administrator with a copy of the medical exam administered within 6 months of the date of participation with her/his team in the current academic year signed by a physician which indicates the prospect was cleared to participate. Also include a completed Try-Out Insurance Information and Liability Waiver form, and either Sickle Cell test results or an Opt-Out Waiver. 9. For off campus recruiting out of the local area a Request for Authorization to Travel form must be approved by the Director of Athletics five days prior to the trip. Announcement of Signing Procedures 1. The Compliance Coordinator will populate a Google Doc with a list of prospects who have been offered an NLI, CLI, or Offer of Athletics Aid. 2. Announcements for returned NLIs cannot be made by the coaching staff or sports information staff until the Google Doc indicates it is approved for release. 3. Compliance Coordinator confirms that a signed NLI, offer of Athletics Aid, or written acceptance of admission has been received for each prospect on the list and updates the Google Doc appropriately. 4. A signed Conference Letter of Intent (CLI) is not recognized by NCAA as having signed. In addition, the prospect must accept the offer of admission on his/her HSU account. This is true of other prospects who have not signed an NLI or offer of athletics aid. D. Camps and Clinics 1. Camps and Clinics must be pre-approved. A proposal must be given to the Director of Athletics for pre-approval. 2. The camp brochure must be reviewed by the Compliance Coordinator and Assistant Athletic Director of Business Operations before printing. 3. The HSU Camps and Clinics Questionnaire must be submitted two weeks prior to the dates of the camps. E. Booster Publication 1. Per NCAA the institution is responsible for acts of individuals who meet the definition of a booster, formally known as a representative of athletics interests. The definition of a booster is: a. Has participated in or is a member of an agency or organization, including corporate entities (e.g., apparel and equipment companies); b. Has made financial contributions to the athletics department or to an athletics booster organization of that institution; c. Has been requested by the athletics department staff to assist in the recruitment of prospective student-athletes or is assisting in the recruitment of prospective student-athletes; d. Has assisted or is assisting in providing benefits to enrolled student-athletes; or; e. Is otherwise involved in promoting the institution's athletics program. f. Once an individual is identified as a booster, he/she retains that identity. 10

62 2. Annually the Compliance Coordinator reviews for update the Guidebook to NCAA Regulations for Representatives of Athletics Interests (Booster Publication). 3. Compliance Coordinator requests an address list of all boosters from the Athletics Administrative Assistant. 4. The Booster Publication is mailed to all current boosters of HSU Athletics. F. Evaluation of Recruiting Monitoring Process - Compliance Coordinator prepares reports for all Head Coaches and the Director of Athletics several times a year notifying them of the status of submitted recruiting logs for each sport specifically indicating which ones are missing. G. Volunteer Coaches - Volunteer Coaches are considered employees of the Athletics Department and must sign a volunteer form with the department each year. They are responsible to know NCAA and conference rules for the areas they are working in. If they will be making off campus recruiting contacts they must take and pass the NCAA Coaches Test. It is recommended that all volunteer coaches take the NCAA Coaches Test to prevent inadvertent violations of NCAA rules. H. Recruiting Forms: 1. Recruiting Log 2. Release from Four-Year College Form 3. Official Visit Form 4. Student Host Instructions/Receipts 5. Student Host Instructions With No Money is Provided 6. Request for Authorization to Travel 7. Booster Publication 8. Volunteer Form VIII. Eligibility A. Initial and Continuing Eligibility Procedures - Registrar s Compliance Assistants 1. Eligibility a. Certifies academic eligibility for all student-athletes. b. Verifies academic standing of student-athletes in accordance with NCAA standards for eligibility for competition, HSU standards as affirmed in Bylaw 14, Eligibility, and conference regulations. 2. Returning students a. Verifies list of student-athletes subject to continuing eligibility requirements. b. Verifies terms of full-time enrollment to ensure compliance with ten-semester rule according to the NCAA Seasons of Competition: Five Year/10-Semester Rule. c. Determines academic eligibility for competition. d. Reviews progress towards degree for academic standing, six-hour rule, credit hour requirements, 75/25, GPA, designation of degree program and progress toward degree exceptions to determine academic eligibility according to NCAA bylaw for progress toward degree requirements and conference GPA rules. e. Once student-athletes have completed 4 full-time terms, courses used to satisfy the progress toward degree requirement must be applicable to the declared baccalaureate degree programs. 3. Incoming Students: Admissions and Enrollment Management Staff 11

63 a. Coaches disseminate admissions information to prospective student-athletes. b. Receives from Athletic Department admissions information for prospective student-athletes and completed applications along with accompanying documents. c. Confirms receipt of official applications for prospective student-athletes. d. Confirms receipt of transcripts for prospective and incoming student-athletes, determines transcript s validity, and updates student information database. e. Determines admission status for prospective student-athletes. f. Confirms official admission status of all incoming student-athletes and updates student information database. g. Upon request, EM produces reports on official admissions decisions which are sent to coaches. h. Notifies prospective student-athletes of official admission decisions. i. Initiates special admission process, if necessary, for prospective student-athletes Receives written request from coach for special admission Compiles the coach s request with the HSU admission worksheet Forwards request to Enrollment Management admission committee ªInforms coach of admission decision 4. First-Time-Freshmen Athletic Eligibility a. Recruiting Obtains a list of recruited high school senior prospective student-athletes from Assistant Athletic Director. b. NCAA Eligibility Center Coaches and Athletics staff encourages prospective student-athletes to register with the NCAA Eligibility Center on-line. High School prospects must be registered with the NCAA Eligibility Center prior to taking official visits or being offered athletics financial aid. Head coaches or designee adds prospects to the NCAA Eligibility Center institutional request list (IRL). c. Prospective student-athlete requests: High schools to send official transcripts to NCAA Eligibility Center Testing agencies to send official test scores to NCAA Eligibility Center d. Accesses the Certification Status Report on the NCAA Eligibility Center website. e. Certifies initial eligibility status by entering qualification status in Compliance Assistant. f. Cooperates with Athletics Department personnel in submitting initial-eligibility waivers. 5. Transfer Athletic Eligibility a. Registrar s Office personnel verify and determine acceptable transfer credits and grade-point averages for incoming transfer student-athletes and posts student-athletes status. b. Identifies transfer enrollment status per NCAA definition as: Two-year college transfer Four-year college transfer Student-athletes here on National Student Exchange or Intrasystem Visitor are not eligible to compete unless they apply directly to HSU and are regularly enrolled. c. Determines transfer residence requirements and/or exceptions for incoming transfer studentathletes based on NCAA Transfer Regulations. d. For two-year transfers, must have: Qualifier status. One full-time semester or quarter of enrollment. Average of 12-transferable credits per full-time term with 2.00 GPA; OR 12

64 Two semesters/three quarters. AA Degree. OR An average of 12 hours per term of transferable-degree credit. Six units of transferable English and three units of transferable Math, 2.00 GPA. AND Six hours of transferable-degree credit in the last full-time term. If the requirements above are not met and the student-athlete was a qualifier out of high school, explore using a residence exception. e. For four-year transfers Compliance Coordinator upon request by staff or coaches initiates written request from previous (or currently enrolled) institution for permission to contact and to complete the one-time transfer exception form. Receives copy of written release from Athletics. Determination of eligibility upon transfer must be done at the time of transfer to HSU, not at the time the student-athlete left the previous institution. Determine if there is an unfulfilled residence requirement. Determine if a transfer exception will apply. Determine if at least 6 credits were passed in the last full-time term of attendance at previous institution. f. Reviews credits applicable to progress towards degree and academic standing for mid-year transfer students based on NCAA progress toward degree requirements. g. Verifies degree declarations for incoming transfer student-athletes. h. Verifies terms of full-time enrollment to ensure compliance with ten-semester rule according to the NCAA Seasons of Competition: Five Year/10-Semester Rule. i. A student-athlete who is on the current squad list and is available for the first scheduled contest and transfers from one conference (CCAA or GNAC- football only) school to another and wishes to participate in that sport must fulfill a residence requirement of one full academic year (two semesters) before being eligible to participate (compete). See conference bylaws for exceptions. 6. Summer School Assessments a. Identify student-athletes using summer school credits for athletic eligibility. b. Review progress towards degree and academic standing to determine academic eligibility after summer school. 7. Continuous a. Coaches send update information on prospective student-athletes to Admissions. b. All compliance staff reviews general eligibility requirements. c. Compliance Coordinator confirms full-time enrollment in the current term for all studentathletes. 8. Amateurism Certification Compliance Coordinator a. All first-time freshman or transfer students from 2-year or non NCAA DI or DII 4-year institutions must register with the NCAA Eligibility Center online and complete the amateurism portion for certification of amateurism. b. In order for the institution to certify amateurism from the time the NCAA Eligibility Center certifies amateurism to the time student-athletes arrive at HSU, student-athletes must complete the Amateurism form included in the HSU online compliance forms. For continuing student-athletes this covers the time since they completed the form in the prior year. 13

65 B. Student-Athlete Eligibility Information Gathering 1. Student-Athletes are not eligible to practice until the NCAA Online Compliance Forms are completed. (Forms 11-3b and 11-3e: Student-Athlete Statement; Buckley Amendment Consent; Results of Drug Tests; Affirmation of Status as an Amateur Athlete; Drug-Testing Consent; and HIPAA Buckley.) 2. There is a 14 consecutive day practice grace period for student-athletes who are trying out for the team in which they can practice before signing the Drug-Testing Consent Form. 3. Student-Athletes are not eligible to practice until the HSU Compliance Forms are completed: (Updated Personal Information; Certification of Non-Recruitment (if applicable); Amateurism update; Promotional Activities Pre-Approval Form; Progress Toward Degree; Rules Governing Playing and Practice; HSU Athletics Code of Conduct; Personal Information Consent Form.) 4. Student-athletes are not eligible for competition until the Registrar s Compliance Assistants have given them an eligible status and the student-athletes names appear on the squad list. 5. Financial Aid will not be disbursed to Student-Athletes until a FAFSA is filed and the HSU Athletics Grant Information Request Form (630A) is completed on the Student Center account. C. Eligibility Checklist 1. The Eligibility Checklist lists all the student-athletes in each sport and is a summary of all the required aspects of eligibility for practice and competition. It includes columns on general eligibility, academic eligibility and the final eligibility status after review of all components. 2. The Compliance Coordinator prints the Eligibility Checklist and provides it to Head Coaches before the first competition and as it is updated. The GNAC requires the football Eligibility Checklist to be filed with the conference office. D. Squad List (See Athletics Grants-in-Aid Manual for more information.) 1. In March or April, the Athletics Compliance Coordinator requests from coaches a list of new and continuing student-athletes expected on the team for the next year. Athletics Compliance Coordinator enters them onto the squad list for the next year. 2. Athletics Compliance Coordinator administers the student-athlete eligibility packet to studentathletes via the HSU online compliance forms. 3. Athletics Compliance Coordinator enters the information from the packets for the Squad List into PeopleSoft and Compliance Assistant for each sport. 4. Athletics Department Compliance Coordinator completes pertinent information on the Squad List (student-athlete s name, HSU identification number, number of seasons of eligibility used, whether recruited or not recruited, etc.).. 5. Squad list is available in Compliance Assistant for Office of the Registrar, the Financial Aid Office and head coaches to view. 6. Squad Lists are prepared by the Athletics Office and approved by the Faculty Athletics Representative. 7. Athletics Compliance Coordinator monitors Squad Lists regularly to stay within sport-by-sport limits and for changes in eligibility. 8. On an ongoing basis the Compliance Coordinator will make updates in status that reflect on the Squad List Report. A student-athlete whose status changes to cut/dismissed from team, eligibility exhausted, graduated, quit team or withdrew from institution will not be listed on Squad Lists in subsequent years. 9. Head coaches sign the squad lists for their sports: a. The day before the first competition against outside competition b. as needed when there are updates. 14

66 E. Mid-Semester Evaluations for student-athlete academic progress are sent to the instructors of each student-athlete during the fall and spring terms. Athletics Academic Coordinator receives copies of the completed forms to enable him/her to get student-athletes the help they need in order to remain academically eligible to compete. F. Eligibility for competition between terms when status changes 1. Student-athletes whose status changes from eligible to ineligible after the fall term become ineligible to compete on the first day of the spring term. They are eligible to compete during the break between fall and spring terms. 2. Student-athletes whose status changes from ineligible to eligible after the fall term are eligible to compete the day after the date of the last scheduled examination listed in the institution's official calendar for the term that is ending. G. Priority Registration for Continuing Student-Athletes 1. Executive Memorandum P November 2006, POLICY: Priority and Scheduling of Registration: Students with documented eligibility and participation in Intercollegiate Athletics will be coded by the Registrar s Office for priority registration. 2. Definitions: a. Interpretation for continuing student-athletes: Student-athletes who are currently practicing or competing with the team and who have the status of A (added to team) should have priority registration for the next semester. Student-athletes who have a status other than A are not eligible for priority registration. b. Documented eligibility interpretation: Student-athletes who have eligibility remaining for the next semester refers to seasons of competition available and full-time terms available. c. Participation interpretation: NCAA Division II Bylaw Participation in Intercollegiate Athletics. Participation in intercollegiate athletics occurs when a studentathlete either practices in a sport (see Bylaw ) or competes in a sport, as defined in Bylaw Eligibility rules for competition may differ from those for practice. d. Full-Time Term interpretation: NCAA Division II Bylaw Use of Semester or Quarter: A student-athlete is considered to have used a semester or quarter under this rule when the student-athlete is officially registered in a collegiate institution (domestic or foreign) in a regular term of an academic year for a minimum full-time program of studies, as determined by the institution, and attends the first day of classes for that term, even if the student-athlete drops to part-time status during that first day of classes. e. Only students who are eligible to register for the next term will be given priority registration. Examples of students who are not eligible for priority registration include students who have applied for graduation and indicated their graduation date is before the next term or have a Cashier s hold on their record, etc. 3. Procedures: a. At least a week before student-athletes are to be coded for priority registration, Registrar requests from Athletics Compliance Coordinator a list of student-athletes eligible for priority registration H. NCAA and EADA Required Reporting 1. NCAA Graduation Rates and Academic Success Rates data are provided to the NCAA by the Compliance Coordinator with cooperation from HSU s Institutional Research personnel. 2. NCAA Sports Sponsorship and Institutional Demographics data are provided to the NCAA by the Compliance Coordinator in consultation with the Director of Athletics. 15

67 3. NCAA and EADA Gender Equity Reports are provided to the NCAA and EADA by the Assistant Athletic Director of Business Operations in consultation with the Director of Athletics, Fiscal Affairs and Compliance Coordinator. 4. NCAA Academic Performance Census data are provided to the NCAA by the Compliance Coordinator with cooperation from HSU s Institutional Research personnel. I. Seasons of Competition Used 1. After the end of each sport season (Fall, Winter, Spring) the Head Coaches will be asked by the Compliance Coordinator to confirm which student-athletes on their team have used a season of competition. 2. The Compliance Coordinator enters the data in the Compliance Assistant from which a list is generated. Head Coaches and the Sports Information Director will be required to verify it before it is final. J. Release of Student-Athletes to Other Institutions 1. Release requested by another institution: a. Athletics Compliance Coordinator contacts the Head Coach and the Director of Athletics to request their permission to release the student-athlete to the other institution. b. The student-athlete is only released to the other institution if the Head Coach and Director of Athletics agree. The Director of Athletics has the final decision on authorizing a release. c. Athletics Compliance Coordinator responds to the request and completes and returns the release from to the institution requesting it. 2. Release requested by student-athlete for contact with another institution. a. Student-athlete must make a written request ( is considered written) for permission to speak to another institution. b. Athletics must respond to the request in writing within 14 calendar days. c. Athletics Compliance Coordinator contacts the Head Coach and Director of Athletics to request their permission to release the student-athlete to the other institution. The Director of Athletics has the final decision on authorizing a release. d. Athletics Compliance Coordinator responds in writing to the request within 14 consecutive calendar days. If the request is denied, the student-athlete must be notified in writing about the opportunity to appeal the decision. e. The hearing of the appeal is conducted by a committee outside the Athletics Department (e.g. the office of student affairs, office of the dean of students, or a committee composed of the Faculty Athletics Representative, student-athletes and non-athletics faculty and staff members) f. The notification of the hearing opportunity shall include a copy of our policies and procedures for conducting the required hearing, including the deadline by which a studentathlete must request such a hearing. g. The hearing shall be conducted within 30 consecutive calendar days of receiving the studentathlete s request for the hearing. IX. Awards and Benefits A. Extra Benefit: An extra benefit is any special arrangement by an institutional employee or representative of the institution s athletics interests to provide a student-athlete or their relatives or friends a benefit generally not made available to the institution s student body or their relatives or friends (Bylaw ). 16

68 B. Travel Expenses: An institution may provide actual and necessary travel expenses to a studentathlete for participation in athletics competition, provided the student-athlete is representing the institution and is eligible for collegiate competition (Bylaw ). C. Other Expenses: It is permissible for an institution to pay the actual and necessary expenses for the cost of telephone, copying, faxing or using Internet services when the student-athlete is away from campus and the expense is for purposes related to the completion of required academic course work (Bylaw ). D. Meals: 1. A student-athlete or the entire team in a sport may receive an occasional meal in the locale of the institution on infrequent and special occasions from an institutional staff member. An institutional staff member may provide reasonable local transportation [Bylaw (a)]. 2. A student-athlete or entire team in a sport may receive an occasional family home meal from a representative of athletics interests provided the meal is in the individual s home (as opposed to a restaurant) and may be catered [Bylaw (b)]. E. Apparel and Equipment: A student-athlete may not accept free-of-charge, or purchase at a discounted or reduced price, athletics equipment, supplies or clothing that is not offered to the general student body. Such items may be provided to student-athletes on an issuance and retrieval basis only (Bylaw ). 1. Shoes purchased for student-athletes use in practice and competition can be retained by the student-athlete at the end of the season. 2. Team apparel can only be retained by the student-athlete if it cannot be used at the end of the season. It has to be inventoried and issued and retrieved on the same basis as any other athletics equipment. 3. A student-athlete may retain athletics apparel items (not equipment) at the end of the individual's intercollegiate participation. 4. Used equipment may be purchased by the student-athlete on the same cost basis as by any other individual interested in purchasing such equipment. 5. The Equipment Room or the Head Coaches must keep written records about apparel and equipment issued to student-athletes, when it is returned and when they are allowed to keep apparel or shoes. F. Tickets: An institution may provide four complimentary admissions per home or away contest to a student-athlete in the sport in which the individual participates, regardless of whether the studentathlete competes in the contest (Bylaw ). G. Awards: 1. Each sports program must keep written records regarding what awards are distributed, including the retail dollar value, to each student-athlete each year. 2. These awards must conform with NCAA rules and Figures 16-1, 16-2 and 16-3 at the end of Chapter 16 in the NCAA DII Manual 3. Prizes for fundraising totals are not considered awards. Student-athletes who participate in a charitable fundraiser to raise funds for a charitable organization, which was sponsored by the member institution or by the charitable organization, can be provided the award item if it is of nominal value and the award is properly personalized for the event (e.g., t-shirt). They must 17

69 have pre-approval on the Student-Athlete Promotional Activities Pre-Approval Form before they can participate in fundraisers related to their status as a student-athlete. X. Grants-in-Aid Policies and Procedures See separate document: Grants-in-Aid Manual. The subject of this document is athletics financial aid. It describes the responsibilities of Athletics, Enrollment Management, and Financial Aid as they relate to athletics aid and other financial aid. XI. Playing and Practice Seasons A. Each Head Coach will complete a Declaration of Playing Season form with their schedules attached, by early June of each year for the coming year. The Compliance Coordinator will review each form to confirm that it conforms with the regulations in Chapter 17 of the NCAA bylaws. B. Policies and Procedures for Monitoring Student-Athlete Time Commitments 1. Playing Season form: The Head Coach for each team completes the Playing Season Log for each month during the academic year and traditional seasons and submits it to the Compliance Coordinator during the first week of the following month. 2. Student-athletes who have exhausted their eligibility and have been with the team for at least three seasons will be asked to complete an additional evaluation form at the end of their season which includes questions about hours spent in countable athletically related activities. 3. Team Building Activities a. Team building activities (retreats) are considered practice and cannot take place outside the declared practice and playing season for each team. b. Any food being provided by the institution to the student-athletes during team building must be in a form allowed by NCAA (i.e. training table, pre-game, post-game meal, a meal at the home of an athletics staff member or booster, etc.). Please check with Compliance Coordinator before providing food. c. Rental of equipment related to team building must be pre-authorized by the Director of Athletics. XII. Compliance Education A. Compliance Education Philosophy Statement 1. NCAA and Conference compliance education is important to the institution in that it reinforces rules and prevents violations while upholding the value of fair sportsmanship appropriate at educational institutions. 2. The purpose is to educate all persons associated with athletics including coaches, staff, studentathletes, volunteers and representatives of HSU Athletics (boosters) on NCAA and Conference rules and regulations. 3. The President of Humboldt State University will meet annually with the Athletics coaches and staff to stress the importance of compliance. 18

70 B. Key Tasks and Responsibilities for Providing Education to Coaches and Staff - 1. Compliance Coordinator organizes education schedules, topics and documents for coaches and staff in consultation with the Director of Athletics. 2. Compliance Coordinator will distribute memos or s to coaches and staff periodically regarding pertinent compliance issues. C. Booster/Representatives of Athletics Interests NCAA Compliance Education: A publication to assist alumni, friends and boosters of Humboldt State University Athletics in helping to maintain strict adherence to NCAA rules and regulations will be a mailed annually to athletics representatives. D. Student-Athlete Handbook: Student-athletes will be notified that the Student-Athlete Handbook is available on the department website when they complete the compliance paperwork using the HSU online compliance forms. E. Rules Orientation for New Employees: A copy of the Compliance Handbook will be given to all new employees with compliance responsibilities and the Compliance Coordinator will review it with them. XIII. Certification of Compliance A. Each year NCAA requires coaches and staff to sign the Certification of Compliance form affirming that they have reported to the appropriate persons any knowledge they have of NCAA violations. This form is signed at the first fall Athletics coaches and staff meeting. B. Rules Compliance stipulations are included in contracts for coaches and administrators: 1. If you are ever found to be involved in deliberate and serious violations of NCAA regulations, you may be suspended for a period of time, without pay, or you may be terminated. 2. Unethical conduct by a prospective or enrolled student-athlete or a current or former institutional staff member may include, but is not limited to, the following: a. Refusal to furnish information relevant to an investigation of a possible violation of an NCAA regulation when requested to do so by the NCAA or the individual s institution; b. Knowing involvement in arranging for fraudulent academic credit or false transcripts for a prospective or an enrolled student-athlete; c. Knowing involvement in offering or providing a prospective or an enrolled student-athlete an improper inducement or extra benefit or improper financial aid; d. Knowingly furnishing the NCAA or the individual s institution false or misleading information concerning the individual s involvement in or knowledge of matters relevant to a possible violation of an NCAA regulation; or e. Receipt of benefits by an institutional staff member for facilitating or arranging a meeting between a student-athlete and an agent, financial advisor, or representative of an agent or advisor (e.g., runner ); f. Knowingly providing a student-athlete with a banned substance, impermissible supplement, or medications contrary to medical licensure, commonly accepted standards of care in sports medicine practice, or state or federal law; g. Failure to provide complete and accurate information to the NCAA or institution's admissions office regarding an individual's academic record (e.g., schools attended, completion of coursework, grades, test scores); 19

71 h. Fraudulence or misconduct in connection with entrance or placement examinations; i. Engaging in any athletics competition under an assumed name or with intent otherwise to deceive; j. Failure to provide complete and accurate information to the NCAA, the NCAA Eligibility Center or the institution's athletics department regarding an individual's amateur status. XIV. Conference Compliance A. All intercollegiate sports programs with the exception of football are governed by the rules of the California Collegiate Athletics Association (CCAA). 1. CCAA has a more rigid GPA requirement than NCAA. At the time of competition, studentathletes must have at least a 2.0 HSU cumulative GPA and overall cumulative GPA in order to be eligible for competition. 2. CCAA transfer rule: Any student who transfers from one CCAA institution to another must fulfill a residence requirement of one full academic year (two full-time semesters or three fulltime quarters) at the institution they are transferring to before they are eligible to compete for that institution. This applies only to student-athletes of CCAA sponsored sports (all sports except football and rowing). 3. A request for a waiver of eligibility under the Hardship Waiver provisions of NCAA regulations shall be submitted to the CCAA Commissioner who in turn will forward the request and documentation to the FARs Committee. This documentation shall include: a. CCAA Hardship Waiver Form b. A copy of the season s schedule, indicating all events in which the student-athlete participated. c. A statement by a physician or surgeon as required by NCAA regulations. B. For Football, refer to Great Northwest Athletic Conference Manual for Constitution and Bylaws. 1. Football is governed by the rules of the Great Northwest Athletics Conference (GNAC). The GPA requirement for football is: Following the completion of 24 semester or 36 quarter hours, a student-athlete must achieve a cumulative 2.0 GPA to be certified eligible for competition each year. This is applicable to transfers but not to student-athletes in their first year of attendance in college. 2. Football GNAC transfer rule: Any inter-gnac transfer must fulfill a residence requirement of one full academic year at the institution to which they transfer to before they are eligible to compete for the institution. However, all exceptions listed in NCAA Bylaw may be applied except (One-Time Transfer Exception). For purposes of the GNAC transfer rule, signing a national letter-of-intent or participation in one more team practices constitutes identification with the institution. If an institution releases an athlete from a letter-of-intent prior to the athlete participating in one or more practices, the athlete is not subject to the conference transfer rule 3. The Commissioner shall receive requests for medical hardships and conference transfer waivers on a Conference form. The FAR executive committee shall act upon all such cases submitted and the Commissioner shall subsequently report the decisions to the membership. 20

72 XV. Review of Compliance Program A. Per NCAA one of the initial purposes of the Institutional Self-Study Guide is to sensitize conference and institutional administrators and key campus constituencies to questions and areas of concern within athletics programs. In this role, the self-study serves not only as an information-gathering tool, but also as a checklist to help ensure a comprehensive review. The self-study also has been designed to help pinpoint specific areas where policies, procedures or practices (or lack thereof) may represent areas for enhancement. For this use, it is essential that the self-study be completed as accurately as possible by conference and campus constituencies that are widely representative of different viewpoints regarding the athletics program. The self-study is done once every five years or more often as needed. B. As required by NCAA every five years the institution conducts a Division II Institutional Self-Study Guide to enhance integrity in Intercollegiate Athletics. This review is conducted by the President in conjunction with the Intercollegiate Athletics Advisory Committee. C. The institution s mechanism for regularly providing a review or self-study of its compliance program involves the Faculty Athletics Representative and the Athletics Advisory Committee. XVI. Title IX Gender Equity Compliance Procedures A. Definition of Participation: 1. Office of Civil Rights definition for participation including duplicates: A participant is someone who is on the squad list and on the team as of the first date of competition in the traditional season. This includes walk-ons. A student-athlete who competed for more than one team should be counted for every team for which she or he competes. This definition is used for the participation component of Title IX and compared with the male/female ratio of full-time undergraduates. The male/female student-athlete ratio must be within 5 percentage points of the male/female full-time undergraduate enrollment ratio. 2. Application of participation including duplicates: Use the squad list from the day before the first competition in the traditional season and count every one on the squad list at that time except those who are listed as quit or cut or non-qualifier. Student-athletes who have exhausted their eligibility and are practicing with the team don't count. 3. An unduplicated headcount is used to determine male/female ratio for financial aid. Each student-athlete who is a participant is only counted once even if he/she is on two or more teams. For the Office of Civil Rights standards, the difference between the male/female athletics grant ratio and the male/female headcount cannot be more than 1%. For the Cal-NOW agreement the male/female athletic grant ratio must be within 5% of the ratio of females enrolled in the fall term of the previous year. B. Monitoring: The Director of Athletics is responsible for team roster management to ensure that the institution meets Title IX requirements for the Office of Civil Rights which includes participation, financial aid, budgets and expenses, coaching positions and facilities, to ensure equity between men and women student-athletes. 21

73 XVII. Compliance Document Retention Policy A. Compliance Documents will be kept on file for the following time periods: 1. Eligibility Questionnaire Packets which include the NCAA Student-Athlete Statement and NCAA Drug Testing Consent forms will be kept on file for 7 years. 2. Playing Season Logs, Recruiting Logs, and Declaration of Playing Season Logs will be kept for 4 years. 3. Squad Lists, Eligibility Checklists and Seasons Used lists will be kept indefinitely. XVIII. Sports Wagering Activities Prohibition A. NCAA prohibits the following individuals from knowingly participating in sports wagering activities or providing information to individuals involved in or associated with any type of sports wagering activities concerning intercollegiate, amateur or professional athletics competition: 1. Staff members of an institution's athletics department; 2. Non-athletics department staff members who have responsibilities within or over the athletics department (e.g., chancellor or president, faculty athletics representative, individual to whom athletics reports); 3. Staff members of a conference office; and 4. Student-athletes. 22