Previous Certification Self-Study
1. List all the "corrective actions," "conditions
for certification" or "strategies for improvement"
imposed by the NCAA Division I Committee on Athletics Certification
(if any) as they relate to fiscal integrity issues. In each
case, provide: (a) the original "corrective action",
"condition," or "strategy: imposed; (b) the action(s)
taken by the institution and the date(s) of those actions(s);
and (c) an explanation for any partial or noncompletion of such
required actions. [Note: The institution is not required to
respond to recommendations for required actions developed by
the peer-review team unless those same recommendations were
adopted by the Committee on Athletics Certification.]
Original Strategy: Establish means by which to assure appropriate
institutional control (including prior instructional approval
of athletic expenditures) of all revenues raised on behalf of
intercollegiate athletics.
Corrective Action: In order to ensure appropriate
institutional control (including prior institutional approval
of athletic expenditures) all revenues raised and athletic department
expenditures, regardless of funding source, on behalf of intercollegiate
athletics, must meet the following approval process:
1. Head Coach or intercollegiate athletic booster club board—to
ensure goods or services have been received and that the expenditure
falls within the booster club bylaw expenditure criteria.
2. Assistant/Associate Athletic Director—for expenditures.
3. Business Manager —to determine fund availability and
ensure compliance with NCAA regulations.
4. CSULB Foundation Allowability staff—for independent
confirmation of funds and to assure that the expenditure is
in compliance with requirements of the Foundation, Long Beach
State University (CSULB), sponsors, donors, auditors, principles
of internal control and legal mandates.
Current Status: Completed and ongoing.
Additionally, Athletic Department expenditures are also subject
to stringent purchasing guidelines whereby all proposed purchases
over $1,000 require three phone quotations and those over $2,000
require three written quotations.
Original Strategy: Establish budget-planning procedures that
take into account all revenues on behalf of intercollegiate
athletics.
Corrective Action: All external revenues received on behalf
of intercollegiate athletics must be deposited into the CSULB
Foundation. Each month, a revenue and expenditure report will
be provided to the appropriate athletic administrator and booster
club representative for review. The actual revenue and expenditures
for the previous twelve months form the basis for the next year’s
budget. The appropriate athletic administrator, booster club
representative and athletic business manager must approve any
adjustments to projected revenue and expenditures.
Current Status: Completed and ongoing.
2. List all actions the institution has completed or progress
it has made regarding all plans for improvement/recommendations
developed by the institution during its first-cycle certification
process in the fiscal integrity area. Also, describe any additional
plans for improvement/recommendations developed by the institution
since the first-cycle certification decision was rendered by
the Committee on Athletics Certification. Specifically include:
(a) the original plan; (b) the action(s) taken by the institution;
(c) the date(s) of the actions(s); (d) actions not taken or
not completed; and (e) explanations for partial completion.
Original Recommendation: During the process of reviewing
institutional policies and state laws applicable to athletics
department staff members who may enjoy economic gain as a result
of university affiliation, it became apparent that the list
of personnel required to report such financial interests needed
updating. As a result, the following (Sports, Athletics and
Recreation) SAR personnel will be required to complete Form
730 Statement of Economic Interests beginning in the 1995 calendar
year:
Director
of SAR
Assistant Athletics Director of Media Relations
Men’s Basketball Head Coach
Women’s Basketball Head Coach
Baseball Head Coach
Women’s Volleyball Head Coach
Men’s Water Polo Head Coach
Corrective
Action/Current Status: Completed. In lieu of Form 730, the
NCAA Outside Income Report Form is filed with the Compliance
Office and is reviewed annually by the University President.
The personnel required to complete and file the form have expanded
to include every head coach and SAR administrator.
Original Recommendation: Some members of the Committee
on Athletics have expressed concern about the completeness and
timeliness of the department’s budget process. A modification
to the charge given the Committee on Athletics regarding the
sharing and timing of budget information should help alleviate
this concern. The Director of Athletics shall continue to annually
share with the Committee on Athletics detailed budget recommendations
prior to their implementation and shall work with relevant constituencies
to develop more precise procedures to ensure that the budget
process in useful to them.
Corrective Action/Current Status: Completed. At the beginning
of each academic year, the Director of SAR and the Associate
Director of Athletics/Chief Financial Officer present the budget
plan for the upcoming fiscal year to the Committee on Athletics.
Original Recommendation: In order to ensure that the
aggregate budget for SAR is formally approved by the President,
a comprehensive budget package for the entire program is now
being presented to the President for review and endorsement
effective with the 1995/96 budget.
Corrective Action/Current Status: Completed. On an annual
basis, the President approves the SAR budget, a procedure that
has been in place since the 1999/00 budget year.
3. List all actions the institution has completed or progress
it has made regarding required actions identified by the NCAA
Committee on Athletics Certification during the institution’s
interim report process (if applicable) as they relate to fiscal
integrity issues. Specifically, include for each: (a) the required
action, (b) the action(s) taken by the institution, (c) the
date(s) of these actions(s), (d) action(s) not taken or completed,
and (e) explanation(s) for partial completion.
No interim reports or actions required.
Operating Principle
3.1 Financial Practices. The Association’s principles include
the responsibility of the institution’s chief executive
officer for approval of the athletics budget and audit of all
athletics expenditures. In fulfilling this principle, the institution
shall demonstrate that:
a. All funds raised for and expended on athletics are subject
to institutionally defined practices of documentation, review
and oversight.
b. All expenditures from any source for athletics are approved
by the institution.
c. Budget and audit procedures for athletics are consistent
with those followed by the institution generally and with the
provisions of NCAA Constitution 6.2:
1.
The institution’s annual budget for athletics is approved
by the institution’s chief executive officer or designee
from outside the athletics department.
2. An annual financial audit is performed by a qualified auditor
who is not a staff member of the institution and who is selected
by the chief executive officer or designee from outside the
athletics department.
Long
Beach State University (CSULB) is committed to following prudent
management and fiscal practices with regard to the financial
affairs of its intercollegiate athletics program. All resources
generated and expended by Sports, Athletics and Recreation (SAR)
are subject to generally accepted practices of documentation,
review, and oversight. Budgets for the athletics program are
prepared in detail, approved by the appropriate individual(s),
and scrutinized regularly to ensure proper adherence to plans.
Through the implementation of a stringent compliance process
and services of an independent auditor, SAR ensures that all
financial transactions and statements are appropriate, timely,
accurate, and in accordance with NCAA rules.
Self-Study Items
1. Prepare a list of all revenue sources for intercollegiate
athletics that are under the clear accounting and financial
control of the institution. Also, prepare a list of all other
sources (i.e., those not under the accounting and financial
control of the institution) generating revenue on behalf of
the institution’s intercollegiate athletics program, including
outside foundations.
Listed below are all revenue sources for intercollegiate athletics
that are under the clear accounting and financial control of
the institution:
•
Athletic Event Ticket Sales
• Big West Conference Revenue
• Booster Contributions via Booster Club Activities
• Concession Sales
• Endowment Interest Income
• Facility Rentals
• Fundraising (Corporate Sponsorship)
• Fundraising (49er Athletic Association Annual
Fund Drive)
• Game Guarantees
• Instructionally Related Activities (IRA) Fee
Revenue
• NCAA Revenue
• Other Program Income
• Promotional Revenue
• Sports Camps
• State Appropriation (General Fund)
• Associated Students (AS) Fee Revenue
All
revenue sources for the intercollegiate athletics program at
CSULB are under the accounting and financial control of the
institution, and are managed by the University or the CSULB
Foundation.
2. Describe the step-by-step process for budget development
and approval, and highlight any areas that may differ from the
institution’s standard or normal budgeting procedures.
Prepare a separate description for those sources of revenue
under the institution’s direct control and another for
revenue sources not under the institution’s direct control.
(a) SAR develops its State Appropriation (General Fund Budget)
revenue budget based upon its prior year base budget plus any
adjustments recommended by the Resource Planning Process (RPP)
Committee and approved by the President. Generally, SAR learns
of its actual State Appropriation at the beginning of the fiscal
year, following the RPP Committee’s budget recommendation
to the President and the President’s budget instructions
to the campus community.
(b) Unlike other revenue sources, SAR knows of its Instructionally
Related Activities (IRA) fee revenue and Associated Students,
Inc. (ASI) fee revenue five months prior to the start of the
fiscal year.
(c) Budgeted revenue from all other fund sources is based upon
prior years’ actual revenue generated plus any adjustments
made based on material program changes (i.e., game location
affects ticket sale projections).
(d) SAR uses the incremental budgeting method and each sport/department
unit is required to prepare a detailed budget expenditure request
based upon last year’s budget activity with only minor
budget changes allowed.
(e) Upon receipt of each sport/department unit budget request,
the Chief Financial Officer meets with each coach, assistant
athletics director, and/or unit manager to discuss the budget
expenditure request in detail, and clarify any significant budget
differences from the prior year.
(f) The Chief Financial Officer then takes the budgeted revenue
and expenditure material and prepares the Athletic Department
budget document in a format prescribed by the Director of SAR
to facilitate comparative analysis. The proposed budget document
is then forwarded to the Director of SAR for review and approval.
(g) The Director of SAR shares budget material with the President,
Committee on Athletics, 49er Athletic Association Board, and
others for review and discussion.
(h) Budget revisions are then made as needed and appropriate
documentation is retained.
(i) Finally, the Director of SAR presents the annual budget
to the President for approval.
3. Describe the process used in selecting the independent
auditor for the institution’s external financial audit
for intercollegiate athletics, including any methods used to
ensure the independent nature of the auditor. Also describe
relevant corrective actions planned or implemented from the
three most recent external audits.
Every four years the CSULB Foundation, on behalf of SAR, sends
a Request for Proposal (RFP) to independent audit firms who
are qualified to perform an independent audit of accounting
support services.
Minimum qualifications for firms submitting proposals include:
(a) The firm must have an existing client base of at least three
public agencies, educational institutions, or non-profit organization
in California with enterprise funds and trust accounts or endowment
programs; and, during the past five years, have audited at least
three such public agencies, educational institutions or non-profit
organizations, one of which must include enterprise activities
and trust or endowment accounts.
(b) Members of the firm’s audit team shall be experienced
in non-profit or in governmental enterprise/fund accounting
and Electronic Data Processing (EDP).
The Treasurer of the CSULB Foundation Board of Directors reviews
by the CSULB Foundation staff and the RFP’s. The Board
of Directors then forwards a recommendation for consideration
and action. The review process includes interviews with firms
chosen for final consideration.
The three most recently completed audits of the SAR Department
revenues and expenditures have indicated that no relevant corrective
actions were needed.
4. Describe the ways in which your institution approves expenditures
for intercollegiate athletics, including a description of different
procedures based on various sources of funding (e.g., state
funds vs. restricted/foundation funds).
State Funds
With few exceptions, the University sets forth procurement requirements
for the state fund expenditures intended for intercollegiate
athletics. A purchase order requisition form is used to order
all materials and services. Each requisition must have a signed
approval by the Chief Financial Officer or Director of SAR prior
to submittal to the Purchasing Office. The Purchasing Office
ensures that funds are available in the SAR budget, and that
all purchasing procedures (including bid processes) have been
met. The only types of expenditures that can be made without
a purchase order are the following:
•
Membership/Accreditation
• Dues and Subscriptions
• Distinguished Visitor
• Guest Speaker
• Special Lecturer
• Recruitment Advertisements
Even
with these purchases, the University Business Office will not
make payments until they verify fund availability in the SAR
budget and that either the Chief Financial Officer or the Director
of SAR has approved the expenditure.
Restricted/Foundation Funds
Coaches and unit managers have the authority to expend funds
for purchases under $1,000 provided that funds are available
in their operating budget and the type of expenditure was approved
in their original SAR line-item budget request.
Purchases between $1,000 and $2,000 require a purchase order.
Three telephone bids must be obtained prior to the Foundation
approving the issuance of a purchase order. For purchases over
$2,000, a purchase order and three written bids must be obtained
prior to an approval from the Foundation.
All expenditures must be approved for payment by the following:
(a)
Coach or unit manager—to ensure that goods or services
have been received and that the expenditures falls within
their line item budget.
(b) Assistant Athletic Director—for review and signature
approval.
(c) Chief Financial Officer—to determine fund availability
and ensure NCAA compliance.
(d) Foundation Allowability staff—to ensure fund availability
and that the expenditure is in compliance with requirements
of the Foundation, CSULB, sponsors, donors, auditors, principals
of internal control and legal mandates.
The
University utilizes a number of procedures to control and regulate
the expansion of staff and approve new positions. In order to
initiate the recruitment process, SAR must submit a "Request
for Interview" and search protocol to the Office of Staff
Personnel Services. Before to any further action is taken, the
Office of Staff Personnel Services provides a copy of the "Request
for Recruitment" to the Office of Budget and Human Resources
(HRIS) to verify the feasibility and funds for a new position.
In order to hire additional staff to the Foundation, SAR must
first complete an "Employment Opportunities Announcement"
form and submit it to the Foundation Human Resources Department.
The Human Resources Department verifies the availability of
funds prior to starting the recruitment process.
5. Please attach copies of the management letters (or executive
or management summaries) of the institution’s three most
recent external (those used to satisfy the annual independent
financial audit requirement in Constitution 6.2.3.1) and internal
(if any) financial audits for intercollegiate athletics.
(See Appendix FI.1)
Information to be available for review by the peer-review team,
if requested:
• Copies of the institution’s three most recent
external (per Constitution 6.2.3.1) and internal (if any) financial
audits for intercollegiate athletics.
• Copies of all athletics staff members’ most
recently completed and signed statements related to the reporting
and approval of athletically related income and benefits from
sources outside the institution, per NCAA Bylaw 11.2.2.
Operating Principle
3.2. Fiscal Management and Stability. The Association’s
principles require each institution to administer its intercollegiate
athletics program in keeping with prudent management and fiscal
practices. To demonstrate fulfillment of this requirement, the
institution shall provide evidence that the management and fiscal
practices of the institution assure the financial stability
necessary for providing all student-athletes with relatively
full and stable opportunities for athletics participation.
Self-Study Items
1. Explain the institution’s philosophy with respect
to the funding of the athletics program.
As with other self-support situations, the University’s
philosophy is to delegate the responsibility of generating and
managing organization-specific resources to the respective organization,
SAR, with oversight from the Athletic Finance Committee. SAR
receives funds from several sources to operate the athletics
program. The University’s general fund appropriation from
the State is used to pay the salaries and benefits for most
administrators and coaches. The annual 49er Athletic Association
fund drive and related revenue-generating activities are used
for scholarships. Instructionally Related Activities (IRA) funds,
Associated Students funds (AS, a form of student fee revenue),
box office receipts, game guarantees, and television revenues
are used to support operating expenses. With these funding sources,
the institution’s practice is most influenced by the general
fund appropriation, the IRA allocation, and the Associated Students
(AS) allocation. The remaining fund sources (box office receipts,
game guarantees, facility rentals, fundraising, etc.) have less
of an impact and are generated directly by SAR.
General Fund Resources
This campus has traditionally employed relatively distinct processes
for financial allocations, planning, and assessment activities.
While there has been some recent progress in integrating these
processes, a well-coordinated planning, assessment, and allocation
system has not yet been realized.
The University’s General Fund allocation process has centered
on the Resource Planning Process (RPP), which was designed to
ensure that consultation and collegiality in the budget allocation
process. The RPP Task Force is comprised of 10 voting members,
and co-chaired by the Vice Presidents for Academic Affairs and
Administration and Finance. The voting members consist of five
representatives of the Academic Senate leadership, two representatives
from the administration staff, and a student-leadership representative.
One critical aspect of the RPP involves budget presentations
made by representatives of each division to the RPP Task Force.
Following these presentations and extensive deliberations, the
Task Force forwards budget priorities and recommendations to
the President. When feasible, the University has implemented
the recommendations of RPP.
SAR’s organization and operations are comparable to the
four divisions of the University: Academic Affairs, Administration
and Finance, Student Services, and University Relations and
Development. As such, SAR vies for its portion of the University’s
general fund budget along with the other divisions.
Given that the primary mission of the University is instruction,
the RPP and the campus has chosen to allocate incremental State
General Funds primarily to instructional areas and to accommodate
enrollment. However, in fiscal year 1997-98, the University
recognized the need to achieve specific female participation
rates and expenditures in women’s sports in order to be
in compliance with Title IX and the CAL NOW Consent Decree.
Accordingly, SAR was allocated an additional $221,000 over two
fiscal years to help realize the principles and objectives of
gender equity. In recent years, SAR has received moderate amounts
of additional State General Funds for specific projects and
initiatives.
Instructionally Related Activities Allocation
Instructionally Related Activities (IRA) funding has represented
a significant source of support for SAR. Since the mid-1990’s,
Athletics has consistently received about $750,000 in IRA funds
to help support the program. These funds are used primarily
to pay the operating costs of each of the sport teams, but are
not guaranteed. However, the IRA Advisory Board has recognized
the outstanding achievements of the athletic program, has been
highly supportive of SAR, and will likely continue this support
in the future.
Associated Students Fee Allocation
In the Spring of 2000, the Athletics Department received significant
support from the student body (Associated Students). The students
resoundingly approved a referendum that raised student fees
in order to increase the amount of funding for athletic scholarships
and sport operating budgets. These funds (which totaled approximately
$1 million) allow athletics to award more scholarships up to
NCAA limits, provide increased operating budgets for sports
teams, fund capital improvement projects, and provide additional
funds to recreational sports, and strength-training programs.
With the passage of this referendum, called "Beach Pride,"
the AS provide their clear support of the Athletic Department
and their willingness to contribute personally to help establish
a tradition of excellence in athletics at CSULB. In summary,
it is clear that athletics enjoys a broad base of support among
various campus entities. Specifically, the substantial funding
by the IRA Board, increase in General Funds for gender equity,
and significant funds from the AS are indicative of a campus-wide
support for athletics as well as a desire to improve beyond
the current status of the program.
From a non-monetary standpoint, the University’s commitment
to athletics is explicit. The University has spent the last
several years developing a strategic plan to, among other things,
provide a mechanism to link financial allocations to institutional
planning. Six general strategic priorities for the University
have evolved from extensive campus wide discussion and review.
These strategic priorities form the basis of the University’s
Strategic Plan and will be utilized in future budget allocation
decisions. One of the six strategic priorities in the plan unequivocally
includes athletics as an important program in the University’s
future and states, "CSULB will use its outstanding students,
academic programs, intercollegiate athletics program and the
performing arts as vehicles to generate positive national exposure."
Additionally, in the University’s Mid-Range Goals 2002-2005,
the document specifically articulates as one of its goals to
"complete a successful certification review of the University’s
athletic programs by the NCAA." The University’s commitment
to the athletics program coupled with recent increased funding
should help SAR become more competitive and successful in the
future.
2. Using the institution’s established budgetary format,
prepare a list of both projected and actual athletics revenues
(by source) and expenditures (by budget category) for the three
most recently completed fiscal years. In doing so, make sure
that all athletics administrative costs are included. Provide
any revenues and expenditures on a sport-by-sport basis.
(See Appendix FI.2).
Projected and actual revenues and expenditures are presented
in accordance with the institution’s established budgetary
format.
3. Describe the institutional procedures that are in place
to address any deficit in the intercollegiate athletics budget
incurred during any fiscal year(s).
As a closely regulated state agency, the campus is not able
to go into a deficit per se; therefore, no institutional procedures
exist to address a deficit situation. However, in order to provide
for full utilization of State General Funds and to prevent over-expenditures,
SAR follows established expenditure control and projection procedures
that are managed by the Office of Financial Management.
SAR is required to submit a quarterly financial assessment to
the Office of Financial Management. This assessment process
allows SAR to report State General Fund expenditures made at
the close of the quarter, and provides detailed information
on expenditure plans for the remainder of the fiscal year. This
quarterly financial assessment is then reviewed and discussed
in a meeting between the Athletic Chief Financial Officer and
members of the University Administration and Finance Division
(usually the Controller, Associate Vice President for Financial
Management and Budget Director). In addition, the University
Business Office and Purchasing Office will not process expenditures
unless sufficient funds are available in SAR accounts.
In addition, the entire SAR budget (which includes Restricted/Foundation
funds as well as the State General Fund) is reviewed at a quarterly
meeting of the Athletic Finance Committee (consisting of the
Director of SAR, Athletic Chief Financial Officer, Associate
Vice President of Budget and Human Resources Management, Associate
Vice President for Financial Management and the Deputy Executive
Director of the CSULB Foundation). This committee examines all
actual and forecasted revenues as well as expenditures regardless
of source, challenges, projections or assumptions to evaluate
the fiscal implications of proposed plans and programs of the
department. Should a deficit be projected, the Athletic Finance
Committee can take the necessary action to try and avoid a deficit
or ensure that any deficit be properly explained, understood,
and resolved.
4.
Outline the sources, uses and amounts of subsidization of the
intercollegiate athletics program from non-athletics department
and/or non-institutional sources.
All resources of the athletics program at CSULB are under the
accounting and financial control of the institution and are
managed by the University or the CSULB Foundation.
5. Identify the sources, uses and amounts of athletics department
surplus and/or funds.
The department has not and, currently, does not manage either
a surplus or reserve fund.
6. Describe how the university will accommodate future financing
needs of the intercollegiate athletics program or plans to respond
to changing conditions based upon the institution’s future
financing projections.
The campus has a long-established budget planning process that
deals with the incremental changes in the University’s
General Fund support budget. Over the years, the process has
been able to respond quickly and appropriately to a wide variety
of changes internally as well as externally.
The Resource Planning Process (RPP) Task Force is a representative
committee of the campus leadership charged with the role of
advising the President on matters related to the General Fund
budget allocations for the upcoming fiscal year. Each division
head and the Director of Athletics is given the opportunity
to present budget proposals to the RPP Task Force for funding
consideration and ultimate recommendations to the President.
Similarly, if the University’s budget experiences external
budget pressures caused by reduced state revenues or a decline
in student enrollment, the RPP Task Force serves as the advisory
counsel to the President.
7. After reviewing the institution’s Equity in Athletics
Disclosure Act survey forms for the three most recent years
for which the information is available, comment on the institution’s
provision of full and stable opportunities to student-athletes.
In particular, provide comment, sport-by-sport, on per diem,
transportation, equipment, percentage of sport budget that has
to be obtained via fundraising and other applicable comparisons.
Analyze, explain and address any significant discrepancies.
During the past three years, Long Beach State has provided full
and stable opportunities for student-athletes, and has been
able to provide significant additional opportunities by increasing
scholarships and sport operating budgets. With the help of the
Beach Pride student fee referendum, the Department has been
able to award athletic scholarships up to NCAA limits for its
sports, and increased sport operating budgets by $352,000 (an
increase of 41%) since the 2000-01 fiscal year.
A review of the most recent Equity in Athletics Disclosure Act
forms demonstrates Long Beach State’s commitment to providing
full and stable opportunities to all student-athletes, both
male and female. Female athletes represent 57 percent of the
total number of participants, are awarded 63 percent of the
athletically related student aid, and incur 52 percent of the
operating expenses as defined in the survey.
It was determined that all teams are provided adequate and comparable
per diem, transportation, lodging and equipment. While differences
between sports do exist, those differences are more reflective
of particular circumstances and needs of a program rather than
a failure to provide adequate resources.
8. Please attach a copy of Part II of the institution’s
NCAA Sports Sponsorship Report for the three most recent academic
years.
(See Appendix FI.3)
Operating Principle
3.3 Established Fiscal Policies and Procedures. Membership in
the Association places responsibility on each institution to
monitor its programs to assure compliance with all applicable
rules and regulations of the Association. Consistent with this
responsibility, the institution shall demonstrate that it has
in place fiscal policies and standard operating procedures to
ensure that:
a. Prospective student-athletes are not provided with impermissible
recruiting inducements.
b. Enrolled student-athletes are not provided with benefits
that are expressly prohibited by NCAA legislation.
c. All expenditures for athletics are handled consistently in
accordance with NCAA, conference and institutional rules.
Self-Study Items
1. Describe the policies and standard operating procedures that
help to ensure that all expenditures for athletics are handles
in accordance with NCAA, conference and institutional rules.
All individuals authorized to expend funds on behalf of SAR
are responsible for ensuring that these expenditures comply
with NCAA rules. As part of the standard operating procedures
for expenditure compliance, the Director of Compliance and Student
Services reviews and distributes all NCAA rules, regulations,
manuals, and interpretations to all administrative personnel
and coaches. When questions arise about expenditures and NCAA
rules, individuals consult the NCAA manual and the Director
of Compliance. The Director of Compliance and Student Services
works very closely with the Athletic Chief Financial Officer
when questions arise about athletic expenditures and makes the
final determination as to the appropriateness of the expenditure
when issues cannot be resolved.
2. Describe or attach a copy of the university’s policies
and standard operating procedures for ensuring that prospects
do not receive recruiting inducements and enrolled student-athletes
do not receive extra benefits contrary to NCAA, conference and
institutional rules, including (a) identification of person(s)
responsible for these areas, (b) means of monitoring compliance
with these rules and, (c) means of ensuring that only institutional
or athletics department funds are expended in these areas.
The Department of Athletics is fully aware of the NCCA rules
regarding recruitment and student-athlete benefits, and does
not allow recruiting inducements to prospects or extra benefits
to current student-athletes. Specific departmental policies
and procedures have been established to ensure compliance, and
is frequently discussed at meetings with staff, coaches, boosters,
the Athletics Association, and other groups. Furthermore, the
Department’s stringent expenditure control and approval
process ensures that no financial inducements or extra benefits
are offered. All financial transactions require the approval
of the Head Coach and the supervising Assistant/Associate Athletic
Director. Transactions must then be reviewed and approved by
the Business Office staff. Finally, all financial transactions,
without exception, require the approval of the Associate Athletic
Director/Chief Financial Officer. If any questions or issues
regarding compliance arise, the Associate Athletic Director
for Compliance is consulted to provide an answer and make a
final resolution, after consulting with the Conference Office
or NCAA, as necessary.
All of the above-mentioned individuals are educated, trained,
and updated about recruiting inducements and extra benefits.
In addition, the Department publishes a brochure called "What
You Should Know – NCAA Rules and Regulations," and
a comprehensive Booster Club policies manual to ensure that
employees and individuals outside the department are familiar
with the guidelines. To further ensure compliance, the Department’s
procedures are reviewed and evaluated by an external constituency
every three years.
The Official Visit process for prospective student-athletes
is onerous by design and is the Department’s most effective
way to monitor all activities concerning recruiting. The following
statements are based on excerpts of the Department’s official
visit procedures outline the items that are allowable and ensure
additional inducements are not provided:
Official Visits
Before a prospective student-athlete can come on an official
visit, the following items must be completed:
•
Submission of Request for Official Visit form
• Submission of Accommodation and/or Meal Request
Items
must be turned into the Compliance Office two weeks prior to
the official visit.
General
Rules for Official Visits
a. Cash must never be given to a prospect.
b. There is a limit of one official visit per prospect.
c. A prospect must be notified in writing of the limitation
of five official visits prior to the visit.
d. Visit may not exceed 48 hours (beginning when prospect
reaches campus). Coaches may pick up a prospect at airport.
The 48-hour time limit does not start until they reach campus
or provide entertainment (within a 30-mile radius) as long
as they go without delay.
e. Parking may be arranged during visit.
f. A student host may accompany a prospect on his/her visit
(see "Student Host," below, for regulations.
g. A prospect at no time may use any automobile except his/her
own.
h. Spouses of coaching staff may contact a prospect within
a 30-mile radius of campus while they are on an official visit.
i. Complimentary admission tickets to home events for the
prospect, prospect’s parents, or spouse on an official
visit may be provided. Additional tickets may be reserved
for immediate family members accompanying prospects to home
events. These tickets must be purchased.
j. Three meals a day may be provided.
Entertainment
on Official Visit
Entertainment must be within a 30-mile radius of campus and
can only be provided for the prospect and parents, guardians,
or spouse. Friends, other relatives, or dates may not be entertained
at any time during the visit. The following types of entertainment
are permissible:
a. Free admission to campus athletic events in the general
seating area of the facility. Seating cannot be in the press
box, special seating box, or bench area.
b. Brunch, lunch, or dinner at the home of Long Beach staff.
c. Entertainment money may not be used to purchase souvenirs
(T-shirts, college mementos).
Student Host
a. A maximum of $30 per day can be provided to the student
host for entertainment for the official visit. The money may
not be used to purchase souvenirs such as T-shirts or other
college mementos.
b. Host must be a qualifier.
After the Official Visit
Official Visit Record and Student Host forms must be turned
in to the Compliance Office.
Unofficial Visits (Unpaid)
a.
A prospect may have an unlimited number of unofficial visits.
b. These visits may take place prior to the prospect’s
senior year.
c. Complimentary admissions may be left for prospects on
unofficial visits (maximum of three passes).
d. No expenses may be paid for an unofficial visit.
e. A prospect on an unofficial visit may pay the actual
cost of meals and eat with other prospects on an official
visit or with other students.
f. A prospect may stay in the dorms only if the prospect
pays the normal student rate for such lodging.
g. Parking may not be arranged for prospects on an unofficial
visit.
Benefits,
Gifts and Services
The following excerpts from the department’s Compliance
Manual outlines those benefits that are and not permissible.
An
extra benefit is any special arrangement received by a student-athlete,
relatives or friends that is not available to other students
at the University or their relatives or friends.
Permissible Benefits
1. Employment of student-athlete
a. Payment of actual work performed
b. At a rate the same as the going rate in that locality
2. Contribute money to be administered by the Athletic Department
a. Endowed Scholarship
b. To support sport programs
3. Entertain teams at away contests
a. Must be approved by the University
4. Provide an occasional meal
a. Must be in Booster’s home
b. Restricted to infrequent and special occasions (e.g.
Christmas, Thanksgiving)
5. It is permissible to request a student-athlete to speak
at youth group functions as long as their speech is about
drug awareness or educational in nature.
Non-permissible Benefits
The student-athlete shall not receive any extra benefits.
Extra benefits refer to any special arrangement provided
by a Booster that is not authorized by NCAA legislation.
1. Special discounts and credits
2. Free or reduced cost services
3. Use of telephone or credit card for personal reasons
without charge
4. Entertainment services
5. Loan of money
6. A guarantee of bond
7. Use of an automobile or transporting student-athlete
8. Signing or cosigning a note with an outside agency
9. Sponsor or become "family" for student-athlete
10. Use of personal properties
11. Gifts or any kind or awards
12. It is not permissible to use a student-athlete’s
name or picture to promote a commercial product
Information
to be available for review by the peer-review team, if requested:
•
Monitoring records or other documentation for the most recent
year, related to impermissible recruiting inducements and
prohibited extra benefits (e.g., official visit records, off-campus
recruiting records, team travel forms, records related to
distribution of meal money, entertainment expenses, equipment).
Evaluation
and Plan for Improvement
Given the responses to the self-study items on the previous
pages, complete the responses below to: (1) indicate (with a
yes or no) whether each part of the operating principle exists
in the athletics program, and (2) evaluate whether the activities
of the athletics program are in substantial conformity with
the operating principle as a whole. [Note: In completing this
assessment, make sure that all relevant information from the
other three certification areas is considered, given that some
overlap does exist.]
Where the institution concludes in its evaluation that it does
not conform to the operating principle as a whole or to any
particular element(s) of the operating principle [as indicated
by a "Currently No" response to the elements(s)] or
that problems or deficiencies exist in this area, outline the
institution’s specific plans for improvement, which include/meet
the following required elements: (a) in writing, (b) developed
through broad-based campus participation, (c) issues/problems
identified in the self-study, (d) measurable goals the institution
intends to attain to address the issues/problems, (e) step(s)
to achieve the goals, (f) the specific timetable for completing
the work, (g) individuals/offices responsible for carrying out
the actions, (h) institutional approval, and (i) means for funding.
[Note: Please see Appendix A, Page 51 for an example format
outlining all required elements of a plan.]
| |
Currently
Yes
|
Found
on Pages(s)
|
Currently
No
|
If
Currently
No or If
Deficiencies
Exist, Indicate
Plan for Improvement
Number
|
| 3.1.
Financial Practices. |
Does
the institution demonstrate that:
a. All funds raised for and expended on athletics are subject
to institutionally defined practices of documentation, review
and oversight? |
X
|
7
|
|
|
b.
All expenditures from any source for athletics are
approved by the institution? |
X
|
6
|
|
|
| c.
Budget and audit procedures for athletics are consistent
with those followed by the institution generally and with
the provisions of NCAA Constitution 6.2? |
X
|
6
|
|
|
| 1.
The institution’s annual budget for athletics is approved
by the institution’s chief executive officer or designee
from outside the athletics department? |
X
|
6
|
|
|
2.
An annual financial audit is performed by a qualified auditor
who is not a staff member of the institution and who is
selected by the chief executive officer or designee from
outside the athletics
department? |
X
|
7
|
|
|
| On
the basis of the yes/no answers above, is the institution
in substantial conformity with Operating Principle 3.1 (Financial
Practices)? |
X
|
|
|
|
| [Note:
The institution should not indicate "yes" regarding
conformity with the operating principle as a whole unless
it has indicated "Currently Yes" for each element
of the operating principle or has below a plan to address
and "Currently No" response to any element(s)
of the operating principle.] |
| 3.2.
Fiscal Management and Stability. |
Does
the institution provide evidence that the management and
fiscal practices of the institution
assure the financial stability necessary for providing all
student-athletes with relatively full and stable
opportunities for athletics participation? |
X
|
9
|
|
|
| On
the basis of the yes/no answers above, is the institution
in substantial conformity with Operating Principle 3.2 (Fiscal
Management and Stability)? |
X
|
|
|
|
| [Note:
The institution should not indicate "yes" regarding
conformity with the operating principle as a whole unless
it has indicated "Currently Yes" for each element
of the operating principle or has below a plan to address
any "Currently No" response to any element(s)
of the operating principle.] |
| 3.3
Established Fiscal Policies and Procedures. |
Does
the institution demonstrate that it has in place fiscal
policies and standard operating procedures to ensure that:
a. Prospective student-athletes are not provided with impermissible
recruiting inducements? |
X
|
13
|
|
|
| b.
Enrolled student-athletes are not provided with benefits
that are expressly prohibited by NCAA legislation? |
X
|
15
|
|
|
| c.
All expenditures for athletics are handled consistently
in accordance with NCAA, conference and institutional rules? |
X
|
13
|
|
|
| On
the basis of the yes/no answers above, is the institution
in substantial conformity with Operating Principle 3.3 (Established
Fiscal Policies and Procedures)? |
X
|
|
|
|
| [Note:
The institution should not indicate "yes" regarding
conformity with the operating principle as a whole unless
it has indicated "Currently Yes" for each element
of the operating principle or has below a plan to address
any "Currently No’ response to any element(s)
of the operating principle.] |
