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NCAA Division III
Financial Aid Reporting Program
and
Self-Assessment
2012
Overview
• Introduction
• Legislation
• The Reporting Program
• Conducting a Self-Assessment
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Session Goals
•
Gain a greater understanding of the financial aid
reporting process and the philosophical tenets as well as
the legislative structure supporting this process.
•
Provide a method of conducting an audit on your campus
to ensure adherence to these philosophical tenets and
legislative requirements
•
Start a dialogue between members schools and the
national office to facilitate greater understanding,
compliance, and effectiveness of the reporting process.
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Legislation
Legislation
A member institution shall not award
financial aid to any student on the basis of
athletics leadership, ability participation or
performance.
NCAA Division III Philosophy Statement
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Bylaw 15.4.1 – (a)
Consistent Financial Aid Package:
Must be consistent with the institution’s policy for all
students and satisfy four criteria:
1. Shall not consider athletics leadership, participation
or performance.
NCAA Bylaw 15.4.1-(a)
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Bylaw 15.4.1 - (a): Example
Men’s Basketball Alumni Award
Description: $2,000 financial aid award for a
promising Freshman member of the varsity men’s
basketball team.
Issue: Athletics participation is a criterion for the
award.
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Bylaw 15.4.1 - (a): Example
Activities Grant
Description: $1,000 grant for any incoming Freshman
who participated in at least three extra-curricular
activities in high school. Valid activities include, but
are not limited to, student government, music,
athletics, community outreach, and art.
Issue: Athletics participation is potentially considered
for the grant.
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Bylaw 15.4.1 - (a): Example
Admissions Rating Formula
Description: An admissions rating formula includes the
following elements: academic ability, extra-curricular
activity involvement, essay, interview, desirability to attend.
Participation in high school athletics is a valid extracurricular activity among other activities. The calculated
admissions rating is then used to place the student in a
financial aid awarding matrix which would determine the
amount of institutional gift aid awarded.
Issue: Athletics participation is considered in the admissions
rating which is then used to determine the amount of
institutional gift aid the incoming student may receive.
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Bylaw 15.4.1 – (b)
Consistent Financial Aid Package:
2. The financial aid procedures used for studentathletes are the same as the existing official
financial aid policies of the institution.
Bylaw 15.4.1-(b)
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Assessment of
Non-Need-Based Institutional Gift Aid
• Complete audit of awards
– Merit, leadership and other scholarships
– Criteria
– Procedures
– Rating forms
– Marketing materials
Bylaw Connections:
15.4.1(a), 15.4.1(b), 15.4.5, 15.4.6
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Assessment of
Non-Need-Based Institutional Gift Aid
• Application process.
• Personnel determining award recipients.
• Role of financial aid office, admissions,
scholarship committees, school foundations.
Bylaw Connections:
15.4.1(a), 15.4.1(b), 15.4.5, 15.4.6
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Assessment of
Non-Need-Based Institutional Gift Aid
• Key Questions
– Is participation or ability in high school or college
athletics, or team captain included as a criterion or
consideration in published financial aid materials?
– Is participation or ability in high school or college
athletics, or team captain considered in the award
decision?
Bylaw Connections:
15.4.1(a), 15.4.1(b), 15.4.5, 15.4.6
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Bylaw 15.4.1 – (c)
Consistent Financial Aid Package:
3. The financial aid package for a particular studentathlete cannot be clearly distinguishable from
the general pattern of all financial aid for all
recipients at the institution.
Bylaw 15.4.1-(c)
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Assessing 15.4.1 – (c)
• Distinguishable Pattern of Awarding
Recipients of an Award of Circumstance
Athletes
Year of Initial
Enrollment
Total
Awardees
n
%
09-10
23
20
87
08-09
11
9
82
07-08
4
4
100
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Assessing 15.4.1 – (c)
•
Layering of information.
–
What are the policies and procedures behind the pattern?
Is there a particular award behind the pattern? Is athletics
considered explicitly or implicitly?
–
Is the pattern concentrated in a particular sport or sports
or among a defined group of student-athletes?
–
Is there a significant dollar amount advantage for the group
of student-athletes over other student-athletes and/or
other students?
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Bylaw 15.4.1 – (d)
Consistent Financial Aid Package:
4. The percentage of the total dollar value of
institutionally administered grants awarded to
student-athletes shall be closely equivalent to the
percentage of student-athletes within the student
body.
Bylaw 15.4.1-(d)
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Assessing 15.1.4 - (d)
• Proportionality Difference
Total
Students
Total
StudentAthletes
Proportion
StudentAthletes
949
91
9.59%
Total
Institutional
Total
Gift Aid for
Institutional
StudentGift Aid
Athletes
$1,660,859
$269,978
Proportion
Institutional
Gift Aid for
StudentAthletes
Difference
16.26%
6.67%
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Assessing 15.4.1 – (d)
•
Layering of information.
–
What are the policies and procedures behind the
difference? Is there a particular award behind the
difference? Is athletics considered explicitly or implicitly?
–
Is the difference concentrated in a particular sport or
sports or among a defined group of student-athletes?
–
Is there a significant dollar amount advantage for the group
of student-athletes over other student-athletes and/or
other students?
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15.4.1 Assessment Review
1. Substantive.
• Is the policy free of athletics consideration?
• Is the process the same for all students?
2. Impact.
• Does the policy advantage student-athletes?
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Bylaw 15.4.5
Athletics Involvement:
Athletics department personnel should not
influence directly or indirectly, a student-athlete’s
financial aid package.
Official Interpretation 8/2/89
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Bylaw 15.4.5
Athletics Department staff members are prohibited from:
•
Arranging or modifying the financial aid package for
students-athletes;
•
Serving on member institution’s financial aid committees;
•
Being involved in a review of a student-athlete’s financial
aid package; and
•
Sending a list of PSAs to the financial aid office.
Bylaw 15.4.5.
Official Interpretation 9/19/05
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Bylaw 15.4.5: Example
Student-Athlete List #1
Description: Each recruiting cycle, the coach generates a list of
prospective student-athletes that is submitted to the
admissions office. The list is prioritized with the most
desirable prospects at the top of the list and used by
admissions in making admissions determinations. The same
list is then submitted to the financial aid office where it is
used, in part, to determine financial aid awards.
Issue: The list of prospective student-athletes submitted by the
coach to admissions is used to potentially arrange or modify
the financial aid package for student-athletes.
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Bylaw 15.4.5: Example
Student-Athlete List #2
Description: Each recruiting cycle, the coach generates a list of
prospective student-athletes that is submitted to the
financial aid office. The list is reviewed by the financial aid
office to determine the status of required financial aid
application documents. The status is then shared with the
coach who works with the prospective student to ensure all
required financial aid documents have been submitted.
Issue: The list described here is for administrative purposes as
opposed to being used to potentially arrange or modify the
financial aid package for student-athletes.
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Financial Aid Reporting Process
Annual Reporting Process
•
Division III member institutions are required to participate
in the reporting process each academic year.
•
Allows for the comparison of financial aid packages of
freshmen and transfer student-athletes with the aid
packages of other freshmen and transfers with similar
financial need.
•
Division III Financial Aid Committee is oversight group.
•
NCAA staff does not disclose the identity of any school in
the review process to the public or the committee.
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Level I Review
Committee will review an institution if:
• Variance estimate is above 4%.
• Difference in proportion of financial need met by
institutional gift aid is a statistical outlier.
• Proportionality Test result is a statistical outlier.
• Sport-level outliers.
• Previous conditional review outcome or referral
to NCAA enforcement by the committee.
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Level I Review Outcome
• The Financial Aid Committee’s Level I review will
result in one of three outcomes:
1. No action.
2. No action but a conditional review in the next
cycle.
3. Move institution to a Level II review.
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Level II Review Outcome
•
Institution’s opportunity to explain their financial aid report.
•
The Financial Aid Committee’s Level II review will result in one
of three outcomes:
1. No further action.
2. No further action but a conditional review in the next
cycle; or
3. Forward to NCAA enforcement for institutional
noncompliance with Division III financial aid legislation.
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Enforcement Referral
•
FAC will forward institution’s case with recommendations
for appropriate penalties to enforcement.
•
Enforcement staff may process the referral as a
secondary violation or conduct an additional
investigation, as necessary.
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Self-Assessment
Summary
•
Compilation and presentation of the institution’s policies
and procedures for administering student financial aid.
•
Involve all key personnel on campus when compiling the
responses.
•
The Division III Financial Aid Committee and NCAA staff
are available for assistance.
•
The two-part test:
–
Consideration of athletics in policies and procedures.
–
Impact of those policies and procedures.
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Resources
•
Policies and Procedures Worksheet
•
School Profile Report
•
Review History and Trend Report
•
Financial Aid Reporting Program Users Guide
•
Division III Bylaw 15
•
Athletics Director
•
Conference Commissioner
•
NCAA Staff
•
Division III Financial Aid Committee
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Checklist
• Self-Assessment model in place.
• Holistic approach – key constituents involved.
• The Two-Part Test is employed:
– Policies and Procedures
– Impact
• Ongoing monitoring system.
• Use of available resources.
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