NCAA Division III Financial Aid

Institutional Compliance Checklist

First Edition

2001-02

(To be sent with compliance forms)

Instructions for the Institutional Compliance Checklist

Purpose

The Self-Evaluation Guide has been designed as an in-house tool to help institutions evaluate the efficiency and effectiveness of their administration of financial aid programs and compliance with NCAA Division III Financial Aid legislation. The guide can assist Division III member institutions in assessing institutional compliance with NCAA Division III Financial Aid requirements of NCAA Bylaw 15. This checklist will be incorporated into the NCAA Division III Institutional Self-Study Guide (ISSG) and will replace the existing financial aid section of the ISSG. Upon completion of the ISSG, the institution is required to submit to the NCAA membership services office the Notification of Completion form (which accompanies the guide) signed by the chief executive officer (CEO), and director of financial aid, as well as indicating the date of completion. A copy of the completed checklist is to be retained on file with the institution and made available for examination upon request by authorized representatives of the Association. Completion of the checklist is required annually. This document should be retained on campus for 5 years.

The guide and checklist are is not meant as a substitute for the NCAA Manual or other NCAA/conference publications containing the rules governing intercollegiate athletics competition. Rather, the intent of the guide checklist is to:

1. Provide an internal self-study document for Division III institutions that emphasizes the Division III philosophy statement and presents a preparation tool in the event of an NCAA inquiry;

2. Involve senior-level institutional administrators in a study to enhance their knowledge of financial aid related activities;

  1. Sensitize senior-level administrators of Division III institutions to the strengths and weaknesses in their financial aid programs;

4. Identify specific areas in Division III financial aid programs that reinforce appropriate current practices and/or identify areas that require further attention;

5. Provide documentation for NCAA inquiries.

How to Complete the Institutional Compliance Checklist

The Checklist is constructed in a question and answer format. Generally, a "yes" response to a question indicates the institution is meeting the requirement or standard presented; a "no" response means some follow-up action is necessary.

Who Should Complete the Checklist

The financial aid administrator in cooperation with any other institutional official whose duties touch on compliance with NCAA legislation should complete the checklist. It is recommended that the financial aid administrator share the results of this evaluation with his/her supervisor, the director of athletics, and the chief executive officer of the institution.

Recommended Policies and Practices

Financial aid awarded by an institution to a student-athlete shall conform to the rules and regulations of the awarding institution and of that institution’s conference(s), if any. [15.3.2.1]

In all cases, the institutional financial aid award shall contain a written statement of the amount, duration, conditions and terms of the award. [15.3.2.2]

The composition of the financial aid package offered to a student-athlete shall be consistent with the established policy of the institution’s financial aid office for all students. [15.4.1 (a)]

A member institution shall not consider athletics ability as a criterion in the formulation of the financial aid package. [15.4.1(b)]

The financial aid procedures used for a student-athlete are the same as the existing official financial aid policies of the institution [15.4.1(c)]

The financial aid package for a particular student-athlete cannot be clearly distinguishable from the general pattern of all financial aid for all recipients at the institution; [15.4.1 (d)] and

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. A differential is defensible if it can be demonstrated that the average need of the student-athletes at the institution is equivalently greater than the average need of other students. [15.4.1(e)]

As part of the institution’s annual federal audit, institutions should include an NCAA internal audit to ensure consistency in packaging among athletes and non-athletes.

Required Documents

An institution should have the following documents readily available each year beginning August 1, 2002 upon request for an NCAA inquiry:

  1. Institutional catalogs with financial aid scholarship award descriptions.
  2. All publications with financial aid and scholarship award descriptions.
  3. Written documentation of the institution’s financial aid awarding policies and procedures. (e.g. enrollment/financial aid matrix)
  4. Sample of student financial aid forms used by the institution including:
  1. Verification of students’ full-time enrollment
  2. NCAA required forms:
  1. Description and policies for distribution of income from athletic endowment funds established prior to January 1, 1979 and specifically designated for financial aid for student-athletes per NCAA Bylaw 15.01.5.
  2. Statistical information:

NCAA Institutional Compliance Checklist

BYLAW

15.4.6

 

 

 

15.4.6

 

 

15.4.1

 

 

 

15.01.3

 

 

15.4.1

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

15.2

 

 

 

 

 

 

 

 

15.4.1

 

 

 

 

 

 

15.4.1

 

 

 

 

 

 

 

 

 

15.4.4

 

15.4.4

 

 

15.01.5

 

 

 

 

 

 

15.4.2

QUESTION

  1. Are all decisions regarding the packaging of financial aid for student athletes made by institutional personnel who are not affiliated with the athletics program?

    2.  

  2. Are all athletic staff members excluded from arranging or modifying the financial aid package (as assembled by the financial aid officer or financial aid committee) and

  3. Are all athletic staff members prohibited from serving as members of the institution’s financial aid committees and from being involved in any manner in the review of institutional financial assistance to be awarded to a student-athlete?

  4. Is all financial aid awarded to student-athletes based on criteria other than athletics ability and participation?

    5.  

  5. Are policies and procedures in place to ensure that all awards are consistently made in accordance with all Division III financial aid legislation?

    6.  

     

  6. Do the director of athletics and director of financial aid annually review NCAA Division III financial aid legislation?

    7.  

     

  7. Are institutional procedures related to the processing of financial aid award packages (e.g., determination of need, receipt of outside awards, renewal of awards) applied consistently for all students?

    8.  

  8. Does the institution have a listing of the published criteria for all awards?

    9.  

  9. Does the director of financial aid annually review all financial aid and scholarship award descriptions?

    10.  

  10. Does the institution’s materials provide the following costs of attending the institution?
  • Tuition and fees
  • Books and supplies, including the costs of required supplies and equipment
  • Room and board
  • Transportation costs for commuters or for students living on or off campus
  • Miscellaneous and personal expenses pursuant to Federal Guidelines
  1. Does the institution compile the following statistical information:
  • Number of students who attended the institution during the prior year categorized by race and gender?
  • Number of students who received aid and participated in intercollegiate athletics?
  • Average amount and type of financial aid provided to students who attended the institution during the prior year?
  • Average amount and type of financial aid provided to students who attended the institution during the prior year and participated in intercollegiate athletics?
  • Average need of students who attended the institution during the prior year?
  • Average need of students who attended the institution during the prior year and participated in intercollegiate athletics.
  • Percentage variation, if any, between the average amount of financial aid provided to students who attended the institution during the prior year and participated in intercollegiate athletics and students who attended the institution during the prior year generally.
  1. Is the institution’s need analysis methodology included in the institution’s written financial aid policies and procedures?
  2. Is the institution’s need analysis methodology applied consistently to all students attending the institution?
  3. Does the institution currently receive income from athletic endowment funds established prior to January 1, 1979 and specifically designated for financial aid for student-athletes per NCAA Bylaw 15.01.5?

    4. If you answered yes to question 14 above, are the written policies for distribution of the endowment funds in accordance with NCAA Bylaw 15.01.5?

     

  4. Is all financial assistance received by student-athletes from sources outside the institution reported to the institution’s director of financial aid?

RESPONSE

 Yes No

 

 

 

 Yes No

 

 

 Yes No

 

 

 

 Yes No

 

 

 Yes No

 

 

 

 Yes No

 

 

 Yes No

 

 

 

 Yes No

 

 Yes No

 

 

 

 Yes No

 

 

 

 

 

 

 

 

 

 Yes No

 Yes No

 Yes No

 Yes No

 Yes No

 Yes No

 

 

 

 

 

 Yes No

 Yes No

 

 Yes No

 

 

 Yes No

 

 

 Yes No

 

_________________________ ____________________________

Director of Financial Aid Date

___________________________ ____________________________

CEO Date

___________________________ Effective 2002-2003 ______________________

Auditor Date Firm