# Presentation: 132828

## Federal Student Aid Assessments

- Holly Langer-Evans and Michael Cagle

**Notes:**
Welcome to the Federal Student Aid Assessment Session – Use Self Assessment and Evaluation to Ensure Title IV Program Compliance and Integrity”. My name is: and I will be your trainer today.

 I look forward to showing you how you can use the Federal Student Aid Assessments to assist you with the resolution of audit or program review findings and to promote continuous improvement in your administration of the Title IV programs. These tools can also help you prevent findings.

## Session Objectives

**The new Federal Student Aid Assessments**
**How the Assessments can assist with financial aid operations, audits and program reviews**
**How to navigate the Assessments **
**How a school can use the Assessments to resolve Title IV deficiencies and improve its policies and procedures manual**
**A Team Building Tool**

- To Demonstrate:

**Notes:**
The session today will unveil the new and improved Federal Student Aid Assessments, discuss how the assessments can help with financial aid operations, audits and program reviews. We will then review actual program review finding and see how the assessments can assist in the resolution of the finding. Question: With the show of hands, who would rather find the problem prior to a review? That is our goal for you. We will demonstrate how you can use a corrective action plan (ME) to assist you in response to the audit finding. Just reporting that you will “try harder” or will revise the process is not our goal for you. Our goal is to have you self identify areas needing improvement and to have a plan to correct it and then a plan to make sure it is working.  

We will also share a team building web site to assist you in the developing effective teams to assist you with completing this self-assessment process.

Our goal is to effectively demonstrate how the assessments work so that you will go back to your offices, share this tool with your colleagues and begin to use them. 

## What are the Federal Student Aid Assessments

**What are the Federal Student Aid Assessments**

- Prevent non-compliance

- Identify compliance issues

- Establish management enhancements to correct problems

- Tools to:

**Notes:**
What are the Federal Student Aid Assessments?

The Assessments are tools to assist schools to prevent and or identify compliance issues and implement a Management Enhancement (corrective action plan) for noted problems. Three reasons you may want to consider using the assessments are to prepare for an audit or program review, to respond to an audit or program review finding, or to be proactive and complete assessments to prevent findings from occurring.

## Why use the Federal Student Aid Assessments?

**Ensure compliance**
**Prepare for an Audit**
**Prepare for a program review**
**Correct deficiencies and to ensure findings do not recur**
**Develop or update policies and procedures manual**
**Train new staff**

**Notes:**
We believe that schools want to be in compliance so we developed a tool to assist you.  The Federal Student Aid Assessments can help schools continuously assess their Title IV operations to ensure compliance with the ever-changing laws and regulations governing the Title IV programs. 

In your annual audit, the auditor may find problems. Routinely, schools respond to the audit and correct the individual deficiencies but the root of the problem is not necessarily corrected and the finding recurs in a review or audit next year. Use the assessments to develop the corrective action to prevent these recurrences. 

The Assessments are part of the Program Review Materials used by the school participation team. Ideally, it is best when you identify the issues and correct them prior to an audit or program review. Remember, if we can find it – so can you.  Own it and fix it before we find it.

## Where to find the Federal Student Aid Assessments

- _[http://ifap.ed.gov](http://ifap.ed.gov/)_

**Where to find the Federal Student Aid Assessments**

**Notes:**
The Federal Student Aid Assessments are easy to locate – the link is on the web!

You can access it from either IFAP or the School Portal. From IFAP, Under Tools for Schools, select FSA Assessments.

## Where to find the Federal Student Aid Assessments

**School Portal**
- _[http://Federal Student Aid4schools.ed.gov](http://fsa4schools.ed.gov/)_

**Where to find the Federal Student Aid Assessments**

**Notes:**
From the School Portal – Under Resources & Training, Select FSA Assessments.

## The Redesign of the Assessments 

**The Redesign of the Assessments **

**HERA**

- New Look and Feel

- Introduce the New Policy and Procedure Assessment

**Notes:**
Now let’s focus on the new look and feel of the assessments and the newly created assessment called “policies and procedures”. 

## The Federal Student Aid Assessments – Re-Design

**Notes:**
The first thing you will notice is the new look and feel. The new Federal Student Aid Logo “Start Here Go Further”. The menu bar to the left allows you to access sections of the home page and the areas in blue link you directly to the topic listed. The Assessments are categorized in Four different areas: STUDENTS, SCHOOLS, MANAGING FUNDS AND INNOVATIONS. The first three categories offer 16 assessments to help you with your compliance check. The fourth category is called Innovations and provides a link to effective practices.  Unlike the first 3 sections, this information comes from schools.  Send us the practices that work for you and you’ll be helping your colleagues.

All the assessments provide hyperlinks to Regulations, other resources and activities. You can even download the activities and save to your c drive and print at a later date or share with your colleagues. Let’s first take a look at the FAQ Page for using the Federal Student Aid Assessments.  This link will help you when you are back in your office and have a basic navigational question – this is a great place to look before becoming frustrated.

Why would you use the assessments? Where would you start?  The information in the “This Chart” link and will help you decide.  The assessments were not designed to be done in one sitting. Identify areas where you want to begin evaluating and thoroughly do so. We will discuss the information located in this link on the next slide.

## Why would you use the Federal Student Aid Assessments?

**Notes:**
This chart  gives you ideas to use the assessments.  In the example above, a school has a SAP finding where the school’s SAP Policy is not adequately monitored. The document provides you the assessment module you would complete to get a better understanding of the finding, and identify the areas that need a corrective action plan. The link to the Management Enhancement Worksheet provides you with a document to  create a corrective action plan and track progress to completion.  We recommend that you print this document when you return to your office – you’ll find it very useful to get you started.

## Policies & Procedures Assessment 

**Policies and Procedures At A Glance**
**Minimum Requirements**
**Regulations**
**Activities**

**Notes:**
The Policies and Procedures Assessment can be accessed from each assessment . There is a link that brings you directly this assessment. Each assessment  recommends a section of the Policies and Procedures module that you may want to complete. 

The Chart in Policies and Procedures At a Glance highlights the minimum requirements found in the Federal register. We provide a link to each of the regulatory citations. In addition, we provide you with an Activity that provides a check list related to the topic. Please make sure that you addressed the minimum requirements outlined in this chart. 

The law doesn’t require you to have a Policy and Procedure Manual but to have policy and procedures related to specific areas regarding the administration of Title IV Aid. As a good practice, we do recommend that you create a policy and procedure manual.  If you have a manual, we recommend that you review it on an annual basis. We will review the Policies and Procedures Manual in more detail when we begin navigating the assessments on the web.

## 	Potential Audit Findings

**Satisfactory Academic Progress Policy Not Adequately Developed / Impaired**** Administrative Capability**
**Verification Incomplete**** **
**Title IV Accounts Not Reconciled**

**Notes:**
Let’s discuss three potential findings and learn how to  navigate the assessments in order to obtain regulations and activities to assist us with reviewing your Title IV operations. The three findings we will review are:

First, Satisfactory Academic Progress Policy Not Adequately Developed/Impaired Administrative Capability

Second, Verification Incomplete

And last but not least, Title IV Accounts Not Reconciled.    

**Finding 1: SAP Policy Not Adequately Developed / Impaired Administrative Capability**
**Review SAP Assessment – Students**
**Policies and Procedures Assessment**
**SAP At a Glance**
**Activity 1 and Activity 2**

- _[http://ifap.ed.gov](http://ifap.ed.gov/)_

**Learn to Navigate the Assessments****Instructor Demonstration**

**Notes:**
Let’s review the SAP Assessment located under the Students Column. Let’s start with the Policies and Procedure Assessments. Why start with P&P? If they aren’t in order, reviewing files and consumer information will be in vain.  Note the second paragraph tells you where in the policies and procedures you should go to review your SAP requirements.  Let’s go there now, I am going to select P & P, on the first page you will see the P&P at a glance. We reviewed this earlier, now we will scroll to the second page and note the template we have provided.  Under the Topic heading – you will see SAP. Let’s click on Activity 1: this is under the heading Administrative Capability. SAP is mentioned under Administrative Capability and if we scroll down (page 5) we will see the items that are required to be addressed in our SAP P&P.  If we hit the back button  and click on the SAP topic, additional information and regulatory cites are provided that relate to the development and consumer requirements for SAP.

## Finding 1: SAP Policy Not Adequately Developed / Impaired Administrative Capability

- File Review Activities _[SAP Activity 1: ](http://ifap.ed.gov/qadocs/SAPModule/Activity1SAP.doc)__[SAP Not Met File Review Worksheet](http://ifap.ed.gov/qadocs/SAPModule/Activity1SAP.doc)__[SAP Activity 2: ](http://ifap.ed.gov/qadocs/SAPModule/Activity2SAP.doc)__[SAP Met File Review Worksheet](http://ifap.ed.gov/qadocs/SAPModule/Activity2SAP.doc)_

**Notes:**
Once your policies and procedures are in order, we want you to do a file review of 10 files that did not meet SAP. Check the GPA and credits manually on these records to make sure there are no errors.We want to make sure that your system is identifying those students not making progress. Problems often occur because you think your system is doing what you programmed. 

Activity 2: is select 10 files where SAP was met and make sure that the credits and grades were reportedly accurately. If the student received aid on appeal, make sure that procedures were followed and the student continued to be monitored. 

## Learn to Navigate the AssessmentsInstructor Demonstration	

**Finding: 2 – Verification Incomplete**
**Review Verification Assessment -  Students**
**Policies and Procedures**
**Activity 4: Resolving Conflicting Data**
**Activity 5: Professional Judgment**
**Verification Comparison Charts**

- _[http://ifap.ed.gov](http://ifap.ed.gov/)_

**Notes:**
This assessment is full of information. Once again, you would go to Students and select verification and review the policies and procedures. For Verification we recommend that you start with the following Activities from the policies and procedures Design Process chart: Activity 1 (conflicting data section) and Activity 3. In addition, you may find it helpful to select a topic related to Verification (Verification, Documentation, Conflicting Data, Professional Judgment, and Misrepresentation) and it will provide you with a Policy and Procedure template. Use this template to either assist you in creating a new policy and procedure or to test your current policies and procedures.

Let’s take a look at the Conflicting Data  Activity 4– Remember, if you have a tax return you must review it – even if the student is not selected for verification. 

Now Let’s look at Activity 5: Professional Judgment. Making sure you have a procedure and following it and treating each file on a case by case basis is very important.

Let’s now look at the Verification Comparison Chart. We have 3 years posted because a review can cover a three year span. Note we have added the Puerto Rico Tax return lines. 

## Learn to Navigate the AssessmentsInstructor Demonstration

**Finding: 3 – Title IV Accounts Not Reconciled**
**Select Managing Funds – Fiscal Management**
**Select Activity 1 – Reconciliation Worksheets**
**Review Year End and Monthly Worksheet**

- _[http://ifap.ed.gov](http://ifap.ed.gov/)_

**Notes:**
It is important that the fiscal office and financial aid office work together to reconcile the funds with the Department (COD). Reconciling the federal funds bank account does not complete the reconciliation process.

Reconciliation is to be done on a  monthly basis. We provide you with a year end report and a monthly report for each fund. 
Remember, if you have a  servicer, all records must be accounted for and the school is ultimately responsible for any funds disbursed.

## Management Enhancement

**Management Enhancement**

- Identify compliance issues

- Assign the issue for correction

- Design a Corrective Action Plan

- An Action Plan To:

**Notes:**
The Management Enhancement is a template to assist you in designing an action plan. Once an area that needs to resolved is identified, we recommend that you assign the task to a group leader. Begin with the development of a corrective action. As a result of your corrective action plan, and if necessary, it is important that you update your policies and procedures to reflect any change (s) to your Title IV operations. 

## Effective Practices

- Innovation – Effective Practices
- Opportunity to review a successful practice reported by one of your colleagues
- Opportunity to report a successful practice to the Department.

**Notes:**
Now that we have reviewed several of the assessments, let us take a moment and look at an effective practice. Many of us are very critical about how we do our business and don’t take the time to celebrate what we do well. This is an opportunity for you to review successful practices that your colleagues have reported to us and share a successful practice of your own.

To view a successful practice, select innovation and click on the link “To view current effective practices select click here”. You will see the assessment categories and the schools who have reported a successful practice.

To report a successful practice, complete the form that appears when you select effective practices and submit it. You don’t have to have your school name appear on the web site but we do need the demographic information. We review any process provided and will contact you if we have any questions.

## Importance of Team Building

**“****It’s a fact that people working as a team can achieve better results than individuals working alone.”**

**Notes:**
Why is team important?

A Team provides an environment that supports employee involvement, allows sharing in the decision-making process, and gives employees a strong sense of ownership and pride in the quality of the work that the team produces.  This results in better productivity!

The Assessments were never designed to be done in isolation. A team is necessary in order to complete the assessments. Remember Title IV aid is an institutional responsibility.

## Team Activity

- When I say go, list 10 body parts that have only 3 letters in them. You can’t use slang.

**Notes:**
I will give you 15 seconds .... GO

## Answer Key

- Lip					Jaw
-  Hip					 Rib
- Gum					Leg
- Ear					Arm
- Eye					Toe

## Use the Team Building Tool

- www.teambuildinginc.com

- http://www.teambuildinginc.com

**Notes:**
Now that I have shown you the Federal Student Aid Assessments, I’ll share another tool that can assist you with building teams. Teams are necessary when completing the assessments because as we discussed earlier – compliance is not just the responsibility of the financial aid office.  This website has a teambuilding tool that helps you develop your team or to improve your team if you already have one in place. This is not a government site, but we thought it was great so we’re sharing it with schools. There is no fee to use this web site.

## Summary

- If we can find it – so can you
- Use the Assessments to fix problems before they are identified through an audit or a program review
- Team Approach to the assessments is critical
- Use the Management Enhancement as a corrective action plan and track progress

**Notes:**
In summary, one of the most important things we would like you to leave today knowing, is that if we can find it – so can you! But don’t work alone.  Identify the offices involved in Title IV delivery and enlist their help in assessing compliance.  Review your policies and procedures and the implementation of them.  Together you can find what is working well and what needs improvement or correction. The Management Enhancement Form will provide you an opportunity to create a corrective action plan and track it.  Stay on target to complete it.  The tool is out there waiting for you – we hope that you will use the assessments and strengthen your compliance outcomes.

## Questions