Michael Cagle and Holly Langer-Evans | Nov. 2012U.S. Department of Education

2012 Fall Conference

FSA Assessments: Find It, Fix It, and Enhance Compliance

Session 21

Training Objectives

1• Locate and Review FSA

Assessments

2• Review Four Assessment

Scenarios

3• Identify and Fix Issues to

Enhance Compliance

2

3

Locate Assessments

IFAP.ED.GOVSelect Tools for Schools

Select FSA Assessments Link

4

FSA Assessments Chart

5

6

• The Process• Institutional Eligibility

Assessment

Recertification Process

• Funds Not Reconciled• Fiscal Management Assessment

Fiscal Reconciliation

Reason

7

• Institutional Eligibility Assessment

• Activity 1

Program Review

Deficiencies

• Complete Two Assessments• Policies & Procedures

No Recent Audit or

Deficiencies

Reason

• Assess compliance

• Research by linking to Title IV regulations and other resources

• Track your Action Plan for areas identified

Why Use the Assessments?

8

9

Page Layout

Links

Action Plan

Activity Bar

Assessment DesignVERIFICATION

10

Assessment DesignVERIFICATION

Page Layout

Topic

Regulation

Activity

11

Access Action Plan

Access Action PlanDownload or Save

Find

• Identify an Assessment• Complete the Assessment

Fix

• Research Area of Improvement• Develop Action Plan

Enhance

• Create & Implement Action Plan• Review Annually

12

13

Identify FSA AssessmentScenario 1:

2012-13 award yearThe school collects a signed paper copy of IRS tax returns for those applicants flagged for verification by the CPS that did not go through the IRS Data Retrieval ProcessSchool also collects a signed paper copy to verify AGI and taxes paid for institutionally selected records

Find

• Verification Assessment

• Policies & Procedures

14

Complete AssessmentScenario 1

Fix

• School Collects signed paper copies of IRS Tax returns for applicants flagged for verification and did not go through the IRS Data Retrieval Process

• School collects a signed paper copy of IRS tax returns for institutionally selected records

July 20, 2012 Electronic Announcement

Program Integrity Link

Reference PPT Slide 9

New EA November 2, 2012

Acceptable Documentation Update 2012-2013 Award Year Verification

15

Create an Action PlanTrain StaffFollow through on Corrective ActionEnhance

• Implement Action Plan

• Review Annually

16

Action Plan

17

18

Identify FSA AssessmentScenario 2

Scenario 2012-13 award year

The school has developed their own verification worksheet. For non-tax filers, they collect a signed statement certifying that the person is not required to file an income tax return that includes the sources and amounts of any income earned from work. They do not collect W-2s

Find

• Verification Assessment

• Policies & Procedures

19

Complete an AssessmentScenario 2

Fix

• The school has developed their own verification worksheet. For non-tax filers, they collect a signed statement certifying that the person is not required to file an income tax return that includes the sources and amounts of any income earned from work. They do not collect W-2s

Program Integrity Link

Electronic Announcement

20

Develop an Action PlanTrain StaffFollow through on Corrective ActionEnhance

• Implement Action Plan

• Review Annually

21

Action Plan

22

Verification Violations

Verification Policy Not Documented

Verification Policy Inadequate

Potential Findings

23

24

Identify FSA AssessmentScenario 3

Scenario 2012-13 award year

When reviewing conflicting data procedures, the Financial Aid Office determined that the Fiscal Office was receiving outside scholarships and posting the aid to the student accounts without notifying the Financial Aid OfficeFind

• Policies & Procedures

• Verification Assessment

25

Complete an AssessmentScenario 3

Fix

• When reviewing conflicting data procedures, the Financial Aid Office determined that the Fiscal Office was receiving outside scholarships and posting the aid to the student accounts without notifying the Financial Aid Office.

Verification Assessment – Activity 1

26

Create An Action PlanTrain StaffFollow through on Corrective ActionEnhance

• Implement Action Plan

• Update Annually

27

Action Plan

28

Overaward: Financial Need Exceeded

Conflicting Data

Policies & Procedures Not Developed

Lack of Administrative Capability

Potential Findings

29

30

2012-13 award yearThe school checks SAP annually. For students who successfully appeal and are placed on probation under the new SAP regulations, the school allows the student to receive aid during their probation until the next time they check SAP (an entire year)

Find• SAP Assessment• Policies &

Procedures

Identify FSA AssessmentScenario 4

31

Assessment DesignSatisfactory

Academic Progress

Page Layout Links

Action Plan

Activity Bar

Topic

Regulation

Activity

32

Complete an AssessmentScenario 4

Fix

• The school checks SAP annually. For students who successfully appeal and are placed on probation under the new SAP regulations, the school allows the student to receive aid during their probation until the next time they check SAP (an entire year)

Program Integrity Link

34 CFR 668.34

33

Complete an AssessmentScenario 4 - Continued

Policies and Procedures

34

Create an Action PlanTrain StaffFollow through on Corrective Action

Enhance• Implement

Action Plan• Review Annually

35

Action Plan

36

Satisfactory Academic Progress Policy Not Adequately Developed

Satisfactory Academic Progress Policy Not Monitored

Potential Findings

37

Importance of a Manual

• Comply with Regulations

• Revise Annually

• Organized• Access by

Staff

Accuracy Updating

ManagingAvailability

38

Live Demonstration

39

Find •IFAP.ED.GOV

Fix •Select and Complete an Assessment

Enhance •Complete and Implement Action Plan, Review Annually

40

Contact Information

We appreciate your feedback and comments:

Holly Langer-Evans• Phone: 617-289-0136• E-mail: Holly.Langer-Evans@ed.gov •Fax: 617-289-0167orMichael Cagle•Phone: 206-615-2586•E-mail: Michael.Cagle@ed.gov•Fax: 206-615-364441

42

Violation: LOL 10-31-12  

43

QUESTIONS?