session 15 self-evaluation tools to jump start and sustain your cycle of compliance and...
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Session 15
Self-Evaluation Tools to Jump Start and Sustain Your Cycle Of
Compliance and Institutional Effectiveness
Michael D. CagleSchool Outreach Division, ASEDS
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Objectives
• Explain the benefits for compliance• Demonstrate Activities, Management
Enhancement Process and Effective Practices
• Initiate Dialogue: How are the FSA Assessments being used?
• Provide Next Steps to Sustain Compliance and Effectiveness on Campus
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What is Compliance?
• The ability to reasonably ensure conformity and adherence to organization policies, plans, procedures, laws, regulations, and contracts.
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The ABCs of Compliance• Continuous• Opportunity• Meeting Regulatory Requirements• Policies & Procedures• Liabilities• Institutional• Accountability• Notification• Cycle• Enhancement
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What causes stress in your office?• Monitoring SAP?
• Going through Recertification?
• Conflicting Information?
• Having an audit?
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What are the FSA Assessments?• A Self-Evaluation Tool that provides
schools with:– An opportunity to assess policies and
procedures and evaluate compliance at the school.
– A mechanism to make corrective actions (Management Enhancements) and to share Effective Practices.
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Where are the FSA Assessments Located?• Available on the Schools Portal:
– http://fsa4schools.ed.gov – Under Resources and Training, click FSA
Self-Assessments
– Also available on IFAP:– http://ifap.ed.gov – Under Tools For Schools, click on FSA
Assessments
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How many FSA Assessments are Available?• FSA provides 22 assessments
• Specific help with navigating the FSA Assessments can be found by accessing the following link: http://www.ifap.ed.gov/qamodule/guidance.html
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Scenario
• Let’s review the school scenario.
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Questions we will answer• How did the school use the FSA
Verification Assessment to confirm the issues?
• What was the corrective action for the findings the school identified?
• How did the school respond to the audit?• In what other ways did the school benefit
from the FSA Assessments?
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Instructor Demonstration
• Features of the Verification Assessment
• Management Enhancement Form & Effective Practices Website
• How the Hyperlinks work
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Back to the Scenario
• What were the findings the school identified?
• What were the findings the auditor identified?
• What were the benefits of finding the issues before the auditor?
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The Benefits of the Management Enhancement Process
• Provides a systematic approach to resolve findings
• The Management Enhancement Form can be completed on-line and shared
• The school can identify and resolve issues before they become serious problems
• The school can be a step ahead of the audit process
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Effective Practices
• Your school should strive to find issues to be resolved, but don’t forget to celebrate the good practices identified
• The school in the scenario identified an Effective Practice to share
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The Management Enhancement Form and the Audit Process
• Follow-up on the corrective action plan to ensure the new process is being implemented
• Have a Compliance Team review areas identified for improvement
• Make the Management Enhancement Process part of your school’s yearly plan for continuous improvement
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Participant Discussion
• Have you used a particular assessment?
• Have you used the Management Enhancement Process?
• What Effective Practices do you have?
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Ways To use the FSA Assessments• Train new Staff in the Financial Aid Office• Find a regulatory citation or an FSA Handbook
Reference• Conduct a file review• Review a policy or procedure• Develop Management Enhancement to address
a weakness• Share an Effective Practice
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Some Final Points• The FSA Assessment process should be a school-
wide effort• FSA assessments can help prevent compliance
issues• FSA Assessments can be used as a Learning Tool• Consider Completing One Assessment/Activity
per year• Consider Submitting an Effective Practice
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Next Steps: What to do when you get back to your campus• Review prior audit findings
• Consider developing a compliance team
• Complete Conflicting Data Activity #7
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Next Steps: What to do when you get back to your campus (Continued)
• Complete Verification File Review Activity #10
• Complete Policies & Procedures Activity #1
• Complete Fiscal Management Activity #14
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Questions?
We appreciate your feedback and comments. We can be reached at:
Email: [email protected] or