NYSFAAA ConferenceOctober 20, 2010Adams Mark HotelBuffalo, NY

Provides Documentation of all that you do Collects Documentation of all

practices/policies/procedures in one place Reference guide Training manual Evidence of administrative capabilities “Because you has to!”(Not a regulation??) Best Practice Facilitates continuity if a staff member is not

present for any length of time

20 USC §1094(a)(3) 34 CFR §668.14(b)(4) 34 CFR §668.53 34 CFR §682.610

Develop a process to create, review, and update regularly

Creating it the first time is the most difficult part

Involve all staff Gather what you have Beg, borrow, steal –Be

careful how you steal! Develop a plan with

timetable Start small with easiest first– Fax procedures vs. R2T4

Yesterday! Provide a timeline for stages of

completion: Each person’s individual procedures Work group completion dates Draft due date Comment/Review period Final draft and review

Everyone Appoint a project leader Each member of the staff needs to provide

detailed procedures of what they do Establish working groups– Cross sectional– By function– Inter-office

Have a hardcopy version available for auditors, training, etc

Electronic Version Web page? Office/College server– Access for all staff– Link to web access/forms center

Create and compile individual task procedures

Work through the NASFAA Policy and Procedure tool or similar format

Mission statements / philosophies Related school information– Catalog– Handbooks– Web

You only have to do it once, but…. The manual should be reviewed at least

annually Each staff member needs to be

responsible for updating their information whenever there is a change

Have someone responsible for following up on this each year

Suggested Content

Based on NASFAA Policies and Procedures model

www.nasfaa.org/publications/ppmanualindex.htm

Introduction– Mission (school/office)– Philosophy or purpose– Purpose of manual– Responsible parties

• Administrative organization and office management

– School structure– Role of Financial Aid– Inter-office connections– Records management– Sharing of records

Financial Aid programs– Eligibility to participate– Administratively capable– Fiscally responsibleo http://ifap.ed.gov/qahome/qaassessments/fisca

lmanagement.html– Administered programs– General student aid criteria

Consumer information requirements– List of information disclosures– How disseminated o www.ifap.ed.gov/qahome/qaassessments/consumerinformation.htmlo www.ifap.ed.gov/qadocs/ConsumerModule/Consum

erInfoAct6.doc

Applications and forms– School’s applications and forms– Deadlines– Routing procedures– Appeal procedures

• File review– Verification policies and procedures– Collection and review of non-federal items– Database matching, reject and c-codes

Student budgets– Budgets and cost of attendance for various

student populations– How budgets derived and updated– Additional costs and budget appeals

Awarding and packaging of aid– General packaging philosophies– Student population specific packaging

criteria– Original and revised award letter

notifications– Effect of appeals and enrollment changes– Enrollment verification– Appeal policies and procedures

Professional judgment– Who may exercise– Circumstances that may be appealed– Appeal procedures– Documentation requirements

Disbursement– Financial Aid role in disbursements and

cash management– Cross reference policies and procedures of

other offices involved

° Remedial° ESL° Transfer° Consortium

° Second degree° Incomplete° Withdrawn° Reported

• Satisfactory Academic Progress– Standards– Measurement time frame– Assessment procedures– Treatment of special courses

• Extenuating Circumstances appeal procedures

Return of Title IV funds– Policies– Procedures utilized to perform R2T4

Institutional refunds– Policies and Procedures for Title IV– Refund policies for state and institutional

funds

Fraud– Difference between academic and financial

aid fraud with examples– Responsible individuals – Fraud procedures

Audits– Procedures and policies for audit° Federal ° State (if applicable)° Institutional– Financial audit requirements

Institutional Policies and Procedures– Any institutional specific policies and

procedures not covered above

Appendices– Forms– Correspondence– Resource documents– Other

NASFAA Tools– Introduction and Instructions– Template with sample– Table of contents– Formatting document

• IFAP– Quality Assurance Program – Beginning-

Intermediate-Advanced tools° www.ifap.ed.gov/qadocs/policiesandprocedures/designprocessforpandp.doc° www.ifap.ed.gov/qahome/qaassessments/fiscalmanagment.html° www.ifap.ed.gov/qahome/qaassessments/

consumerinformation.html° www.nasfaa.org/publications/ppmanualindex.htm

Discussion and

Questions?