fsa assessments: find it, fix it, and enhance compliance
DESCRIPTION
Session 21 . FSA Assessments: Find It, Fix It, and Enhance Compliance. Michael Cagle and Holly Langer-Evans | Nov. 2012 U.S. Department of Education 2012 Fall Conference. Training Objectives. Locate Assessments. IFAP.ED.GOV Select Tools for Schools. Select FSA Assessments Link. - PowerPoint PPT PresentationTRANSCRIPT
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
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3
Locate Assessments
IFAP.ED.GOVSelect Tools for Schools
Select FSA Assessments Link
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FSA Assessments Chart
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• The Process• Institutional Eligibility
Assessment
Recertification Process
• Funds Not Reconciled• Fiscal Management Assessment
Fiscal Reconciliation
Reason
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• 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?
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9
Page Layout
Links
Action Plan
Activity Bar
Assessment DesignVERIFICATION
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Assessment DesignVERIFICATION
Page Layout
Topic
Regulation
Activity
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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
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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
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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
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Create an Action PlanTrain StaffFollow through on Corrective ActionEnhance
• Implement Action Plan
• Review Annually
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Action Plan
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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
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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
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Develop an Action PlanTrain StaffFollow through on Corrective ActionEnhance
• Implement Action Plan
• Review Annually
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Action Plan
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Verification Violations
Verification Policy Not Documented
Verification Policy Inadequate
Potential Findings
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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
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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
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Create An Action PlanTrain StaffFollow through on Corrective ActionEnhance
• Implement Action Plan
• Update Annually
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Action Plan
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Overaward: Financial Need Exceeded
Conflicting Data
Policies & Procedures Not Developed
Lack of Administrative Capability
Potential Findings
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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
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Assessment DesignSatisfactory
Academic Progress
Page Layout Links
Action Plan
Activity Bar
Topic
Regulation
Activity
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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
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Complete an AssessmentScenario 4 - Continued
Policies and Procedures
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Create an Action PlanTrain StaffFollow through on Corrective Action
Enhance• Implement
Action Plan• Review Annually
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Action Plan
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Satisfactory Academic Progress Policy Not Adequately Developed
Satisfactory Academic Progress Policy Not Monitored
Potential Findings
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Importance of a Manual
• Comply with Regulations
• Revise Annually
• Organized• Access by
Staff
Accuracy Updating
ManagingAvailability
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Live Demonstration
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Find •IFAP.ED.GOV
Fix •Select and Complete an Assessment
Enhance •Complete and Implement Action Plan, Review Annually
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Contact Information
We appreciate your feedback and comments:
Holly Langer-Evans• Phone: 617-289-0136• E-mail: [email protected] •Fax: 617-289-0167orMichael Cagle•Phone: 206-615-2586•E-mail: [email protected]•Fax: 206-615-364441
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Violation: LOL 10-31-12
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QUESTIONS?