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Administrative Capability A NASFAA Authorized Event Presented by Janette Roszell Assistant Director of Financial Aid & Compliance Georgia Gwinnett College GASFAA Fall Workshop October 19, 2016
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Lesson 1: Introduction to Administrative Capability
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Administrative Capability
34 CFR (a)
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Measures of Administrative Capability
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Lesson 2: Adequate Resources, Separation of Functions, and Information Sharing
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Regulatory Requirements
Designation of a capable individual Assigning an adequate number of staff Communicating all required information Providing adequate financial aid counseling Employing adequate number of qualified staff Showing no findings in audits and reviews Demonstrating competency, integrity, and ethical behavior
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Designation of a Capable Individual
President or CEO must designate: Capable individual Responsible for administration of Title IV programs
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Adequate Number of Qualified Staff
President or CEO must ensure institution has: Adequate number of qualified staff Sufficient to administer Title IV programs in which the school participates
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Communication of Required Information
Information communicated to designated individual to ensure: Student eligibility criteria are met Proper and effective packaging of various types of financial assistance Correct packaging of need-based and non-need-based aid
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Provide Adequate Counseling
Institutions must provide adequate counseling to enrolled and prospective students, including: Sources and amounts Methods of: Determination Disbursement Payment
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Provide Adequate Counseling
Rights and responsibilities Refund policy Return of Title IV funds requirements Satisfactory academic progress standards Conditions that may alter financial aid package Entrance and exit counseling for Title IV loan borrowers
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Participation in Required Electronic Processes
Adequate staff Maintain level of technological expertise Perform day-to-day duties and electronic processes
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Other Areas of Administrative Capability
No evidence of problems Review findings Audit findings Not otherwise lacking administrative capability
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Monitoring and Evaluating
Student feedback Staff meetings Staff feedback Quality assurance reports Self-evaluation
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Separation of Functions–Checks and Balances
No single office may award and disburse Title IV aid Must be organizationally independent May not be family members May not exercise substantial control
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Separation of Functions–Checks and Balances
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Integrated Electronic Systems
ED allows computer systems that simultaneously authorize and disburse Computer system: Programmed with safeguards and internal checks Guards against cross-functional tampering
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Conflicting Information
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Conflicting Information
Citizenship status Social Security number Default or overpayment status Drug convictions Academic status Other student assistance Cost of attendance information
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Lesson 3: Electronic Processes, Recordkeeping, and Contingency Planning
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E-App FAA Access eCB System COD NSLDS G5 eCDR Appeals eZ-Audit IFAP
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Electronic Communications
E-Sign Act Electronic signatures and records may be used School must obtain confirmation, acknowledgement or approval from student Safeguard against fraud and abuse
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Electronic Communication Methods
Websites School intranet Listservs
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Privacy and Security Safeguards
Family Educational Rights and Privacy Act Identity theft Password and personal identification number User identification and entry-point logging Security system quality controls Access security levels protections
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Record Retention and Recordkeeping
General administrative capability requirement 34 CFR
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Lesson 4: Other Administrative Capability Requirements
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Satisfactory Academic Progress
“Same as or stricter than” requirement; Qualitative standard (grades); Quantitative standard (pace); Maximum time frame requirement; Frequency of evaluation; and Appeal policies.
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Consumer Information
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Institutional Involvement
Support of upper level administration Responsibility for compliance assigned Coordination among school offices Allocation of resources
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Cohort Default Rates 40 35 30 25 20 15 10 5 “administratively capable”
FFEL and DL (2 of 3 most recent fiscal years) Federal Perkins Loans CDR %
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Cohort Default Rates 40 35 30 25 20 15 10 5 CDR % Sanctions:
Most recent fiscal year Sanctions: 2 of 3 most recent fiscal years Benefits: Single disbursement for study abroad No 30-day delay Benefits: Single disbursement No 30-day delay CDR %
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