1. A Policies and Procedures Manual Manual
NYSFAAA Conference
Scott Atkinson
Director of Enrollment Services
The College at Brockport
October 2017

2. A Policies and Procedures Manual is NOT:
The FSA Handbook
A copy of the Code of Federal Regulations
A list of “things to do”
September 2017

3. Why a Policies and Procedures Manual?
A set of written policies and procedures to guide and manage a Financial Aid Office.
Not required by ED, recommended
Federal regulations require schools to have, maintain, and disclose certain policies in writing.
September 2017

4. Why is it Important? Compliance requirements
Audits and program reviews
Administrative capability
Staff training
Consistency
Equity
September 2017

5. Today’s Agenda Evaluate what should be included
Identify the differences between a policy and a procedure
Create a comprehensive manual
Develop a systematic way to track and incorporate regulatory changes
September 2017

6. Getting Started
September 2017

7. Policies: Required or Optional
Federal
State
Institutional
September 2017

8. Policies and Procedures Components
Table of contents
Organizational chart
Institutional
Office
General office information
Mission and vision
Location and hours
ECAR/PPA
September 2017

9. Policies and Procedures Components (continued)
Accreditation
Identification of programs in which your institution participates
Federal
State
Private
Institutional
Individual policies and procedures
September 2017

10. Broad Categories to Consider
Aid programs
Consumer Information
Cost of Attendance
Packaging Philosophy
Professional Judgment
Return of Title IV Funds
September 2017

11. Broad Categories to Consider (continued)
Satisfactory Academic Progress
Transfer Monitoring
Verification
Technical Considerations
Forms
Fraud and abuse
September 2017

12. Definition of Policy Policies identify “why”
Explain the purpose or value
Increases understanding
Identify the applicable law or regulation
Identify federal, state, institutional
September 2017

13. Definition of Procedures
Procedures identify “how”
Identify new regulations and changes in school policies
Provide consistency
Explain the process so it is understood both by seasoned staff as well as any new staff in your office or the profession
Use screen shots as visual aids
Consider the impact to other offices’ procedures
September 2017

14. Involve Your IT Department
Include your IT staff from the beginning
Map out changes to see if there are any unintended consequences
Ensure that what you intend to occur actually does
Make appropriate changes as necessary
Consider it a living document
September 2017

15. Due Diligence
Track the new regulatory requirements throughout the year
Know the implementation date
Verify interpretation with colleagues
Seek guidance from ED if necessary
Take advantage of available tools
September 2017

16. Due Diligence (continued)
Follow the Notices of Proposed Rulemaking (NPRM) for a better understanding of the intent of any changes
Comments
Summaries
Effective dates
September 2017

17. Best Practices
September 2017

18. Get a Jump Start Gather related items Beg, borrow and steal
Old manuals
Memoes
Cheat sheets
Forms
School catalog and other publications
Beg, borrow and steal
Start simple
September 2017

19. Getting Help Templates and guidance Be consistent
Information for Financial Aid Professionals
NASFAA
Google
Be consistent
Use them as operating guides
September 2017

20. Develop an Implementation Plan
What
Who’s responsible
Due dates (draft and final)
Final approval
When next review
September 2017

21. Select Format Outline format Columns Paragraphs/narrative Combination
September 2017

22. Keep It Simple Use common language (not FA legalise)
Spell out acronyms
Glossary of acronyms and common terms
Not a copy and paste of the Code of Federal Regulations, FSA Handbook, or other resource materials
Make it school-specific
Include the applicable law or regulation for quick reference, when appropriate
September 2017

23. Divide Up The Tasks Ask staff to take sections relative to their areas
Set deadline and stick to them
Review portions of it at different times of the year to make it more manageable
September 2017

24. Share the Wealth Business office Registrar Admissions Processing staff
Student services
Directors
Middle management staff
Institutional Technology
Others
September 2017

25. Questions to Ask & Answer
Why add a policy or make changes?
Who does the policy impact and in what ways?
When is the implementation date?
Which staff and departments should be consulted?
September 2017

26. Ask Questions
Who has the final authority to implement or make changes?
Are there exceptions to the policy?
What are the related forms?
How do the additions or changes “fit” with other policies? Are there any conflicts to be resolved?
How should policies/changes be provided to other administrators?
September 2017

27. Assessment
September 2017

28. Continually Evaluate Your P&P Manual……
Provide your staff with current policies and procedures that pertain to eligibility for federal, state, and institutional programs
Deliver general and specific responsibilities to the staff, and other departments
September 2017

29. Does Your P&P Manual…..
Provide general office procedures ensuring a systematic and consistent approach in the operation of all programs
Provide quick references
Facilitate the orientation and training of personnel
September 2017

30. Identify Responsibilities
Determine who will ultimately be responsible as the coordinator
Designate staff that needs to participate
Delegate assignments based upon areas of expertise
Establish a team with members from all relevant offices
Borrow, share, and steal from colleagues
Include appropriate levels of management and departments for review and approvals
September 2017

31. Remember…….. Doesn’t need to be complicated to be effective
Don’t be caught not following your own policies and procedures
September 2017

32. Next Steps
September 2017

33. Stay on Top of Updates Review annually at a minimum
Identify who has access to both review and update
Track regulatory changes
Ifap.ed.gov
Federal Register
Read the comments and summary as well as the regulations
Check student files through internal file reviews
Follow your own procedures
September 2017

34. Tips of the Trade- From our Colleagues
Be sure to:
Make sure your policies are consistent with federal and state regulations; compliance is huge
Review them with staff
Update them continually with corrections or when regulations change
Start working on them well before you need (yesterday)
Delegate the updates
September 2017

35. Final Developments Make the review a part of your annual calendar
Implement a user-friendly, easy-to-read format
Make hard copies or electronic back-up of old P&Ps
Share with all relevant employees
Post online/file share
September 2017

36. Contact Information
J. Scott Atkinson
Director of Enrollment Services
The College at Brockport
State University of New York
350 New Campus Drive
Brockport, NY
Phone: (585)
Fax: (585)
Web site:
September 2017