1. NYSFAAA Conference October 20, 2010 Adams Mark Hotel Buffalo, NY

2.  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

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

4.  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

5.  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

6.  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

7.  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

8.  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

9. 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

10. Suggested Content Based on NASFAA Policies and Procedures model www.nasfaa.org/publications/ppman ualindex.htm

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

12. Administrative organization and office management – School structure – Role of Financial Aid – Inter-office connections – Records management – Sharing of records

13.  Financial Aid programs – Eligibility to participate – Administratively capable – Fiscally responsible o http://ifap.ed.gov/qahome/qaassessments/fiscal management.html http://ifap.ed.gov/qahome/qaassessments/fiscal management.html – Administered programs – General student aid criteria

14.  Consumer information requirements – List of information disclosures – How disseminated o www.ifap.ed.gov/qahome/qaassessments/consumer www.ifap.ed.gov/qahome/qaassessments/consumer information.html o www.ifap.ed.gov/qadocs/ConsumerModule/ConsumerIn foAct6.doc www.ifap.ed.gov/qadocs/ConsumerModule/ConsumerIn foAct6.doc

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

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

17.  Student budgets – Budgets and cost of attendance for various student populations – How budgets derived and updated – Additional costs and budget appeals

18.  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

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

20.  Disbursement – Financial Aid role in disbursements and cash management – Cross reference policies and procedures of other offices involved

21. ° 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

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

23.  Institutional refunds – Policies and Procedures for Title IV – Refund policies for state and institutional funds

24.  Fraud – Difference between academic and financial aid fraud with examples – Responsible individuals – Fraud procedures

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

26.  Institutional Policies and Procedures – Any institutional specific policies and procedures not covered above

27.  Appendices – Forms – Correspondence – Resource documents – Other

28.  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/policiesand www.ifap.ed.gov/qadocs/policiesand procedures/designprocessforpandp.doc ° www.ifap.ed.gov/qahome/qaassessments/fiscalmanagment.html www.ifap.ed.gov/qahome/qaassessments/fiscalmanagment.html ° www.ifap.ed.gov/qahome/qaassessments/consumerinformation.html www.ifap.ed.gov/qahome/qaassessments/consumerinformation.html ° www.nasfaa.org/publications/ppmanualindex.htm www.nasfaa.org/publications/ppmanualindex.htm

30. Discussion and Questions?