1. Michael Cagle and Holly Langer-Evans | Nov. 2012 U.S. Department of Education 2012 Fall Conference FSA Assessments: Find It, Fix It, and Enhance Compliance Session 21

2. Training Objectives 1 Locate and Review FSA Assessments 2 Review Four Assessment Scenarios 3 Identify and Fix Issues to Enhance Compliance 2

3. 3 Locate Assessments IFAP.ED.GOV Select Tools for Schools Select FSA Assessments Link

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5. FSA Assessments Chart 5

6. The Process Institutional Eligibility Assessment Recertification Process Funds Not Reconciled Fiscal Management Assessment Fiscal Reconciliation Reason 6

7. Institutional Eligibility Assessment Activity 1 Program Review Deficiencies Complete Two Assessments Policies & Procedures No Recent Audit or Deficiencies Reason 7

8. Assess compliance Research by linking to Title IV regulations and other resources Track your Action Plan for areas identified Why Use the Assessments? 8

9. 9  Page Layout  Links  Action Plan  Activity Bar Assessment Design VERIFICATION

10. 10 Assessment Design VERIFICATION  Page Layout  Topic  Regulation  Activity

11. 11 Access Action Plan Download or Save

12. Find Identify an Assessment Complete the Assessment Fix Research Area of Improvement Develop Action Plan Enhance Create & Implement Action Plan Review Annually 12

13. 13 Identify FSA Assessment Scenario 1: 2012-13 award year The 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 Process School also collects a signed paper copy to verify AGI and taxes paid for institutionally selected records Find Verification Assessment Policies & Procedures

14. 14 Complete Assessment Scenario 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

15. 15 Create an Action Plan Train Staff Follow through on Corrective Action Enhance Implement Action Plan Review Annually

16. Action Plan 16

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18. 18 Identify FSA Assessment Scenario 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

19. 19 Complete an Assessment Scenario 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

20. 20 Develop an Action Plan Train Staff Follow through on Corrective Action Enhance Implement Action Plan Review Annually

21. Action Plan 21

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23. Verification ViolationsVerification Policy Not DocumentedVerification Policy Inadequate Potential Findings 23

24. 24 Identify FSA Assessment Scenario 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 Office Find Policies & Procedures Verification Assessment

25. 25 Complete an Assessment Scenario 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

26. 26 Create An Action Plan Train Staff Follow through on Corrective Action Enhance Implement Action Plan Update Annually

27. Action Plan 27

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29. Overaward: Financial Need ExceededConflicting DataPolicies & Procedures Not DevelopedLack of Administrative Capability Potential Findings 29

30. 30 2012-13 award year 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) Find SAP Assessment Policies & Procedures Identify FSA Assessment Scenario 4

31. 31 Assessment Design Satisfactory Academic Progress  Page Layout  Links  Action Plan  Activity Bar  Topic  Regulation  Activity

32. 32 Complete an Assessment Scenario 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

33. 33 Complete an Assessment Scenario 4 - Continued Policies and Procedures

34. 34 Create an Action Plan Train Staff Follow through on Corrective Action Enhance Implement Action Plan Review Annually

35. Action Plan 35

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37. Satisfactory Academic Progress Policy Not Adequately Developed Satisfactory Academic Progress Policy Not Monitored Potential Findings 37

38. Importance of a Manual OrganizedAccess by Staff Revise Annually Comply with Regulations AccuracyUpdating Managing Availability 38

39. Live Demonstration 39

40. Find IFAP.ED.GOV Fix Select and Complete an Assessment Enhance Complete and Implement Action Plan, Review Annually 40

41. Contact Information We appreciate your feedback and comments: Holly Langer-Evans Phone: 617-289-0136 E-mail: Holly.Langer-Evans@ed.govHolly.Langer-Evans@ed.gov Fax: 617-289-0167 or Michael Cagle Phone: 206-615-2586 E-mail: Michael.Cagle@ed.govMichael.Cagle@ed.gov Fax: 206-615-3644 41

42. Violation: LOL 10-31-12 42

43. QUESTIONS? 43