Transcript NMASFAA 2012

New Mexico Association of Student Financial Aid
Administrators 2014
Surviving ED Program Review
What to Expect
“We’ve Been There & Done That”
Jacob Pacheco
Connie Manzanares
Northern New Mexico College
Our Objective:
To share our recent Program
Review experience in an effort to
help you successfully prepare and
manage the process.
Presentation Outline
• What is a Program Review
• What Triggered Our Program Review
& What Could Potentially Trigger Yours
• You Get “The Call” Preparing for the
Visit – Be Ready
• The Reviewers Are Here
• After the Visit
• Be Prepared
Purpose of U.S. Dept. of Educ.
Program Review
• Is to evaluate compliance, identify liabilities
and improve institutional capabilities
• Authority for Program Review is defined by
Congress to provide necessary oversight of
Title IV Participants
What Triggers Program Review?
• High default rates – (over 25% cohort rate or
dollar volume)
• Significant fluctuation in volume of Direct
loans or Pell
• Deficiencies reported by State or Accrediting
agencies
What Triggers Program Review?
• High annual dropout rates
• Financial aid program deficiencies
• Financial/Administrative capability compliance
risk, Audit Findings
What Triggered Our Review
• Late Audit Submissions!!! Two year’s in a row!
• I started getting calls - from the Department of
Education….Yikes!!
We Got “The Call” July 12th
• Typically 2-4 weeks advance notice
• The dates they initially chose were terrible for
us
• Negotiated for more suitable visit dates –
need a good reason
We Got The “Letter” July 17
We Got “The Letter” cont..
• U.S. DOE letter confirmed visit dates,
explained Entrance Conference & requested
Pre-Review Submissions
• Specified that all offices involved in financial
aid administration would be reviewed
• Also indicated that Campus Security & DrugFree Schools Act compliance would be
reviewed
The “Call” The “Letter” & Bears
Ohh My!
• Don’t Panic! It’s not like you have to do a
presentation for NMASFAA
• Read the entire letter:
-Date of Review
- Pre-Review Requirements – It’s a long list
• Begin Notifying campus officials
• Contact the lead Program Reviewer
Contact the Lead Reviewer
• Establish a point of contact
• Clarify details about the pre-review
documents - format (electronic or paper)
• Clarify Scope and Period of Review
• Determine what accommodations are
needed? Parking?
Read ED Program Review Guide 2009
Super useful prep tool
•
•
•
•
Reviewers use it
Sample file and policy review checklists
Sample Student/Staff Interview Questions
http://www.ifap.ed.gov/programrevguide/200
9ProgramReviewGuide.html
Preparation Begins
• Set meeting/s with the key players
- Fiscal; Academic; Registrar; Admissions,
IT (Banner), Security
• Ensure that everyone understands the
significance of ED Program Review
“Sorry, but no vacation for you Mr. Provost”
Preparation Begins Cont…
• Prepare Resource Room
- Secure a nice working space for Reviewers
- Work with IT to provide access to databases
- Provide organized copies of all Pre-Review
info
- Make arrangements for copying
List of Pre-Submission Items
Pre-Visit Submission Items
• Recipient Data Spreadsheet
- Specific Award Year: Unduplicated list of TIV
recipients in Excel and/or Access.
- Used to confirm expenditures and to select a
review sample
Pre-Visit Submission Items
Recipient Data Spreadsheet
Pre-Visit Submission Items
• Consumer Information Attachment – 18
pgs - provide URL’s, title, page #’s, etc.
- Policies and Procedures
- Consumer Information Publications
- Disclosures
- Campus Security Reports
- Catalogs
Pre-Visit Submission Items
• Request for Student Files (7)
- Copy of Admissions File
- Copy of Financial Aid File
- Academic Transcript
- Student Account Ledger
- R2T4 calculation worksheet, evidence of return
- If Work-Study-time sheets, class schedule,
payroll records
Reviewers Are On Campus
Entrance Conference
• Everybody Should Attend – President, Vice
Pres., CFO, Registrar, Deans, Chairs, Security
• Reviewers will explain:
- Purpose
- Scope
- Timeframe which will include scheduling the
Exit Conference (Don’t assume everybody
pays attention)
Entrance Conference, cont.
• Introduce the school team
• Reviewers did most of the talking – explained
the reason for the review and the scope
• Discuss staff interviews – Schedule created
after entrance
• Opportunity to ask questions
Staff Interviews
• Ensure staff members are available – They
have to know the importance of being
available.
• Use and share the Program Review Guide for
interview prep
• Many of the questions concerned consumer
information and campus security
Problems are Found
• Reviewers find an issue with R2T4
- Liability: have to send $$ back to the DOE
• Consumer Information
- not all requirements adequately met
- some info not easy to find
- some links did not work
- Clery Act (Do we have dorms or not?)
Problems are Found cont..
• Verification
– We were verifying too many files
– Asking for documentation that was not necessary
Exit Conference
• Reviewers praised Northern! – Let us know
that findings were minimal & we were doing a
good job
• Reviewers discussed findings
• Framed required actions to strengthen our
compliance
• This is a time to ask questions and seek clarity
on what happens next
Relief!!
Program Review Report
• We are waiting – It’s been over 6 months
• Clery Act finding is reviewed by a Department
in Washington D.C.
• When report arrives we will provide
institutional response by a due date specified
in letter.
Be Prepared
• Policies & Procedures
- Verification, Refunds, R2T4, Awarding, SAP,
Professional Judgment
- Admissions
- Fiscal
- Academic
- Enrollment
- Campus Security
• Don’t get caught not implementing your own policy
Be Prepared
• Staff should be current on FSA requirements
and engaged with professional community.
- Conferences (Annual FSA, NMASFAA, etc.)
- Training sessions – online
• Use Assessment Tools (FSA, NASFAA)
Questions?
Contact Information:
Jacob Pacheco
Financial Aid Director
Northern New Mexico College
505-747-2122
[email protected]
Connie Manzanares
Assistant Director, Financial Aid
Northern New Mexico College
505-747-2124
[email protected]