surviving ed program review what to expect “we’ve been there & done that”
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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:. - PowerPoint PPT PresentationTRANSCRIPT
Surviving ED Program ReviewWhat to Expect
“We’ve Been There & Done That”
Jacob PachecoConnie Manzanares
Northern New Mexico College
New Mexico Association of Student Financial Aid Administrators 2014
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 & Drug-Free 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/20
09ProgramReviewGuide.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 ItemsRecipient 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 PachecoFinancial Aid DirectorNorthern New Mexico [email protected]
Connie ManzanaresAssistant Director, Financial AidNorthern New Mexico [email protected]