Revised State Program Review Procedures March 1st, 5th,

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Revised State Program Review ProceduresMarch
1st, 5th, 7th 2007
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Revised State Program Review Procedures Agenda

• Welcome and Introductions
• Revised Program Review Procedures Overview
• Program Review Timeline
• Questions and Discussion

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Introduction

• Goal today is to talk about the changes
• Notification to President and Institutional
  Officers of new procedures
• Materials
• Information packet, or
• gsfc.org Click on Financial Aid Professional
  right-hand side of top blue bar menu, then scroll
  to GSFC Compliance Documents
• Staff Introductions
• Housekeeping

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Goals

• Improve Administration of Programs
• Educate and Train Institutional Staff
• Safeguard Public Funds

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Implementation

• Reviews conducted during the 2007 calendar year
  which covers awards made during the 2005/2006
  academic award year.

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Previous Years Review Process

• All institutions annually
• Sample size of 1 of awards
• Review only data reflected in the sample files

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Basis for Selecting an Institution

• Benchmarking used as a way to access how GSFC
  resources are used to more effectively address
  program issues
• Findings types are assigned a value based on
  severity
• Number of incidents for each finding type are
  multiplied by the value of each finding to arrive
  at a finding score
• The finding score is then compared to the sample
  size, which determines a finding percentage
• This percentage is used to determine which
  institutions will benefit the most by having GSFC
  resources directed towards assisting them in the
  administration of the State Scholarship and Grant
  Programs
• Additional Specific Criteria

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Benchmark Values for Finding Types

• 5 Fraud by an institution or False
  Certification of award
• 4 Administrative problem affecting a
  significant portion of the population - GPA,
  Refunds, Invoicing, Residency.
• 3 Administrative errors affecting smaller
  population - Selective Service, SAP, Citizenship,
  Default, Book Allowance, Enrollment, Exceeded
  Hours
• 2 Missing or Incorrect Documents -Missing
  Transcript, Missing Application
• 1 Non-Monetary Exceptions - Incorrect Reporting
  of Data, No Book Allowance authorization

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Institutions Benchmark Score

• Finding Value / Sample Size Institutions
  Benchmark Score
• Example
• 3 incidences of missing documents (value of
  2) will result in a finding rate of 6 (3x2). If
  100 files are sampled, results will be a
  Benchmark Score of 6

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Benchmarking Results

• Benchmarking results fall within 3 categories
• Benchmark Category 1 lt 10
• Benchmark Category 2 10 to 19
• Benchmark Category 3 gt 19
• These Benchmarking Result Categories will not
  solely determine which schools will be reviewed
  each year. It is, however, a way to determine
  progress towards reaching the Program Review
  Goals.

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Institutional Review List

• 3-year review cycle
• Category 1 Schools will be reviewed at least once
  in each 3 year cycle
• Category 2 Schools may also be reviewed the
  following year
• Category 3 Schools will be reviewed the following
  year

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Sample Size

• Approximately 5 of the total number of award for
  each program
• Minimum of 25 files will be reviewed
• These numbers may be adjusted depending on the
  number of awards

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Error Rate

• 10 or more Error Rate
• Expand the review sample (by 1)
• Extrapolate the error rate
• Review entire award year

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Policies Procedures

• New correspondence verbiage
• Preliminary Report to Department Heads
• Final Report to President
• Strict adherence to the review timeline
• Incorrect awards for multiple year
• Additional data review
• Sample selection with a variety of criteria

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Training Referrals

• Category 2 School will receive a Training
  Referral
• Category 3 School must attend training, and will
  be revisited the following year

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Success

• It is the intent of GSFC to demonstrate good
  stewardship of State Funds. Success with the
  revised review procedures will be measured by
• Improving Benchmark Scores of All Participating
  Institutions
• Developing better relationships with Georgia
  institutions
• Improving the confidence level in GSFC

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Review Preparation

• Letter of Intent to Review
• Review scheduled
• Request for documentation

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Documents to Submit Prior to Review
Documents to Submit Prior to Review

• Administrative Questionnaire
• School Catalog Student Handbook
• Current Financial Aid Policies Procedures
• Scholarship Grant Reconciliation
• User Guide for Computer System

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Sample Lists

• Sample list will be sent to institution 5
  business days prior to review
• You should alert GSFC if your email is
  inaccessible or if you need to designate another
  contact person

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The Entrance Interview Session

• More School Participation
• Confirm On-site Review Time
• Identify the School Contact Person
• Review School Security Procedures
• Ensure Availability of Documents
• Cover Scope of the Review
• Discuss the Schools Last Program Review
• School Q A

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The Exit Interview Session

• Verify the Return of all School Documents
• Collect all Review Documents
• Summarize the Review Findings
• Distribute Copies of the Review Findings,
  Deficiency Code and Documentation Code Lists
• Discuss Next Step in the Review Process -30
  days, preliminary report and remittance form
  sent-30 days, school response time
• Deficiency Resolution
• On-site Review Completed

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Program Review Reports

• Two reports will be issued as a result of the
  program review
• The Preliminary Report and the Final Report

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Preliminary Report

• Issued within 30 days of the on-site review
• Changes found in the Preliminary Report
• Sent to FAO, Admissions, Bursar, Registrar
• Reference to the regulation to which the finding
  relates
• Findings outside of review year will have
  monetary liabilities attached to them

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(No Transcript)
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Preliminary Report

• Institution has 30 days to respond.
• Institutions response should include a response
  to each finding listed in the Preliminary Report
  and any documentation in support of disputed
  findings.
• Institution may request a one-time 15 day
  extension.
• If institution does not either respond to the
  Preliminary Report or request an extension in
  writing during the 30 day appeal period, the
  Final Report will be issued to the President at
  the end of the 30 day period.

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Final Report

• Issued within 15 days of the institutions
  response to the Preliminary Report
• Sent to President with copies to Department Heads
• Institution has 15 days to respond
• Institutions response should include payment of
  any monetary liabilities and any Corrective
  Action Plans due. Any additional documentation
  regarding disputed findings should also be
  included

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(No Transcript)
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Revised State Program Review Summary

• Each school will be reviewed at least once every
  three years.
• The institution will establish who they wish to
  designate as the point of contact, as well as the
  preferred method of contact, for purposes of
  their program review.
• Institutions will receive a Program Review
  Checklist and Administrative Questionnaire,
  facilitating better communication between their
  institution and GSFC Compliance staff.

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Revised State Program Review SummaryContinued

• Institutions will be required to provide all
  requested documentation within 15 days of the
  memorandum notifying them of the pending review.
  This documentation will allow GSFC Compliance
  staff to review institutional policies and
  procedures prior to the review, thus providing
  efficiency for all involved parties.
• The entrance and exit interviews will include
  staff from various institutional offices, thus
  facilitating better communication during the
  review process.
• Institutions will be required to repay any funds
  determined to be incorrectly awarded to any
  student, even if awarded outside the review year.

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Revised State Program Review SummaryContinued

• No additional documentation will be accepted by
  the reviewer while on site. A finding list will
  be provided at the exit interview. This will
  ensure fair and unbiased treatment among
  institutions.
• A Preliminary Letter and Report will be issued
  only to Department Heads. Documentation received
  during the 30 day appeal period (prior to the
  final letter and report), will relieve monetary
  liability, but not the finding. In cases where
  documentation supports the finding was incorrect,
  neither the liability nor the finding will be on
  the Final Report.
• A Final Report will be issued to the President,
  with copies to the Department Heads.

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Revised State Program Review SummaryContinued

• A newly developed remittance device will be
  provided at the time both reports are issued.
  This instrument will make reporting of paid
  liabilities more convenient to the institution.
• There will be a 30 day appeal period, during
  which a school should respond to all findings.
  There will be an opportunity to request one 15
  day extension during this appeal period. To
  ensure fair and unbiased treatment of all
  institutions, this will be strictly enforced.

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Questions?
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Compliance Team Contact Information

• Email Compliance_at_gsfc.org
• Phone [phone]
• Address Compliance Team
• 2082 East Exchange Place, Suite 200
• Tucker, GA 30084