A Policies and Procedures Manual Manual NYSFAAA Conference Scott Atkinson Director of Enrollment Services The College at Brockport October 2017

A Policies and Procedures Manual is NOT: The FSA Handbook A copy of the Code of Federal Regulations A list of “things to do” September 2017

Why a Policies and Procedures Manual? A set of written policies and procedures to guide and manage a Financial Aid Office. Not required by ED, recommended Federal regulations require schools to have, maintain, and disclose certain policies in writing. September 2017

Why is it Important? Compliance requirements Audits and program reviews Administrative capability Staff training Consistency Equity September 2017

Today’s Agenda Evaluate what should be included Identify the differences between a policy and a procedure Create a comprehensive manual Develop a systematic way to track and incorporate regulatory changes September 2017

Getting Started September 2017

Policies: Required or Optional Federal State Institutional September 2017

Policies and Procedures Components Table of contents Organizational chart Institutional Office General office information Mission and vision Location and hours ECAR/PPA September 2017

Policies and Procedures Components (continued) Accreditation Identification of programs in which your institution participates Federal State Private Institutional Individual policies and procedures September 2017

Broad Categories to Consider Aid programs Consumer Information Cost of Attendance Packaging Philosophy Professional Judgment Return of Title IV Funds September 2017

Broad Categories to Consider (continued) Satisfactory Academic Progress Transfer Monitoring Verification Technical Considerations Forms Fraud and abuse September 2017

Definition of Policy Policies identify “why” Explain the purpose or value Increases understanding Identify the applicable law or regulation Identify federal, state, institutional September 2017

Definition of Procedures Procedures identify “how” Identify new regulations and changes in school policies Provide consistency Explain the process so it is understood both by seasoned staff as well as any new staff in your office or the profession Use screen shots as visual aids Consider the impact to other offices’ procedures September 2017

Involve Your IT Department Include your IT staff from the beginning Map out changes to see if there are any unintended consequences Ensure that what you intend to occur actually does Make appropriate changes as necessary Consider it a living document September 2017

Due Diligence Track the new regulatory requirements throughout the year Know the implementation date Verify interpretation with colleagues Seek guidance from ED if necessary Take advantage of available tools September 2017

Due Diligence (continued) Follow the Notices of Proposed Rulemaking (NPRM) for a better understanding of the intent of any changes Comments Summaries Effective dates September 2017

Best Practices September 2017

Get a Jump Start Gather related items Beg, borrow and steal Old manuals Memoes Cheat sheets Forms School catalog and other publications Beg, borrow and steal Start simple September 2017

Getting Help Templates and guidance Be consistent Information for Financial Aid Professionals NASFAA Google Be consistent Use them as operating guides September 2017

Develop an Implementation Plan What Who’s responsible Due dates (draft and final) Final approval When next review September 2017

Select Format Outline format Columns Paragraphs/narrative Combination September 2017

Keep It Simple Use common language (not FA legalise) Spell out acronyms Glossary of acronyms and common terms Not a copy and paste of the Code of Federal Regulations, FSA Handbook, or other resource materials Make it school-specific Include the applicable law or regulation for quick reference, when appropriate September 2017

Divide Up The Tasks Ask staff to take sections relative to their areas Set deadline and stick to them Review portions of it at different times of the year to make it more manageable September 2017

Share the Wealth Business office Registrar Admissions Processing staff Student services Directors Middle management staff Institutional Technology Others September 2017

Questions to Ask & Answer Why add a policy or make changes? Who does the policy impact and in what ways? When is the implementation date? Which staff and departments should be consulted? September 2017

Ask Questions Who has the final authority to implement or make changes? Are there exceptions to the policy? What are the related forms? How do the additions or changes “fit” with other policies? Are there any conflicts to be resolved? How should policies/changes be provided to other administrators? September 2017

Assessment September 2017

Continually Evaluate Your P&P Manual…… Provide your staff with current policies and procedures that pertain to eligibility for federal, state, and institutional programs Deliver general and specific responsibilities to the staff, and other departments September 2017

Does Your P&P Manual….. Provide general office procedures ensuring a systematic and consistent approach in the operation of all programs Provide quick references Facilitate the orientation and training of personnel September 2017

Identify Responsibilities Determine who will ultimately be responsible as the coordinator Designate staff that needs to participate Delegate assignments based upon areas of expertise Establish a team with members from all relevant offices Borrow, share, and steal from colleagues Include appropriate levels of management and departments for review and approvals September 2017

Remember…….. Doesn’t need to be complicated to be effective Don’t be caught not following your own policies and procedures September 2017

Next Steps September 2017

Stay on Top of Updates Review annually at a minimum Identify who has access to both review and update Track regulatory changes Ifap.ed.gov Federal Register Read the comments and summary as well as the regulations Check student files through internal file reviews Follow your own procedures September 2017

Tips of the Trade- From our Colleagues Be sure to: Make sure your policies are consistent with federal and state regulations; compliance is huge Review them with staff Update them continually with corrections or when regulations change Start working on them well before you need (yesterday) Delegate the updates September 2017

Final Developments Make the review a part of your annual calendar Implement a user-friendly, easy-to-read format Make hard copies or electronic back-up of old P&Ps Share with all relevant employees Post online/file share September 2017

Contact Information J. Scott Atkinson Director of Enrollment Services The College at Brockport State University of New York 350 New Campus Drive Brockport, NY 14420 Phone: (585) 395-5847 Fax: (585) 395-5445 Web site: www.brockport.edu/finaid E-Mail: satkinso@brockport.edu September 2017