self-evaluation guide 2015-16 part 3 appendix a: … · 2016-03-18 · nasfaa title iv eligibility...
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Self-evaluation Guide for inStitutional ParticiPation in title iv and other federal ProGramS
the Self-evaluation Guide has been designed as an in-house tool to help institutions evaluate the efficiency and effectiveness of their administration of financial aid programs and compliance with federal laws and regulations.
2015–16 - THIRTY-FIRST EDITION
APPENDIX A DOCUMENT CONTROL
PART 3 – APPENDICES SECTION A
i
© 2008–2015 by National Association of Student Financial Aid Administrators (NASFAA). All rights reserved. NASFAA has prepared this document for use only by personnel, licensees, and members. The information contained herein is protected by copyright. No part of this document may be reproduced, translated, or transmitted in any form or by any means, electronically or mechanically, without prior written permission from NASFAA. NASFAA SHALL NOT BE LIABLE FOR TECHNICAL OR EDITORIAL ERRORS OR OMISSIONS CONTAINED HEREIN; NOR FOR INCIDENTAL OR CONSEQUENTIAL DAMAGES RESULTING FROM THE FURNISHING, PERFORMANCE, OR USE OF THIS MATERIAL. This publication contains material related to the federal student aid programs under Title IV of the Higher Education Act. While we believe that the information contained herein is accurate and factual, this publication has not been reviewed or approved by the U.S. Department of Education or the Department of the Interior. NASFAA reserves the right to revise this document and/or change product features or specifications without advance notice. November 2015
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Appendix A: Document Control Appendix A lists some major resources available to all personnel who play a role in administering Title IV and other federal financial aid programs. Most of the documents listed may be found on websites that are dedicated to the dissemination of student financial assistance guidance. While schools are not required to maintain paper copies of all of the documents listed in this Appendix, institutions should be able to produce copies when necessary. Some documents may only be applicable to certain aid years or now collapsed into other documents. Examples include aid programs that no longer exist and the retirement of certain types of Dear Colleague Letters, such as the Pell Grant Program (P), Campus-Based Programs (CB), and Financial Partners (FB) types. Also keep in mind that websites change frequently, so many older documents may no longer be located on the Web. Check the response column below to indicate that documents applicable to the institution are readily available.
Resource Readily
Available I. Audit Information
Audit Guide, Audits of Federal Student Financial Assistance Programs at Participating Institutions and Institution Servicers, U.S. Department of Education (ED) Office of Inspector General (OIG), January 2000, as amended
yes no
Foreign School Audit Guide, ED OIG, September 2002, as amended yes no Government Auditing Standards, Comptroller General of the United States,
U.S. Government Accountability Office (GAO), December 2011 yes no
OMB Circular A-133 Audits of States, Local Governments, and Non-profit
Organizations, Compliance Supplement, OMB, March 2014 yes no
OMB Circular A-133 Audits of States, Local Governments, and Non-profit
Organizations, U.S. Office of Management and Budget (OMB), June 27, 2003 yes no
Program Review Guide, Performance Improvement and Procedures Branch,
Program Compliance School Eligibility Channel, Student Financial Assistance, June 15, 2009
yes no
Step-by-Step Guide to Using eZ-Audit for For-Profit Schools, ED, April 2008 yes no Step-by-Step Guide to Using eZ-Audit for Not-For-Profit Schools, ED, April
2008 yes no
Step-by-Step Guide to Using eZ-Audit for Public Schools, ED, September
2007 yes no
Other: ________________________________________________ yes no
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II. NASFAA Publications A Primer on the Federal Budget Process, NASFAA Monograph 18, April 2006 yes no Compilation of Federal Regulations, NASFAA website, applicable years yes no
Compiled Title IV Legislation, applicable years yes no Completing the Common Data Set: A Guide for Financial Aid Professionals,
NASFAA Monograph 19, May 2006 yes no
CORE, NASFAA, applicable years yes no Developing the Cost of Attendance, NASFAA Monograph 24, December,
2014 yes no
Guide to Developing a List of Lenders, NASFAA Monograph 23, June 2009 yes no NASFAA’s Award Letter Self-Assessment Guide, May 2011 yes no NASFAA Policies & Procedures Tools, July, 2014 yes no NASFAA Polices & Procedures Regulatory Resources Guide, July, 2014 yes no NASFAA Title IV Eligibility Checklist for Domestic Institutions, October, 2015 yes no Professional Judgment in Eligibility Determination and Need Analysis,
NASFAA Monograph 26, May 2012 yes no
Research Tools, Tips, and Resources for Financial Aid Administrators,
NASFAA Monograph 13, August 2005 yes no
Self-Evaluation Guide for Institutional Participation in Title IV and Other
Federal Programs, applicable years yes no
Other: _________________________________________________ yes no
III. U.S. Department of Education (ED) Publications
Accrediting Agencies: Lists and Criteria for Recognition yes no Closed School Guide for Schools, September 2002 yes no Cohort Default Rate Guide, September 2015 yes no Common Origination and Disbursement (COD) Technical Reference,
applicable years yes no
Counselors and Mentors Handbook on Federal Student Aid [formerly
Counselor’s Handbook (for Postsecondary Schools]), Postsecondary Counselor’s Handbook, and High School Counselor’s Handbook, applicable years
yes no
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Dear Colleague/Partner Letters, applicable years yes no Direct Loan Bulletins, applicable years yes no Direct Loan School Guide, May 2009 yes no Electronic Announcements, applicable years yes no Federal Pell Grant Payment and Disbursement Schedules, applicable years yes no Federal Perkins Loan Program Status of Default (Orange Book), applicable
years yes no
Federal School Code List, applicable years yes no Federal Student Aid Handbook, applicable years yes no Federal Student Aid New School Guide, June 2009, as amended October
2009 yes no
Federal Work-Study (FWS) Resource Guide, May 1997 yes no FISAP Technical Reference, applicable years yes no Gainful Employment Operations Manual, June 15, 2015 yes no National Student Loan Data System Enrollment Reporting Guide, April 2014,
(updated July 2014) yes no
National Student Loan Data System Gainful Employment User Guide,
August, 2015 yes no
National Student Loan Data System User Guide for Transfer Student
Monitoring on the Web, April 2010 yes no
NSLDS Federal Perkins Data Provider Instructions, Version 8.0, November
2014 yes no
NSLDS Newsletters, applicable issues yes no Policy Bulletins, applicable bulletins yes no Process Guide for Student Web Application Products, applicable years yes no Program Review Guide For Institutions, June 15, 2009 yes no SAR Comment Codes and Text, applicable years yes no School Electronic Process Guide, applicable years yes no Standards for Electronic Signatures in Electronic Student Loan Transactions,
July 25, 2001 yes no
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Summary of Changes for the Application Processing System (formerly Application Processing System Summary of Changes Process Guide), applicable years
yes no
Technical Reference for EDExpress Packaging, applicable years yes no Technical Reference for Electronic Data Exchange (EDE), applicable years yes no The EFC Formula Guide, applicable years yes no The ISIR Guide (formerly A Guide to ISIRs and A Guide to SARs and ISIRs),
applicable years yes no
Other: _________________________________________________ yes no
IV. Other Student Financial Assistance Guidance Common Manual: Unified Student Loan Policy, Council of Higher Education
Loan Programs, applicable years yes no
Federal Registers, all programs yes no Higher Education Act of 1965, as amended yes no Other: _________________________________________________ yes no
V. General and Program-Specific Regulations Academic Competitiveness Grant (ACG) and National Science and
Mathematics Access to Retain Talent (SMART) Grant Programs [34 CFR 691]
yes no
Corporation for National and Community Service (AmeriCorps)
[45 CFR 2526 and 2528] yes no
Department of Veterans Affairs (VA) Educational Benefits [38 CFR 21] yes no Federal Family Education Loan (FFEL) Program [34 CFR 682] yes no
Federal Pell Grant Program [34 CFR 690] yes no Federal Perkins Loan Program [34 CFR 674] yes no Federal Supplemental Educational Opportunity Grant (FSEOG) Program
[34 CFR 676] yes no
Federal Work-Study (FWS) Program [34 CFR 675] yes no General Provisions for the Federal Perkins Loan Program, FWS Program,
and FSEOG Program [34 CFR 673] yes no
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Institutional and Lender Requirements Relating to Education Loans [34 CFR 601]
yes no
Student Assistance General Provisions, all programs [34 CFR 668] yes no Teacher Education Assistance for College and Higher Education (TEACH)
Grant Program [34 CFR 686] yes no
William D. Ford Federal Direct Loan Program [34 CFR 685] yes no Other: _________________________________________________ yes no
VI. Institutional Eligibility and Program Participation Anti-Lobbying Certification and Disclosure [34 CFR 82] yes no Certification Statements required for program participation (ED) yes no Debarment and Suspension (Non-procurement) [34 CFR 85] yes no Drug and Alcohol Abuse Prevention [34 CFR 86] yes no Eligibility and Certification Approval Report (ECAR), applicable
sites/locations; applicable years yes no
Family Educational Rights and Privacy Act (FERPA) [34 CFR 99] yes no Fiscal Operations Report and Application to Participate (FISAP) for the
campus-based programs, including supplemental funding applications, applicable years
yes no
Institutional Eligibility [34 CFR 600] yes no Nondiscrimination [34 CFR 100, 104, 106, and 110; 45 CFR 80, 84, 86, and
90] yes no
Program Participation Agreement (PPA), applicable Title IV programs yes no Requirements for Drug-Free Workplace [34 CFR 84] yes no Other: _________________________________________________ yes no
VII. Award Allocations and Authorizations (Initial, Supplemental, and Deobligation)
ED Campus-Based Programs Official Notice of Funding, applicable years for:
a. Federal Perkins Loan Program yes no b. FSEOG Program yes no c. FWS Program yes no
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ED Current Funding Levels (CFLs), applicable years for: a. TEACH Grant Program yes no
ED Federal Pell Grant Program Electronic Statement of Accounts (ESOAs) and CFLs, applicable years
yes no
Other: _________________________________________________ yes no
VIII. Reports (Applicable Programs/Applicable Years)
Campus-Based Reallocation Forms yes no
Campus Security Reports yes no
Completion or graduation rates and transfer-out rates yes no
Completion or graduation rates and transfer-out rates, by gender and race, for athletically-related student aid
yes no
Enrollment Reports (formerly Student Status Confirmation Reports) yes no Federal, state, and independent program review and audit reports on student
financial assistance programs, institutional responses (if applicable), any correspondence relating to follow-up or corrective actions taken, and any subsequent findings and/or recommendations
yes no
Financial aid audits and closure letters yes no FISAP yes no Fiscal management reports specifically required under regulation, including
all reports related to drawdown of federal funds yes no
Participation rates, financial support, and other information for school’s
intercollegiate athletic programs yes no
Reconciliation reports yes no Other: _________________________________________________ yes no
IX. Additional Applicable Statutes and Regulations
Bipartisan Student Loan Certainty Act of 2013 [Public Law (P.L.) 113-28] yes no
Code of Federal Regulations (CFR): a. Aliens and Nationality [8 CFR] yes no b. Banks and Banking [12 CFR] yes no c. Domestic Security [6 CFR] yes no
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d. Education [34 CFR] yes no
e. Pensions, Bonuses, and Veterans’ Relief [38 CFR] yes no
f. Public Welfare [45 CFR] yes no
Consolidated Appropriations Act of 2012 [P.L. 112-74] yes no
Discrimination in Lending—Title VII of the Consumer Credit Protection Act, as amended. 15 United States Code (U.S.C.) 1601 et seq. [12 CFR 202]
yes no
Discrimination on the Basis of Age—Age Discrimination Act of 1975.
42 U.S.C. 6101 et seq. [34 CFR 110; 45 CFR 90] yes no
Discrimination on the Basis of Handicap—Sec. 504 of the Rehabilitation Act
of 1973, 20 U.S.C. 1405; 29 U.S.C. 794 [34 CFR 104; 45 CFR 84] yes no
Discrimination on the Basis of Race, Color or National Origin—Title VI of the
Civil Rights Act of 1964, 42 U.S.C. 2000d-2000d-4 [34 CFR 100; 45 CFR 80] yes no
Discrimination on the Basis of Sex—Title IX of the Education Amendments of
1972, 20 U.S.C. 1681-1683; 1685-1686 [34 CFR 106; 45 CFR 86] yes no
Electronic Signatures in Global and National Commerce (E-Sign) Act
[P.L. 106-229] yes no
Federal Truth in Lending Act (TILA), 15 U.S.C. 1601 et seq. [12 CFR 226,
Regulation Z] yes no
Government Paperwork Elimination Act (GPEA), 44 U.S.C. 3504 yes no Health Care and Education Reconciliation Act of 2010 (HCERA) [P.L. 111-
152] yes no
Higher Education Relief Opportunities for Students Act of 2007 [P.L. 110-93] yes no Higher Education Relief Opportunities for Students Act of 2003 [P.L. 108-76] yes no Immigration Reform and Control Act of 1986, 8 U.S.C. 1101, 1103, and
1324a [8 CFR 274a] yes no
Moving Ahead for Progress in the 21st Century Act [Public Law (P.L.) 112-
141] yes no
National and Community Service Act of 1990—AmeriCorps, Subtitle C Parts
2520-2529, 42 U.S.C. 12601-12604 [24 CFR 99] yes no
Privacy Act of 1974, 20 U.S.C. 1232g [34 CFR 99] yes no Tax Reform Act of 1986 (taxation of scholarships and fellowships),
6 U.S.C. 117 yes no
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Taxpayer Relief Act of 1997 [P.L. 105-34] yes no The Budget Control Act of 2011 [P.L. 112-25] yes no
The College Cost Reduction and Access Act of 2007 [P.L. 110-84] yes no The Economic Growth and Tax Relief Reconciliation Act of 2001
[P.L. 107-16] yes no
The Ensuring Continued Access to Student Loans Act of 2008 [P.L. 110-227] yes no The Higher Education Opportunity Act of 2008 [P.L. 110-315] yes no The Higher Education Reconciliation Act of 2005 [P.L. 109-171] yes no To amend the Internal Revenue Code of 1986 to simplify the reporting
requirements relating to higher education tuition and related expenses [P.L. 107-131]
yes no
Other: _________________________________________________ yes no
Check the response column below to indicate if your institution has designated someone to monitor these websites regularly for new or updated student financial assistance information and guidance. Resource Monitored
Regularly X. Websites
Corporation for National and Community Service (AmeriCorps)—http://www.americorps.gov/
yes no
Electronic Application for Approval to Participate in the Federal Student
Financial Aid Programs (E-App)—http://www.eligcert.ed.gov/ yes no
Library of Congress THOMAS Legislative Information on the Internet—
http://thomas.loc.gov/ yes no
National Archives and Records Administration (NARA)—
http://www.archives.gov/federal-register/publications/ yes no
National Association of Student Financial Aid Administrators (NASFAA)—
http://www.nasfaa.org/ yes no
National Center for Education Statistics Integrated Postsecondary Education
Data System (IPEDS)—http://nces.ed.gov/ipeds/ yes no
National Student Loan Data System (NSLDS)—
https://www.nsldsfap.ed.gov/nslds_FAP/default.jsp yes no
State Higher Education Agency—
http://wdcrobcolp01.ed.gov/Programs/EROD/org_list.cfm?category_cd=SHE yes no
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U.S. Citizenship and Immigration Services (USCIS)—http://uscis.gov/portal/site/uscis
yes no
U.S. Department of Education (ED) Common Origination and
Disbursement—https://cod.ed.gov/cod/LoginPage yes no
U.S. Department of Education (ED) Customer Service Centers or Federal
Student Aid Offices—http://www.ifap.ed.gov/ifap/helpContactInformation.jsp yes no
U.S. Department of Education (ED) e-Campus Based System for Fiscal
Operations and Application to Participate (FISAP) Reporting—https://cbfisap.ed.gov/ecb/CBSWebApp/welcome.jsp
yes no
U.S. Department of Education Federal Student Aid (FSA) Conferences—
http://fsaconferences.ed.gov/ yes no
U.S. Department of Education (ED) Federal Student Aid (FSA) Download-
Software and Manuals—http://www.fsadownload.ed.gov/index.htm yes no
U.S. Department of Education (ED) Financial Aid Administrator Access to the
Central Processing System Online (commonly referred to as FAA Access to CPS Online)—https://fafsa.ed.gov/FOTWWebApp/faa/faa.jsp
yes no
U.S. Department of Education (ED) Grants Management System (G5)—
https://www.g5.gov/ext/wps/portal?g5.parameters.errorcode=&g5.parameters.error=&g5.parameters.username=unauthenticated
yes no
U.S. Department of Education (ED) Information for Financial Aid
Professionals (IFAP)—http://www.ifap.ed.gov/ifap/index.jsp yes no
U.S. Department of Education (ED) Regional Offices and Representatives,
ED Organizational Directory— http://www.ed.gov/about/contacts/gen/index.html
yes no
U.S. Department of the Interior, Indian Affairs, Bureau of Indian Education—
http://www.bia.gov/WhatWeDo/ServiceOverview/IndianEducation/index.htm yes no
U.S. Department of Treasury Internal Revenue Service (IRS)—
http://www.irs.gov/ yes no
U.S. Department of Veterans Affairs GI Bill—http://www.gibill.va.gov/ yes no U.S. Immigration and Customs Enforcement Student and Exchange Visitor
Program—http://www.ice.gov/sevis/index.htm yes no
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202.785.0453 FAX. 202.785.1487 WWW.NASFAA.ORG
The National Association of Student Financial Aid Administrators (NASFAA)
provides professionaldevelopment for financial
aid administrators; advocates for public policies that increase
student access and success;serves as a forum on student financial aid issues, and is
committed to diversitythroughout all activities.
© 2015 National Association of Student Financial Aid Administrators
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