Welcome to the Online GSFC411 Newsletter Archive DECEMBER 2008 Newsletter GAcollege411 Partner Update The latest news about the GAcollege411 website. View Update College...Yes, You Can Day to Visit the State Capitol Save the date! GSFC will host the "College, Yes You Can" Day at the Georgia State Capitol on Monday, January 26, 2009. Read Full Article Get the 411 on GSFC Training Opportunities GSFC is offering several training opportunities to its colleagues. Take a look at some upcoming events in January and February 2009. Read Full Article February GSFC Board Meeting The next quarterly meeting of the GSFC Board of Commissioners will be Friday, February 6, 2009, at the GSFC offices in Tucker. GSFC Board meetings are open to the public. An agenda for the February meeting will appear in an upcoming issue of GSFC 411. Compliance Corner Compliance Corner features policies and procedures and frequently asked questions regarding Compliance reviews of GSFC's scholarship and grant programs. Read Full Article Georgia Student Finance Commission 2082 East Exchange Place Tucker, Georgia 30084 (770) 724-9000 or 1-800-505-GSFC (4732) FAX (770) 724-9089 College...Yes, You Can To Visit the State Capitol Be sure to save the date! The Georgia Student Finance Commission (GSFC) will host a "College, Yes You Can" Day at the State Capitol on Monday, January 26, 2009 in the South Wing from 9:00 a.m. to 1:00 p.m. The purpose of "College, Yes You Can" Day is to help familiarize students with the services and products offered by GSFC and other state agencies. Several computer workstations will be set up to help students plan, apply and pay for college. For additional information, feel free to contact Monica Cherry at monicac@gsfc.org. If you are in the neighborhood, stop by the State Capitol for the "College, Yes You Can" Day. Hope to see you there. Georgia Student Finance Commission 2082 East Exchange Place Tucker, Georgia 30084 (770) 724-9000 or 1-800-505-GSFC (4732) FAX (770) 724-9089 Get the 411 on GSFC Training Opportunities GSFC is pleased to offer training to our colleagues on a variety of topics. Listed below are the training events that will be taking place during the upcoming months. Listings include dates, titles of training, intended audiences and locations: January 20 New Financial Aid Officers Academy (NFAOA) for new Financial Aid Office staff Central Georgia Technical College January 27 Emerging Leaders Financial Aid Officers Academy (ELFAOA) for Financial Aid Office staff Central Georgia Technical College February 4 Advanced SURFER for Financial Aid Office staff Columbus State University GSFAPPS - for Financial Aid Office staff Columbus State University February 5 Compliance 101 for Financial Aid Office staff Central Georgia Technical College HOPE Grant for Public Colleges for Financial Aid Office staff Central Georgia Technical College For more information, to register or to review future training opportunities, please visit www.GAcollege411.org and select "Professional Learning." Georgia Student Finance Commission 2082 East Exchange Place Tucker, Georgia 30084 (770) 724-9000 or 1-800-505-GSFC (4732) FAX (770) 724-9089 Compliance Corner What to Expect during an Institution's On-Site Compliance Review of the State Scholarship and Grant Programs Second in a series of three articles to help you better understand the State Scholarship and Grant Program Compliance Review process After months of communication between the Georgia Student Finance Commission (GSFC) Compliance Team and the institution, and making preparations for the Compliance Review, what can the institution expect during the actual on-site compliance review of the State Scholarship and Grant (S&G) programs? Is there anything more an institution should do, be aware of, or be prepared for in the last day or so before the Compliance Team arrives on campus? After receiving the sample lists for the Compliance Review, and just prior to the review date, the intuition should ensure that all the files from the Admission, Business, Financial Aid and Registrar's Offices have been gathered together and are ready for the Compliance Review. The files should be organized in alphabetical order by S&G program so that all the files for each student are together. Access to the institution's student database (i.e. Banner, PowerFaids, Datatel, etc), if applicable, should be verified, ensuring the supplied login/password grants the appropriate secure, view-only, capability. Also, the location for the entrance and exit interviews and adequate work space for the Compliance Team should be finalized. The work space should have connection for the Compliance Officer's laptops and access to a copy machine and a telephone. The predetermined contact person should verify that all the representatives from the Admission, Business, Financial Aid and Registrar's Office will be in attendance at the Entrance Interview. If the designated institutional officer from any of the offices cannot attend the Entrance Interview, another individual should be designated as the representative from that office. The pre-scheduled on-site Compliance Review process begins with the Compliance Team arriving on the institution's campus at the predetermined location for the Entrance Interview. Beginning at 9:00 a.m., during the Entrance Interview, the lead Compliance Officer will discuss the scope of the review and its main purpose of ensuring the proper administration of the State's S&G programs. An Entrance Interview attendee contact form (see Attachment A) will be given to the group to submit contact information for updating the institutional officers' names, titles, email addresses and phone numbers. A GSFC Compliance Mission and Value Statement (see Attachment B) will be given to the attending institutional officers.The GSFC Compliance Mission and Value Statement will be discussed, explaining the statement's highlights of what the institution can expect from the GSFC Compliance Team and what the GSFC Compliance Team expects from the institution. With both the GSFC Compliance Team and the institution working in a partnership to deliver State financial aid programs, all parties can expect the other to be fair and unbiased, as well as honest and forthcoming with information and communication. In addition, the institution can expect the GSFC Compliance Team to be accountable for regulatory interpretations and rulings and the GSFC Compliance Team can expect the institution to be accountable for the implementation of regulatory requirements. The lead Compliance Officer will confirm the designated contact person for the on-site review and the name of the institutional officer available for any questions that may need to be addressed by a specific department. The contact person will be informed of when notification for the proposed time for the Exit Interview should be expected. The contact person will also be asked to complete the Surfer Access form (see Attachment C), noting any needed access changes. Additional information concerning the Georgia Student Finance Commission Program Administration Team (ProgramAdministration@gsfc.org), responsible for answering any regulatory questions about financial aid, and the Learning Resource Team (LearningResources@gsfc.org), dedicated to assisting institutions with any training needs, will be discussed at the Entrance and/or the Exit Interview. The Compliance Team will answer any questions the participants may have concerning the Compliance Review and the Compliance Team may ask questions of the participants. During this portion of the Entrance Interview, the institution should inform the Compliance Team of any problems or concerns pertaining to the institution's GSFC S&G Compliance Review. After all questions have been addressed, the lead Compliance Officer will conclude the Entrance Interview and the formal review of the institution's files will begin. The GSFC Compliance Team understands that there may be last minute unforeseen problems that can arise. For example, the institution's student database or email system may become inaccessible, on campus construction can cause room availability to change, or at the last hour a participant involved in the institution's GSFC Compliance Review committee or task group may become unavailable, etc. This reiterates the need for continued communications between the institution and the GSFC Compliance Team. The earlier the GSFC Compliance Team is notified of any unforeseen problems, the better the team can effectively respond accordingly. During the formal on-site file review process the Compliance Team will diligently go through each of the sample student's Admission, Business, Financial Aid and Registrar's Office file. The Compliance Review of a student's institutional records requires a great deal of concentration in order to ensure accuracy and fairness. The Compliance Team will verify that State S&G program regulatory requirements were met at the time the student was awarded State S&G funds at the institution. In order to complete the Compliance Review within the scheduled two days, the Compliance Officers will only review those files offered at the beginning of the review process. This is different from Compliance Reviews conducted prior to 2007. Generally, with two Compliance Officers, the on-site portion of a Compliance Review will require two days to complete. However, under extenuating circumstances, the on-site Compliance Review may be extended and require the presence of additional Compliance Officers. Due to the number of files being reviewed, the scope of the review including the student's entire award history from the first term of enrollment to the most recent term of enrollment at the institution, and the limited time to complete the on-site review process, no additional files or supporting documents will be accepted unless the Compliance Team requests them. This reiterates the importance for the institution to have all the files and requested information ready prior to the Compliance Team arriving on campus. However, discussion of an added component to the Compliance Review process, the 10-day missing document grace period, will take place at the Exit interview. Approximately mid-day on the second day of the on-site Compliance Review, the lead Compliance Officer will inform the institution's contact person of the time to expect the Exit Interview. The Exit Interview will reveal the initial results of the onsite file review. The lead Compliance Officer will submit another attendee contact form just as in the Entrance Interview and request the completed SURFER Access form. A file disclosure statement (see Attachment D) will be given to the contact person. A copy of this disclosure statement should be placed in each of the files that were reviewed. Prior to handing out the initial schedule of preliminary findings, the lead Compliance Officer will briefly go over the timeline for the school to provide missing information and documents. At the Exit Interview, the lead Compliance Officer will discuss the 10-day missing documentation grace period with the institution. Because the Compliance Team does not accept additional documentation during the on-site Compliance Review process, the institution will have ten (10) business days to submit to the GSFC Compliance Team missing documents that may clear a potential finding. A cleared finding will not be included as a finding on the Preliminary and Final Reports. However, this grace period is not meant to eliminate findings related to systemic errors and/or fraud. The documents should be securely submitted either by mail, scanned and emailed, faxed, sent via overnight mail service or hand delivered. No matter how the missing documentation is submitted, it must be received by the lead Compliance Officer no later than ten (10) business days after the Exit Interview. Any documentation received after the 10th business day will only be reviewed in determining the relief of any monetary liability and the finding will remain on the Preliminary and Final Reports. The Missing Documentation Guidance for Clearing Findings During 10-Day Grace Period form (see Attachment E) is available to assist institutions in this process. This document outlines which findings may be cleared during the 10-day grace period. The Compliance Team asks that documentation not be submitted during this 10-day grace period unless it fits within the guidelines of missing documentation. Data Correction Forms are not considered missing documentation. The lead Compliance Officer will discuss and explain each finding type on the schedule of preliminary findings submitted at the Exit Interview. A Program Review Deficiency Codes form (see Attachment F) will also be submitted. The Program Review Deficiency Codes form will explain the different types of deficiency codes listed on the schedule of preliminary findings. Example: Deficiency Code - IPS, stands for Incorrect Program of Study where a student was paid for courses outside of their declared program of study. The lead Compliance Officer will also submit additional information that can assist the institution in submitting documentation in resolving a finding. This information includes the Missing Documentation Guidance and the Conflict Resolution Guidance, (see Attachment E and Attachment G). There are several opportunities for the institution to submit documentation to resolve findings. Thirty (30) days after the onsite Compliance Review, the GSFC Compliance Team will submit to the institution a Preliminary Report via email. The Preliminary Report will include all findings resulting from the review less any findings cleared during the 10-day missing documentation grace period. In response to the Preliminary Report, due within thirty (30) days, the institution can submit documentation to satisfy each finding. After the GSFC Compliance Team receives the institution's response to the Preliminary Report, a Final Report will be issued to the institution within thirty (30) days. The institution will have thirty (30) days to respond to the Final Report and to again submit any additional documentation required to satisfy, or close, any remaining findings. After all the findings have been closed and all monetary liabilities resolved and/or repaid, the institution will be issued a closure letter (see Attachment H). Generally, the on-site Compliance Review process is the same for each institution. This is to ensure that all institutions are treated equally. The GSFC Compliance Team is dedicated to our mission to work with the Georgia institutions in the proper administration of the State Scholarship and Grant Programs so that we can all be good stewards of State funds. The GSFC Compliance Team encourages all institutions to contact us at ComplianceTeam@gsfc.org any time prior to, during, or after the review for assistance in answering Compliance related questions or providing clarification about the Compliance Review process. You may also contact Richard Hawkshead, Vice President of Internal Audit & Compliance, at 770-724-9012 or Richard@gsfc.org, should you have any questions or comments. Read Part I of this series here. Georgia Student Finance Commission 2082 East Exchange Place Tucker, Georgia 30084 (770) 724-9000 or 1-800-505-GSFC (4732) FAX (770) 724-9089