Program Review Guide for Institutions - ed

2017

Federal Student Aid

Program Review Guide

for Institutions

Federal Student Aid (FSA) Programs

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2017

Program Review Guide

for Institutions

Program Review Guide

for Institutions

Table of Contents

PREFACE

T

he Program Review Guide for Institutions (also referred to as The Guide) provides information about the

general guidelines established by the U.S. Department of Education for Department personnel tasked to

conduct program reviews of institutions participating in the Title IV student financial assistance programs. The

Guide provides information to assist institutions in preparing for and participating in a program review as well as

information pertaining to the general program review process and follow up. The Guide is updated regularly to

reflect regulatory developments and changes in the program review process.

The Guide is available on the IFAP website to institutions participating in programs authorized under Title

IV of the Higher Education Act, which is in accordance with Section 494 of the Higher Education Amendments

of 1998, PL 105-244.

The Guide is not intended to create any substantive or procedural rights enforceable by law. The Guide does

not establish any procedures, requirements, or standards for the operation of student financial assistance programs, nor does it bind the U.S. Department of Education to particular procedures, requirements, or standards.

For any relevant procedures, requirements, and standards, the reader of the Guide should refer to applicable

statutes, regulations, and agreements between postsecondary academic institutions and the U.S. Department of

Education.

Program Review Guide 2017

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Program Review Guide for Institutions

Introduction............................................................................................................................................................ vii

AUTHORITY TO CONDUCT PROGRAM REVIEWS.................................................................................................................... vii

INSTITUTIONAL REQUIREMENTS................................................................................................................................................. viii

PURPOSE OF PROGRAM REVIEWS..................................................................................................................................................ix

Chapter 1: Department Preparation for Program Review.................................................................... 1-1

INSTITUTIONAL STRUCTURE RESEARCH................................................................................................................................. 1-1

SYSTEMS RESEARCH........................................................................................................................................................................ 1-2

Postsecondary Education Participants System.................................................................................................................... 1-2

eZ-Audit.......................................................................................................................................................................................... 1-2

National Student Loan Data System...................................................................................................................................... 1-2

G5.................................................................................................................................................................................................... 1-2

FISAP and eCB Website............................................................................................................................................................... 1-2

Common Origination and Disbursement System............................................................................................................... 1-3

Campus Security Website.......................................................................................................................................................... 1-3

OTHER RESEARCH............................................................................................................................................................................. 1-3

EXTERNAL AGENCY CONTACTS................................................................................................................................................... 1-4

PROGRAM REVIEW PLAN............................................................................................................................................................... 1-4

Program Review Type................................................................................................................................................................. 1-4

Program Review Scope............................................................................................................................................................... 1-5

Location Where Records Will Be Reviewed¡ªOn-site or Off-site...................................................................................... 1-5

Timing of Notification of the Program Review..................................................................................................................... 1-5

Timing for Conducting the Program Review......................................................................................................................... 1-6

Staffing Considerations.............................................................................................................................................................. 1-6

Duration of the On-site Review................................................................................................................................................ 1-6

Chapter 2¡ªInstitution Preparation for Program Review..................................................................... 2-1

RECEIVING NOTIFICATION OF THE PROGRAM REVIEW..................................................................................................... 2-1

Advance Notice Review.............................................................................................................................................................. 2-1

Short Notice Review.................................................................................................................................................................... 2-4

THIRD-PARTY SERVICER NOTIFICATION................................................................................................................................... 2-4

RESPONDING TO THE ANNOUNCEMENT LETTER................................................................................................................ 2-4

Preparing the Response.............................................................................................................................................................. 2-4

Protecting Sensitive Data.......................................................................................................................................................... 2-4

Materials Not Submitted by Due Date.................................................................................................................................... 2-5

Chapter 3¡ªEntrance Conference................................................................................................................. 3-1

ENTRANCE CONFERENCE¡ªON-SITE......................................................................................................................................... 3-1

Short Notice Reviews.................................................................................................................................................................. 3-1

Introduction of Department and Institution Representatives.......................................................................................... 3-2

Reason for the Program Review and Review Scope............................................................................................................ 3-2

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Program Review Guide 2017

Table of Contents

Overview of the Program Review Process.............................................................................................................................. 3-2

How Title IV Aid Is Processed at the Institution/Responsibilities...................................................................................... 3-3

Required Documents and Time Frame to Provide............................................................................................................... 3-3

Schedule Exit Conference or Status Meeting......................................................................................................................... 3-3

Getting Started............................................................................................................................................................................. 3-3

ENTRANCE CONFERENCE¡ªOFF-SITE....................................................................................................................................... 3-4

Introduction of Department and Institution Representatives.......................................................................................... 3-4

Reason for the Program Review and Scope.......................................................................................................................... 3-5

Overview of the Program Review Process.............................................................................................................................. 3-5

How Title IV Aid Is Processed at the Institution/Responsibilities...................................................................................... 3-6

Schedule Exit Conference or Status Meeting......................................................................................................................... 3-6

Getting Started............................................................................................................................................................................. 3-6

Chapter 4: ED Review of Institution Processes and Data...................................................................... 4-1

REVIEW OF CRITICAL ELEMENTS¡ªINSTITUTIONAL........................................................................................................... 4-1

REVIEW MATERIALS RECEIVED..................................................................................................................................................... 4-2

Institutional Data Collection.................................................................................................................................................... 4-3

STAFF INTERVIEWS........................................................................................................................................................................... 4-6

Staff Interview Questions........................................................................................................................................................... 4-7

Academic or Education Personnel/Registrar...................................................................................................................4-7

Admissions Personnel..............................................................................................................................................................4-7

Financial Aid Personnel...........................................................................................................................................................4-8

Fiscal Office Personnel.............................................................................................................................................................4-8

Placement Officer......................................................................................................................................................................4-9

Campus Security Personnel...................................................................................................................................................4-9

INTERVIEWS WITH OUTSIDE SOURCES/THIRD PARTIES.................................................................................................... 4-9

RESOLUTION OF INSTITUTIONAL FINDINGS WHILE ON-SITE......................................................................................... 4-9

Chapter 5: ED Review of Student Level Information.............................................................................. 5-1

REVIEW OF STUDENT FILES........................................................................................................................................................... 5-1

Student Sample............................................................................................................................................................................ 5-1

Review of Critical Elements¡ªStudents.................................................................................................................................. 5-2

File Review..................................................................................................................................................................................... 5-3

Admissions Records..................................................................................................................................................................5-4

Academic Records.....................................................................................................................................................................5-4

Student Financial Aid Records..............................................................................................................................................5-4

Student Account Ledger.........................................................................................................................................................5-4

Student Data Collection............................................................................................................................................................. 5-4

Review Data for Students in the Review Sample................................................................................................................. 5-8

Review NSLDS Data for Students in the Review Sample.............................................................................................5-8

Review COD Data for Students in the Review Sample.................................................................................................5-9

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