Compliance Best Practices
What has or has not worked at your institution to make compliance an “institutional responsibility� What do you think are the reasons behind the success or failure?
The biggest obstacle usually is communication. There are a lot of "side conversations" about topics or scenarios that should be brought to a team meeting rather than finding an on-the-spot quick solution that has not been approved. I believe this stems from a staff members that are "set in their ways" and do not take to modern change.
Sara,
I wholeheartedly agree! The "side conversations" would be fine and encouraged as long as the discussion was brought up later with all involved parties in the formal meeting, if that is the expected protocol. Team decisions will also get more buy-in if everyone has had the opportunity to discuss them in detail.
I worked at one particular institution where the majority of staff were "set in their ways". It was so frustrating! It makes any job become extremely challenging, especially when you are trying to promote change for the greater good of the school. My best advice is not to give up and try and come up with creative ways to make "the change" the only viable solution.
Cindy Kohlman
We have added this phrase to everyone's job description:
Study and understand existing and new legislation to ensure school complies will all state and federal requirements. Enforce adherence to requirements and advise management on needed action.
This way everyone clearly knows it's their responsibility to understand the big picture and how it all works together, not just their piece or silo as it was presented in the material.
Susan,
You have shared, yet another, wonderful example. By having this statement in appropriate staff member's job descriptions you completely ensure that expectations are clear and justifiable. Periodic supervisor encouragement and sharing of pertinent information at staff meetings is also a helpful technique. Staff are empowered by their knowledge, gain more confidence in themselves, and you are creating a work culture with a compliance focus.
Cindy Kohlman
In association with the prior forum I feel that people in other areas than financial aid don't always understand the importance of financial aid compliance. We have incorporated monthly meetings for all the office staff so we are all updated on any new compliance information. It is also important for the financial aid staff to be vocal when there is an issue pertaining to compliance.
Allison,
I have had very similar experiences that you have indicated at all the institutions that I have worked at. Once anyone mentions "financial aid" or "compliance", the immediate reaction is to just have the FAO deal with it. Monthly meetings, training opportunities and simply sharing valuable information on the subject will assist in creating the needed awareness and basic knowledge to empower all applicable staff. The FAO must be diligent and not afraid to speak up when needed.
Cindy Kohlman
I like the idea of breaking down the silos and educating everyone on other processes. Our school has, unfortunately, been stuck in the "its always been done this way" mentality. Quite a challenge to start the process of breaking things down and keeping a fresh mind frame going. We have started this process with staff meetings and another meeting we call SOS meetings--Save our Students, these are most beneficial because each department shares issues relating to high risk of drop out students. FA information is shared and appreciated in this forum.
Lora,
Sounds like your school has a plan! It is not an easy thing to create an effective culture of change. Persistence pays off!
Warren Hoffman
Generally speaking, other departments have "that's not my job" mentality. This is usually the reason for failure. Responsibilities are clear cut here. Something has to be a FA issue or Academic issue (for example), but it can't be both. Obviously it can but this mentality builds barriers between departments and it hinders improvement.
Getting the higher ups forcing cooperation is usually what gets the job done at my institution.
Michael,
It is not easy to overcome the mentality you speak of. It takes time and patience. Having the Administration on board is very important. Quarterly meetings of a "Compliance Committee" should help over time to get other offices to see the importance of their buying in to the process.
Warren Hoffman
A basic lack of communication has led to a lack of "institutional responsibility". Intra-departmental relationships are good, however we simply don't know about other departments, their needs, process, regulations, etc. Training, meetings, updates, and evaluation of processes within each department, not just Financial Aid, would be greatly beneficial. The positive culture exists and departments are willing to contribute to each other, but the information, training, procedures, and emphasis on importance of compliance is not there.
Lauren,
Sounds to me like you have the potential for starting something good! Structure a meeting or two where the agenda is to talk about compliance and give a tutorial of the importance of the entire institution taking part in making sure this issue is addressed.
Warren Hoffman
Our school has been in operation for 40 years and for the first 34 years we were not participating in financial aid. I feel that we have been successful because when we were first approved for participation in financial aid, we had no preconceived ideas. We had no choice except to form a teamwork driven approach to ensuring that we continued to meet COMTA standards incorporated with changing policies required to be compliant with Title IV rules and regulations. This was aided because work and meeting always include the entire staff in some capacity. We have a small staff and these meetings gave us a good start for instilling the idea that we were all responsible for keeping everything sailing smoothly. Also important was that teachers were included in the teamwork toward developing a compliant program. We are not done. We still have work to do to improve our compliance.
