Administrative Capability

• Statutory Authority

  • U.S. Code, Title 20—Education Chapter 28—Higher Education Resources and Student Assistance Subchapter IV—Student Assistance > Part B—Federal Family Education Loan Program § 1082 Legal powers and responsibilities [HEA § 432]
  • U.S. Code, Title 20—Education Chapter 28—Higher Education Resources and Student Assistance Subchapter IV—Student Assistance > Part B—Federal Family Education Loan Program § 1085 Definitions for student loan insurance program [HEA § 435]
  • U.S. Code, Title 20—Education Chapter 28—Higher Education Resources and Student Assistance Subchapter IV—Student Assistance > Part H—Program Integrity, Subpart 3—Eligibility and Certification Procedures § 1099c Eligibility and certification procedures [HEA § 498]
  • Chapter 28—Higher Education Resources and Student Assistance Subchapter IV—Student Assistance Part G—General Provisions Relating to Student Assistance Programs § 1092 Institutional and financial assistance information for students [HEA § 485]
  • U.S. Code, Title 20—Education Chapter 28—Higher Education Resources and Student Assistance Subchapter IV—Student Assistance > Part G—General Provisions Relating to Student Assistance Programs § 1094 Program participation agreements [HEA § 487]

• Regulations

  • 34 CFR 668.16

• ED References

  • 2018-19 FSA Handbook, Vol. 2
  • 2017-18 FSA Handbook, Vol. 2

• NASFAA Publications and Articles

  • NASFAA AskRegs Knowledgebase

    Search or browse the Knowledgebase for answers to regulatory and compliance questions submitted by financial aid administrators.

  • NASFAA Compliance Engine

    The Compliance Engine is comprised of two modules: the Self-Evaluation Checklists which allows administrators to evaluate their programs in a centralized, shared online space, and the P&P Builder, a tool designed to assist institutions in the creation and maintenance of a policies and procedures manual. Along with an online space to update and maintain policies and procedures, the P&P Builder includes legislation and regulation associated with compliance with Title IV requirements.

  • NASFAA U Authorized Events

    NASFAA U Authorized Events are a comprehensive set of instructional materials for teaching financial aid concepts to groups of individuals. Materials include a study guide, instructor guide and accompanying presentation slides.

  • NASFAA Benchmarking Report

    NASFAA Benchmarking Report provides a staffing model and describes key factors that impact financial aid office salaries, staff size, administrative capacity, and campus relations. It also provides a general measure of how offices with similar characteristics (e.g., size, institution type, control) are staffed.

  • NASFAA U Self-Study Guides

    NASFAA U Self-Study Guides are written for the independent learner. Each Self-Study Guide includes multiple lessons with a variety of exercises to reinforce each lesson.  Individuals do independent study and take quizzes in a traditional paper format (not online). Then you can qualify to take a test and earn a professional credential.

• Subtopics

  • Adequate number of qualified Title IV aid administrators

    • 668.16(b)(2)
    • 2018-19 FSA Handbook, Vol. 2, Ch. 3
    • 2017-18 FSA Handbook, Vol. 2, Ch. 3

  • Adverse findings reflecting significant problems that affect administrative ability

    • 668.16(j)

  • Capable individual to administer and coordinate Title IV participation (coordinating official)

    • 668.14(b)(18)
    • 668.16(b)(1)
    • 2018-19 FSA Handbook, Vol. 2, Ch. 3
    • 2017-18 FSA Handbook, Vol. 2, Ch. 3

  • Cohort default rate

    See also top list entry for Cohort Default Rate

    • Provisional certification

      • 668.16(m)(2)

    • Thresholds

      • 668.16(m)(1)

  • Communication among institutional offices

    • 668.16(b)(3)
    • 673.5(c)
    • 685.102(b)
    • 2018-19 FSA Handbook, Vol. 2, Ch. 3
    • 2017-18 FSA Handbook, Vol. 2, Ch. 3

  • Conflicting or discrepant information and suspected fraud

    • Death of a Student

      • 2018-19 FSA Handbook, Vol. 2, Ch. 3
      • 2017-18 FSA Handbook, Vol. 2, Ch. 3

    • Identification and resolution

      • 668.16(f)
      • 2019-20 FSA Handbook, Vol. AVG, Ch. 5
      • 2019-20 FSA Handbook, Vol. 1, Ch. 1
      • 2018-19 FSA Handbook, Vol. AVG, Ch. 5
      • 2018-19 FSA Handbook, Vol. 1, Ch. 1
      • 2018-19 FSA Handbook, Vol. 2, Ch. 3
      • 2017-18 FSA Handbook, Vol. 2, Ch. 3

    • Referral of suspected fraud by students with respect to Title IV applications

      • 668.16(g)(1)
      • 2019-20 FSA Handbook, Vol. AVG, Ch. 5
      • 2018-19 FSA Handbook, Vol. AVG, Ch. 5
      • 2018-19 FSA Handbook, Vol. 2, Ch. 3
      • 2017-18 FSA Handbook, Vol. 2, Ch. 3

    • Referral of suspected illegal conduct (fraud, misrepresentation, conversion or breach of fiduciary responsibility, etc.) by school employee, third-party servicer, or other agent with respect to Title IV eligibility and funding of the institution and its students

      • 668.16(g)(2)
      • 668.71 to 668.75
      • 668.82
      • 2018-19 FSA Handbook, Vol. 2, Ch. 3
      • 2017-18 FSA Handbook, Vol. 2, Ch. 3

    • Student no longer enrolled

      • 2018-19 FSA Handbook, Vol. 2, Ch. 3
      • 2017-18 FSA Handbook, Vol. 2, Ch. 3

  • Counseling students

    See also top list entry for Consumer Information

    • 668.16(h)

  • Debarment and suspension

    • 668.16(k)
    • 668.82
    • 2018-19 FSA Handbook, Vol. 2, Ch. 3
    • 2017-18 FSA Handbook, Vol. 2, Ch. 3

  • Disaster relief

    • GEN-17-08
    • GEN-10-16
    • Electronic Announcement, 9/28/18
    • Federal Register, 5/3/18
    • Electronic Announcement, 2/28/18
    • Electronic Announcement, 9/13/17

    • Foreign schools (Hurricane Irma and Hurricane Maria)

      • Federal Register, 10/18/17

  • Electronic processes

    • 668.16(o)
    • GEN-04-08
    • 2018-19 FSA Handbook, Vol. 2, Ch. 3
    • 2017-18 FSA Handbook, Vol. 2, Ch. 3

  • General compliance and competency

    • 668.16(a)
    • 668.16(n)

  • High school diploma evaluations

    • 668.16(p)
    • Electronic Announcement, 7/23/19

  • Record retention

    • 668.16(d)(1)
    • 2018-19 FSA Handbook, Vol. 2, Ch. 7
    • 2017-18 FSA Handbook, Vol. 2, Ch. 7

  • Reports

    • Fiscal reports and financial statements

      • 668.16(i)
      • 2018-19 FSA Handbook, Vol. 2, Ch. 4
      • 2017-18 FSA Handbook, Vol. 2, Ch. 4

    • Reimbursements from private education lenders

      • 668.16(d)(2)
      • 2018-19 FSA Handbook, Vol. 2, Ch. 3
      • 2017-18 FSA Handbook, Vol. 2, Ch. 3

  • Satisfactory academic progress: institutional standards

    See also top list entry for Satisfactory Academic Progress

    • 668.16(e)
    • 2018-19 FSA Handbook, Vol. 2, Ch. 3
    • 2017-18 FSA Handbook, Vol. 2, Ch. 3

  • Separation (division) of functions (authorizing vs. disbursing aid)/Adequate checks and balances

    • General rules

      • 668.16(c)
      • 674.19(a)(1)
      • 675.19(a)(1)
      • 676.19(a)(1)
      • 2018-19 FSA Handbook, Vol. 2, Ch. 3
      • 2017-18 FSA Handbook, Vol. 2, Ch. 3

    • Definition of family

      • 668.15(f)(3)
      • 2018-19 FSA Handbook, Vol. 2, Ch. 3
      • 2017-18 FSA Handbook, Vol. 2, Ch. 3

  • Withdrawal rate (newly participating schools)

    • 668.16(l)
    • 2018-19 FSA Handbook, Vol. 2, Ch. 1
    • 2017-18 FSA Handbook, Vol. 2, Ch. 1

  • Written procedures and responsibilities for offices involved in Title IV administration

    • 668.16(b)(4)