Compliance Management Pathway Sessions

This pathway is sponsored by McClintock & Associates.

Below is the tentative agenda for the Compliance Management pathway sessions. Times and locations are subject to change.

If you have registered for this pathway, you may now access handouts provided by the speakers.

Sunday, February 5, 2023

2:00 p.m. - 5:00 p.m. - Bus Tour (optional)

Departs from: Mayflower Hotel Desales Street entrance

5:30 p.m. - 7:30 p.m. - Opening Reception

Location: District Ballroom Foyer 

Monday, February 6, 2023

Prior to 8:30 a.m. - Breakfast on Your Own

8:30 a.m. - 9:45 a.m. - Opening Session

Location: Grand Ballroom

Brad Barnett, NASFAA 2022-23 national chair, opens the conference and Justin Draeger, NASFAA president and CEO,  provides the Washington Update. 

9:45 a.m. - 10:00 a.m. - Networking Break (Exhibits Open)

Location: Grand Ballroom Foyer

10:00 a.m. - 11:00 a.m. - Idea Lab 1: How to Cultivate Your Auditor Relationship

Location: Palm Court Ballroom
Speakers: Luke Hoey, FAAC®, McClintock and Associates; 
Mark Diestler, University of Oregon; Lisa Hopper, National Park College 

Audits and program reviews happen to all of us. This session will focus on auditor etiquette and relationship building. 

    • How to balance in-person audits and virtual visits. 
    • How to work with a brand-new auditor and teach them that financial aid is a tough area to audit. 
    • How your campus is different than other campuses. 
    • How to stand your ground, advocate based on your documentation, and when to call in help.

11:00 a.m. - 12:00 p.m. - Idea Lab 2: Accreditation and Compliance 

Location: Palm Court Ballroom
Speakers: Wayne Kruger, St. Petersburg College,  Jan Friis, and Nicholas Prewett, FAAC®, Stony Brook University

What does compliance look like for accreditation? What are the responsibilities for the compliance team for a compliance visit? What happens if your accreditor changes? What are your roles and responsibilities in helping ensure your institution is accredited? Who are your campus partners? How many accreditors are there?                              

12:00 p.m.  - 2:00 p.m. - Lunch on Your Own/Network With Exhibitors

2:00 p.m. - 3:30 p.m. - Idea Lab 3: How to Advocate on Campus for Compliance (Without Claiming the Sky Is Falling)

Location: Palm Court Ballroom
Speakers: Brad Barnett, James Madison University; Gena Boling, FAAC®, Cornell University; Helen Faith, FAAC®, University of Wisconsin - Madison; Lisa Hopper, National Park College, 
Moderator:  Keri Gilbert, Stephens College

Complying with federal student aid rules isn't just about your office. How do you get campus partners to buy in to the collective responsibility? How do you get funding to promote compliance? Who are your allies and who do you need to partner with to create a culture of compliance? How do you say "we can't do that" and not be known as the "Office of '"No'"? How do you balance diplomacy and scare tactics?

3:30 p.m. - 4:30 p.m. - Idea Lab 4: Office of Inspector General Investigations

Location: Palm Court Ballroom
Speakers: Daniel Brozovic, Powers, Pyles, Sutter & Verville, P.C.; Katherine Demedis, Powers, Pyles, Sutter & Verville, P.C.; and Sherry Mastrostefano Gray

There has been an increase in the number of OIG agents. What do you need to report? When should you report it? What constitutes an investigable event? How are cases resolved?                             

4:30 p.m. - 6:00 p.m. - Networking Reception

Location: Grand Ballroom Foyer

Tuesday, February 7, 2023

Prior to 8:30 a.m. - Breakfast on Your Own

8:30 a.m.  - 9:30 a.m. - General Session: Department of Education Update on FAFSA Simplification 

Location: Grand Ballroom
Speaker: Melanie Storey, Federal Student Aid

A representative from the U.S. Department of Education (ED) will discuss current happenings at ED with an emphasis on significant upcoming federal methodology and FAFSA changes.

9:30 a.m. - 10:00 a.m. - Networking Break (Exhibits Open)

Location: Grand Ballroom Foyer 

10:00 a.m. - 11:30 a.m. - Idea Lab 5: Assessing Compliance Risk                      

Location: Palm Court Ballroom
Speakers: James Broscheit, Montana State University; Lisa Hopper, National Park College; Wayne Kruger, St. Petersburg College; Nicholas Prewett, FAAC®, Stony Brook University 

Let's take your temperature with compliance risks. How hot of an issue is compliance? What burns the brightest? In this session, a panel of financial aid colleagues will discuss best practices and teach you the difference between a candle, a campfire, and a forest fire.                              

11:30 a.m.  - 1:30 p.m. - Lunch on Your Own/Network With Exhibitors

1:30 p.m. - 2:30 p.m. - Idea Lab 6: The Future of Compliance

Location: Palm Court Ballroom
Speakers: James Broscheit, Montana State University; Mark Diestler, University of Oregon; Keri Gilbert, Stephens College; Lisa Hopper, National Park College; Wayne Kruger, St. Petersburg College; Nicholas Prewett, Stony Brook University 

Compliance is ever-evolving. What does compliance look like moving forward? Is a central compliance office necessary? How much compliance is too much? Where is the line between state rules, federal rules, NCAA rules, etc.?             

2:30 p.m. - 3:30 p.m. - Idea Lab 7: Interactive Case Study

Location: Palm Court Ballroom
Speakers: James Broscheit, Montana State University; Mark Diestler, University of Oregon; Keri Gilbert, Stephens College; Lisa Hopper, National Park College; Wayne Kruger, St. Petersburg College; Nicholas Prewett, Stony Brook University 

Together we will experience a real-life example of a compliance issue and an institutional response. This will be an opportunity to apply some of the tools and ideas explored during the conference.  

3:30 p.m. - 4:00 p.m. - Final Networking Break

Location: Grand Ballroom Foyer 

4:00 p.m. - 5:00 p.m. - Advocacy and You/Preparing for Hill Visits

Location: Grand Ballroom

Wednesday, February 8, 2023

8:00 a.m. - 1:30 p.m. - Capitol Hill Visits

2:00 p.m. - 3:00 p.m. - Capitol Hill Visit Debrief

If you have registered for this pathway, you may now access handouts provided by the speakers.

Publication Date: 1/27/2023

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