federal student aid software developers conference august 21, 2008

Federal Student Aid

Software Developers Conference

August 21, 2008

2

WELCOME

John Fare

3

Welcome 8:30 am – 8:40 am

Target State Vision Technical View 8:40 am – 9:00 am

Portals 9:00 am – 9:30 am

Enterprise Service Bus and Federal Student Aid Gateway Strategy

Person Record Management System and PIN Re-engineering

Break 10:30 am – 10:45 pm

Virtual Keyboard, Two Factor Authentication

Federal Family Education Loan Re-engineering

Lunch on Own 12:15 pm – 1:30 pm

Common Origination and Disbursement & Central Processing System Update Break 3:30 pm – 3:45 pm

Round Table 3:45 pm – 4:15 pm

Closing 4:15 pm – 4:20 pm

Agenda

and Active Confirmation10:45 am - 11:15 am

9:30 am – 10:00 am10:00 am – 10:30 am

1:30 pm – 3:30 pm

11:15 am – 12:15 pm

4

Contact Information

John Fare

Chief Information Officer, Acting

Phone: 202-377-3707

Email: [email protected]

5

Target State Vision Technical View

Keith Wilson

6

• Federal Student Aid Overview

• The Integration Challenge

• The Target State Vision

• Integration Lessons Learned

Agenda

7

• Federal Student Aid within the U.S. Department of Education administers and operates about $80 million in FY 2007 Title IV student aid programs

• The student financial aid industry is large and complex, with a $321 billion outstanding loan portfolio, 23.6 million borrowers, and 13 million aid applicants annually.

• Federal Student Aid exchanges data electronically with over 10,000 schools, lenders, guaranty agencies, 3rd-party servicers, and secondary markets; the U.S. Department of Education and other federal agencies, such as the Social Security Administration exchanges data at various points in the lifecycle.

Federal Student Aid Overview

8

Federal Student Aid's technology environment is understandably complex:

• 21 different information systems provide services. • 140 internal exchange points across Federal Student

Aid’s computing environment, and 175 external exchange points entering into our environment.

• Different identifiers are used to identify partners based upon particular system and type of business transaction.

• Multiple procedures required to enroll and register for access to Federal Student Aid systems.

• Federal Student Aid systems require different user credentials and enforce different policies using different User ID formats.

Federal Student Aid Overview (cont’d)

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• In response to these drivers, Federal Student Aid initiated a series of integration initiatives, beginning with the Data Strategy initiative started by Federal Student Aid in 2003.

• These initiatives have contributed significantly to the removal of the student financial aid programs from GAO's high-risk list in February 2005.

• In removing Federal Student Aid from the high-risk list, GAO cited sustained improvement in financial management (a clean audit opinion has been received since 2002) and progress in developing and implementing a comprehensive integration strategy for Federal Student Aid's information systems.

The Integration Challenge

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The Integration Challenge (cont’d)

7 56

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21

9 3

Consolidation of Data into Shared Source

Focus on Data Quality

Enterprise Standard for Student Identification

Integrated Partner Management

EnterpriseRouting ID

Enterprise Access Management

Integrated Student View

Integrated School View

Foundation for more Timely and Efficient Processing

Develop an overall approach towards data to ensure that accurate and consistent

data is available to and exchanged between Federal Student Aid and our customers, partners, and compliance and

oversight organization.

“The Right Data to the Right People at the Right Time”

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The Integration Challenge (cont’d)Key Data Strategy Findings:• Data should be organized by business process, not

by system.• Providing data access to business experts is the key

component of improving the enterprise’s ability to make informed business decisions.

• Need to develop a single enterprise solution for all trading partners/person identification and access.

• “As-Is” data flow discussions have facilitated a broader understanding of end-to-end business processes across all Federal Student Aid program areas.

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Identity and Access Management

Enterprise Analytics and Reporting

Enterprise Shared Services

Student Aid History Management

Financial Management

Partner Payment and Reporting Management


Common Services for Borrowers

Campus BasedProgram Guidance & Information

Origination & DisbursementAid Awareness and Application

LendersState Agencies Schools

Aid Awareness & Application Aid Delivery Institution Participation Servicing

Guaranty Agencies

Determine Aid Eligibility

Establish Person Record

AidAwareness

School Aid Payments and Funding Level Management

Award and Disbursement Processing

Service CancellationsCB Award ProcessingApply for Funding

Partner OversightPartner Eligibility and Enrollment

State Agency Funding

Guaranty Agency Payment and Reporting Administration

Lender Payment and Reporting Administration

Financial ReportingFunds ManagementPayables ManagementReceivables Management

Recovery and Resolution

Consolidate Loans

ServiceDebts

Monitor Security Environment

Control Access to Systems and Resources

Create and Publish Materials

Outreach for Partners

Training for Partners

Aid Education Submission Eligibility Repayment Consolidation Collections

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Other External PartnersDepartment of Education

App and Participation Mgmt Funding and Allocation Origination and Disbursement Servicing Reporting

General Public Applicants Borrowers

Produce Enterprise Reports and Queries

Calculations and Reporting

Default Rate ProcessingManage IF DataMonitor Aid Eligibility

Predictive Modeling

Fee Payment

Manage Identity Community

Manage Security Environment

Person Record Management Service

Application Customer Service

Application Reporting and Analytics

O&D Customer Service

O&D Reporting and Analytics

Organization Record Management Service

Integrated View Retrieval Service

CB Reporting and Analytics

Target State Vision

IntegratedTechnical Architecture

Target State Vision

Customers &Partners

Integrated Technical Architecture

Portal / Gateway / Call Center

Students, Borrowers, Applicants

Schools

Financial Partners

Department of Education

Federal Agencies

State Agencies

Service Providers

Security Architecture



Enterprise Service Bus


Integrated Partner M

anagement

Application

*Com

mon Services for

Borrow

ers

eCam

pus Based

Financial Managem

ent System

Information Fram

ework

Enterprise Applications/Services

Person Record M

anagement

Service

Origination and D

isbursement

Target State Vision (cont’d)

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Have a target to shoot for:• The Target State Vision (TSV) was developed with active

business owner involvement and is considered a business–driven view of the future.

Integration Lessons Learned

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A i d A w a r e n e s s & A p p l i c a t i o nI n s t i t u t i o n

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F i n a n c i a l A i d H i s t o r y

F i n a n c i a l A i d H i s t o r y

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L e n d e r s ( S c h o o l S e r v i c e r s )

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B u s i n e s sI n t e l l i g e n c e

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E S BE n t e r p r i s e

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S t u d e n t P o r t a lS t u d e n t P o r t a l

C a l l C e n t e r s

A i d D e l i v e r yA i d D e l i v e r y

C o l l e c t i o n sC o l l e c t i o n s

F S A T a r g e t S t a t e V i s i o n

• The TSV has become a recognizable symbol to Federal Student Aid staff of our commitment to modernization and integration.

• The TSV is defined through a series of views - Performance, Business, Information, Application, and Technology.

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Make integration someone's job:

• Federal Student Aid established an Integration Team whose primary function is to refine and maintain the TSV and promote integration across the enterprise.

• The integration Team supports CIO and business owners in modernization planning, requirements definition, and acquisition planning.

• The Integration Team facilitates a Business and Technology Integration Group (BTIG) as a regular (weekly) forum for presentation and discussion of integration-related topics. Representation from business owners, CIO, CFO, and Program Management Office.

• The BTIG makes recommendations to Federal Student Aid senior leadership on modernization and integration planning.

Integration Lessons Learned (cont’d)

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Get the level of detail right:


• Federal Student Aid acquires services through a performance-based contracting approach.

• A balance must be achieved between providing too much information to vendors (and therefore being too prescriptive and stifling innovation) and not providing enough.

• Federal Student Aid has focused on high-level business requirements and on integration points (particularly data integration).

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The technology is not the hard part:

• The most challenging aspects of modernization and integration planning are ensuring appropriate business user involvement and managing the organizational aspects of change.

• The concepts of Shared Services and Enterprise Assets are major elements of Federal Student Aid's TSV. These imply that a service or asset will be built once and potentially used by many elements of the enterprise.

• Anticipating the operational, contractual, and organizational impacts of these concepts will be critical to successful implementation across Federal Student Aid.


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• Have a target to shoot for

• Involve business owners from the beginning

• Use the target state as a tool to drive resource decisions and acquisitions

• Integration is a process and needs an owner

Summary

19

Questions?

20

Keith Wilson

Phone: 202-377-3591

Email:[email protected]

21

Portals

John Langenfelder

22

Target State Vision (TSV)

23

TSV Technical Architecture

24

What is A Portal An Enterprise Portal is a Framework for Integrating Information,

Applications, and Processes Across Organizational Boundaries – Wikipediao Portals Provide:

• Simplified sign-on to back office applications and systems

• Personalized information to deliver what users need when they need it

• Streamlined and seamless access to information through a single user experience reducing the need to go from website to website

• Continuous look and feel throughout allows for the appearance of integration before re-engineering back end systems takes place

25

Enterprise Portal Infrastructure

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Design Principles• Zero impact to current web site styles• Fully support current FSA web design

guidelines• Maximize user flexibility and personalization• Leverage built-in portal capabilities• Formalize concepts of a view• Support clear development contract

boundaries

27

Enterprise Portal Layers

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What is a View? Delivery of services and content from the perspective of a targeted

user populationo Views:

• Provide a broad spectrum of services to address a user population not just a particular function

• Allows for seamless integration of information across functions

• Leverages common reusable functionality enabling project teams to focus on business function unique to the user population

• Provides one location to go to and one sign on

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How Views Relate to Each Other

FSA.ED.GOV

Students View Employee View Trading Partner View

Students and Parents Employees and Contractors Schools and Third Party Servicers

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Views Are Fully Customizable

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View Style - Theme

Quick Launch Bar View

LevelSearch

Logo

Menu Bar

View Footer

Themes Control the over-all look and feel.

o Themes:

• Includes header, footer, menu bar, side navigation

• Defines the page level items that repeat on all pages in the site

• Defines the color palette for the site

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Page Content - Portlet Portlets are Pluggable user interface components that represent a

piece of functionality on a page.

o Portlets:

• Pages are collections of Portlets

• Reusable content area of page

• Supports personalization

• Supports customization

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Reusable Portlets•Alerts Portlet•Survey•Features Portlet•News Portlet•Featured Links Portlet•Add a Gadget Portlet•My Book Marks Portlet•My News•Weather Portlet•Employee Finder•My Todo’s

Questions?

35

John Langenfelder

Phone: 202-377-4457


Enterprise Service Bus and Federal Student Aid Gateway Strategy

Balu Balasubramanyam

37

• To review the vision and high-level requirements of Federal Student Aid's TSV Gateway solution.

• Provide information on the TSV Gateway's role in the target state and how customers can leverage its capabilities.

Objectives

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• Gateway

• TSV Gateway Requirements Overview

• Interface Infrastructure

• TSV Gateway Integration

– TSV Application Architecture

– TSV Integration Points

• TSV Gateway Conceptual Design

• Open Discussion

Agenda

39

What is a Gateway?– A Gateway is part of an organization's technical architecture that facilitates

the communication between internal applications and external systems.

– A Gateway provides separation and security between the outside world and an internal network.

– A Gateway acts as a proxy to broker requests between external partners and Federal Student Aid systems.

Gateway

40

Relationship to TSVGateway provides a communication channel between Federal Student

Aid and external partners


Target State Vision

Customers &Partners


Portal / Gateway / Call Center


Schools

Financial Partners

Department of Education

Federal Agencies

State Agencies

Service Providers






Integrated Partner M

anagement

Application

Comm

on Services forBorrowers

eCampus Based

Financial Managem

ent System

Information Fram

ework


Person Record Managem

ent Service

Origination and Disbursement

®

Gateway is an access point for external

partners

Gateway is an access point for external

partners

Gateway (cont’d)

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What is Gateway’s role in TSV?• TSV Gateway will be a key enabler for external

partners doing business with Federal Student Aid

• TSV Gateway will provide Federal Student Aid TSV enterprise business applications with a secure and reliable solution to communicate with external partners

Gateway (cont’d)

42

What are the benefits and impacts?

• Creates an enterprise view of all external interface information exchanged with Federal Student Aid

• Provides a layer of security between Federal Student Aid and external partners

• Creates well defined procedures for integrating with Federal Student Aid services

• External interfaces can be centrally managed

Gateway (cont’d)

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• Gateway







• Open Discussion

Agenda

44

High-level functional capabilities identifiedSupport batch-file transfer– External partner sends batch files to Gateway– External partner receives batch files from Gateway

Support right-time data transfer– External partner sends right-time update to Gateway– External partner receives right-time update from Gateway

Support shared services use– External partner invokes Federal Student Aid shared service via

Gateway– Internal application invokes external shared service via Gateway

TSV Gateway Requirements Overview

45

• Gateway







• Open Discussion

Agenda

46

Interface Infrastructure The current Federal Student Aid external interface

concerns are:

"What problem needs to be solved?"

EAI FSA Systems (NSLDS, COD,

CPS, etc…)

Gateway(SAIG)

Some External Partners

School

Guaranty Agency, etc

Lender

Federal Student Aid

Other External Partners

Federal Agency

Guaranty Agency, etc.

State Agency

FTP / VPN

Email

Tape

Sends and receives batch files via SAIG

Sends and receives data via other communication channels, e.g. FTP, Computer Tape

• Multiple communication channels and entry points into Federal Student Aid

are not centrally tracked or managed

• No right-time data interchanges

• Security architecture is not being leveraged

“What problem needs to be solved?”

47

TSV Gateway solution will be the single communication channel between Federal Student Aid, external partners, and external service providers.

Interface Infrastructure (cont’d)

ApplicationsGateway Communication Layer

Enterprise Service Bus (ESB)

Shared Service

Shared Service

External Partners

School

Guaranty Agency

Lender

External Service Providers

IRS, SSA, etc...

Other

Federal Student Aid

WS

Int

erf

ace

Ser

vice

WS

Int

erf

ace

Ser

vice


External partners can send batch and right-time data transmissions.

External partners can invoke exposed Federal Student Aid shared services via the gateway.

Internal Federal Student Aid applications and services can invoke external web services via the gateway.

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• Gateway







• Open Discussion

Agenda

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TSV Application ArchitectureGateway, Portal, ESB and internal applications are integrated within the enterprise target state vision

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TSV Gateway solution will integrate with:TSV Integration Points

• Federal Student Aid's critical enablers

– TSV Enterprise Service Bus (ESB)

– Security Architecture

– Student Aid Internet Gateway (SAIG)

– TSV Portal solution

• Federal Student Aid's business applications (e.g., COD, NSLDS, IPM, Information Framework, etc…)

• *Network Storage

* Integrating with Network Storage is an alternative technical architecture to support the processing of batch files.

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• Gateway







• Open Discussion

Agenda

52

TSV Gateway Conceptual Design

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TSV Gateway Conceptual Design (cont’d)TSV Gateway Component Descriptions:

Interfaces: Interfaces provide a way to establish systems-to-system communication. Interfaces specify the appropriate method of communicating with a system, such as messaging and transport protocols.

Messaging/Transport Protocols: Support the actual system-to-system communication. The messaging protocol specifies the communication language understood by the receiving system or service, e.g. SOAP. The transport protocol specifies the type transmission protocol supported for the system-to-system communication, e.g. HTTP or JMS.

Service Registry: A directory that contains information about available services, including web services and batch file transfer interfaces.

*Network Storage: Serves as a staging area to store all inbound and outbound batch files. Using Network Storage prevents the need to send batch files over the network and ESB, therefore reducing network overhead.

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TSV Gateway Component Descriptions: The following capabilities are used to support the Gateway’s processing of batch files.

Data Validation: Validates the schema and/or file format is in a readable and correct format.Note: Data Validation does not validate the actual data content, such as SSN has no dashes.

Data Transformation: Transforms data structure to necessary schema or file format between systems with different data structures.Note: Data Transformation does not change the data content. Data Transformation is not business rule driven.

XML Standardization: Validates and enforces the use of a standard data schema between systems. Using a standard data format with a common data definition enables data consistency throughout data exchange process. This service should leverage the use of Federal Student Aid's XML repository.

TSV Gateway Conceptual Designs (cont’d)

55

TSV Gateway Conceptual Design (cont’d)TSV Gateway Component Descriptions: End User GUI Components describe the functionality provided to gateway *end users.

Upload/Download Batch File: Provide the capability for an external partner to upload and download a file to the TSV Gateway.Check Status of Batch File: Provide the capability to check the status of sent and received batch files.Mailbox Management: Provide external partner’s administrators with the capability to manage the mailboxes for their organization.Administrator Management Console: Provide gateway administrators with administrative capabilities, such as reporting and operating the TSV Gateway. Reference Center Documentation & FSA Download: Provide the capability to download any necessary client software and supporting gateway documentation.

*TSV Gateway end users include external partners’ end users and administrators, Federal Student Aid employees, and TSV Gateway

administrators.

56

What are some key differences between a Gateway and Portal?Gateway vs.• Used for system to system

communication• Capable of batch-file and

right-time data transmission

• Acts as a proxy between external partners and Federal Student Aid

Portal• Used by end users to access

information• Capable of real-time data

transmission• Customizable graphical

user interface (GUI)

Gateway & Portal Comparison

Both Gateway and Portal are applications to communicate between external partners and Federal Student Aid

57

• Gateway







• Open Discussion

Agenda

58

– What problems do you anticipate with this approach?

– What problems continue to be unresolved if Federal Student Aid implements this solution?

– How should Federal Student Aid solve them?– Are any supplemental requirements necessary?– Is Gateway the right place to solve them?– How soon will this solution be useful? – How are you benefited by using this solution?

Open Discussion

59

Questions?

60


Phone: (202) 377-3730Email:[email protected]

61

Person Record Management System and

PIN Re-engineering

Keith Wilson

62

Gathering and Using Person Data

CPS • Create or

• Update

• Create or• Update

• Create or

• Update

• Create Or Update

PIN

COD

DLCS

NSLDS

Aid Awareness and Application

Aid DeliveryServicing/

Consolidation

DMCS

DLSS

• (DL, FFEL and • Perkins)

63

Why Person Data Management?• No single version of the “truth” for a customer

account

• Disparate systems developed with duplicative and conflicting information about applicants and recipients

• Different system keys for identifying individuals

• Use of the SSN in authentication and customer identification

64

Why Person Data Management? (cont’d)

• Difficulty in developing single picture of customer data

• Commingling of authentication and demographic functions

• Lack of integration with enterprise security architecture

• No flexibility in interfacing with authenticated and unauthenticated users

65

What will Person Data Management do?• Deploy a new paradigm for person data management via a shared service

at the enterprise level that all business applications can use. • Improve data quality for person data throughout the Student Aid

Lifecycle

• Enable increased tracking and reporting capabilities for program integrity and program oversight

• Enable the Integrated Student View, Single Sign On, and additional streamlining initiatives

• Provide infrastructure to allow for elimination of use of SSN as key identifier in Federal Student Aid systems

66

What is the Person Data Management Program?

• Person Data Management (PDM) is primarily comprised of two major projects

– The Person Record Management Service (PRMS)

– A re-engineering of the current PIN solution

67

What is PRMS?• PRMS will be the master record for Federal Student

Aid of an applicant or recipient’s demographic information

• PRMS will be an enterprise shared service using a publish and subscribe model following Service Oriented Architecture principles

• Legacy applications will transition to use of the PRMS in a phased manner

68

What is PRMS? (cont’d)• Will provide an enterprise account number (FAN = FSA

Account Number) for persons: – Creates a unique identifier as the enterprise identifier– Protects the person’s identity– Passes the new identifier to other systems– Allows people interacting with Federal Student Aid

systems to not use personal identifying information to access detailed information

• Helps in resolving data quality issues• Maintains history of person data• Acts as the master source/location of person data where it is

maintained and shared with other internal systems

6969

Conceptual Diagram of PRMS

Conceptual Depiction

Person Data Providers

Borrower Services

Enterprise Portal

Person Record Management Service Solution

Business Capabilities

Student Aid History Management (Information Framework)

Origination & Disbursement

Federal Student Aid Functional Areas Using Person Data

• Person Master Record Management Service• Enrollment/Profile Update Services• Synchronization Services• Look up Services• Audit Trail

• Pre-Applicants • Applicants• Students• Parents• Borrowers• Endorsers

Person Data Consumers

• Employees

Integrated Views

• Integrated views• Queries• Data look-up• Standard and Ad-

hoc reports

CPSPINNSLDSCODDLCSDLSSDMCSCDDTSSAOTW

CPSPINNSLDSCODODSDLCSDLSSDMCSCDDTSSAOTWOmbudsman

Application

Ombudsman

Person Data Providers

Borrower Services

Enterprise Portal

Person Record Management Service Solution

Business Capabilities

Student Aid History Management (Information Framework)

Origination & Disbursement

Federal Student Aid Functional Areas Using Person Data

• Person Master Record Management Service• Enrollment/Profile Update Services• Synchronization Services• Look up Services• Audit Trail

• Pre-Applicants • Applicants• Students• Parents• Borrowers• Endorsers

Person Data Consumers

• Employees

Integrated Views

• Integrated views• Queries• Data look-up• Standard and Ad-

hoc reports

CPSPINNSLDSCODDLCSDLSSDMCSCDDTSSAOTW

CPSPINNSLDSCODODSDLCSDLSSDMCSCDDTSSAOTWOmbudsman

Application

Ombudsman

70

What is PIN Re-engineering?• A re-engineered PIN solution will:

• Separate person demographic and authentication information and the functions associated

• Introduce an enterprise approach to use of user ID and password

• Strengthen the authentication credential (PIN)

• Integrate the authentication function with Federal Student Aid ’s enterprise security architecture solution

71

Conceptual Diagram of Re-engineered PIN

PRMS - Person DirectoryBusiness Capabilities

•Register users of citizen-facing systems•Manage user directory•Integrate with PRMS Person Data Hub•Provision credentials•Authenticate users•Validate PIN*•Implement EAM policies and processes

PRMS - Person DirectoryBusiness Capabilities

•Register users of citizen-facing systems•Manage user directory•Integrate with PRMS Person Data Hub•Provision credentials•Authenticate users•Validate PIN*•Implement EAM policies and processes

•Pre-Applicants•Applicants•Students•Parents•Borrowers

• Register to obtain access to systems

Student Authentication Network (STAN)Provide PIN* validation service to:

•Lenders•Guarantors•Schools

Student Authentication Network (STAN)Provide PIN* validation service to:

•Lenders•Guarantors•Schools

•Authenticate users

•Validate e-signature (PIN*)

•Use a Federal Student Aid system

•Electronically sign a document

Person Directory•User ID•Password•PIN*•FAN

Person Directory•User ID•Password•PIN*•FAN

Person Data Hub•FAN•Name•Address•Contact and PII

Person Data Hub•FAN•Name•Address•Contact and PII

Federal Student Aid systems using e-signature•eMPN•CPS•DLCS

Federal Student Aid systems using e-signature•eMPN•CPS•DLCS

Federal Student Aid’s citizen-facing systems•Student Aid on the Web•FAFSA on the Web•DLSS•NSLDS•Enterprise Portal

Federal Student Aid’s citizen-facing systems•Student Aid on the Web•FAFSA on the Web•DLSS•NSLDS•Enterprise Portal

* PIN functionality remains throughout transition period to Person Directory

Targe

t Sta

te

App

lication

s

Lega

cy App

licatio

ns

Data Providers

CPS

PIN

NSLDS

COD

Data Consumers

CPS

ODS

NSLDS

COD

Enrollment / Profile Update Service

Audit Trail

Pe

rso

n M

ast e

r R

ec o

rd

Man

age

me

nt

Ser

v ic e PERSON

DATAHUB

PERSONDIRECTORY

Sync

hroniz

ation

Service

Lookup

Serv

ice

DeDupAssign ID

Clean Normalize

PERSON ID

UpdatesUpdates

Identity InfoContact Info

User NamePassword

Role

New Enrollment

SSA

Verify Identity

Enterprise Portal

PIN

DLCS

DMCS

DLSS

DMCS

DLSS

DLCS


Se

curit

y A

rch

it ect

ure S

ecu

rity A

rchite

cture

CDDTS

SAOTW

CDDTS

SAOTW

PDM Solution(s) Conceptual Architecture

Person Data Hub will be the new master data management solution for person data for identity (e.g., SSN, name, DOB) and demographic data (e.g., address, email address)

Person Directory will store a copy of authentication information.

The PDM solution includes two databases: Person Data Hub and the Person Directory:

Questions?

Keith Wilson

Phone: 202-377-3591


75

BREAK

Virtual Keyboard, Two Factor Authentication and Active

Confirmation


77

Tactical Improvements to IT Security

Quick fixes and high impact improvements that can be implemented in a short timeframe to enhance the IT security

Virtual Keyboard• Implement technologies appropriate for Federal Student Aid that evade potential

"key logging"

Two-Factor Authentication (T-FA)• Implement Two-Factor Authentication solution for privileged users to access

National Student Loan Data System (NSLDS) from internet

Active Confirmation• Assess current state of access controls for partners and deploy an “active

confirmation” process

Virtual Keyboard

79

Keylogging – Virtual Keyboard Keylogging (Keystroke logging) is a method of capturing and

recording user keystrokes. Some of the common technologies used to evade keylogging include:

Anti-spyware Monitoring what programs are running Firewall Network Monitors Automatic form filler programs Alternative keyboard layouts One-time passwords Smartcards Virtual keyboards

Virtual keyboards are provided on the application login page and do not require end users acquire additional software

80

Keylogging – Virtual Keyboard

81

Keylogging – Virtual Keyboard (cont’d)

82

Keylogging – Virtual Keyboard at Federal Student Aid

83

Federal Student Aid Virtual Keyboard Features

Virtual keyboards are provided on the Security Architecture (SA) login page and do not require end users acquire additional software. Some of the features of Federal Student Aid Virtual Keyboard include:

Highly effective in evading “Key Logging” Widely used by many financial institutions Least expensive technology to deploy (even for 50 million users) Does not require any new hardware or software on client machines Does not require any changes to the applications Available to all applications that use SA Works in conjunction with the existing keyboard Usage is optional but can be made mandatory based on security policy Keys can entered by mouse click or by leaving mouse on the key for 2 seconds Virtual keyboard randomly shifts on the screen Supports multiple keyboard layouts (US and Dvork)

Two-Factor Authentication

85

What is Two-Factor Authentication?

Two-Factor Authentication (T-FA) uses two pieces of information and processes (two different methods) to authenticate a person's identity for security purposes. Authentication factors are generally classified into three categories:

Something the user has

• ID card, security token, software token, phone, or cell phone

Something the user knows

• password, pass phrase, or personal identification number

Something the user is

• fingerprint or retinal pattern, voice recognition, or another biometric identifier

Two-Factor Authentication requires the use of solutions from two of the three categories of factors.

86

T-FA Implementation Approach

Evaluate and select software for T-FA that can be incorporated quickly into Federal Student Aid security architecture.

The product selected will be Federal Student Aid’s (interim) enterprise standard for implementing T-FA and may be used with many of Federal Student Aid’s online applications.

The initial installation will likely be for the NSLDS application access for employees and contractors. In the future, T-FA will be added to other applications with PII data.

The T-FA application would control the request for a second factor for authentication and only make the request when the employee or contractor is accessing the application from outside of EDUCATE, the Department’s network. The future capability may include other trading partners, such as schools and financial partners.

The T-FA tool should work seamlessly with Federal Student Aid security architecture and applications.

87

T-FA Implementation Milestones

Implement Two-Factor Authentication (T-FA) for privileged users to access Federal Student Aid systems from internet, coming from outside of the EDUCATE network

Complete evaluation of Two-Factor Authentication technologies

Develop a Web Service to initiate T-FA challenge after standard application login

Coordinate with NSLDS team to integrate T-FA into its web login process

Conduct a product evaluation to select a T-FA tool for employees and contractors accessing NSLDS from internet

88

T-FA Technologies Some of the common technologies used as the second factor

authentication in concert with UserID and Password include:

Hardware Tokens - generate a constantly changing one-time password to enable authentication.

Software Tokens on PCs - enable authentication with computer as second factor authenticator.

Software Tokens on Mobile Devices - allow authentication from smart phones and PDAs.

Smart Cards - enable authentication as well as of physical access.

USB Tokens - enable authentication without the need to key in a token code (can be plugged into a standard USB port).

Biometric Devices - enable authentication according to the physical characteristics of a user (fingerprint and retina scans).

89

T-FA Requirements

The Two-Factor Authentication (T-FA) tool evaluation and selection is based on the following requirements categories:

1. Client-Side Software and Tokens

2. Server Environment

3. Security

4. Performance and Scalability

5. User Experience

6. Vender Support

7. Cost

90

T-FA Evaluation Factors

Two-Factor Authentication solution or tool should:

1. Be reliable, scalable, and available, and meet sub-second performance standards

2. Be compatible and interoperable with Federal Student Aid Technology and Policy Standards

3. Seamlessly integrate with existing Federal Student Aid architectures and infrastructure

4. Support web applications and should not require client-side software

5. Be compliant with NIST, FIPS and other federal T-FA standards

6. Have well documented APIs, implementation and configuration procedures

7. Have ongoing operations and maintenance product support

8. Be based on mature technology and should be commercially available with a broad installed market base

91

Identity Protection (IP) Services

Active Confirmation

93

What is Active Confirmation?

• Active confirmation is the process of a Designated Point Administrator (DPA) reviewing users' access privileges on a establish time schedule and confirming these users' privileges. This will help ensure an updated and secure environment for system accessibility.

• The Federal Student Aid DPAs will be required to review their list of users who access Federal Student Aid systems and confirm that each individual continues to be a valid user. This will be done on a periodic basis.

94

“Active Confirmation” Process

Assess current state of access controls for partners and determine feasibility of deploying an “active confirmation” process. Entities will be routinely asked to review their list of users with access to Federal Student Aid systems and confirm that each individual continues to be a valid user on his/her behalf.

• Internal Review Team performed a high level assessment and provided recommendations to determine feasibility of deploying an “active confirmation” process for NSLDS, CPS, DMCS, and COD

• The foundation for active confirmation exists in current state user management processes within NSLDS, CPS, and DMCS

• Enterprise Access Management group will review the recommendations and determine the feasibility of deploying an “active confirmation” process

95

Questions?

96


Phone: (202) 377-3730Email:[email protected]

Federal Family Education Loan (FFEL)

Re-engineering

Ron Bennett

98

Purpose

Provide an overview of the FFEL Data Standardization and Business Process Improvement Project

• What it is• What’s been done• Where we are today• Next steps

FFEL Business Process and Data Standardization

99

Project Mission

Develop FFEL process improvement recommendations and define data standards that will be exchanged between Federal Student Aid and its partners throughout the financial aid lifecycle for FFEL Program loans.

FFEL Business Process and Data Standardization (cont’d)

100


Proposed Business Process Improvements

Goals: • Streamline FFEL business processes for Federal Student Aid

and the FFEL Community• Eliminate current process weaknesses across the financial aid

lifecycle• Incorporate target state initiatives and concepts into FFEL

business processes• Resolve information/data deficiencies

101


Proposed Data Standards

Goals:• Eliminate duplicative reporting through collection of the right

data from the right data provider at the right time• Collect data based on business needs• Establish in the XML Registry and Repository (XML R&R) a

common definition for data attributes that Federal Student Aid and the FFEL Community exchange

102


Benefits to Federal Student Aid and Partners

• Improved accuracy and consistency of information• Reduced redundancy of information and processes• Improved timeliness of information• Improved completeness and accessibility of information• Improved ability to synthesize, report on and analyze

information• Streamlined data collection and integrated end-to-end

processes

103


Benefits to Students and Parents

• Single integrated view of student information • Improved default prevention by predictive modeling to

identify at-risk borrowers and early intervention to assist those borrowers

• Reduced data entry burden through pre-population of information (e.g., consolidation application)

• Improved security of individual information through reduced reliance on the Social Security Number

• Information quality

104


FFEL Data Standards Phased Approach

The FFEL Data Standards project consists of threephases:• Phase I - Internal Analysis with Federal Student Aid and

Department of Education Business Owners• Phase II – External Analysis with the FFEL Community of

Interest• Phase III – Modify/Add Data Standards through

Postsecondary Education Standards Council (PESC) Change Control Board

Phase 1:Internal Analysis with

Business Owners

Phase 2:External Analysis

with FFEL Community

Phase 3:PESC CCB

Data RequirementsGathering

105


Submit updated requirements to business owners for approval of draft

Meet with business owners to review baseline data requirements

Use feedback from Federal Student Aid business owners to evaluate draft data standards

Develop updated requirements and to-be business processes

Internal Analysis with Business Owners Process

12

34

Federal Student Aid Draft Data Requirements

Baseline Data Requirements

Obtain approval from Federal Student Aid

Analyzed Federal Student Aid Interfaces:•DMCS•NSLDS•FMS•Consolidation/LVC


Business Owners


with FFEL Community

Phase 3:PESC CCB


Phase I: Internal Analysis Approach

106


Phase I: Internal Analysis Outcomes

FFEL Data Flows Requirements Document (V2 – Business Unit Lead Validated)

• Draft “To-be” FFEL lifecycle business process maps

• Draft FFEL data standard requirements


Business Owners


with FFEL Community

Phase 3:PESC CCB


107


Business Owners


with FFEL Community

Phase 3:PESC CCB


Federal Student Aid draft Data Requirements

Review Federal Student Aid draft data requirements with FFEL community

Use FFEL feedback to evaluate draft data standards

Update data requirements

External Analysis with FFEL Community

12

34

12

34Receive Federal Student Aid and Community approval for updated requirements

Final Data Requirements

FFEL Data Standards Working Group with key stakeholder representatives:

•Guaranty Agencies•Lenders•Schools•Servicers•Standards Councils•Federal Student Aid Representatives


Phase II: External Analysis Approach

108


Loan Assignments NSLDS Reporting CommonLine Common Record

GA Financial Reporting Lender Financial Reporting Common Account Maintenance (CAM)

Collection Support Processes (i.e., TOP, NDNH, etc)

Consolidation LVC Processing

Cohort Default Rates Claims Processing Discharge/forgiveness Processing

Perkins Direct Loans Federal Grants

Phase II: FFEL Community Representatives

• Six Federal Student Aid representatives

• 21 FFEL Community representatives – Experience needed for workgroup

109


Phase II: External Workgroup Activities

The external workgroup reviews data elements previously vetted with internal stakeholders during Phase I to support the FFEL financial aid lifecycle.

• The external workgroup specifically analyzes: – Data element names– Data element definitions– Data element usage, field length and type

• The external workgroup members are given a week to accept or reject the proposed data elements.

• The external workgroup members determine whether some elements are duplicative or unnecessary

110


Phase II: Subgroups

From the external workgroup, two subgroups were formed to discuss: – Payment/Collection History: the subgroup will discuss the needs

of Federal Student Aid to obtain borrower payment history to support loan assignment, financial reporting and program management.

– Lender financial reporting (ED Form 799): the subgroup will discuss ways to reduce the burden of lender financial reporting through the collection of aid-level data elements.

111


Phase II: Progress to Date

The External Workgroup reviewed over 150 data elements from current reporting standards (e.g., assignment, NSLDS reporting) and new data elements that cover a wide range of data (e.g., claims, reinsurance, assignment, collections) to meet Federal Student Aid’s business needs.

• Approved data elements: 98

• Removed data elements: 55

112


Phase II: Communications Plan to the FFEL Community

A Communication Sub-Committee is responsible for developing and approving a monthly update to the FFEL community.

• Updates on project progress are provided through a link on the Financial Partners Portal (http://www.fp.ed.gov/PORTALSWebApp/fp/FFELDataStandProj.jsp).

• NCHELP, NASFAA and COHEAO provide the monthly communication to their respective listservs.

• A dedicated email address ([email protected]) has been established for community comments and questions.

http://www.fp.ed.gov/PORTALSWebApp/fp/FFELDataStandProj.jsp

http://www.fp.ed.gov/PORTALSWebApp/fp/FFELDataStandProj.jsp

mailto:[email protected]

113


Identity and Access Management

Enterprise Analytics and Reporting

Enterprise Shared Services

Student Aid History Management

Financial Management

Partner Payment and Reporting Management


Borrower Services

Campus BasedProgram Guidance & Information

Origination & DisbursementAid Awareness and Application

LendersState Agencies Schools

Aid Awareness & Application Aid Delivery Institution Participation Servicing

Guaranty Agencies

Determine Aid Eligibility

Establish Person Record

AidAwareness

School Aid Payments and Funding Level Management

Award and Disbursement Processing

Service CancellationsCB Award ProcessingApply for Funding

Partner OversightPartner Eligibility and Enrollment

State Agency Funding

Guaranty Agency Payment and Reporting Administration

Lender Payment and Reporting Administration

Financial ReportingFunds ManagementPayables ManagementReceivables Management

Recovery and Resolution

Consolidate Loans

ServiceDebts

Monitor Security Environment

Control Access to Systems and Resources

Create and Publish Materials

Outreach for Partners

Training for Partners

Aid Education Submission Eligibility Repayment Consolidation Collections

Org

aniz

atio

ns

Fed

eral

Stu

den

t A

idP

erso

nL

ife

Cyc

le

Ph

ase

Other External PartnersDepartment of Education

App and Participation Mgmt Funding and Allocation Origination and Disbursement Servicing Reporting

General Public Applicants Borrowers

Produce Enterprise Reports and Queries

Calculations and Reporting

Default Rate ProcessesManage IF DataMonitor Aid Eligibility

Predictive Modeling

Fee Payment

Manage Identity Community

Manage Security Environment

Person Record Management Service

Application Customer Service

Application Reporting and Analytics

O&D Customer Service

O&D Reporting and Analytics

Organizational Record Management Service

Integrated View Retrieval Service

Federal Student Aid Target State Vision

114



FFEL Data Flows Initiative To-Be Application Architecture

Custo

mers

&Pa

rtner

s


Portal/Gateway

Schools/Servicers Lenders/ServicersGuaranty Agencies






DLCSDMCS/CDDTS

FMSIF/ODS


CPS


PRMS


DLSS

Target State Architecture

Questions?

116

Ron BennettPhone: 202-377-3181



117

Lunch on Own

Common Origination and Disbursement (COD) and Central Processing System

(CPS) Update

Common Origination and Disbursement (COD)

Update

Renee Wade & Nina Colon

120

Agenda

– Managing COD System Capacity– TEACH Grant Implementation Update– COD Functionality Update– COD Schema– COD Testing Schedule– Resources & EDExpress– Late Breaking News– Q & A

121

Agenda


Managing COD System Capacity

122

COD System Capacity Improvements– Federal Student Aid is currently completing a series of

activities to assist in handling increased Direct Loan volume

– During the period August 8-10, 2008, COD removed data for completely closed years from the COD System’s Production environment. Data was removed from the following years, and cannot be updated:• Pell Grant Closed Award Years

– 1999-2000– 2000-2001– 2001-2002

• Direct Loan Closed Program Years– 2002-2003– 2003-2004– 2004-2005

123

CommonLine Transformation Engine (CTE)

– CommonLine Transformation Engine went live on August 15, 2008.

– A temporary tool designed to help schools submit CommonLine v.4 and CommonLine v.5 records to COD.

– Intended as a last resort if a school is unable to develop the functionality needed to submit the XML Common Record to COD

124

CommonLine Transformation Engine (CTE) cont’d

– CTE accepts the CommonLine flat file records from schools •Converts relevant data into the COD Common Record XML format

•Submits converted records to COD for processing

– After COD processes the records, an XML response is transmitted to CTE •Transforms XML response back to the CommonLine flat file and sends to schools

125

Agenda

– Managing COD System Capacity– COD Aid Program Update– COD Functionality Update– COD Schema– COD Testing Schedule– Resources & EDExpress– Late Breaking News– Q & A

TEACH Grant Implementation Update

126

TEACH Grant Update

TEACH Grants are uniquely identified and tracked within Federal Student Aid systems. TEACH Grant functionality has been or is being implemented on the following schedule:

June 2008: •COD– ATS Web site available for students to submit the Agreement

to Serve (ATS). ATS acknowledgements sent to schools– COD accepts origination records and actual disbursement

records for TEACH

•Direct Loan Servicing– TEACH Grant award is sent to Direct Loan Servicing

127

TEACH Grant Update (cont’d)July 2008:

•NSLDS– Schools and students will be able to view individual disbursement

information and aggregate award information for actual TEACH disbursements

– Schools will be able to enter overpayment information for TEACH Grant– Schools will see TEACH Grant students posted to their enrollment

reporting rosters

•Borrower Services – Collections– Schools will be able to refer overpayments of TEACH Grants

September 2008:

•COD– COD Reports

•Servicing– Students will begin receiving TEACH Grant Quarterly Interest

statements

128

TEACH Grant Update (cont’d)January 2009:

•CPS– All applicants will be presented with the TEACH Grant question– Students / Schools will see TEACH Grant data on SAR / ISIR

•NSLDS– Schools will be able to request and receive Transfer Student

Monitoring that includes TEACH Grant (Record layouts will be available to schools and vendors 10/2008)

– Post screening will be triggered when TEACH Grant is converted to Direct Unsubsidized Loan (TEACH)

– Schools will be able to see if TEACH Grant has converted to Direct Unsubsidized Loan (TEACH)

March 2009:

•COD– Additional COD Reports/Files

129

Agenda

– Managing COD System Capacity– TEACH Grant Implementation Update– COD Aid Program Update– COD Schema– COD Testing Schedule– Resources & EDExpress– Late Breaking News– Q & A

COD Functionality Update

130

COD will implement the following new TEACH Grant functionality:

• September 2008 – TEACH Grant Reports

• March 2009– TEACH Grant Reports/Files– TEACH Grant Initial Subsequent Counseling– TEACH Grant Closeout Process– TEACH Message Classes

COD TEACH Functionality Update

131

Report NameDate

Available

SortFrequenc

y

Pre-formatte

d

Comma Delimite

d

Fixed Length

Comma Delimite

d

Multiple Reporting Record (MRR)*

September 2008

SSN Daily X

Inactive Grant Report

September 2008

Award ID

Monthly X X

Pending Disbursement Listing

September 2008

Last Name

Weekly X X

School Account Statement (SAS)

September 2008

SSN Monthly X

SSN/Name/Date of Birth Change Report

September 2008

SSN

Weekly (if Triggered

by Change)

X X

SAIG Web

* TEACH Grant MRR is system generated only for concurrent enrollment

TEACH Grant Reports

Beginning September 26, 2008, COD will produce the following new TEACH Grant school reports:

September 2008

132

TEACH Grant Reports (cont’d)

Report Name Message Class Batch Type

Multiple Reporting Record (MRR)

THMR09OP TM

Inactive Grant Report THIGPFOP TI

Pending Disbursement Listing THPD09OP TU

School Account Statement (SAS)

THSM09OP (Monthly)

THSY09OP (YTD)

TSTW

SSN/Name/Date of Birth Change Report

THSNPFOP TN

September 2008

July 25, 2008 – Posted IFAP Electronic Announcement communicating new

TEACH report message classes http://ifap.ed.gov/eannouncements/072508SAIGmessClassFile.html

http://ifap.ed.gov/eannouncements/072508SAIGmessClassFile.html

133

Report Name

Date Available

SortFrequenc

y

Pre-formatte

d

Comma Delimite

d

Fixed Length

Comma Delimite

d

ATS Discharge Report

March 2009Discharge

DateWeekly X X

TEACH Grant Rebuild

March 2009 -Data

RequestedX

TEACH MRR Report

March 2009 -Data

RequestedX

SAIG Web


Beginning March 27, 2009, COD will produce the following new TEACH Grant school reports/files:

March 2009

134


Report NameMessage

ClassBatch Type

ATS Discharge Report

ATSDISOP TD

TEACH Grant Rebuild

THRBYYOP TR

TEACH MRR THMRYYOP TM

March 2009

Message classes for TEACH Grant Reports available beginning March 2009 will be posted to the SAIG Message class table at a later date. Please reference the draft Publication of the 2009-2010 COD Technical Reference for more information: http://ifap.ed.gov/cod/attachments/0910CODTechRefVol2Sec2MessageClasses.pdf

http://ifap.ed.gov/cod/attachments/0910CODTechRefVol2Sec2MessageClasses.pdf

http://ifap.ed.gov/cod/attachments/0910CODTechRefVol2Sec2MessageClasses.pdf

135

• Beginning in March 2009, the ATS Web site will allow students to complete and submit annual Counseling for TEACH Grants

• Counseling for TEACH Grants will be award year specific

• The ATS Web site will require a student to successfully complete annual Counseling for a TEACH Grant prior to submitting an ATS for an award year– For the first TEACH Grant award, the student is required to

conduct Initial Counseling– For TEACH Grant awards in following years, the student is

required to complete Subsequent Counseling– For all TEACH Grant awards, the student is required to

complete Exit Counseling upon graduation or withdrawal from the program Exit Counseling will be facilitated by Direct Loan Servicing

TEACH Grant Initial, Subsequent Counseling

March 2009

136

• Beginning in March 2009, the COD System will provide an award year closeout process for schools for the TEACH Grant Program– A school is considered closed once Latest Date to Accept

Common Record has passed– School may request extended processing after award year

has closed via Request Post Deadline/Extended Processing web page

• Balance Confirmation Letter– Generated for schools that have TEACH Grant cash activity

or Net Accepted and Post Disbursements (NAPD) for the award year

– Sent on TEACH Grant Closeout Start Date

• Stay Tuned for the 2008-2009 TEACH Grant closeout deadline

TEACH Grant Closeout Process

March 2009

137

TEACH Message Classes• Beginning in March 2009, the COD System will accept and

return TEACH Grant data in new TEACH Grant-specific Message Classes

• All current, non-program specific Message Classes will still be able to process TEACH Grant data

March 2009

Message Class

Data Description Destination Mailbox

CRTHMYIN Common Record Documents containing TEACH Grant data for any or multiple award years sent from school to COD System.

To TG71900

CRTHMYOP

Responses sent from COD System to school for TEACH Grant data received in the CRTHMYIN message class.

From TG71900

CRTH10IN Common Record Documents containing TEACH Grant data for 2009-2010 Award Year sent from school to COD System.

To TG71900

CRTH10OP Responses sent from COD System to school for TEACH Grant data for 2009-2010 Award Year received in the CRTH10IN message class.

From TG71900

CRAC10OP TEACH Grant Counseling Acknowledgement (System Generated)

From TG71900

138

COD will implement the following new functionality for ACG and National SMART Grant:

• July 2009– ACG and National SMART for Eligible

Non-Citizens– National SMART for Grade Level 5

ACG & National SMART Grant Functionality Update

139

ACG and National SMART for Eligible Non-Citizens

As mandated by the Ensuring Continued Access to Student Loans Act of 2008 (ECASLA) and amended by the Higher Education Act (HEA), effective July 1, 2009, COD will allow Eligible Non-Citizens to qualify for an ACG award or a National SMART award for award year 2009-2010 and forward

COD will accept ACG and National SMART awards for eligible Non-Citizens for awards disbursed on or after July 1, 2009

The effective date for this change was amended by HEA

July 2009

140

National SMART for 5th Year Undergraduates

As mandated by the Ensuring Continued Access to Student Loans Act of 2008 (ECASLA) and amended by the Higher Education Act (HEA), effective July 1, 2009, 5th Year Undergraduate students will be eligible to receive a National SMART award for award year 2009-2010 and forward

COD will accept National SMART Awards for 5th Year Undergraduate students for awards disbursed on or after July 1, 2009

The effective date for this change was amended by HEA

July 2009

141

COD will implement the following new Pell Grant functionality:

• March 2009– Pell Cost of Attendance Field

Pell Grant Functionality Update

142

• Currently when the COD system receives a Pell correcting school’s Common Record with no tag for the COA data field, the COD system:– Places a default value of $99,999.99 in the

COA field– Returns a correcting edit 993 (Missing Value)– Accepts the Common Record

• With this change the COD System will:– Place no default value in the COA field– Return a rejecting edit 994 (Missing Value)– Will reject the Common Record

Pell Cost of Attendance Field

March 2009

143

COD will implement the following new Direct Loan functionality:

• November 2008– Modified Subsidized Loan Limit Edit

• March 2009– Interest Rebate Reduction

Direct Loan Functionality Update

144

Grade

Level

Subsidized Annual

Limit

Total Subsidized/ Unsubsidized Annual Limit

Additional Unsubsidized Annual Limit

0, 1 3,500 5,500 9,500

2 4,500 6,500 10,500

3, 4, 5

5,500 7,500 12,500

Modified Subsidized Loan Limit EditIn November 2008, COD will modify Edit 167 to reject a Direct Loan Subsidized award with when the sum of all applicable Subsidized awards exceed the Subsidized Loan Limit

November 2008

Effective for Loans first disbursed on or after July 1, 2008Total Subsidized/Unsubsidized Annual Limit applies to Dependent Students

–Excluding students whose parents cannot borrow PLUS

Additional Unsubsidized Annual Limit applies to Independent Students and dependent students whose parents cannot borrow PLUS

June 19, 2008 – Posted Dear Colleague Letter communicating new Loan Limits: http://www.ifap.ed.gov/dpcletters/attachments/GEN0808AttachA.pdf

http://www.ifap.ed.gov/dpcletters/attachments/GEN0808AttachA.pdf

145

• In March 2009, the COD System will reduce the Interest Rebate Percent in parallel with Origination Fee Percent reductions for Direct Loan Subsidized and Unsubsidized Loans

• The earliest actual Disbursement Date is used to confirm the appropriate Interest Rebate Percent was submitted with the loan, regardless of the award year

• PLUS Loan Origination Fee and Rebate percentages remain unchanged

Direct Loan Interest Rebate Reduction

March 2009

Earliest Disburseme

nt Date

On or After 07/01/2007 and Before 07/01/2008



On or After 07/01/2010

Origination Fee Percent (%)

2.5 2.0 1.5 1.0

Interest Rebate Percent (%)

1.5 1.5 1.0 .5

146

COD will implement the following Direct Loan & TEACH Grant correspondence functionality:

• March 2009– Mask SSN on Correspondence

Direct Loan & TEACH Grant Functionality Update

147

•The COD System will mask borrower/student social security numbers on paper correspondence to students for non-legal documents, including Direct Loan Disclosure Statements, TEACH Grant Disclosure Statements, and Direct Loan 60 Day Reminder Letters. The SSN will not be masked on legal documents.

•This will affect the first five characters of the SSN within the Award ID and MPN ID:

Sample MPN ID with Unmasked SSN

Sample MPN ID with Masked SSN

9 9 9 9 9 9 9 9 9 M 0 9 9 9 9 9 9 9 0 0 1

X X X X X 9 9 9 9 M 0 9 9 9 9 9 9 9 0 0 1

Mask SSN on Correspondence

March 2009

148

Reports- TEACH SAS- TEACH PDL- TEACH MRR- TEACH Inactive Grants- TEACH SSN/Name/DoB Change

TEACH Initial & Subsequent Counseling

TEACH School Reports

SSN Mask on Correspondence

Interest Rebate Reduction

TEACH Closeout Process & Report

Pell Cost ofAttendance

COD Calendar

Legend

TEACH Grant Changes

November 2008Release 7.3

ACG Eligibility(Effective July 1,

2009)SMART Eligibility(Effective July 1,

2009)

Subsidized Loan Limit Edit change

National SMART Grant ChangesACG Changes Pell Grant Changes Direct Loan

Changes

September 2008Release 7.2

June 2008Release 7.1

TEACH Grant

Schema 3.0a

180 Days for Late Disbursements

Eliminating 12-Month Loan Period

New Sub/UnsubP-Note

Disbursement Date Adjustments

Loan Limit Changes

March 2009 Release 7.0

149

Agenda


COD Schema

150

COD Schema

• Currently, schema version 2.0e may still be used for Pell Grant, ACG, National SMART Grant, and Direct Loan Beginning March 2009 schools must use the 3.0b schema version

• The COD System began to accept and process data from new XML Schema 3.0a in June 2008

• Schema version 3.0a is required for TEACH processing

• Schema version 3.0b will be required for all programs beginning for award year 2009-2010 and subsequent award years

• Web responses are sent in the highest Schema version

152

Schema 3.0a• The COD System began to accept and process data from new

XML Schema 3.0a in June 2008 for the 2008-2009 award year

• Schema version 2.0e may still be used for Pell Grant, ACG, National SMART Grant, and Direct Loan

• Schema version 3.0a is required for TEACH processing

• Web responses are always sent in the highest Schema version, currently 3.0a

• COD Web site: School Options Page

– “Schema Version for System Generated Responses” field

– Allow schools to choose, by program (Pell, ACG, National SMART Program, Direct Loan), between schema version 2.0e (default) or 3.0a responses

153

Schema 3.0a Changes• Entity ID attributes removed• Person Identifier attributes removed• Multiple changes to Contact and Address

blocks• New TEACH block

• March 11, 2008 – Posted IFAP Electronic Announcement communicating new schema

•http://www.ifap.ed.gov/eannouncements/031108CODXMLSchema3pt0a.html

http://www.ifap.ed.gov/eannouncements/031108CODXMLSchema3pt0a.html

http://www.ifap.ed.gov/eannouncements/031108CODXMLSchema3pt0a.html

154

Schema 3.0a: EntityID• Entity ID attributes removed

– RID nested within each entity type

– Affected tags include:<School EntityID= “ “><ThirdPartyServicer EntityID= “ “><COD EntityID= “ “><ReportingSchool EntityID= “ “><AttendedSchool EntityID= “ “>

2.0e schema example 3.0a schema example<School EntityID=“99999999“>

<School><RoutingID>99999999</

RoutingID></School>

155

Schema 3.0a: Person Block• PersonType Global Component changes

– Person Identifier attributes removed•Person Identifiers nested within new Index complex element

2.0e schema example 3.0a schema example<Student SSN=“999999999” Birthdate=“1987-01-01” LastName=“KIMBLE”>

</Student>

<Student><Index>

<SSN>999999999</SSN><BirthDate>1961-01-07</

BirthDate><LastName>KIMBLE</

LastName></Index>

</Student>

156

Schema 3.0a: Person Block<Student>

<Index>…

</Index><PersonIdentifiers>

<SSN>999999999</SSN><DriversLicense>

<DriversLicenseState>IL</DriversLicenseState><DriversLicenseNumber>999999999</DriversLicenseNumber>

</DriversLicense><SchoolAssignedPersonID>KI549922</SchoolAssignedPersonID>

</PersonIdentifiers><Birth>

<BirthDate>1971-01-07</BirthDate></Birth><Name>

<FirstName>RICHARD</FirstName><MiddleInitial>E</MiddleInitial><LastName>FORD</LastName>

</Name><Citizenship>

<CitizenshipStatusCode>1</CitizenshipStatusCode></Citizenship><Note>

<SchoolNoteMessage>New Person</SchoolNoteMessage></Note>

Formerly <Identifiers>

New

NewNew

New

New

157

Schema 3.0a: Contacts Block

<Student>…<Contacts><PermanentAddress><AddressLine>1234 Main St</AddressLine><City>Washington</City><StateProvinceCode>DC</StateProvinceCode><PostalCode>20002</PostalCode>

</PermanentAddress><Phone><PhoneNumber>514-131-0424</PhoneNumber>

</Phone><Email><EmailAddress>[email protected]</

EmailAddress></Email>

</Contacts></Student>

Or <TemporaryAddress>

New

New

158

Schema 3.0a: TEACH Block

<TEACH><FinancialAwardYear>2009</FinancialAwardYear><CPSTransactionNumber>01</CPSTransactionNumber><FinancialAwardAmount>4000.00</FinancialAwardAmount><Note>

<SchoolNoteMessage>New TEACH Award</SchoolNoteMessage></Note><FinancialAwardNumber>001</FinancialAwardNumber><FinancialAwardID>999999999H09099999001</FinancialAwardID><StudentLevelCode>5</StudentLevelCode><EnrollmentDate>2008-07-03</EnrollmentDate><TeacherExpertIndicator>false</TeacherExpertIndicator><Disbursement Number="1">

<DisbursementAmount>4000.00</DisbursementAmount><DisbursementDate>2008-07-15</DisbursementDate><DisbursementReleaseIndicator>true</DisbursementReleaseIndicator><DisbursementSequenceNumber>01</DisbursementSequenceNumber><Note>

<SchoolNoteMessage>New TEACH Disb</SchoolNoteMessage></Note><PaymentPeriodStartDate>2008-07-01</PaymentPeriodStartDate>

</Disbursement></TEACH>

TEACH Tag

Award ID

Teacher Expert Indicator

159

Schema 3.0a: TEACH Response

<TEACH> <FinancialAwardYear>2009</FinancialAwardYear> <CPSTransactionNumber>01</CPSTransactionNumber> <FinancialAwardAmount>3500.00</FinancialAwardAmount> <Note> <SchoolNoteMessage>New TEACH Award</SchoolNoteMessage> </Note> <FinancialAwardNumber>001</FinancialAwardNumber> <FinancialAwardID>999999999H09099999001</FinancialAwardID> <StudentLevelCode>6</StudentLevelCode><EnrollmentDate>2008-07-03</EnrollmentDate> <TeacherExpertIndicator>true</TeacherExpertIndicator> <Response> <ResponseCode>A</ResponseCode> <YTDDisbursementAmount>1789.15</YTDDisbursementAmount> <ElectronicAgreementToServeIndicator>true</ElectronicAgreementToServeIndicator> <AgreementToServeID>999999999C09099999001</AgreementToServeID><AgreementToServeStatusCode>A</AgreementToServeStatusCode> <AgreementToServeLinkIndicator>true</AgreementToServeLinkIndicator> </Response> <Disbursement Number="01">...</Disbursement></TEACH>

New

New

161

Schema 3.0b• The COD System will begin to accept and process data from new

XML Schema 3.0b starting in March 2009

• Schema version 3.0b will be required for all programs for award year 2009-2010 and forward

• Schema version 2.0e may still be used for Pell Grant, ACG, National SMART Grant, and Direct Loan award years prior to 2009-2010. System Generated responses for these award years will be sent in 2.0e. This may be changed by setting the “Schema Version for System Generated Responses” field on the School Options page on the COD Web site

• Schema version 3.0b will be used to transmit all COD Web responses, regardless of award year

• July 25, 2008 – Posted IFAP Electronic Announcement communicating new schema

• http://www.ifap.ed.gov/cod/0725CODXMLSchema3pt0b.html

http://www.ifap.ed.gov/cod/0725CODXMLSchema3pt0b.html

162

Schema 3.0b Changes• New Counseling block added for TEACH Grant Counseling

Acknowledgements

• New enumeration values for Agreement to Serve Status Code to include “C” for Closed. Values already returned are “A” for Accepted and “P” for Pending”

• Updates/Changes for future use (to allow two Pell awards in an award year):– New tags within the Pell Award block:

• FinancialAwardNumber• FinancialAwardID• AdditionalEligibilityIndicator

– New enumeration values for MPN Status Code to include “I” for Inactive and “C” for Closed

163

Schema 3.0b: Counseling Block

<Counseling> <FinancialAwardYear>2010</FinancialAwardYear> <CounselingType>TEACHCounseling</CounselingType> <CounselingSequenceNumber>001</CounselingSequenceNumber> <CounselingCompleteDate>2009-07-01</CounselingCompleteDate><Response> <ResponseCode>A</ResponseCode> </Response>

</Counseling> ...

<Response> <DocumentTypeCode>AC</DocumentTypeCode> <DocumentStatusCode>A</DocumentStatusCode> <ProcessDate>2009-07-01</ProcessDate> </Response>

</CommonRecord>

New TEACH Grant Counseling Acknowledgment

164

Agenda


COD Testing Schedule

165

School & Vendor Testing

• March 2009 Release 8.0 Testing ScheduleSign Up

Completed by 5/1/2009

Phase I 1/5/2009 - 6/5/2009

ImplementationCompleted by 3/28/2009

Phase II4/13/2009 - 6/26/2009

Unstructured 6/1/2009 – 9/25/2009

166

Agenda

– Managing COD System Capacity– TEACH Grant Implementation Update– COD Functionality Update– COD Schema– COD Testing Schedule– Resources– Late Breaking News– Q & A

Resources & EDExpress

167

ResourcesCOD Technical Reference

•2008-2009 Updates (7/2008)–Combination System Supplement

(CCRAA updates)–Direct Loan tools

•2009-2010 Draft (9/2008)•2009-2010 Final (10/2008)

– Implementation Guide–Volume III, V, VI–Volume IV will be published July 2009

168

IFAP Electronic Announcements05/27/2008 - FFEL and Direct Loan Interest Rates Effective July 1, 2008 06/04/2008 - COD Common Record Schema Version 3.0a06/19/2008 - TEACH Grant Operational Implementation Overview06/26/2008 - Upcoming SAIG Message Class File Update 06/30/2008 - CCRAA Operational Implementation Guidance 07/03/2008 - Increase to COD System Capacity - Implementation of Report Retirement Plan 07/25/2008 - Upcoming SAIG Message Class File Update 07/25/2008 - Increase to COD System Capacity - Removal of Data for Closed Years from Production Environment and Availability of CommonLine Transformation Engine Solution 07/25/2008 - COD Common Record Schema Version 3.0b07/28/2008 - 2009-2010 COD Technical Reference Draft Available

169

EDExpress Update

The EDExpress External Import Add and External Export record layouts have been updated for TEACH Grant for schools or vendors with combination systems. These record layouts have been published in the draft 0910 COD Tech Ref and in the most recent 0809 COD Tech Ref.

170

Agenda


Late Breaking News

172

Agenda

– Managing COD System Capacity– TEACH Grant Implementation Update– COD Functionality Update– COD Schema– COD Testing Schedule– Resources– Late Breaking News– Q & A

Q & A

Questions?

174

Renee WadePhone: 202-377-3133


Nina ColonPhone: 202-377-3384




2009-2010 Central Processing System Update

Ginger Klock

176

2009-2010 CPS Update Agenda• FAFSA Changes• Central Processing System (CPS)

Changes– Edits– Need Analysis

• Institutional Student Information Record (ISIR) Changes

• CPS Test System

177

Application Processing StatisticsPaper vs. Electronic Filing through Week 30

0

2000000

4000000

6000000

8000000

10000000

12000000

ElectronicApps

Paper Apps 2007-08

2008-09

• For 2008-2009• 99% of

applications filed electronically

• 1% of applications filed on paper FAFSA

178

The 2009-2010 Paper FAFSA

• Pantone Colors– Parents-Purple

Pantone 263

– Students-Green Pantone 390C-75%

179

The 2009-2010 Paper FAFSA (cont’d)

• The draft FAFSA has been posted to IFAP for an early review

• Update on 60-Day public comment period

• Email comments to: [email protected]

180

The 2009-2010 Paper FAFSA (cont’d)

• To view draft FAFSA:

– Go to IFAP at http://ifap.ed.gov

– Scroll down to “Publications”

– Click on “FAFSAs and Renewal FAFSAs”

– Click on “By 2009-2010 Award Year”

– Click on “Draft FAFSA Form/Instructions”

181

The 2009-2010 Paper FAFSA Form Design• Paper format

– Instructions – 4 pages– Application – 6 pages– Dependency section moved and Dependency questions

reordered to improve flow– Reordered Housing Plan options

• On Campus• With Parents• Off Campus

– Added data element for parents e-mail address

College Cost Reduction and Access Act (CCRAA) and the Free Application for

Federal Student Aid

183

CCRAA and The 2009-2010 FAFSA • CCRAA changes:• Rewords/Adds to Independent Student Definition

– Reworded question about Foster Care (ages 13 and older)

– Added question about Emancipated Minor– Added question about Legal Guardianship– Added question about Homeless Unaccompanied

Youths– Added question about Youths at Risk of

Homelessness• Effective for the 2009-2010 Award Year

184

CCRAA and The 2009-2010 FAFSA (cont’d)

• FAFSA impact:

• Dependency Status questions 55-60 were added

185


• CCRAA changes:• Created the Teacher Education

Assistance for College and Higher Education (TEACH) Grant

• FAFSA impact:• Question 32 has been added to the

FAFSA

186


• CCRAA changes:

• Education Benefit (529 Plan) owned by the student is an asset of the parent

• Distributions from 529 Plans excluded from other financial assistance

• Effective for the 2009-2010 Award Years

187


FAFSA impact:• Changes to the FAFSA instructions for 529 Plans

188


CCRAA changes:

• Increases time from 12 months to 24 months for federal means tested benefits

• Effective for the 2009-2010 Award Year

189


• FAFSA impact:Note: Covers two years

190


CCRAA changes:• Adds Dislocated Worker in

addition to type of tax return and federal means tested benefits tests for SNT/Auto Zero EFC

• FAFSA impact:

191


• CCRAA Changes:• Excludes the following data from the

specified list of untaxed income– Welfare payments– Earned Income Credit– Special Fuel Tax Credit– Untaxed Social Security Benefits

192


• FAFSA impact:• Deletes Worksheet A • Eliminates foreign income exclusions

and credit for federal tax on special fuels form Worksheet B

• Revised Worksheets will become embedded in application and data will be retained

193


FAFSA impact:

194


195


Need Analysis Changes and Application Edits

197

Need Analysis Changes and New Application Edits

• 2009-10 CCRAA Changes– Updates Income Protection Allowances– Increases Automatic Zero EFC income

parameter to $30,000– Dislocated worker becomes an

eligibility criteria for Simplified Needs Test (SNT) and Automatic Zero EFC

198

Need Analysis Changes and New Application Edits (cont’d)

• Eliminated Worksheet A data elements from FAFSA and need analysis– Deleted Worksheet A from Total Income

calculation– Deleted edits for Worksheet A comparison to

SSI and TANF questions– Removed Worksheet A from double reporting

and cross year income comparison edits

199

New Edits• New comment code (284) added if

Dependency Override performed by a school for a student

• New comment code (295) added if Special Circumstances flag is set for dependent student submitting FAFSA without parental data

• New comment code (296) added if Special Circumstances flag was set and parental data is provided on a correction

Institutional Student Information Record –ISIR

Record Layout

201

Institutional Student Information Record ISIR Record Layout

• General Information:• 2009-10 ISIR record layout posted in August• Includes data elements for all new FAFSA

questions, including former Worksheet questions• ISIR follows order of questions on the 2009-10

paper FAFSA• 2009-10 ISIR record layout record length

changed from 3175 to 3700

202

Institutional Student Information Record ISIR Record Layout (cont’d)

• General Information:

• Date fields incremented

• No changes to message classes

• 2009-10 ISIR Record will still come in flat-file format

203


• New content:• Data Source and Type Codes

– 4U = PDF application– 4V = Spanish PDF application– 6A = TeleFAFSA– 6B = Spanish TeleFAFSA– 6E = EZ TeleFAFSA– 6F = Spanish EZ TeleFAFSA

204


• New content:

• SSN Match Flag– added value of “6”

– means not verified

205


• New content:

• NSLDS Postscreening Reason Code – added value of “19”

– used to inform schools that NSLDS informed CPS that this student had a TEACH Grant that was converted to a loan

206


• New content:• NSLDS Loan Status Codes

– FX – Resolved Fraud Loan – PZ – Death of a PLUS Student

• NSLDS Loan Program Codes– D8 – for TEACH loans

207


• Revised:• School Housing Plans values

– Reordered to match FAFSA– Value of “2” – indicates “with

parents”– Value of “3” – indicates “off

campus”

208


• Added:• Special Circumstances Flag

– Which can be set on a web application from a student applying without parental data

– Set to “1” – student submitted FAFSA without parental data

– Set to “2” – student subsequently provided parental data, indicating the student is dependent

209


• Changed Worksheets:• New Data Elements

– A value for each line item in the worksheet is included on the ISIR record

• Worksheet “Total” Fields are Calculated– Additional Financial Information Total

Calculated by CPS– Untaxed Income Total Calculated by CPS

210


• Increased • Field Length by 45 bytes

– Corrections Flags– Highlight Flags– FAFSA Data Verify Flags

• Necessary because of the addition of new FAFSA fields

NSLDS History Information

212

NSLDS History Information on the ISIR

• Added:• Data elements for TEACH Grants, similar to

Pell, ACG, and SMART data– Up to 3 detail disbursement records– Overpayment flag– Grant converted to loan flag– Aggregate amounts disbursed for grants and grants

converted to loans

213

NSLDS History Information on the ISIR (cont’d)

• Added:• Comments for TEACH Grants,

similar to Pell, ACG, and SMART data – Generated for overpayments– New postscreening transaction if grant

is converted to a loan

Updates to EDExpress

2008-09 EDExpress Release 4.0 & 5.0

2009-10 EDExpress Release 1.0 & 2.0

215

2008-2009 EDExpress

• Release 4.0 – due in January 2009– Functionality to include

• TEACH Grant Reports from COD• Additional EDExpress Reports for TEACH

• Release 5.0 due in March 2009– Functionality to include

• TEACH Rebuild• ATS Discharge Report

216

2009-2010 EDExpress

• Release 1.0– To be implemented January 2009– Includes Global, Application Processing and Packaging modules

• Release 2.0– To be implemented April 2009– Includes Grants and Direct Loan modules

2009-2010 Central Processing System

Test System

218

2009-10 CPS Test System

• Draft Need Analysis Specifications (NAS) posted

• Updates will be provided, as needed

219

2009-10 CPS Test System• Mechanism for you to confirm that your

system – – Meets specifications for interfacing with

CPS– Is calculating correct results

• Allows you to – – Test applications and corrections– Receive ISIR data

220

2009-10 CPS Test System• Available on November 24, 2008, and

remains available through the end of the processing cycle

• User Guide will be posted to Federal Student Aid Download Web site (FSAdownload.ed.gov) by the end of October

• An Electronic Announcement will be posted when the test system goes live


221

2009-10 CPS Test System• Test files will be available at

FSAdownload.ed.gov• Separate input and output files will be

posted for testing specifications• Remember - CPS is still in test until FSA

accepts the system and production starts on January 2, 2009


Important 2009-2010 Dates

223

Important 2009-2010 Dates• August

• EDE Technical Reference (Software Developers Draft)

• Application Processing System Specifications for Software Developers, Draft – (formerly “Specifications

for Software Developers”)

224

Important 2009-2010 Dates (cont’d)• October

• 2009-10 EDExpress Packaging Technical Reference

• Summary of Changes for the Application Processing System

• Student Web Application Products Process Guide

• CPS Test System User Guide

225

Important 2009-2010 Dates (cont’d)

November

•School Electronic Process Guide

•ISIR Guide

•SAR Comment Codes and Text

•EFC Calculation Guide

226

Important 2009-2010 Dates (cont’d)

January•1/1: 2009-10 FAA Access to CPS Online available

•1/1: 2009-10 FAFSA on the Web available

•1/2: 2009-10 Central Processing System available

•1/2: 2009-10 EDExpress Release 1.0 available

•Application Processing System Specifications for Software Developers, Final

227

CPS UpdateContact Information

• Phone: 1-800-330-5947• TTY: 1-800-511-5806

• E-mail: [email protected]

• We appreciate your feedback and comments


Questions?

229

Ginger KlockPhone: (202) 377-3239

E-mail: [email protected]

Round Table

John Fare

232

Closing

233

Contact Information

John Fare

Chief Information Officer

Chief Information Office

Phone: 202-377-3707


Mary Haldane

Chief of Staff

Chief Information Office

Phone: 202-377-4324


Thank You for Attending!



federal student aid software developers conference august 21, 2008

Documents

federal student aid

pm slide

student financial aid

student financial aid

federal agencies

aid applicants

title iv student aid

pm agenda