Financial Aid Exceptions

The Financial Aid Exceptions form displays exceptions that are generated when the Automated Processes jobs are run. Exceptions occur when transactions such as batches or individual student disbursements cannot be processed successfully. When an exception occurs as part of an automated process, some form of manual intervention is necessary to resolve the exception and allow the transaction involved to be resubmitted for automatic processing. When you open the Financial Aid Exceptions form, you will have access to the exceptions assigned to you.

The exception processing functionality provides an interface for the display of the exceptions to staff members or staff groups that have been assigned to receive the exceptions. The staff member may then resolve the exceptions by making changes to the transaction and the supporting information.

While processing exceptions, staff members may:

• Escalate exceptions (to their managers if they cannot resolve the issue)
• Resolve exceptions (exceptions that are resolved will then be resubmitted through automated processes)
• Resolve / Create adjustments (specific COD transactions only)
• Reject exceptions
• Self-assign exceptions (if the exceptions are routed to the staff group in which they are a member)
• Snooze exceptions (hide the exceptions for some time while awaiting more information)
• Override exception logic for Hold Group validation for exceptions DISBBTCH0022 and ELIGBLTY0003 for selected fund sources and the group configured as a C Code Group and/or Verification Group

Background Process "Auto Clear"

Financial Aid Automation has a background process called "Auto Clear" which runs at specific intervals. This process can clear exceptions that were resolved by Job Management so that these exceptions will not be presented to users as Open or Resolved in Exception Management. After performing a search on the Financial Aid Exceptions page using "Closed" as the search criterion, any exceptions that have been auto-cleared will be listed in the history of the closed exception indicating when the exception was closed and by which user.

Additionally, Auto Clear will also clear Eligibility exceptions that were created during the Pre-Payment and Batched for Payment processes when disbursements are paid (thereby bypassing the Eligibility Process). Auto Clear identifies and clears these Eligibility exceptions since the disbursements are paid and keeping these exceptions in Open status will be redundant.

Disbursements that are not in Batches

Any disbursements with Open/Snoozed/Escalated statuses resulting from the Eligibility process that are manually batched or not in batches will not be posted by the Disbursement Posting job. Disbursements that are not in batches and have Open/Snoozed/Escalated exceptions will not be picked up by the Disbursement Posting Job when the Job is configured to “Include Disbursements that are not in Batches”.

Eligibility Exceptions

Be aware that you can set any eligibility exceptions as Resolved and then batch these fund sources for payment as the Disbursement Posting job will not reference a status of Resolved to validate it. As this is a manual action, it ensures that releasing a disbursement even though the exception is not truly resolved is the user's responsibility. Eligibility exceptions will be auto-cleared when the payment is made.

In certain instances involving COD transactions, the staff member working on the transaction may indicate to the system that a financial adjustment will resolve the exception. When this occurs, the system will adjust the financial amounts of the transaction as required, and then re-submit the transaction to the automated processes.

Prerequisites

You must have:

• Common - Processes - View authorization

To process exceptions, you must have the following additional authorizations:

• Financial Aid Automation - Financial Aid Exceptions - Process Exception - Save

• Financial Aid Automation - Financial Aid Exceptions - View

To use contextual actions in the toolbar of the main grid, you must have the following authorizations:

• Financial Aid Automation - Financial Aid Exceptions - Advanced Search - Save Search

• Financial Aid Automation - Financial Aid Exceptions - Delete Saved Search

• Financial Aid Automation - Financial Aid Exceptions - Process Exception - Save

• Financial Aid Automation - Financial Aid Exceptions - Reassign

• Financial Aid Automation - Financial Aid Exceptions - Self Assign

• Financial Aid Automation - Financial Aid Exceptions - Undo Override

• Financial Aid Automation - Financial Aid Exceptions - Unlock

• Financial Aid Automation - Financial Aid Exceptions - View

Access Method

Select the Financial Aid Exceptions tile.

Procedure to Display and Review Exceptions

After selecting the Financial Aid Exceptions tile, the Financial Aid Exceptions form is displayed.

Exceptions generated over the previous 24-hour period are displayed in the grid by default. The total number of these exceptions is displayed in the tile on the left under Summary. You can review the following values for exceptions in the grid.

If you need to manually search for exceptions, select Advanced Search. Specify the following values in the Advanced Search pop-up form and select Search.

If you plan to use the same search criteria again, select Save Search. Your search parameters will be saved as a tile on the left side of the form.

For the saved search tiles, you can:

• Open a previously saved search by right-selecting the tile and selecting Open Saved Search.

• You can delete a saved search by right-selecting the tile and selecting Delete Saved Search.

You can only have 12 saved search tiles active at a time. If you try and save a search and there are already 12 search tiles, the Override Tile pop-up appears with the following notification: "There are currently the maximum of 12 summary tiles configured. You can override an existing tile with your saved search criteria." Choose the search you wish to save in the Saved Search to be overridden field and select Override.

Once the grid displays the exception records, you can perform the following tasks:

Task	Action to Take
Review the student record for the student associated with an exception.	Select the student's name. The student record is displayed in a new browser tab ().
Reassign an exception to another staff member or staff group. Permission: Financial Aid Automation - Financial Aid Exceptions - Reassign	Select the exception in the grid and select Reassign in the toolbar. In the pop-up, confirm the number of exceptions selected to be reassigned and select either the Staff Group or Staff Member for reassignment from the drop-down list. Select Reassign.
Assign an exception to yourself. Permission: Financial Aid Automation - Financial Aid Exceptions - Self Assign	Select the exception in the grid and select Self Assign in the toolbar. Enter a comment in the pop-up specifying the reason for the self-assignment. This comment must be entered before the system will allow the exception to be self-assigned. Then select Self Assign. An exception may only be self-assigned if the exception is assigned to the staff group to which you belong, or if the exception has a status of "Open". Exceptions in statuses other than "Open" cannot be self-assigned.
Undo a completed Override. Permission: Financial Aid Automation - Financial Aid Exceptions - Undo Override	Select the exception in the grid and select Undo Override in the toolbar. In the pop-up form that appears, confirm the number of overridden exceptions selected to be undone and enter your comments.
View an exception record. Permission: Financial Aid Automation - Financial Aid Exceptions - View	Select the Exception Code to view the details of the exception record and process the exception. See Procedure to Process Exceptions. When you use the Select All option to select multiple exceptions in the grid, the following message is displayed: "By checking the Check All box, the system will select all exception codes that are the same so users can resolve them in a single action." The following message is also displayed: "# of # exceptions with code are currently selected." (where code is the code number for the exception type you have selected) For ELIGBLTY exceptions, Financial Aid Automation dynamically displays the Set FA Entrance Interview Date field. When you specify a date value in this field and resolve the exception, the FA Entrance Interview Date will also be updated on the Award form.

Procedure to Process Exceptions

1. Once you have reviewed the records in the main Financial Aid Exceptions grid and located the exception you want to process, select the Exception Code link to take action on the exception. The system will display the exception details for the associated student record or process.  

   

   The system only selects exceptions of similar descriptions that are assigned to a user or the group in which the user is within. This is applicable for both Process-level and student-level exceptions.

   The following student details are displayed in the form header. For a process-level exception, only the campus name is displayed because the exception is not associated with a student or financial aid record.

   Campus The campus or campuses to which a person or item is assigned. It is filtered to display the campuses to which you have access. In some cases, it is also used to filter a list to only those items for the campus. In some lists, you can select more than one campus or select All. In lists that display columns, if the column contains more than one campus, you cannot sort or filter on that column. Email The email address. (link to the user's default email provider) Enrollment Status The enrollment status included in the student's Enrollment record. For example, Full Time. Expected Graduation Date The expected graduation date for the student at your institution. Graduation Date The date when the student graduated or is scheduled to graduate from the program version. Last Date Attended The date the student last attended the institution.

   Phone The phone number of the student, person, or agency. Program Version The program version associated with the student or item. Student Number If your institution assigns student numbers, the number your institution uses to identify the student. How the number is assigned is specified by your institution. For example, Anthology Student can be configured to assign the number, or your institution can use another method to assign it. Student Profile Link to the student's record. Student Status Specifies the status of the prospect or student at your institution. Statuses vary by institution. They are configured by your institution. If you change the status for a student, a dialog is displayed so that you can confirm the change. If there are also tasks associated with the previous status, Anthology Student displays a dialog that you can use to select the tasks to keep and the tasks to close with the result of canceled. Version Start Date The start date of the program version for the campus that the student is enrolling in.

   The grid displays the following details about each exception:

   AY|PP This column enables you to determine to which specific academic year payment period the exception applies without having to navigate to the student's Awards form. Age Days Number of days this record has been retrieved as an exception since it was first created. Award Status The current state of the student's award in the system. Award Year The financial aid award year. Created Date The date when the item was created. Cycle Number of job cycles that have been run with this exception present. Disbursement Amount Amount of the disbursement in dollars. Disbursement Date The date the disbursement was paid. Disbursement Number The sequence number for the disbursement. For Pell grants, if there are disbursements from other enrollments, the numbering scheme picks up where the previous disbursements left off.

   Exception The title of the specific exception. Exception Code Specific system assigned code for the exception. Exception Detail Select for basic details about the exception. Fund Code Specific classification code for the fund source. Fund Name Abbreviation/code for the Fund Source. Fund Type Code Specific classification code for the fund source. Owner The staff member or staff group the exception is routed to. Term This column enables you to check to which specific disbursement term the exception applies without having to navigate to the student's Awards form.

2. Choose any of the following radio buttons to process the exception.

   Resolve

   You can resolve an exception using the Financial Aid Exceptions form and you can resolve a snoozed exception before the configured snooze timer expires. .

   1. Select the Resolve radio button.

   2. Review the displayed steps to resolve the exception and take the appropriate action.

   3. Specify a comment related to the resolution in the Note field (required).

   4. Select Save and continue working from the displayed exception grid or select Save & Close to return to the main Financial Aid Exceptions form.

   Dynamic exceptions allow you to resolve the exception by updating the specified mandatory field values so that you do not have to navigate across different pages.

   Below is a list of dynamic exceptions.

   CODEXPRT0002 - The Student has an invalid or missing address

   CODEXPRT0003 - The Academic Year End Date for the student does not fall within the appropriate date range

   CODEXPRT0005 - The Borrower has an invalid or missing address

   CODEXPRT0006 - The Citizenship Status for the borrower is missing or states that the student is not a US Citizen

   CODEXPRT0007 - The Borrower Address has an invalid or missing City

   CODEXPRT0009 - The Borrower Date of Birth is missing or is not valid

   CODEXPRT0010 - The Borrower Last Name is missing or is not valid

   CODEXPRT0011 - The Borrower SSN is missing or is not valid

   CODEXPRT0012 - The Borrower Address has an invalid or missing State

   CODEXPRT0013 - The Borrower Address has an invalid or missing Zip Code

   CODEXPRT0014 - The Student Address has an invalid or missing City

   CODEXPRT0015 - The Loan End Date for the student does not fall within the appropriate date range

   CODEXPRT0025 - The Student Address has an invalid or missing City

   CODEXPRT0027 - The Student Address has an invalid or missing State

   CODEXPRT0029 - The Student Address has an invalid or missing Zip Code

   CODEXPRT0033 - The Student SSN is missing or is not valid

   CODEXPRT0034 - The Student Date of Birth is missing or is not valid

   CODIMPRT0037 - Incorrect Award Dates

   CODIMPRT0038 - Incorrect Academic Year Dates

   CODIMPRT0065 - No Accepted PLUS Credit Decision Status

   CODIMPRT0101 - Incorrect PreProfessional CourseWork Indicator

   CODIMPRT0102 - Incorrect PreProfessional CourseWork Flag

   CODIMPRT0113 - Invalid Student/Borrower SSN combination on a Direct Loan PLUS Award for Graduate/Professional Student

   CODIMPRT0114 - Invalid Student SSN change on a Direct Loan PLUS Award for Parent of a Dependent Undergraduate Student - Field limiting to SSN.

   CODIMPRT0115 - Invalid Borrower SSN change on a Direct Loan PLUS Award for Parent of a Dependent Undergraduate Student - Field limiting to SSN.

   CODIMPRT0117 - Dependency Status is I and Additional UnSub is true

   ELIGBLTY0030 - FA Entrance Interview Date

   ELIGBLTY0092

   Resolve / Create Adjustment

   The Resolve / Create Adjustment option is available only if:

   • The exception was a system-generated COD disbursement.

   • The paid disbursement amount in Anthology Student is different than the amount received from COD or the scheduled disbursement amount in Anthology Student is different than the amount received from COD.

   If the option is available, you can resolve an exception by having the system calculate the adjustment amount and then create an adjustment transaction.

   1. Select the Resolve / Create Adjustment radio button.

   2. Specify a comment related to the resolution in the Note field (required).

   3. Select Save and continue working from the displayed exception grid or select Save & Close to return to the main Financial Aid Exceptions form.

      When you select Save, an adjustment transaction is created in the system for the total amount of the difference listed for the paid disbursement in question.

   Snooze

   An exception may be placed into a snooze mode for up to 30 days. This will remove the exception from the User Interface until the specified period has passed.

   The default length of time for a snooze transaction is 24 hours from today's date (1 day). If desired, you may change this by entering the Date and Time that you would like the exception to be removed from snooze mode.

   This functionality is disabled for exceptions that are created as a result of import processes.

   1. Select the Snooze radio button.

   2. Specify appropriate values in the following fields.

      Date The date when you want the exception to be removed from snooze mode. Note Area that displays, or that you can use, to specify comments or additional information. Time The specific time you wish an exception to be removed from snooze mode.

   3. Select Save and continue working from the displayed exception grid or select Save & Close to return to the main Financial Aid Exceptions form.

   Reject

   The Reject option is only available for exceptions that have been assigned to you for secondary review, and if you are a staff member with permission to perform a secondary review of exceptions. If you have this permission, you may review exceptions escalated by another staff member. A secondary reviewer can only reject an exception if the exception was not resolved correctly by the originally assigned staff member.

   1. Select the Reject radio button.

   2. Specify a comment related to the rejection in the Note field (required).

   3. Select Save and continue working from the displayed exception grid or select Save & Close to return to the main Financial Aid Exceptions form.

   Escalate

   You can escalate an exception to your manager's attention using this form if you cannot resolve the exception yourself.

   1. Select the Escalate radio button.

   2. Choose either the Manager option and select a name in the drop-down field or the Staff Group option and select a staff group.

   3. Specify a comment related to the escalation in the Note field (required).

   4. Select Save and continue working from the displayed exception grid or select Save & Close to return to the main Financial Aid Exceptions form.

   Override

   Automated Processes perform eligibility evaluation on scheduled and paid financial aid disbursements. Any disbursement that fails eligibility is excluded from the COD export files, which would release the disbursement for payment.

   In some instances, however, there may be scheduled disbursements that you may want to release for payment, even though the disbursement failed the eligibility evaluation based on the current information in Anthology Student. For example, you may know that the conditions causing the eligibility to fail will be mitigated in the future. Therefore, you may not want to delay the processing of the disbursement.

   Override enables authorized staff members or staff group members to override a disbursement eligibility exception, thereby allowing the disbursement to be processed in the same manner as a disbursement that has passed the eligibility evaluation.

   For eligibility exceptions that were generated from any of the post-payment stages, Anthology Student automatically creates a scheduled refund.

   The disbursement eligibility status will not be marked as "Passed", and any subsequent eligibility evaluations will still evaluate all criteria, including the particular criteria that were manually overridden. The disbursement eligibility status will be set to "Passed" only if the disbursement passes the evaluation within the eligibility automated process. By marking the exception as "Overridden", the disbursement will be set to "Passed", provided that there are no other exceptions on that disbursement. Any exception marked as "Overridden" will remain in that status until all exceptions associated with the disbursement that are still open have been overridden, closed, or resolved.

   When there are multiple eligibility exceptions for a disbursement (due to our existing logic whereby overridden exceptions will reappear if that disbursement is run through eligibility before it moves forward in the payment process, either released for payment or paid in a batch), you can override the exceptions that can be overridden before the other exceptions that cannot be overridden are properly resolved because the job will pass them once all resolved and closed exceptions have been passed.

   1. Select the Override radio button.

   2. Specify a comment related to the override in the Note field (required).

   3. Select Save and continue working from the displayed exception grid or select Save & Close to return to the main Financial Aid Exceptions form.

   Exception Warning Message

   If you are manually overriding an exception and there are other exceptions associated with the disbursements that are still open and have not been overridden, closed, or resolved, Anthology Student informs you that the exceptions you have overridden will be opened again until the other exceptions are resolved. The following message is displayed: "This fund source disbursement has other associated exceptions that will remain open."

3. After you have worked on an exception, the History Notes field in the main grid will list every change to the exception record.