Automated Exception Management

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, manual intervention is necessary to resolve the exception and allow the transaction involved to be resubmitted for automatic processing. Based on staff group assignments and access permissions, authorized personnel may edit exception details and, where applicable, modify override permissions.

The Automated Exception Management form serves as the user interface through which assigned staff members or groups can view relevant exceptions. These users are then able to resolve exceptions by updating transaction data or providing additional supporting information.

You can manage exception routing by first searching for exceptions. Once one or more exceptions are identified, you can assign them to various staff groups, staff members, or advisors.

As a system administrator, you can configure Automated Exception Management for all staff groups and staff members as needed. If you are logged into Anthology Student as the System Administrator, you will have full security rights to the Automated Exception Management screen. You can route exceptions to all staff groups and all staff members, regardless of the Delegate Staff Group configuration.

The Automated Delegate Staff Group will drive the Automated Exception Management configuration.

Financial Aid Administrators can assign view-only permissions to users so that they can assist students in resolving financial aid exceptions. Users can search on one or more of the following identifiers to find exceptions:

Student#
Student (First/Last Name)
Student SYSID / Student ID
All outstanding open exceptions are listed on the Financial Aid Exceptions form, including the steps needed to resolve the exception, but users will not be able to resolve any exception.

All other users need to be given appropriate security access to the Financial Aid Exceptions form to access it.

You will only be able to route exceptions to staff members or staff groups for which you are responsible, as configured in the Automated Delegate Staff Group configuration. The staff groups and staff members available for selection when configuring exception routing will be filtered based on this configuration.
If you are not responsible for a staff member or staff group in the Automated Delegate Staff Group setup, you will not be able to set up routing for exceptions.
If you are logged in as an Anthology Student user and the staff group that you are in has been given access to Financial Aid Exceptions, you can route exceptions based on the Automated Delegate Staff Group configuration.

Exception Types and Codes

Types	Code
COD Export	CODEXPRT####
COD Import	CODIMPRT####
Disbursement Batch	DISBBTCH####
Disbursement Eligibility	ELIGBLTY####
Global Academic Extract	GLBLADDR#### / GLBLPRPL####
Print Checks	PRINTCHK####
Refund	RFNDPYMT####
Auto Packaging	AWARDPOP#### In Financial Aid Automation 24.2.0 and later, all exceptions related to SFAAA Initial (Auto Packaging) are renamed from AWARDPOP#### to AUTOPACK####.
Auto Repackaging	REPACKAG####
Auto Refund Calculation	REFDCALC####
STAR Global	STARGLBL####
STAR COD	STARCODE####
STAR CommonLine	STARCMLN####
Stipend	STIPNDSP####
Subsidiary	SUBSIDSP####

2022-23 Updates - Direct Loan Cost of Attendance (DLCOA)

Exception ELIGBLTY0226

From the 2022-23 award year onwards, FAA Disbursement Eligibility evaluates an individual Direct Loan amount with the associated DLCOA and creates exception ELIGBLTY0226 when the Direct Loan amount is less than the DLCOA for that loan period. With this exception in Open status, validation during COD Export Exception will be bypassed, as this loan failed in the Eligibility process. However, when this eligibility exception is overridden, COD Export will not create an exception for the same validation and will export the Direct Loan to COD.

When attempting to resolve the exception, a user needs to resolve/override all the disbursements for the Direct Loan.

A COD Export exception for a DLCOA will only be generated if Disbursement Eligibility is disabled for the campus within Automated Processes. Only generating a single exception, so as not to duplicate the same exception through two different job processes, is intended functionality.

Be aware that COD Export, however, validates the same Direct Loan when that loan has an open or overridden Eligibility exception and when Disbursement Eligibility is disabled for that campus.

Once this ELIGBLTY0226 exception is created and stays open along with the DE job active for the respective campus, a COD Export exception will not be created when the COD Export job is run, and a file will not be created.

Once the ELIGBLTY0226 exception is overridden, a COD Export exception will not be created when the COD Export job is run, and the fund will be sent to COD. Leveraging the same functionality of the exporting disbursements when the selected disbursements have open ELIGBLTY exceptions.

The Eligibility process will continue to evaluate this loan until the loan is accepted by COD.

From the award year 2022-23 onwards, COD Export will evaluate every new Direct Loan amount against the DLCOA at the time of origination. This ensures that the sum of all Direct Loan amounts that are reported to COD is less than or equal to the DLCOA of that loan period. For the programs that are using payment periods, the DLCOA will be pulled from the Loan Periods Configuration. However, for standard term programs, the DLCOA is pulled from the new field on the individual Direct Loan Award form.

COD Export Direct Loan Cost of Attendance CODEXPRT0228 Exception

A new COD Export exception, CODEXPRT0228 ("Direct Loan Cost of Attendance (DL COA) is either missing or less than the Direct Loan award amount"), will be created if the DLCOA is missing or less than the sum of the Direct Loan amount for that loan period. The validation will be made from the DLCOA on the Award form against the Direct Loan amount that is set to be reported to COD. Per COD rules, once the DLCOA is reported to COD and the loan is accepted, reporting this tag again is not mandatory on any further export of disbursements.

This exception is created at the award level and not for each disbursement for the loan, even though disbursement eligibility performed its evaluation using the DLCOA field details.

In addition, a new tag for Payment Period End Date will be added, ensuring that this date is not outside the Loan Period End Date or the Disbursement Date range. The Payment Period Start Date will report for loans as well as grants, ensuring this date is not outside the valid date range as specified in the COD Technical Reference document.

Visit the link for more details: https://fsapartners.ed.gov/sites/default/files/2021-12/2223CODTechRefVol3.pdf.

FAA COD Export will store the Incarcerated Student Indicator, Payment Period Start Date, and Payment Period End Date for any disbursement sent to COD. The same information is stored during the Import process, ensuring disbursements that were released are appropriately updated within the system. The Incarcerated Student Indicator will only be stored or updated if the tag is present in the incoming file of any message classes.

ELIGBLTY0025

The Exception Processing screen for ELIGBLTY0025 has been updated to reflect the logic for a loan that was certified/originated after the student's LDA. The ELIGBLTY0025 exception uses the "Origination/Certified before LDA" flag on the Disbursement Approval Criteria (DAC). This flag enables users to prevent loan disbursements from auto-approving when a student withdraws temporarily or permanently before a loan is originated or certified.

The steps to resolve disbursement eligibility exception ELIGBLTY0025 have been updated to accurately reflect the processing logic for the "Originated/Certified before LDA" option on the DAC. The updated steps are as follows:

PROBLEM

Disbursement evaluation failed because the loan was certified/originated after the student's LDA.

SOLUTION

Navigate to Student Profile > Financial Aid Tile > Awards.
Verify the Origination Date for that fund and compare that to the student's LDA.
Navigate to Student Profile > Academic Records Tile > Enrollments.
Verify the student's LDA and ensure that the LDA is after the fund origination date.
Check the student's school status to ensure that the student is still attending or expected to attend, but LDA is not captured.
If the loan is attempted to originate after LDA, cancel the loan and revise the packaging.

– OR –

Determine why the loan wasn't processed until the student's LDA is captured and explain the case to Support (1-800-483-9106).

FAFSA Simplification 2024-25

ELIGBLTY0227 - Evaluate Pell amount using Enrollment Intensity

A new Automated Disbursement Eligibility Exception ELIGBLTY0227 validates that the 2024-25 Pell disbursement amount is in adherence with the Actual Enrollment Intensity of that term. It is created when the Pell Amount is not as per the Actual Enrollment Intensity by calculating the appropriate eligible Pell amount for that student, for that term, for that award year.

This ELIGBLTY0227 exception is:

Applicable only for Pell awards
Applicable only for Academic Calendars 1, 2, 3, and 4
Applicable only for the award years 2024-25 and later
The Disbursement Approval Criteria has the "Pell Enrollment Intensity - Package=Actual" field enabled

The exception details capture the following:

Actual Enrollment Intensity: This is the Actual Enrollment Intensity from the Award form
Packaged Enrollment Intensity: This is the Packaged Enrollment Intensity from the Award form
Estimated Pell Amount for this disbursement: This is the Calculated Pell Amount based on the Disbursement Eligibility Process

ELIGBLTY0227 will continue to override so that the disbursements can be released under the user’s responsibilities. ELIGBLTY0227 is created as follows:

Non-Term Calendar = The Enrollment Intensity (EI) will always be 100%. It is always divided by 2 (number of payment periods).
Quarters (AC2) = (Scheduled amount * EI for the term (if null or blank use 100% / 3) = potential amount per term
Semesters (AC3) /Trimesters (AC4) = (Scheduled amount * EI for the term (if null or blank use 100% / 2) = potential amount per term
AC 1 SE9W & NON-SE9W = (Scheduled amount * EI for the term (if null or blank use 100% / no. of terms in AY) = potential amount per term
Student version of 24.1.x or higher is required

Disbursement evaluation failed due to a mismatch in the Enrollment Intensity:

Step 1: Navigate to Student Profile > Financial Aid > Awarding tile
Step 2: Verify the Actual Enroll Intensity that is showing up against the disbursement.
Step 3: Compare Actual Enroll Intensity with Packaged Enroll Intensity to ensure both are the same.
Step 4: Update the Packaged Enroll Intensity matching to the Actual Enroll Intensity and select Recalculate Pell Eligibility.

ELIGBLTY0228 - Evaluate Pell amount using Pell COA

Automated Disbursement Eligibility evaluates 2024-25 Pell disbursements to ensure the Pell Award Amount is less than or equal to the full-time Program Pell COA (refer to Pell COA). A Disbursement Eligibility Exception (ELIGBLTY0228) is created when the Pell amount is found to be outside the full-time Program Pell COA. This exception is routed to the assigned user and appears on the Financial Aid Exception page.

The ELIGBLTY0228 exception displays the following details:

Pell Cost Of Attendance
Pell Amount

With the release of Regulatory US 25.0.0, the ELIGBLTY0228 exception is no longer needed to validate the Estimated Award Year Cost of Attendance (COA) related to the Pell Grant amount. FAA Disbursement Eligibility logic for the Pell COA field will be suppressed. Existing ELIGBLTY0228 entries will be automatically cleared, allowing the export of disbursements unless other eligibility exceptions remain.

The Automated Disbursement Eligibility exceptions ELIGBLTY0051, ELIGBLTY0069, and ELIGBLTY0089 will not be created for Pell for the award years 2024-25 and later.

Prerequisites

You must have:

Common - Configuration - View authorization
Financial Aid Automation - Configuration - Automated Exception Management - Delete, Edit, New, and View authorization.

Access Method

Select the Configuration tile > expand Financial Aid > select Automated Exception Management.

Procedure to Assign and Edit Exceptions

Under Automated Exception Management, specify the values.

Campuses 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.

Exception Codes Specific system-assigned code for the exception.

Processes Which specific COD process (COD Import, COD Export, etc.)

Sub Processes Any secondary (subsidiary) process related to a main system process. There can be multiple sub-processes to choose from. As an example, sub-processes for COD would be COD Import and COD Export.

Select the Apply Filters button.

Exceptions are listed in the grid. Review the following values.

Age Days Number of days this record has been retrieved as an exception since it was first created.

Assigned To The person assigned to the activity or who sent the item (such as a task, document, or message). For a new task, the default is your user ID. If you have permission in the policy, the names of other staff members are displayed.

Auto Res Rule Specifies whether an Auto Resolve rule is configured in the system for the specific exception (Yes or No). This field cannot be enabled from the UI, and it always remains as No and disabled.

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.

Date Added The date when the item or person was added or the status change was entered.

Date Modified The date when the item was changed. On some pages, the date also includes the timestamp.

Exception Code Specific system-assigned code for the exception.

Exception Description Description of the exception code.

Process Which specific COD process (COD Import, COD Export, etc.)

Process Failure Specifies if the process failed (Yes or No).

Sub Process Any secondary (subsidiary) process related to a main system process. There can be multiple sub-processes to choose from. As an example, sub-processes for COD would be COD Import and COD Export.

2nd Review If a secondary review is configured, the field indicates the person who is assigned to the review.

If the Assigned To field is blank for an exception, the FA Default Advisor has not been configured for that campus. If a Staff Group appears in this column, select the group name to access a list of names and email addresses of every member assigned to that group.
The Age Days value can be updated by using the contextual action, “Update Age Days”. Additionally, the Automated Exception Management form can be loaded with up to 1000 rows or ALL rows.

To unassign an exception, select the record in the grid and select Unassign in the toolbar. A pop-up asks you to confirm the unassignment. Select Override to complete unassigning the exception.

To configure new exception assignments, select one or more exceptions in the grid and select Assign. If a record is already assigned, a message asks for confirmation that you want to override the current assignment. If so, select Override.

In the Assign Routing Permission pop-up, select an Assignment Method from the drop-down list under Initial Review. Depending on the method chosen a second field is displayed:

Method	Field	Input
Staff Member	Staff Member	Choose the name of a staff member from the list.
Staff Group	Staff Group	Choose the name of a staff group from the list.
Advisor	Advisor Type	Choosing Other Advisor displays a third field, Other Advisor Group, where you specify the Other type of advisor.

Select an Assignment Method from the drop-down list under Secondary Review. Select an option in the new field that appears (use the table for your choices).
Select Assign.

To edit an exception, select a link in the Exception Code column. The Edit section for the selected record appears below the grid.

In the Exception Properties section, you can:

Change the numerical value in the Display for KPI Age Days (all ranges) A color indicator shows urgency based on dividing the 0–10 day range by 3; this color appears on the Exception Management form for Refund Calculation. field.
Select the Update properties for the selected exception code for all campuses check box to ensure the changes you make to the exception are updated across all campuses for that exception code.
Review and/or edit the Exception Description Description of the exception code. field, which displays the full description for the selected exception. You can edit this description (a maximum of 600 characters) only when the "Update properties for the selected exception code for all campuses" check box is selected.

For all CODIMPRT exceptions (valid for Pell, TEACH, and Direct Loans), the Create Exception The "Create Exception” field is displayed on the Automated Exception Management page for the CODIMPORT 099 Warning exception type. The options are Yes and No. No is selected by default. When Yes is selected, the "Number of Days to Auto Clear from Date Added (Valid range 0-999)" field will be shown, which will be blank by default. • If the "Create Exception" field is Yes, the system retrieves all open 099 exceptions where today's date is on or after the exception's creation date plus Auto Clear Days. • If the field is set to No, the system retrieves all open 099 exceptions created during the period when Auto Clear was set to Yes—using the Date Time column to identify this range—or simply gets all open 099 exceptions regardless of creation date. After the specified period, the Auto Clear Exception process resolves and clears these exceptions automatically. field is set to Yes, and you can specify the number of auto-clear days when creating and configuring the exception in the Number of Days to Auto Clear from Date Added (Valid range 0-999) When the "Create Exception” field on the Automated Exception Management page is set to Yes, the "Number of Days to Auto Clear from Date Added (Valid range 0-999)" field allows you to specify the number of days after which the Auto Clear Exception process resolves and clears these exceptions automatically. field.

From 2021-22 onwards, COD will send edit code 099, which will create a COD Import exception. Since this exception is for a warning code, you need to validate the exception and the exception details to confirm that the student data is accurate, reflecting the same information as received from COD.

This exception then needs to be resolved by either selecting Resolve or having the system resolve it using auto-clear, based on the configured number of days set up for the exception code. When this number of days is reached, and the exception is for a paid disbursement and is in Open status, it will be auto-cleared.

The Exception Details will note whether this warning is received for a single disbursement or multiple disbursements.

Only Direct Loans will have values listed for Financial Award Begin Date and Financial Award End Date within the Exception Details.

The auto-clear configuration is not applicable when a CODIMPRT exception is created against an actual disbursement.

The Create Exception option is automatically configured to Yes for all exceptions except for CODIMPRT0322, which is automatically configured to No.

You can configure override permissions for multiple campuses in a single batch instead of individually. You can multi-select campuses in the Campuses field or use the "All Campuses" option. You can also batch-configure exceptions. After selecting the specific campuses and/or exceptions, select Edit Override Permissions on the toolbar.

When editing exception override properties, select a specific exception record. Changes only apply to that specific exception and campus, even if additional records had previously been selected in the other section of the form.

The KPI Age Days property includes a check box for "Update properties for the selected exception code for all campuses", but selecting this does not impact the ability to collectively update override properties.

If the record in the Refund or Stipend Hold Group is currently listed on the Automated Print Checks form, when you clear this check box, you can print checks for the record without having to re-run the Student Refund or Student Stipend job.

The specific configured details for the fund source are shown and configurable in the following fields.

Fund Sources The fund sources you wish to work with.

Fund Types Specific classification for the fund source.

The properties for exception ELIGBLTY0003 have been updated within the Verification and C-Code hold groups with more defined details. Funds that are selected will be excluded from the Verification or C-Code hold group, and the exception will be suppressed.

Refund and Stipend Holds

If you are editing a refund or a stipend, you can exclude specific fund sources from being evaluated when they are part of a Refund or Stipend Hold group. In the Exclude Fund Sources section that appears for refunds or stipends, you can clear the Stipend Hold or Refund Hold check box (the check box that appears depends on the exception type you are editing). Clearing the check box for the exception ensures that this stipend or refund will then be excluded from evaluation when the Student Refund job or the Student Stipend job is run.

If the Edit Override Permissions section is displayed, you can assign or unassign a configured override permission. Review the following values in the grid.

Assignment Method The exception or job assignment method configured for the campus (Advisor, Staff Group, Staff Member).

Stage Type Select Pre-payment, Post-payment, or Both.

To unassign a displayed Override Permission, select the record in the grid and select Unassign in the toolbar. A pop-up appears asking you to confirm the unassignment. Select Override to complete unassigning the exception.

To configure a new Override Permission, select Assign in the toolbar. The Assign Override Permission pop-up opens. Select the following values.

Advisor Name of the student advisor.

Assignment Method The exception or job assignment method configured for the campus (Advisor, Staff Group, Staff Member).

Staff Group Group containing staff members in an institution. Typically, the groups are based on departments and job functions. Administrators can use staff groups to assign or revoke access privileges to all the members in the staff group.

Staff Member The specific staff member.

Stage Type Select Pre-payment, Post-payment, or Both.

Advisor, Staff Group, and Staff Member are not displayed simultaneously. One of the three fields appears based on your selection of the term in the Assignment Method field.

Select Assign.

In the Edit Document Assignment grid, you can select a document to assign the missing document and allow the exception to be resolved.

ELIGBLTY0011 Exceptions

For the ELIGBLTY0011 exception code ("Required document: Invalid status"), and only this exception code, the Edit Doc Assignment section opens when you select that exception code in the main Exceptions grid.

Review the following values in the grid to find the document.

2nd Review If a secondary review is configured, the field indicates the person who is assigned to the review.

DAC Disbursement Approval Criteria that are used to assess the eligibility of funds at different points in the payment period.

Document Assigned name of the document.

Document Specific Type The category of document. Student (Financial Aid-related), Enrollment (Academic Records-related), etc...

Module The various categories that pertain to functional areas within an institution. For example, Academic Records, Financial Aid, and so on. If the list contains All, it includes all areas.

Select the document and select Assign in the toolbar. If you need to unassign a document, select the document in the grid and select Unassign.
If you want to save and:
- Continue making changes, select the Save button
- Close, select the Save & Close button

This feature applies to U.S. compliance only.