SFA Return to Title IV Manual - The City University of New York

SFA Return to Title IV

Manual

Office of the University Controller Student Financial Assistance Unit

Fall 2011

SFA R2T4 Manual Fall 2011

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Table of Contents PROCESS AND FLOW OF DATA ................................................................................ 3

SEMESTER’S START AND END DATES ................................................................... 5

ENROLLMENT STATUS ............................................................................................... 6

INSTITUTIONAL CHARGES ....................................................................................... 6

WITHDRAWAL/ENROLLMENT VERIFIED DATE ................................................ 6

WAS AND EARNED GRADES ...................................................................................... 8

THE SFA R2T4 SCREENS.............................................................................................. 9

MENU SCREEN (01) ....................................................................................................... 9

MENU SCREEN (97) ....................................................................................................... 9

R2T4 CREATE/UPDATE SCREEN (S23) ................................................................... 11

S23/24 SCREEN FIELD DESCRIPTIONS ....................................................................... 11

R2T4 DISPLAY SCREEN (S24) ................................................................................... 14

PWD NOTICE IND. UPDATE SCREEN (S25)........................................................... 15

S25 SCREEN FIELD DESCRIPTIONS ............................................................................. 15

PWD NOTICE IND. DISPLAY BY SSNO SCREEN (S26) ....................................... 16

OVERPAYMENT NOTICE UPDATE SCREEN (S27) ............................................. 17

S27 SCREEN FIELD DESCRIPTIONS ............................................................................. 17

OVERPAYMENT NOTICE/ED DISPLAY BY SSNO SCREEN (S28) .................... 18

R2T4 DEBT DISPLAY SCREEN (S29) ....................................................................... 19

S29 FIELD DESCRIPTIONS ............................................................................................ 19

STUDENT MESSAGES SCREEN (S59) ...................................................................... 21

R2T4 NOTIFICATIONS................................................................................................ 21

FEDERAL REGULATIONS AND GUIDANCE ........................................................ 25

CONTACTS .................................................................................................................... 28

SFA R2T4 SAMPLE REPORTS ................................................................................... 29

SF602—OVERPAYMENT REPORT .................................................................................. 29 SF602—PWD REPORT .................................................................................................. 30 SF603—CALCULATION REPORT.................................................................................... 31 SF605—INCORRECT SEMESTER START AND END DATES .............................................. 32 SF606—SPLIT TRANSACTION REPORT .......................................................................... 33 SF607—HISTORICAL SNAPSHOT ................................................................................... 34 SF609—RECORDS NOT PICKED UP (TWO MONTHS FROM END OF SEMESTER) ............. 36 SF615—R2T4 STUDENT SNAPSHOT .............................................................................. 37 SF190R2T—R2T4 REJECTED TRANSACTIONS .............................................................. 38


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Process and Flow of Data Beginning with the fall of 2004 (fiscal year 2005), the University established a central system to assist the colleges in the Return to Title IV process. As of this publication, each college has been requested to generate a set of written procedures for handling the withdrawal process and to adhere to it when producing a calculation. In order to process a return to Title IV (referred from now on as R2T4) calculation, the student must have attended at least one of his/her courses, have been packaged for financial aid and totally withdrawn from all of his/her classes. If he/she never attended any courses, or the college does not have proof that he/she ever attended, R2T4 does not apply. Instead, it is a case of ineligibility and all federal aid (except work-study, and any Direct Loan issued directly to the student) disbursed should be returned. For most colleges, the Office of the University Controller (OUC) runs the SIMB135 file every night and retrieves total withdrawal cases, institutional charges, attendance and withdrawal dates and withdrawal types (official, unofficial, administrative, failing withdrawals, never attended and drops). The SIMB135 identifies these records as soon as the student or the institution initiates a total withdrawal process so long as the student has aid in the SIMS system. The SIMS system was programmed to default the “latest attended” field to the day before the semester starts for students flagged as “never attended” (WN in all courses) on SIMS. This type of student is classified as ineligible on the SFA system and all federal aid (except work-study and any Direct Loan payments issued directly to the student) must be returned. OUC runs the SIMB135 every working night at midnight. The result of this run and the R2T4 calculations are loaded onto SFA the following night, and it is up for display the following morning. For example, a student whose withdrawal information is entered on 4/13/11 on the SIMS system is retrieved by OUC on 4/13/11 at midnight. The calculation is processed on the eve of 4/14/11, and is displayed on the SFA system on 4/15/11. For non-SIMS colleges, one option is to provide OUC with a daily electronic file using the same SIMB135 file layout, or to enter the information directly onto the SFA system using the “create” feature. A calculation must be performed within 30 days from the record’s determination date and it will result in one of the following scenarios: 1) A need to process a return within 45 days from the record’s determination date, 2) A need to issue a grant post-withdrawal disbursement directly to the student within 45 days from the record’s determination date, 3) a need to issue a grant post-withdrawal disbursement covering institutional liabilities or a loan post-withdrawal disbursement within 180 days from the record’s determination date, or 4) No action (when year-to-date disbursements equal total amount of aid earned). Returns are automatically processed by the system using an “expiration date” following 21 days from the determination date; or before by a college user approving (finalizing) the calculation. These returns are identified as “R2T4” splits on the S80 screen and Pay


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History snapshots. The system first locates any deductions processed against the different Title IV payments (Pell-107, TEACH-111, SEOG-312, Perkins-396, Direct Loan Subsidized-915, Direct Loan Unsubsidized-916, PLUS Loan-917 and Graduate PLUS Loan-918), issuing the returns to the most recent payment with college deductions. If none exist, the system then processes the R2T4 return(s) against net checks. These funds are deducted from the college’s tuition and fees accounts held by the University Accounting Office. These funds are returned to the U.S. Department of Education with the next batch of Financial Aid payroll disbursements. College must then bill the student for these funds. Undistributed checks must be returned to OUC within three business days from the check issue date. These checks should be voided and the R2T4 calculation should be re-processed once the year-to-date disbursement amount has been lowered. This will ensure a calculation with the accurate year-to-date disbursement amount. In the event R2T4 returns (splits) are processed, and subsequently a void transaction is attempted, any remaining balance on the check can be re-issued via a Stop and Replace Request. The value of the R2T4 split is reimbursed to the colleges once a year by the SFA Systems and Payroll Department. Outstanding checks issued more than seven (7) months in the past are voided automatically and in the event any R2T4 returns (splits) had been processed against those checks, the value of the R2T4 split is reimbursed to the college’s Tuition and Fees Account with the next payroll cycle. An additional split is processed against any remaining balance on the check, and the funds are returned to the U.S. Department of Education. Beginning with the fall of 2007 semester, the SFA system generates notifications automatically if one is not triggered by the user within 21 days from the determination date. The Federal regulations state that overpaid students or those entitled to a loan post-withdrawal disbursement must be notified within 30 days from the record’s determination date. Once the user has flagged the record for a notification to be mailed, or the record reaches its expiration date (21 days from determination date); the following working Friday, (or the day before in the cases of holidays) notifications are printed and mailed by the SFA system. The college is the return address where the student’s response is mailed or delivered. In the cases of student overpayments, the notification informs them of their overpayment and the urgency and implications of paying that debt. When a student provides a payment, the split entered into the SFA system must be flagged as an “S2T4” split on the S82 screen and no college check is required to be mailed to OUC (for returns processed in the current fiscal year or the immediate prior fiscal year). These funds are in turn, deducted from the college’s tuition and fees accounts similar to the “R2T4” returns. Federal Pell, TEACH and SEOG grant overpayments of less than $50.00 are not generated by the system.


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When the calculation results in zero percent of aid earned, the student is not entitled to receive any aid as it constitutes a financial aid eligibility issue. If disbursements have occurred, all aid disbursed (except any Direct Loan net payments) is returned by the SFA system on behalf of the college, and is identified as an “INELIG” split on the SFA Payment History system. These funds are in turn, deducted from the college’s tuition and fees accounts similar to the “R2T4” returns. Beginning with the fall 2008 term, the University instituted a new withdrawal grade, WN, used to identify students who do not begin attendance. These students also do not earn any aid and all aid disbursed (except any Direct Loan net payments) is returned as “INELIG” by the SFA system. The determination date equals the date in which the record was received. The expiration date for these records is fifteen (15) days from the determination date. On the other hand, when the calculation results in one hundred (100) percent of the aid earned (for a student who withdraws after the sixty (60) percent point in the payment period), a calculation is performed to determine whether the student is eligible for a post-withdrawal disbursement or if all his/her aid has been paid in full up-to-date. In the case of Post-Withdrawal Disbursements (referred from now as PWDs), Grant PWDs are automatically processed by the system using an “expiration date” following 21 days from the determination date; or before by a college user approving (finalizing) the calculation. A Back-Payment transaction is released for payment in the next Financial Aid payroll cycle. PWDs are paid in disregard of the set up in the college financial aid payroll cycle calendar. The colleges make the determination to either keep these funds in cases of tuition or other liabilities or disburse it to the student. Loan PWDs require approval by the student before the payment is made. Once a response is received on the offer of the loan post-withdrawal disbursement, the college then enters the student’s response onto the SFA system. When a positive response is received, a Back-Payment transaction is released for payment in the following Financial Aid payroll cycle. Post-withdrawal disbursements under a dollar are not generated by the SFA system. Semester’s Start and End Dates Before the beginning of a semester, OUC requests from each colleges’ Registrar’s Office the semester’s start and end dates and any 5-day break periods within the semester to determine a draft semester calendar. These dates are also confirmed with the University Registrar. OUC then forwards the draft calendar to the Registrar, Financial Aid Director and R2T4 Coordinator at each college for their written, final approval. It is crucial that these dates coincide with the ones advertised by the college on its website. The calendar’s accuracy is critical in the R2T4 calculation as it affects the percent of aid earned by the student. If a calendar correction is required once the semester is in session, all R2T4 records calculated up to that date have to be recalculated individually by the user once OUC has instituted the correction in the SFA system. Currently, the SFA R2T4 process only involves the fall and spring semesters within an academic year. R2T4 calculations are processed the first day of classes for a semester,


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and the process ceases sixty (60) days after the semester end date. All summer R2T4 calculations must be performed by college staff outside of the SFA system using the U.S. Department of Education’s FAA Access to CPS Online website. Financial aid awards and disbursements are captured from the SFA system and used in the R2T4 calculation. If the student is not “okay to pay” in SFA when OUC receives the R2T4 data, a complete R2T4 calculation is not processed. Enrollment Status The required enrollment status for all Title IV programs is the enrollment status of the student just before he/she totally withdraws. For the Federal Pell Grant it is crucial that the enrollment status is present, as this is a main factor in calculating the Pell award. For Federal SEOG, Perkins and Direct Loans, the enrollment status just before the student withdraws must be 1, 2 or 3 (full, half or three-quarter time). If one of these awards has an enrollment status of 4 (less than half time) or zero on SFA, the award is not picked up in the calculation, unless disbursements have taken place. If so, these awards and disbursements are used in the calculation. Institutional Charges Following Federal guidelines, the following educationally related institutional charges for a given term are used when performing R2T4 calculations:

1. Tuition Charges (excluding those from dropped or never attended courses) 2. Room and Board/Housing Charges (when the Room and Board/Housing is run by

the college directly or the college contracts with a third party) 3. Material Fee 4. Student Activity Fee 5. Consolidated Service Fee 6. Technology Fee 7. Accelerated Study Fee 8. Book Voucher Amount (not Book Advance) 9. Senate Fee 10. Thesis Binding Fee 11. Academic Excellence Fees (Baruch College)

Withdrawal/Enrollment Verified Date Official Withdrawals (W, WA and WF grade in all courses): These calculations are processed following the official withdrawal date, and the determination date equals the official withdrawal date received by SIMS/college electronic file or manual input into the SFA system. If this date is blank, no aid is earned. Students with a “W” grade in all courses are identified on the SIMB135/college withdrawal file with a “W” under the “ALL DROP” flag. Students with a “WA” grade in all courses are identified on the SIMB135/college withdrawal file with a “Y” under the “ALL WA” flag.


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Students with a “WF” grade in all courses are identified on the SIMB135/college withdrawal file with an “N” in all flags. A drop (D) is the denomination used for students who totally withdraw within the first three weeks of classes. Courses dropped do not appear on student transcript and are not counted towards Degree Satisfaction. The enrollment status is locked at the end of the third week period (the 21st day of classes) and the verification of student enrollment process begins. Hence, the Drop population is excluded from the verification of student enrollment process. In the unusual and exceptional circumstance that one of these students requires a return to Title IV calculation, a last date of attendance within the term’s start and end date must be provided. If this date is blank, no aid is earned. These records are identified with a “Y” under the “ALL DROP” flag on the SIMB135/college withdrawal file. Medical withdrawals that result in an “official withdrawal” upon a committee’s decision should have an established last date of attendance based on college records or documentation submitted by the student to validate the medical condition. This last date of attendance should be used in the calculation as the official withdrawal date, as opposed to the date the decision was made to grant the withdrawal or the receipt date by the Registrar’s Office. Another option is to use the date of the accident/event based on the documentation submitted. Unofficial Withdrawals (WU grade in all courses): These calculations are processed 21 days after the end of the semester to allow for final grade rosters to be processed. These records earn fifty (50) percent of the aid when the Enrollment Verified field is either blank or has a date within the term’s start and end dates. If the Enrollment Verified field has a date outside of the term’s start and end dates, no aid is earned. The determination date is the 21st day after the end of the college’s term. Returns will be processed and notifications will be mailed 21 days from the determination date. WUs received during the semester do not trigger a calculation and acquire an update indicator of “H” for hold. WUs received after the twenty first day from the end of the term are calculated immediately and the determination date is the day the record is received by the SFA system. These records are identified with a “Y” under the “ALL WU” flag on the SIMB135/college withdrawal file. Combination Withdrawal Grades (WC: W/WU grade combination in all courses): These calculations follow an unofficial withdrawal logic. Therefore, the Enrollment Verified date is used to produce a calculation and these are processed 21 days from the end of the term. These records earn fifty (50) percent unless the official withdrawal date is past the fifty (50) percent or the sixty (60) percent mark of the term. If both an Enrollment Verified date and a withdrawal date within the term is provided, and the withdrawal date is greater than the fifty (50) percent or the sixty (60) percent marks of the term, then an actual percentage will be computed resulting in above fifty (50) percent or


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one hundred (100) percent of the aid earned. If the Enrollment Verified date is outside of the semester start and end date range, and a withdrawal date within the semester date range is provided, the withdrawal date is used, and the record is treated following official withdrawal rules. WCs received during the semester do not trigger a calculation and acquire an update indicator of “H” for hold. WCs received after the twenty first day from the end of the term are calculated immediately and the determination date is the day the record is received by the SFA system. These records are identified with a “C” under the “ALL WU” flag on the SIMB135/college withdrawal file. If both dates provided are outside of the start and end dates of the semester, no aid is earned and all aid disbursed is returned. Never Attended (WN grade in all courses): These calculations result in zero aid earned. If any Title IV aid disbursements are located in SFA, these are returned as ineligible, “INELIG” (except Direct Loan disbursements paid directly to the student). The determination date on these records is the date the record was received by the SFA system. The expiration date, which releases the return transactions, is fifteen (15) days from the determination date. Students with a “WN” grade in all courses are identified on the SIMB135/college withdrawal file with a “Y” under the “ALL WN” flag. Combinations of WNs and drops are identified by a “C” under the “ALL DROP” flag on the SIMB135/college withdrawal file, and are identified as drops on the SFA system. Combinations of WNs and Ws are identified by a “W” under the “ALL WN” flag on the SIMB135/college withdrawal file and are identified as Ws on the SFA system. These two types of combination withdrawals follow drop and official withdrawal rules respectively. Combinations of WN and WU are identified with a “C” under the “ALL WN” flag on the SIMB135/college withdrawal file and are identified as “WU” on the SFA system and follow unofficial withdrawal rules. WAs and Earned Grades Administrative Withdrawals (WA grades) are generally given when a student fails to complete the required immunization process. An in-state student is given thirty (30) days and an out-of-state student is given forty five (45) days to take the missing dose (s) of a vaccine (s); otherwise the student is administratively withdrawn. Most of these cases are resolved once the student brings proof of the process being completed. The SFA system, however, treats WA withdrawal type as an official withdrawal type using the thirty first (31st) day of the term as the withdrawal date (this date can be manually updated to the forty sixth (46) day of the term for out-of-state students). If the record is not finalized within twenty one (21) days from the determination date, the system finalizes the record automatically, which may result in R2T4 returns (splits) processed on that evening.


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If the withdrawal grade and/or any other withdrawal attendance code is removed off of SIMS/college systems, the student comes off the SIMB135/college file, which results in a “D” (dropped off the SIMB135/college file) in the Update indicator field on the S23 screen on SFA. Similarly, if a student was once a withdrawal student and subsequently a withdrawal grade is replaced with an earned grade (i.e. “A”, “F”, “INC”, etc.), this student comes off the SIMB135/college withdrawal file, which results in a “D” (dropped off the SIMB135/college file) in the Update indicator field on the S23 screen on SFA. The SFA R2T4 Screens All SFA users have view access to the R2T4 screen (S24, S26, S28 and S29). Access to the update screens (23, S25 and S27), has to be requested in writing by the user’s supervisor by filling out the SFA User ID Form. Request a copy of the form by contacting the SFA Systems and Payroll Department. To access the SFA R2T4 screens, log on to SFA, enter S97 at the main menu (S01) and press Enter. Menu Screen (01) Menu Screen (97)

DATE:04/19/05 STUDENT FINANCIAL AID SYSTEM TIME:11:46:47 MENU SCREEN (01) SCR KEY DESCRIPTION SCR KEY DESCRIPTION --- ---------- -------------------------- ----------------------------------- S02 SS TRM DEMOGRAPHIC DISPLAY S32 SS TRM DEDUCTION DISPLAY S03 SS TRM PROGRAM DISPLAY S40 SS TRM PGMFWS/IWS TIME INPUT S04 SS TRM SSNO CORRECTION/MERGE S41 SS TRM PGMFWS/IWS AGCY CREATE/UPDT S05 SS TRM COL MAILING ADDRESS UPDATES42 SS TRM PGMFWS/IWS COMBINED WK STUDY S06 SS TRM COL EMAIL ADDRESS UPDATE S43 SS TRM PGMFWS/IWS AGCY/TIME DISPLAY S10 SS TRM PGM PROGRAM CREATE/MODIFY S44 SS TRM PGMFWS/IWS TIME REPLACE S11 SS TRM PROGRAM TERMINATE/ACTIVS45 SS TRM PGMFWS/IWS TIME DISPLAY S12 SS TRM FED PELL DATA DISPLAY S46 SS TRM PGMFWS/IWS PROG CREATE/MOD S13 SS TRM FED PELL DATA MODIFY S47 SS TRM PGMFWS/IWS PROG/AGCY CREATE S14 SS TRM FED PELL PROGRAM CREATES48 AGENCY OPTIONS S20 SS TRM BACKPAY CREATE S50 PROGRAM TOTALS DISPLAY S21 SS TRM BACKPAY REPLACE S51 TRANS TOTALS DISPLAY S22 SS TRM BACKPAY DISPLAY S97 R2T4 MENU S30 SS TRM DEDUCTION CREATE S98 UAO ONLY MENU S31 SS TRM DEDUCTION REPLACE S99 ADDITIONAL MENU SSNO:_________ SCREEN:s97 TERM:___ PGM:___ CYCLE:___ COLL:__ SELECT AND HIT "ENTER" TO PROCESS OR HIT "CLEAR" TO EXIT OR "PF9" QUIK EXIT


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Once on the S97 screen, enter S23 to update or create an R2T4 record. This screen requires a social security number and a three-digit SFA semester code (example 122 for the fall 2011 term or 123 for the spring 2012 term) and specific user security access. The S23 screen allows for tuition and fees, other charges, enrollment status, Title IV awards, YTD disbursements, negative adjustments (or returns), withdrawal date, attendance date, withdrawal type, override indicator, send notice, update indicator and deceased date modifications.

DATE:04/19/05 STUDENT FINANCIAL AID SYSTEM TIME:11:55:49 R2T4 MENU (97) SCR KEY DESCRIPTION SCR KEY DESCRIPTION --- ---------- --------------------------- --- ------ ------------------------- S23 SS TRM R2T4 CREATE/UPDATE S24 SS TRM R2T4 DISPLAY S25 SS TRM R2T4 PWD NOTICE UPDATE S26 SS TRM R2T4 PWD NOTICE DISPLAY S27 SS TRM R2T4 OVERPAYMENT UPDATE S28 SS TRM R2T4 OVERPAYMENT DISPLAY S29 SS TRM R2T4 DEBT DISPLAY S59 SS STUDENT MESSAGES SCREEN:S23 SSNO:111111111 TERM:122 COLL:52 SELECT AND HIT "ENTER" TO PROCESS OR HIT "CLEAR" TO EXIT OR "PF9" QUIK EXIT


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R2T4 Create/Update Screen (S23) S23/24 Screen Field Descriptions COLL: Current SFA college code SSNO: Student social security number NAME: Student’s name R2T4 COLL: SFA college code where student withdrew for a given semester R2T4 TERM: Three-digit SFA code to identify the semester. The first two-digits stand for the last two-digits of the fiscal year, and the last number represents the semester. Example: 122, the fall of 2011 term during fiscal year 2011-12. ENR. STA: R2T4 Enrollment status. Must represent the enrollment status incurred just before the student totally withdrew CALC. AWARDS: Financial aid award by program used/to be used in the R2T4 calculation. These should represent the aid award just before the student totally withdrew. Awards may need to be adjusted due to financial aid overpayments. In such cases, and after the overpayment has been returned by the college, these new awards and disbursements should be used in the calculation CALC. YTD DISB: Disbursements used/to be used by program (up-to-date payments). These may differ from actual disbursements made by SFA. They should reflect the disbursements paid at the time of withdrawal NEG. ADJ.: Amount of college R2T4 returns processed. This should be modified if R2T4 returns have been processed and a subsequent disbursement takes place and the

DATE:09/20/09 STUDENT FINANCIAL AID SYSTEM TIME:09:34:16 R2T4 CREATE/UPDATE (23) COLL: 41 SSN:000-00-0000 NAME: JUN JAO R2T4 COLL:52 R2T4 TERM:122 TERM START DATE:08/30/11 ENR.STA CALC.AWARDS CALC.YTD DISB. NEG. ADJ. TERM END DATE: 12/22/11 107 _ 2006.50 0.00 0.00 DAYS ATTENDED: 8 105 _ 0.00 0.00 0.00 TUITION CHARGES: 500.00 106 _ 0.00 0.00 0.00 FEES CHARGES: 0.00 109 _ 0.00 0.00 0.00 OTHER CHARGES: 0.00 110 _ 0.00 0.00 0.00 LAST WITRWAL DATE: 09/21/11 111 _ 4000.00 0.00 0.00 ENROLL VERIFIED: 00/00/00 112 _ 0.00 0.00 0.00 WITHDRAWAL TYPE: W 312 _ 200.00 0.00 0.00 % OF AID EARNED: 0.270 396 _ 0.00 0.00 0.00 TOT AMT AID ERNED: 434.45 915 _ 0.00 0.00 0.00 COLL RET PROCESSED: 0.00 916 _ 0.00 0.00 0.00 CRGS X %UNERND AID: 465.00 917 _ 0.00 0.00 0.00 AID TO BE DISB/RET: 434.45 918 _ 0.00 0.00 0.00 CALC DATE: 09/18/11 ORIG RET AMT: 0.00 OVPMT AMT PD: 0.00 LST UPDATE DATE: 09/18/11 RET AMT: 0.00 ORIG PWD AMT: 434.45 DETERM DATE: 09/06/11 ORIG OVPMT AMT: 0.00 COLL PWD AMT: 0.00 ACK DECEASED DATE:00/00/00 G OVPMT TO PD: 0.00 STU PWD AMT: 434.45 SEND NOTICE:_(Y/R/N)00/00/00 L OVPMT TO PD: 0.00 COLL PWD PD: 0.00 OVERRIDE IND: _ UPDATE:Y STU PWD PD: 0.00 TYPE DATA AND HIT "ENTER" TO CONTINUE OR "CLEAR" TO EXIT


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record requires a recalculation. This field then no longer represents the sum of the college R2T4 returns on Pay History, but the difference between all R2T4 returns and the recent disbursement amount. Example: There is a Pell Grant total of $500.00 in college R2T4 returns as a result of a first calculation. A subsequent calculation creates a payment for $200.00. If re-calculating for a third time, the NEG. ADJ. field should read $300.00 as it better represents how it has been returned due to R2T4 TERM START DATE: First day of classes for the semester TERM END DATE: Last day of final examinations for the semester DAYS ATTENDED: Number of days the student was in attendance based on his last date of attendance or withdrawal date TUITION CHARGES: Tuition liability incurred by the student right before he/she totally withdrew FEES CHARGES: Charges are composed of room and board, material fee, student activity fee, consolidated service fee, technology fee, accelerated study fee and book voucher amount OTHER CHARGES: Charges owed by the student outside of the fees mentioned above used for informational purposes on student’s notifications LAST WITHDRAWAL DATE: Official withdrawal date or effective (input) date on SIMS ENROLL VERIFIED: Census date or blank date to indicate attendance was taken and proved the student in class WITHDRAWAL TYPE: Type of withdrawal: W = Official Withdrawal D = Dropped all courses within the first three weeks of classes WA = Administrative Withdrawal WN = Never attended WC = Combination grade (W/WU combinations) WU = Unofficial Withdrawal WV = Session 1 Unofficial Withdrawal WX = Unidentified Combination Withdrawal (W, WA, and WX are treated following federal official withdrawal regulations) (Combination grades (WC), are treated following federal unofficial withdrawal regulations). All aid disbursed against ALL WN cases (except student Direct Loan payments) is returned and displays as “ineligible” on the SFA S80 Payment History Screen % OF AID EARNED: Number of days the student was in attendance divided by the total number of days in semester TOTAL AMOUNT AID EARNED: Percent of aid earned multiplied by the total award amounts COLLEGE RETURNS PROCESSED: Total amount of R2T4 returns processed by the college CRGS X % UNERND AID: The sum of tuition and fees charges times the percent of unearned aid (box I of the Federal worksheet). This figure is compared to the amount to be return (box F of the Federal worksheet) and the lesser of the two is chosen, as the amount the college must return to the Federal government


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AID TO BE DISB/RET: Total amount to be disbursed or returned (boxes E or F on the Federal worksheet). In cases of PWD, this amount should coincide with the PWD amount field. In cases of returns, this amount is compared to the CRGS X % UNERND AID field in search for the lesser of the two amounts. The lesser of the two results in the amount the college must return CALC DATE: Date calculation was performed. It changes every time the record is calculated. This date appears as an identifier on some other SFA screens LAST UPDATE DATE: Date when this record was last modified by SIMS DETERMINATION DATE: Date the SFA system became aware of a total withdrawal student. Date the SFA system retrieved the data from SIMS. (Returns and notifications have to be sent out within 30 days from this date). This date changes with new withdrawal type, or withdrawal dates received ACK DECEASED DATE: Date on which it was discovered that the student passed away SEND NOTICE: Enter “Y” to have either a post-withdrawal or overpayment notification mailed to the student. Enter “R” to resend the notification. Enter “N” to not send a notification. Indicator also turns to “N” if it had been flagged with a “Y” but the overpayment amount to be paid is under $50.00 or if no PWD or overpayment amount exist ORIG RET AMT: Amount college should return as a result of a calculation RET AMT: Additional amount the college is responsible for returning when calculating after returns had been processed (this amount will be the same as the “ORIG RET AMT” if no returns had been processed before) ORIG OVPMT AMT: Total amount the student is responsible for returning (All R2T4 programs) G OVPMT AMT TO PD: Total amount the student must repay the federal government in grants. The amount displayed on this field must be over $50.00. These students have to be notified and must repay or make payment arrangements within 45 days from the notification date. Otherwise, college must report these students to NSLDS and Debt Collection L OVPMT AMT TO PD: Total amount the student must repay the federal government in loans. This amount is the difference after any college loan returns and it is billed according to the terms of their promissory note OVPMT AMT PD: Overpayment amount paid. This results from a split transaction entered on the S82 screen and signaled as an “S2T4” ORIG PWD AMOUNT: Amount to be disbursed as a result of the calculation. It represents a disbursement to the college or the student COLL PWD AMT: Amount college is entitled to receive due to funds returned in error in a previous calculation STU PWD AMT: Amount the student is entitled to receive as a result of a calculation COLL PWD PD: Amount disbursed to reimburse the college funds returned in error. This field is populated as the backpayment transaction is fulfilled at pay cycle time STU PWD PD: Amount disbursed as a result of the calculation. This field is populated as the backpayment transaction is fulfilled at pay cycle time OVERRIDE INDICATOR: Place a “Y” after a record has been finalized to request updates (data) to be retrieved from SIMS. Insert a “U” when updates will be provided directly onto SFA


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UPDATE: Enter “R” to recalculate after some updates have taken place on the record, “F” to finalize or accept the system-generated calculation, “S” to reinstate student in classes (primarily used when WAs are cleared)—no longer R2T4 student--, “T” to terminate a record—no longer R2T4 or “C” to create an R2T4 record from scratch. System-generated update indicators are: “Y” to signify a calculation was performed, “D” when the record is deleted off the SIMB135 or college file, “I” for incomplete when the system was unable to successfully process the R2T4 calculation, “H” to place WU and WC cases on hold when received during the term, or “A” when a record reaches 21 days from its determination date. On the eve when the Update indicator is updated to “F” or “A”, the system releases the R2T4 split(s) or the grant Backpayment Transaction to pay the Post Withdrawal Disbursement(s) R2T4 Display Screen (S24) The S24 screen is a display screen with identical data as the S23 screen. The S25 screen allows for updates to Direct Loan Post-Withdrawal Disbursements. A Federal requirement with Direct Loans is that the student or parent must authorize the Post-Withdrawal Disbursement prior to paying any charges or the student/parent directly. This screen releases the transactions that request the Direct Loan payment (Backpayment Transactions) or allows the user to make an entry if the student did not approve the payment or did not respond to the notification.

DATE:09/20/09 STUDENT FINANCIAL AID SYSTEM TIME:09:34:16 R2T4 DISPLAY (24) COLL: 41 SSN:000-00-0000 NAME: JUN JAO R2T4 COLL:52 R2T4 TERM:122 TERM START DATE:08/30/11 ENR.STA CALC.AWARDS CALC.YTD DISB. NEG. ADJ. TERM END DATE: 12/22/11 107 _ 2006.50 0.00 0.00 DAYS ATTENDED: 8 105 _ 0.00 0.00 0.00 TUITION CHARGES: 500.00 106 _ 0.00 0.00 0.00 FEES CHARGES: 0.00 109 _ 0.00 0.00 0.00 OTHER CHARGES: 0.00 110 _ 0.00 0.00 0.00 LAST WITRWAL DATE: 09/06/11 111 _ 4000.00 0.00 0.00 ENROLL VERIFIED: 00/00/00 112 _ 0.00 0.00 0.00 WITHDRAWAL TYPE: D 312 _ 200.00 0.00 0.00 % OF AID EARNED: 0.070 396 _ 0.00 0.00 0.00 TOT AMT AID ERNED: 434.45 915 _ 0.00 0.00 0.00 COLL RET PROCESSED: 0.00 916 _ 0.00 0.00 0.00 CRGS X %UNERND AID: 465.00 917 _ 0.00 0.00 0.00 AID TO BE DISB/RET: 434.45 918 _ 0.00 0.00 0.00 CALC DATE: 09/18/11 ORIG RET AMT: 0.00 OVPMT AMT PD: 0.00 LST UPDATE DATE: 09/18/11 RET AMT: 0.00 ORIG PWD AMT: 434.45 DETERM DATE: 09/06/11 ORIG OVPMT AMT: 0.00 COLL PWD AMT: 0.00 ACK DECEASED DATE:00/00/00 G OVPMT TO PD: 0.00 STU PWD AMT: 434.45 SEND NOTICE:_(Y/R/N)00/00/00 L OVPMT TO PD: 0.00 COLL PWD PD: 0.00 OVERRIDE IND: _ UPDATE:Y STU PWD PD: 0.00 TYPE DATA AND HIT "ENTER" TO CONTINUE OR "CLEAR" TO EXIT


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PWD Notice Ind. Update Screen (S25) S25 Screen Field Descriptions R2T4: Date of last calculation COLL: SFA college code where student withdrew for a given semester TERM: Three-digit SFA code to identify the semester. The first two-digits stand for the last two-digits of the fiscal year, and the last number represents the semester. Example: 122, the fall of 2011 during fiscal year 2011-12 WITHDRAWAL TYPE: Type of withdrawal, W = Official Withdrawal, D = Dropped all courses within the first three weeks of classes WA = Administrative Withdrawal WC = Combination Withdrawal (W/WU/WF combinations) WN = Never Attended WU = Unofficial Withdrawal WV = Session 1 Unofficial Withdrawal WX = Unidentified Combination Withdrawal (W, WA, and WX are treated following federal official withdrawal regulations) (Combination grades (WC), are treated following federal unofficial withdrawal regulations). (All aid disbursed, except student Direct Loan payments, is returned and displays as “ineligible” on the SFA S80 Payment History Screen).

DATE:09/22/09 STUDENT FINANCIAL AID SYSTEM TIME:10:11:31 PWD NOTICE IND UPDATE (25) FY:07 SSNO:000-00-0000 NAME: NANA O COLL:50 PTS COLL: PTS TERM: R2T4:09/20/09 COLL:50 TERM:102 WITHDRAWAL TYPE:W NOTICE NET DEDUCTION NOTICE NO SENT DATE PGM COLL AMT STU AMT PMT PMT MSG RECEIVED DATE RESPONSE 00/00/00 107 0.00 0.00 _ _ ___ 00/00/00 _ 105 0.00 0.00 _ _ ___ 106 0.00 0.00 _ _ ___ 109 0.00 0.00 _ _ ___ 110 0.00 0.00 _ _ ___ 111 40.00 0.00 _ _ ___ 112 0.00 0.00 _ _ ___ 312 0.00 0.00 _ _ ___ 396 0.00 0.00 _ _ ___ 915 0.00 82.01 _ _ ___ 916 0.00 0.00 _ _ ___ 917 0.00 0.00 _ _ ___ 918 0.00 0.00 _ _ ___ TYPE DATA AND HIT "ENTER" TO CONTINUE OR "CLEAR" TO EXIT


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NOTICE SENT DATE: Date the post-withdrawal notification was mailed by OUC PGM: List of all Title IV programs COLL AMOUNT: Amount college is entitled to receive due to funds returned in error in a previous calculation STU AMOUNT: Title IV program with a post-withdrawal disbursement entitlement NET PMT: Field accepts “Y” when the loan borrower approves the payment or “N” if the borrower denies the payment. “Y” is required for release of Backpayment Transaction DEDUCTION PMT: Enter “Y” if student’s acceptance was received and payment will be used to cover institutional liabilities or “N” if the borrower denies the payment. “Y” is required for release of Backpayment Transaction MSG: A message of “UPD” indicates the input was successful and a request for payment (Backpayment Transaction) will be released that night. “REJ” indicates the input on the screen was rejected. Usually when this happens, 1) the record may have to be recalculated on the S23 screen and finalized, or 2) the user must enter a “Y” in both the NET PMT and the DED PMT fields NOTICED RECEIVED DATE: Enter the date when the college representative received the notification from the student NO RESPONSE: Enter a “Y” in this field for cases where the student never responds to the notifications PWD Notice Ind. Display By SSNO Screen (S26)

The S26 screen provides a listing of all post-withdrawal disbursements in the system. When on the S97 screen, leave the SSN field blank to get a list of all the PWDs in the system. Enter a specific SSN and a list beginning with that social security number is displayed on this screen. This screen displays by college the social security numbers, last name, first name, coll “PWD” amount, student PWD amount, program code, date the notification was sent, notification indicator (S = sent, Y = requested to be sent, N = system could not send. The “N” indicator occurs when a college representative flags this indicator to “Y” when there is no PWD amount or blank); and date the notification was

DATE:09/22/09 STUDENT FINANCIAL AID SYSTEM TIME:10:25:44 PWD NOTICE DISPLAY BY SSNO (26) TERM:102 COLL:50 LAST COLL STU ------- NOTICE ------- COLL AMT STU AMT SSNO NAME AMOUNT AMOUNT PGM SENT IND ACPT REVD ON PAID PAID 000-00-0000 SAFO 0.00 82.01 915 09/05/09 Y 00/00/00 0.00 0.00 000-00-0000 WINN 0.00 701.62 111 00/00/00 Y 00/00/00 0.00 0.00 END OF DATA ... HIT "CLEAR" TO EXIT


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received. The college and student amount paid display the actual amount of the PWD disbursed at pay cycle time. The S27 screen allows users to track students identified through the R2T4 calculations as overpaid. These overpayments may be paid in full to the college by the student or the student may agree with the college to make payment arrangements. Grant overpayments that are not in a payment arrangement or paid in full within 45 days from notifying the student must be reported to NSLDS and rescind to ED Collections. Loan overpayments will be billed by the appropriate servicer following the guidelines in the promissory note. Overpayment Notice Update Screen (S27) S27 Screen Field Descriptions R2T4: Date of last calculation COLL: SFA college code where student withdrew for a given semester TERM: Three-digit SFA code to identify the semester. The first two-digits stand for the last two-digits of the fiscal year, and the last number represents the semester. Example: 122, the fall of 2011 during fiscal year 2011-12 WITHDRAWAL TYPE: Type of withdrawal, W = official withdrawal, D = dropped all courses within the first three weeks of classes WA = Administrative Withdrawal WC = Combination Withdrawal (W/WU/WF combinations) WN = Never Attended

DATE:12/22/11 STUDENT FINANCIAL AID SYSTEM TIME:11:29:13 OVERPAYMENT NOTICE UPDATE (27) SSNO:000-00-0000 NAME:KIM GEON W COLL:52 PTS COLL: PTS TERM: R2T4:11/20/11 COLL:52 TERM:122 WITHDRAWAL TYPE:WU NOTICE PIF/ PIF/ REFER REFER AMT SENT DATE PGM AMOUNT ARRGMT ARRGMT DATE TO COLLECTION TO NSLDS PAID 12/11/11 107 100.00 _ 00/00/00 00/00/00 00/00/00 0.00 105 0.00 0.00 106 0.00 0.00 109 0.00 0.00 110 0.00 0.00 111 1000.00 0.00 112 1000.00 0.00 312 0.00 0.00 396 0.00 0.00 915 0.00 0.00 916 0.00 0.00 917 0.00 0.00 918 0.00 0.00 TYPE DATA AND HIT "ENTER" TO CONTINUE OR "CLEAR" TO EXIT


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WU = Unofficial withdrawal WV = Session 1 Unofficial Withdrawal WX = Unidentified Combination Withdrawal (W, WA, and WX are treated following federal official withdrawal regulations) (Combination grades (WC), are treated following federal unofficial withdrawal regulations). (All aid disbursed (except student Direct Loan payments) is returned and displays as “ineligible” on the SFA S80 Payment History Screen). NOTICE SENT DATE: Date the post-withdrawal notification was created by OUC PGM: List of all Title IV programs AMOUNT: Title IV program with a post-withdrawal disbursement entitlement. PIF/ARRGMT: Enter “Y” to signify that the student has paid his overpayment debt in full or has made payment plan arrangements with the college to pay it back PIF/ARRGMT DATE: Date in which the overpayment was paid-in-full or a payment plan arrangement was agreed on between the student and the college REFER TO COLLECTION: Enter date in which the overpayment was referred/re-assigned to ED Collections as uncollectible account. This unit becomes responsible for billing the student REFER TO NSLDS: Date in which the overpayment was reported to NSLDS as uncollectible account. This prevent the student from receiving any other federal aid in the nation Overpayment Notice/ED Display By SSNO Screen (S28) The S28 screen provides a listing of all R2T4 student overpayments in the system. When on the S97 screen, leave the SSN field blank to get a list of all the overpayments in the system. Enter a specific SSN and a list beginning with that social security number shows up on this screen. This screen displays by college the student’s social security number, last name, first name initial, overpayment amount, program code to which the overpayment should be repaid, date the notification was sent, paid-in-full or payment arrangement indicator, date of this payment or arrangement. If the student does not make payments, the college must refer the student to ED Collections and NSLDS. The date when the college enters onto the S27 screen will be displayed on this screen.

DATE:01/24/10 STUDENT FINANCIAL AID SYSTEM TIME:11:31:46 OVERPAYMENT NOTICE/ED DISPLAY BY SSNO (28) TERM:102 COLL:52 LAST NOTICE PIF/ AMT REFER TO REFER TO SSNO NAME SENT PGM AMOUNT ARRGMT PAID ED CLLTN ED NSLDS 000-00-0000 RANGE 11/28/09 915 940.47 00/00/00 0.00 00/00/00 00/00/00 000-00-0000 CHEN 01/23/10 111 65.00 00/00/00 0.00 00/00/00 00/00/00 000-00-0000 MELENDEZ 11/21/09 915 535.22 00/00/00 0.00 00/00/00 00/00/00 FOR MORE DATA: HIT "ENTER" OR HIT "CLEAR" TO EXIT


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R2T4 Debt Display Screen (S29) This screen became operational in the fall of 2006 and it assists in displaying aid earned by program type (aid eligibility amount) and comparing this to year-to-date disbursements or returns. It also helps in tracking student R2T4 funds debt. S29 Field Descriptions PELL (100%) STUDENT RETURN: The amount shown in this field is 100% of the student overpayment amount from the Federal Pell Grant program SEOG (100%) STUDENT RETURN: The amount shown in this field is 100% of the student overpayment amount from the Federal SEOG Grant program ACG1 (100%) STUDENT RETURN: The amount shown in this field is 100% of the student overpayment amount from the first year Federal Academic Competitiveness Grant program ACG2 (100%) STUDENT RETURN: The amount shown in this field is 100% of the student overpayment amount from the second year Federal Academic Competitiveness Grant program

DATE:10/01/09 STUDENT FINANCIAL AID SYSTEM TIME:15:20:54 R2T4 DEBT DISPLAY (29) SSN:000-00-0000 NAME: MIAYA R2T4 COLL:45 R2T4 TERM:102 107 ORIG OVPMT: 0.00 105 ORIG OVPMT: 0.00 106 ORIG OVPMT: 0.00 109 ORIG OVPMT: 0.00 110 ORIG OVPMT: 0.00 312 ORIG OVPMT: 0.00 TOTAL AID EARNED AMOUNT: 562.50 AID COLL STUDENT TOTAL COLL STUDENT STUDENT YTD ELGBTY RETURN OVPMT RETURN PAID PAID DEBT PGM AMOUNT AMOUNT AMOUNT AMOUNT AMOUNT AMOUNT AMOUNT BALANCE 107 1850.00 755.72 0.00 0.00 0.00 1094.28 0.00 1094.28 105 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 106 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 109 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 110 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 111 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 312 200.00 200.00 0.00 0.00 0.00 0.00 0.00 0.00 396 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 915 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 916 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 917 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 918 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 TOTAL: 2050.00 955.72 0.00 0.00 0.00 1094.28 0.00 1094.28 2 4


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SMART3 (100%) STUDENT RETURN: The amount shown in this field is 100% of the student overpayment amount from the third year National SMART Grant program SMART4 (100%) STUDENT RETURN: The amount shown in this field is 100% of the student overpayment amount from the fourth year National SMART Grant program TOTAL AID EARNED AMOUNT: The sum of all aid earned by the student PGM: List of all Title IV programs YTD AMOUNT: How much aid has been paid up-to-date AID ELGBTY AMOUNT: Aid earned by program as a result of the R2T4 calculation PWD AMOUNT: Title IV program with a post-withdrawal disbursement entitlement COLLEGE RETURN AMOUNT: Amount the college is responsible for returning STUDENT RETURN AMOUNT: 50% of the amount the student is responsible for returning in cases of grants. These students have to be notified and must repay or make payment arrangements within 45 days from the notified date In cases of loans, this amount is 100% of their overpayment and will be billed by the loan servicer according to the terms on their promissory notes TOTAL RETURN AMOUNT: The sum of the college return amount and the student return amount COLLEGE PAID AMOUNT: Amount the college has returned to the Federal government (R2T4 splits) STUDENT PAIDAMOUNT: Amount the student has repaid the Federal government (S2T4 splits) STUDENT DEBT BALANCE: Total return amount minus college paid amount and minus student paid amount


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Student Messages Screen (S59) This screen is recommended to be used to post messages in reference to an individual R2T4 case. This screen can be viewed by anyone with display access to the SFA system, and can be access by the S99 menu screen, as well. R2T4 Notifications The SFA system generates 1) R2T4 Post-Withdrawal Disbursements, 2) Overpayment, 3) Ineligibility and 4) Return to Federal Aid notifications following two methods. One method is user-requested. A college SFA user enters a “Y” or an “R” for resend, on the send notification indicator field on the S23 screen, and the following working Friday (or the day before in cases of holidays) a notification is generated and mailed to the student. The second method reads the record’s determination date, and 21 days from the determination date, if the record has not been signaled for a notification to be mailed by the user, and the record is not terminated, deleted off the SIMB135 or the student has been reinstated in classes, the SFA system will automatically generate a notification to the student. Grant overpayments of $50.00 or less do not generate a notification as those students are not required by the U.S. Department of Education to repay their debt. Grant overpayment greater than $50 and all loan overpayment cases are sent an “Overpayment” notification. Calculations resulting in a student Post Withdrawal Disbursements greater than $1 are sent a “PWD” notification. Calculations resulting in a student Post Withdrawal Disbursements less than $1 are not generated. All students identified as ALL WN (WN grade in every course registered), are sent an “Ineligibility” notification. R2T4 calculations resulting in the college returning funds to DE on the student’s behalf, receive a “Return to Federal Aid” notification. On the eve of the notifications printing day, copies of these notifications are uploaded into the CUNY Portal. The CUNY Portal currently holds a cumulative record of all notifications mailed since fiscal year 2004-2005. R2T4 notification files are encrypted for privacy protection. All users must have a CUNY Portal ID and must be granted access to the SFA link by contacting the SFA Systems and Payroll Unit and filling out the SFA User ID form. If a school did not respond on who should be the CUNY Portal contact person when all campuses were informed about this

DATE:03/12/09 STUDENT FINANCIAL AID SYSTEM TIME:09:26:38 STUDENT MESSAGES (59) SSNO:000-00-00000 NAME:BARTON ALEASHA COLL:64 TOTAL MESSAGES: 1 ACTION (A=ADD M=MODIFY D=DELETE) A EEPBH 03/12/09 This student never attended any classes and was E PIMENTEL therefore terminated on the S23 screen. END OF DATA ... HIT "CLEAR" TO EXIT


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tool, the Financial Aid Director was made the designated contact person. The contact person will receive a WinZip password and will be able to view the notifications. Follow the instructions below to view the notifications: 1. Go to the CUNY website (www.cuny.edu).

2. Double click on the “Office of the University Controller” tab, located on the bottom right hand corner of the page 3. Double click on the SFA tab to view the R2T4 notification tab. Select the R2T4 notification tab

Below is a quick reference in the naming convention.

R0CURR45.zip – R (R2T4), 0 (FY10), CURR (your YTD cumulative file for that given year), 45 (College Code)

After you select the file, you will then be prompted to enter the WinZip password

Please be aware that if you want to obtain an identical copy of any notice for FY05 and FY06 use the specific date file (for example R5102441.zip, where the “1024” stands for October 24th, 2005, the date that batch of notifications was generated). Individual date batch files were generated on a weekly basis from FY05 through FY09, in addition to the cumulative batch file. Do not use the “CURR” cumulative file. The CURR file for these two years defaults to the FY07 notifications layout which included ACG, SMART and GRAD PLUS and these programs were non-existent prior to FY07.

Beginning with fiscal year 2010 and forward, OUC will maintain and display one notification Portal file per year. This file will be the “CURR” or cumulative file. OUC will no longer display the weekly notification files on the Portal.

See next page for samples of the Post-Withdrawal Disbursement, Overpayment, Ineligibility and Return to Federal Aid Notifications.


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College of Staten Island Post-Withdrawal Disbursement Notice September 7, 2009 Dear George Chin Federal student aid regulations specify that students “earn” their federal financial aid awards according to the number of days they ATTEND class each semester. The amount of aid that a student may keep is in direct proportion to the length of time the student attends classes during the semester. In cases where a student completely withdraws from college before the end of the term, the college must determine whether a portion of that student’s federal aid must be returned to the U.S. Department of Education or disbursed to the student. Our records indicate that you officially withdrew from all your classes for the Fall 2009 semester. We have determined that you are entitled to a post-withdrawal disbursement(s) of a portion of your semester award and have made arrangements to make these funds available. Grants do not require your authorization to issue the payments. Loans, however, require your authorization before the payments can be issued. Please be aware that if you accept any loan, you must repay it subject to the terms of the promissory note. If you opt to authorize this post-withdrawal disbursement (s) and you are attending another college or technical school for the same semester listed above, your Title IV payment (s) at that institution may be affected. You will have 14 days from the date of this notice to return the bottom portion of this tear-off notice indicating your acceptance of the loan post-withdrawal disbursement(s). Thank you. Term: Fall 2009 Post-Withdrawal Disbursement Notice Student: George V. Chin SSN: XXX-XX-5608 Notice Date: September 7, 2009 Federal Program Amount I Authorize I Do Not Authorize The amounts are estimated and may change upon Pell Grant $100.55 N/A N/A verification of attendance Academic Competitiveness Grant 1 Academic Competitiveness Grant 2 National SMART Grant 3 National SMART Grant 4 National SMART Grant 5 TEACH Grant FSEOG Grant Perkins Loan $300.00 ______ _____ Subsidized Direct Loan $400.00 ______ _____ Unsubsidized Direct Loan $100.00 ______ _____ Graduate PLUS Loan $100.00 ______ _____ ________________________________________________ _________________ (Signature) (Date) The college may deduct from this payment any outstanding charges you owe. The City University of New York The Office of the University Controller Radio City Station P.O. Box 1962 New York, NY 10101-1962 Important: Post-Withdrawal Disbursement Notice Fall 2009 To: George Chin 1114 Avenue of the Americas New York, NY 10036 Address Service Requested _______________________________________________________________________________________________________


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City College Overpayment Notice Oct. 02, 2009 Dear Tania Degen, Federal student aid regulations specify that students “earn” their federal financial aid awards according to the number of days they ATTEND class each semester. The amount of aid that a student may keep is in direct proportion to the length of time the student attends classes during the semester. In cases where a student completely withdraws from college before the end of the term, the college must determine whether a portion of that student’s federal aid must be returned to the U.S. Department of Education. Our records indicate that you officially withdrew from all your classes for the Fall 2009 semester and that you received an overpayment that must now be returned to the federal program. You must pay in full or make satisfactory arrangements to repay this amount within 45 days of this notification. Failure to make payment in full or payment arrangements will result in an impound being placed on your records. We will also be required to notify the U.S. Department of Education of your outstanding overpayment. Ignoring this overpayment notice may prevent you from registering in the future, obtaining access to your records, and receiving future financial aid at any other institution. Please do not jeopardize your future enrollment in college or eligibility for aid. Thank you for your prompt attention to this matter. Term: Fall 2009 Overpayment Notice Student: Tania Degen Notice Date: Oct. 02, 2009 SSN: XXX-XX-5609 Loan Overpayments will be billed by the appropriate loan servicer upon the expiration of your grace period. Payments against grant overpayments should be brought to the Fin. Aid Office of City College. Federal Program Amount College Returned Federal Program Amount You to the Federal Government Must Repay the on your behalf Federal Government Pell Grant $1,428.68 $738.52 FSEOG Grant Academic Competitiveness Grant 1 Academic Competitiveness Grant 2 National SMART Grant 3 National SMART Grant 4 National SMART Grant 5 TEACH Grant Perkins Loan Subsidized Direct Loan Unsubsidized Direct Loan Graduate PLUS Loan Please bring this notice with you when paying. The numbers above are estimated and may change upon verification of attendance. City College Financial Aid Office RM. 104 Admin. Building 138th Street Convent Avenue New York, NY 10031 Important: Overpayment Notice - Fall 2009 Tania Degen 123 College Way New York, NY 10036 Address Service Requested _______________________________________________________________________________________________________________


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City College Notice of Return to Federal Aid Oct. 02, 2011 Dear Alice Murphey, Federal student aid regulations specify that students “earn” their federal financial aid awards according to the number of days they ATTEND class each semester. The amount of aid that a student may keep is in direct proportion to the length of time the student attends classes during the semester. In cases where a student completely withdraws from college before the end of the term, the college must determine whether a portion of that student’s federal aid must be returned to the U.S. Department of Education. Our records indicate that you officially withdrew from all your classes for the Fall 2011 semester and that you received an overpayment from the corresponding federal financial aid programs listed below. You must repay these funds directly to the college as we have returned these funds to the U.S. Department of Education on your behalf. Please be aware that you may be billed by the appropriate loan servicer upon the expiration of your grace period for any remaining balance on your loans. Ignoring this notice may prevent you from registering in the future, and obtaining access to your records. We will also refer the account to a Collection agency if payment in full is not made. Please do not jeopardize your future enrollment in college or eligibility for aid. Thank you for your prompt attention to this matter. Term: Fall 2009 Overpayment Notice Student: Alice Murphey Notice Date: Oct. 02, 2009 SSN: XXX-XX-5611

Submit payments to the Fin. Aid Office of City College. Federal Program Amount College Returned to the Federal Government on your behalf Pell Grant $1,428.68 Please bring this notice with you when paying. The numbers above are estimated and may change upon verification of attendance. City College Financial Aid Office RM. 104 Admin. Building 138th Street Convent Avenue New York, NY 10031 Important: Overpayment Notice - Fall 2009 Alice Murphey 456 College Way New York, NY 10036 Address Service Requested ___________________________________________________________________________________________________________________


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City College Ineligibility Notice Oct. 02, 2011 Dear Elaine Pimentel, Federal student aid regulations specify that students “earn” their federal financial aid awards according to the number of days they ATTEND class each semester. The amount of aid that a student may keep is in direct proportion to the length of time the student attends classes during the semester. Our records indicate that you are ineligible to receive Federal financial aid as you never attended any of the courses registered for the Fall 2011 semester. Federal financial aid used to cover this term’s liability and/or directly issued to you must be returned to the U.S. Department of Education. We have returned all or a portion of the aid to the U.S. Department of Education. Direct Loan funds issued directly to you were not repaid on your behalf; therefore, you continue to have this loan and must repay it following the terms on your promissory note. You now have a liability with the college and failure to make payment in full will result in an impound being placed on your records. In you have attended classes at least once; you must contact your professors and request to change the grade to earn some Federal aid. Ignoring this Ineligibility notice will prevent you from registering in the future, and obtaining access to your records. We will also refer the account to a Collection agency if payment in full is not made. Please do not jeopardize your future enrollment in college. Please contact or visit the college’s Bursar’s Office for more details on payment. Term: Fall 2009 Overpayment Notice Student: Elaine Pimentel Notice Date: Oct. 02, 2009 SSN: XXX-XX-5610

Submit payments to the Fin. Aid Office of City College. Federal Program Amount College Returned to the Federal Government on your behalf Pell Grant $500.00 The information on this notice pertains to a Financial Aid overpayment you may owe, however, you may owe additional monies to the college. Please bring this notice with you when paying. City College Financial Aid Office RM. 104 Admin. Building 138th Street Convent Avenue New York, NY 10031 Important: Overpayment Notice - Fall 2009 Elaine Pimentel 230 W. 41st Street New York, NY 10036 Address Service Requested _________________________________________________________________________________________________________________


27

Federal Regulations and Guidance Please maintain the following sources accessible for assistance on the Return to Title IV process and the federal calculation and regulations. 2011-10-13 General announcement for the 2011-2012 FSA Handbook, Volume 5, Overawards, Overpayments and Withdrawal Calculations, Chapters 1 and 2 GEN-11-04 Dear Colleague Letter – July 2011 GEN-06-04 Dear Colleague Letter - April 2006 GEN-06-03 Dear Colleague Letter - March 2006 Regulations to implement the provisions of the HERA on July 3, 2006 (71 FR 37990) Friday August 6th 1999 & Wednesday March 10th 2004 GEN-04-03 Dear Colleague Letter - February 2004 34 CFR Part 668.164 Disbursing Funds 34 CFR Part 668 682 685 - November 1st 1999 GEN-00-24 Dear Colleague Letter: Questions and Answers - December 2000 GEN-98-28 Dear Colleague Letter - November 1999 Policy Bulletin - January 7th 1999 U.S. Department of Education Information for Financial Aid Professionals (IFAP) Library website: http://www.ifap.ed.gov


28

Contacts SFA personnel that may be contacted with any questions or suggestion for modifications to this Manual or the SFA R2T4 process are: Elaine Pimentel Deputy Director/University Compliance Officer Office of Student Financial Assistance 646-664-3526 [email protected] Tania Degen Director of SFA Operations Office of the University Controller 212-397-5609 [email protected] Lucy McIntyre Assistant Director of SFA Operations/Fiscal Management 212-397-5682 [email protected] Jade Weekes Student Financial Aid Operations Assistant Office of the University Controller 646-746-4265 [email protected]


29

SFA R2T4 Sample Reports SF602—Overpayment Report Lists all overpayments on file. When this report is run, a file corresponding to the report is generated and made available on the Wylbur System by entering: WYL.BH.UAO.XX.YYY.SF602.EXTRACT at the prompt sign (?). “XX” stands for the user’s two college letter code (example BC for Bronx CC) and “YYY” stands for the user’s Wylbur System three initials from user ID. Computer Date 10/27/08 Lehman College of C.U.N.Y. 51 Report Page 1 Time of Day 15:27:35 Student Financial Aid System Report PGM=SF602 R2T4/Overpayments FY=08 NAME DETERMINE WITH NOTICE NOTICE NOTICE NOTICE T.IV OVPMT AMT BALANCE PIF/ ARGMT REFER TO REFER TO SSNO DATE TYPE SENT IND AGING RECVD ON PROG AMT PAID ARGMT DATE ED CLTN ED NSLDS

000-00-0000 SINGH, GITU 09-10-08 WU 09-15-08 S 15 Days 09-25-08 107 500.00 500.00 0.00 Y 09-25-08 000-00-0000 JOHNS, RAY 08-26-08 W 09-01-08 S 15 Days 111 2 62.31 00.0 262.31 10-17-08 10-17-08


30

SF602—PWD Report Lists all post-withdrawal disbursements on file. When this report is run, a file corresponding to the report is generated and made available on the Wylbur System by entering: WYL.BH.UAO.XX.YYY.SF602.EXTRACT at the prompt sign (?). “XX” stands for the user’s two college letter code (example BC for Bronx CC) and “YYY” stands for the user’s Wylbur System three initials from user ID. Computer Date 10/27/08 Lehman College of C.U.N.Y. 51 Report Page 1 Time of Day 15:27:35 Student Financial Aid System Report PGM=SF602 R2T4/Post-Withdrawal Disbursements FY=08 NAME DETERMINE WITH NOTICE NOTICE NOTICE NOTICE ACKN T.IV ELIG YTD DISB PWD AMT SSNO DATE TYPE SENT IND AGING RECVD ON IND PROG AMT 000-00-0000 SINGH, GITU 09-10-08 W 09-15-08 S 10 DAYS 10-25-08 Y 107 500.00 0.00 500.00 000-00-0000 JOHNS, KAREN 10-10-08 WA 10-15-08 S 10 DAYS 10-25-08 Y 111 262.31 262.31 262.31


31

SF603—Calculation Report Year-to-date report showing last snapshot of R2T4 history on students who have withdrawn. When this report is run, a file corresponding to the report is generated and made available on the Wylbur System by entering: WYL.BH.UAO.XX.YYY.SF603.EXTRACT at the prompt sign (?). “XX” stands for the user’s two college letter code (example BC for Bronx CC) and “YYY” stands for the user’s Wylbur System three initials from user ID. Computer Date 10/14/08 Lehman College of C.U.N.Y. 51 Report Page 1 Time of Day 15:27:35 Student Financial Aid System Report PGM=SF603 082 R2T4/Calculation FY=08 TERM START DATE:_________ TERM END DATE:__________ LAST F T.IV INSTNL WTDRWL LST WTDRWL ENROLL DETER AID RETURN OVERPMT COLL PWD STU PWD % OF AID CALC SSNO NAME I PROG CHARGES TYPE DATE VERIFIED DATE EARNED AMT AMT AMT AMT EARNED IND 000-00-0000 SINGH G 107 500.00 D 09-10-08 09-10-08 09-11-08 500.00 200.00 0 5% A 000-00-0000 JONES K 111 262.31 D 09-10-08 09-10-08 09-11-08 200.00 0 0 5% D 000-00-0000 ORTIZ K 107 1121.56 WU 10-01-08 10-02-08 300.00 0 0 48% A 000-00-0000 RILEY C 107 150.50 WA 09-30-08 09-30-08 10-01-08 25.00 0 0 10% F 312 WA 09-30-08 09-30-08 10-05-08 5.00 0 0 10% F *000-00-0000 JOHNS K 107 1176.00 WU 11-01-08 11-02-08 0 150.00 61% A 312 WU 11-01-08 11-02-08 0 50.00 61% Y 000-00-0000 SCALICI L 915 2050.00 W 10-02-08 09-30-08 11-02-08 155.15 0.00 0 200.00 40% A (Institutional Charges are composed of tuition charges, room and board, Material Fee, Student Activity Fee, Consolidated Service Fee, Technology Fee, Accelerated Study Fee and Book voucher amount). (W=Official Withdrawal, WC=Combination withdrawal, WF=Failing Withdrawal, WU=Unofficial Withdrawal, WN=Never Attended, WA=Administrative Withdrawal or D=All Dropped. * Deceased student. Run R2T4 Student Snapshot for details.


32

SF605—Incorrect Semester Start and End Dates Lists all R2T4 cases whose start and end dates are different from the ones the system is following to process the R2T4 calculations. Computer Date 10/14/08 Lehman College of C.U.N.Y. 51 Report Page 1 Time of Day 15:27:35 Student Financial Aid System Report PGM=SF605 FY=08 Records with Incorrect Semester Start and End Dates Semester Start Date 08/27/08 Semester End Date 12/22/08 Term = 082 Last Name, First Name SSN Start Date End Date Determine Act Date Calc Ind Date Scalici, Lucy 000-00-0000 09/27/08 12/23/08 12/02/08 12/23/08 A Riley, Chezline 111-11-1111 00/00/00 00/00/00 00/00/00 12/23/08 T Degen, Tania 222-22-2222 09/26/08 12/22/08 10/20/08 10/23/08 D Total Records for Term: 3 Total Records for College: 3


33

SF606—Split Transaction Report Offers a list of returns processed on behalf of an R2T4 student. When this report is run, a file corresponding to the

report is generated and made available on the Wylbur System by entering: WYL.BH.UAO.XX.YYY.SF606.EXTRACT at the prompt sign (?). “XX” stands for the user’s two college letter code (example BC for Bronx CC) and “YYY” stands for the user’s Wylbur System three initials from user ID. Computer Date 09/19/08 Lehman College of C.U.N.Y. 51 Report Page 1 Time of Day 15:27:35 Student Financial Aid System Report PGM=SF606 R2T4/Split Transaction Report FY=08 ACTION SSNO STUDENT NAME PAY DATE PAYMENT NO TRM PGM DED/ RETURN AMT USER ACT DATE ACT TIME NET R2T4 111-11-1111 SINGH, GITU 10/06/08 C5555555 052 915 01 373.00- BR2T4 09/18/08 19:03:14 R2T4 111-11-1112 CUELLO, MIG 10/06/08 C5555555 052 111 01 300.00- BR2T4 09/18/08 19:03:14 R2T4 111-11-1113 SOTO, ELLA 10/06/08 C5555555 052 915 01 200.00- BR2T4 09/18/08 19:03:14 R2T4 COUNT S2T4 COUNT VOID COUNT SPLIT COUNT TOTAL COUNT UNDUP COUNT TOTAL DED AMT TOTAL NET AMT TOTAL RETURN AMT 3 0 0 0 3 3 873.00- 0 873.00-


34

SF607—Historical Snapshot Report on an individual R2T4 student offering a new segment every time a record is calculated. Computer Date 10/11/08 Lehman College of C.U.N.Y. 51 Report Page 1 of 2 Time of Day 15:27:35 Student Financial Aid System Report PGM=SF607 R2T4/Student Historical FY=08 TERM START DATE: 08/27/08 TERM END DATE: 12/23/08 LAST FIRST INSTNL WTDRWL LST WTDRWL ENROLL DETER % OF DECEASED SSNO NAME NAME CHARGES TYPE DATE VERIFIED DATE ATNDNCE DATE 000-00-0000 SINGH GITU 500.00 W 09-10-08 09-01-08 09-10-08 5% TITLE IV TITLE IV YTD RETURN OVERPMT COLL PWD STU PWD CALC PIF/ R2T4 BALANCE PROGRAM AWARDS DSBMNT AMT AMT AMT AMT DATE ARRGMT 107 1000.00 600.00 500.00 100.00 0 09-10-08 N 100.00 312 250.00 0 0 0 0 111 396 915 916 917 918 REFER TO REFER TO ED CLLTN ED NSLDS 11-01-08 11-01-08


35

Report Page 2 of 2

INSTNL WTDRWL LST WTDRWL ENROLL DETER % OF DECEASED CHARGES TYPE DATE VERIFIED DATE ATNDNCE DATE

500.00 W 09-13-08 09-13-08 6%

TITLE IV TITLE IV YTD RETURN OVERPMT COLL PWD STU PWD CALC PIF/ R2T4 BALANCE PROGRAM AWARDS DSBMNT AMT AMT AMT AMT DATE ARRGMT 107 1000.00 600.00 400.00 100.00 0 0 09-14-08 N 100.00 312 250.00 0 0 0 0 396 915 916 917 REFER TO REFER TO ED CLLTN ED NSLDS


36

SF609—Records Not Picked Up (Two Months from End of Semester) This reports lists all students for whom the SFA system has not picked up any data or process any systematic calculations since two months from the end of the semester. Available on a calendar year basis only. Computer Date 12/14/08 Lehman College of C.U.N.Y. 51 Report Page 1 Time of Day 15:27:35 Student Financial Aid System Report Term 082 PGM=SF609 R2T4/Records Not Picked Up FY=08 Two Months from End of Semester LAST FIRST INSTNL WTDRWL LST WTDRWL ENROLL SSNO NAME NAME CHARGES TYPE DATE VERIFIED 000-00-0000 SINGH GITU 500.00 D 09-10-08 08-27-08 000-00-0000 JOHNS KEVIN 262.31 D 09-10-08 08-27-08 000-00-0000 ORTIZ KAREN 1121.56 WU 10-01-08 000-00-0000 RILEY CHEZLINE 150.50 WA 09-30-08 09-30-08 000-00-0000 JOHNS KAREN 1176.00 WU 11-01-08 000-00-0000 SCALICI LUCY 2050.00 W 10-02-08 09-30-08 (Institutional Charges are composed of tuition charges, room and board, Material Fee, Student Activity Fee, Consolidated Service Fee, Technology Fee, Accelerated Study Fee and Book voucher amount). (W=Official Withdrawal, WF=Failing Withdrawal, WU=Unofficial Withdrawal, WN=Never Attended, WA=Administrative Withdrawal or D=All Dropped.


37

SF615—R2T4 Student Snapshot This report lists all the fields in SFA’s Master File on the R2T4 segment. It is run on an individual basis and provides a current view of the record. Computer Date 10/14/08 Lehman College of C.U.N.Y. 51 Report Page 1 Time of Day 15:27:35 Student Financial Aid System Report PGM=SF615 082 R2T4 Student Snapshot FY=08 000-00-0000 MIGUELINA FERMIN TERM TUITION FEE TUITION FEE WITHDR WITHDR EFF ENROLL WITHDR ACTUAL DETERMINE EXPIRE DECEASE CODE AMT AMT AMOUNT DATE DATE VERIFIED DATE DATE DATE DATE ACKNOWL DATE 053 3,780.00 164.50 3,944.50 09/30/08 00/00/00 09/30/08 09/30/08 10/20/08 00/00/00 00/00/00 --------FLAGS---- ---- ACTIVITY EXCEPT -----CALC----- -----NOTIFY----- -----RESENT------ -----ACKN------ ----REFER DEBT---- WU WA WO DROP DATE IND IND DATE IND DATE IND DATE IND DATE IND DATE N N Y N 09/30/08 T 09/30/08 S 10/20/08 00/00/00 00/00/00 00/00/00 ---SEMESTER DATES--- ------NUMBER OF DAYS----- -------PERCENT AID------ 50% 60% --REFER NSLDS-- --PIF ARRGMT-- --NO RESP-- START END SEMESTER ATTENDED EARNED UNEARNED DATE DATE IND DATE IND DATE IND DATE 09/27/08 12/22/08 109 58 0.532 0.468 10/05/08 11/07/08 00/00/00 00/00/00 00/00/00 TOTAL AWARD TOTAL RETURN ORIG RETURN TOTAL ORIG OVPMT R2T4 RETURNS TOTAL COLL PWD STU PWD YEAR-TO-DATE AID EARNED AMOUNT AMOUNT AMOUNT OVERPAYMENT AMOUNT PROCESSED POST-WTIHDRAWAL AMT AMTDISB TOTAL AMOUNT AMOUNT DISB AMOUNT 6,112.00 1,014.39 0.00 1,014.39 1,847.00 0.97 6,112.00 3,251.58 R2T4 PROGRAMS SECTION: -------------------------------------- ------TITLE IV------ TOTAL RETURN COLLEGE RETURN OVERPAYMENT R2T4 RETURNS COLL PWD STU PWD YEAR TO-DATE PROG AWARD AMOUNT AMOUNT AMOUNT PROCESSED AMT AMT DISB AMOUNT 915 1,724.00 1,014.39 0.00 1,014.39 0.00 0.00 1,724.00 111 4,388.00 0.00 0.00 0.00 1,847.00 0.97 4,388.00


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SF190R2T—R2T4 Rejected Transactions This report lists all transactions being rejected by the SFA system. Reasons for rejections can be SS# mismatches between SIMS/college system and SFA, a record already finalized but changed data flowing through, etc. Computer Date 09/14/08 Lehman College of C.U.N.Y. 51 Report Page 1 Time of Day 15:27:35 Student Financial Aid System Report PGM=SF190R2T 082 R2T4 All Rejected Transactions FY=08 FERMIN MIGUELINA 111-11-1111 SSNO NOT FOUND 601 10/10/08 108 U01111111114298074754091654981 TRANSACTION REJECTED SCALICI LUCY 222-22-2222 RECORD ALREADY FINALIZED 601 09/10/08 108 U0222222222098751710610167161487 TRANSACTION REJECTED

The ISIR Guide

2013-2014

U.S. Department of Education

February 2013 (2013-2014) The ISIR Guide i

Table of Contents INTRODUCTION .....................................................................................................................1

Overview .................................................................................................................................1

Processing Flow .......................................................................................................................4

Federal Application Processing System Paper and Electronic Processes to Generate an ISIR .........................................................................................................................................7

Federal Application Processing System Web Process to Generate an ISIR ...............................8

Transactions .............................................................................................................................9

Highlights and Assumptions .................................................................................................. 10

Paper System Highlights and Assumptions ......................................................................... 10

Electronic System Highlights and Assumptions .................................................................. 11

ISIR DATA .............................................................................................................................. 12

Overview ............................................................................................................................... 12

Cover Page ............................................................................................................................ 13

FAFSA Questions .................................................................................................................. 14

Asset Threshold Exceeded .................................................................................................. 14

Dependency Status Results .................................................................................................... 15

Office Information ................................................................................................................. 16

Primary and Secondary EFC Types ..................................................................................... 16

Processed Date ................................................................................................................... 16

Transaction Data Source/Type Code ................................................................................... 17

Source of Correction ........................................................................................................... 18

Federal School Code Indicator ............................................................................................ 18

Reject and Assumption Override Codes .............................................................................. 18

FAA Information ................................................................................................................... 20

Date ISIR Received ............................................................................................................ 20

Verification Flag ................................................................................................................. 20

Professional Judgment ........................................................................................................ 20

Transaction Receipt Date .................................................................................................... 20

Reprocessing Code ............................................................................................................. 21

Processed Record Type ....................................................................................................... 21

February 2013 (2013-2014) The ISIR Guide ii

CPS Pushed ISIR Flag ........................................................................................................ 21

Rejects Met ......................................................................................................................... 21

Verification Tracking Flag .................................................................................................. 22

Dependency Override ......................................................................................................... 22

ETI ..................................................................................................................................... 23

Correction # Applied To ..................................................................................................... 23

Application Receipt Date .................................................................................................... 23

Pell Eligible Flag ................................................................................................................ 24

Primary and Secondary EFCs/Alternate EFCs ..................................................................... 24

Intermediate Values ............................................................................................................ 25

High School Flag ................................................................................................................ 26

IRS Request Flags .............................................................................................................. 26

Auto Zero EFC Flag ........................................................................................................... 27

EFC Change Flag................................................................................................................ 27

SNT Flag ............................................................................................................................ 27

Rejected Status Change Flag ............................................................................................... 27

Verification Selection Flag ................................................................................................. 28

Special Circumstances Flag ................................................................................................ 28

Duplicate SSN Flag ............................................................................................................ 29

Address Only Correction Flag ............................................................................................. 29

SAR C Change Flag............................................................................................................ 30

Match Flags ........................................................................................................................ 30

SSN Match Flag ................................................................................................................. 30

SSA Citizenship Code ........................................................................................................ 31

DHS Match Flag ................................................................................................................. 31

Selective Service Match Flag .............................................................................................. 32

NSLDS Match Flag ............................................................................................................ 32

VA Match Flag ................................................................................................................... 32

DHS Secondary Confirmation Match Flag .......................................................................... 33

Father’s/Stepfather’s SSN and Mother’s/Stepmother’s SSN ................................................ 33

DHS Verification Number .................................................................................................. 33

February 2013 (2013-2014) The ISIR Guide iii

Selective Service Registration Flag ..................................................................................... 34

NSLDS Transaction Number .............................................................................................. 34

NSLDS Database Results Flag ............................................................................................ 34

DoD Match ......................................................................................................................... 35

Comment Codes ................................................................................................................. 36

NSLDS Financial Aid History................................................................................................ 37

Flags (Upper Section) ......................................................................................................... 37

Overpayment Flags ............................................................................................................. 40

Contact ............................................................................................................................... 41

NSLDS Pell Lifetime Eligibility Used ................................................................................ 41

NSLDS Pell Lifetime Limit Flag ........................................................................................ 41

Aggregate Amounts for FFEL/Direct Loans, TEACH Loan, and Perkins Loan Section ....... 42

Pell Payment Data Section .................................................................................................. 43

Academic Competitiveness Grant (ACG) Data Section ....................................................... 44

National Science and Mathematics Access to Retain Talent Grant (National SMART Grant) Data Section ............................................................................................................ 44

Teacher Education Assistance for College and Higher Education (TEACH Grant) Data Section ....................................................................................................................... 45

Loan Detail Section ............................................................................................................ 46

Master Promissory Note/Loan Limit Information Section ................................................... 48

Additional ISIR Data ............................................................................................................. 50

DRN ................................................................................................................................... 50

IRS Data Field Flags ........................................................................................................... 50

Signature Reject EFC.......................................................................................................... 51

Field Correction Flags ........................................................................................................ 51

FAFSA Data Verify Flags ................................................................................................... 52

CORRECTIONS AND UPDATES ......................................................................................... 53

Overview ............................................................................................................................... 53

FAAs Making Corrections .................................................................................................. 54

Students Making Corrections .............................................................................................. 55

SAR Corrections .................................................................................................................... 56

February 2013 (2013-2014) The ISIR Guide iv

Parent Information for Independent Students ......................................................................... 57

Signatures .............................................................................................................................. 58

SAR Corrections ................................................................................................................. 58

PINs ................................................................................................................................... 58

Signature Rejects ................................................................................................................ 58

School Code Corrections........................................................................................................ 61

GETTING HELP .................................................................................................................... 62

Customer Service ................................................................................................................... 62

FSATECH Listserv ............................................................................................................. 62

CPS/SAIG Technical Support ............................................................................................. 62

Federal Student Aid Information Center (FSAIC) ............................................................... 63

Federal Student Aid’s Research and Customer Care Center (RCCC) ................................... 64

APPENDIX A – 2013-2014 REJECT CODES AND REJECT REASONS ....................... A-1

Reject Reason Codes........................................................................................................... A-1

Table of Reject Codes and How to Respond to Each ........................................................... A-2

APPENDIX B – 2013-2014 DATABASE MATCHES AND MATCH FLAGS .................. B-1

Overview ............................................................................................................................. B-1

APPENDIX C - LOAN STATUS CODES AND ELIGIBILITY CHARTS ....................... C-1

Overview ............................................................................................................................. C-1

Loan Status Codes ............................................................................................................... C-2

Federal Loan Servicers......................................................................................................... C-6

ED Servicers ........................................................................................................................ C-8

Selected Servicers .............................................................................................................. C-10

Guaranty Agencies ............................................................................................................. C-17

Selected Lenders ................................................................................................................ C-19

Contact Information & Fields Associated with Loan Status ................................................ C-20

APPENDIX D – SAR AND SAR ACKNOWLEDGEMENT ............................................. D-1

Overview ............................................................................................................................ D-1

Paper SAR .......................................................................................................................... D-3

SAR–Page 1 .................................................................................................................... D-3

SAR–Page 2 .................................................................................................................... D-4

February 2013 (2013-2014) The ISIR Guide v

SAR–Page 3 .................................................................................................................... D-4

SAR–Page 4 .................................................................................................................... D-4

SAR–Pages 5-10 (Spanish Pages 5-11) ............................................................................ D-4

SAR Acknowledgement ...................................................................................................... D-6

SAR Acknowledgement–Page 1 ...................................................................................... D-6

SAR Acknowledgement–Pages 2-3 (Spanish Pages 2-4) .................................................. D-6

APPENDIX E – SAMPLE 2013-2014 ISIR .......................................................................... E-1

Overview ............................................................................................................................. E-1

Sample ISIR ........................................................................................................................ E-2

APPENDIX F – CHANGE PAGE TRACKING LOGS.......................................................... F-1

Overview ............................................................................................................................. F-1

February 2013 Change Page Tracking Log ...................................................................... F-2

February 2013 (2013-2014) The ISIR Guide 1

Introduction

Overview The ISIR Guide is designed to assist financial aid administrators (FAAs) with interpreting student information on the Institutional Student Information Record (ISIR) and making corrections. The ISIR contains all information reported on the Free Application for Federal Student Aid (FAFSA), key processing results, and National Student Loan Data System (NSLDS) financial aid history. The term ISIR refers to all processed student information records that are sent electronically to institutions by the Central Processing System (CPS).

ISIRs are sent to schools through the Electronic Data Exchange (EDE), the U.S. Department of Education’s electronic service that enables schools to send electronic data to and receive resulting processed electronic data from the CPS and other Federal Student Aid systems. The ISIR Guide explains codes and flags that appear as FAA information on the ISIR.

Student Aid Reports (SARs) are the paper or electronic (eSAR) output documents that are sent to students or printed from the FAFSA on the Web and FAA Access to CPS Online Web sites. SARs and ISIRs contain the same processed student information in different formats. The SAR is explained in detail in Appendix D of this guide.

The 2013-2014 ISIR follows the order of the FAFSA, and the remaining data elements are grouped with similar data elements in a logical order that we refer to as “data blocks.” In 2010-2011, we made changes to the record layouts to minimize the impact of mid-cycle data element changes to the CPS and the systems that use the EDE record layouts. We added filler spaces after existing data blocks, such as student demographic information, financial information, dependency determination questions, and parental information. When mid-cycle changes are needed to particular data elements, we use these filler field positions to add, remove, or revise those data elements. As a result, the impact of the change affects only the existing filler blocks and not the entire record layout.

A complete version of the EDE Technical Reference was posted in October 2012 on the U.S. Department of Education’s Information for Financial Aid Professionals (IFAP) Web site, located at ifap.ed.gov and on the Federal Student Aid Download (FSAdownload) Web site, located at fsadownload.ed.gov. It can be downloaded in portable document format (PDF).

http://ifap.ed.gov/ifap

https://www.fsadownload.ed.gov/


Using the table below, you can determine where to find more information about the 2013-2014 Federal Student Aid system changes and enhancements. These following guides are posted on the IFAP and FSAdownload Web sites:

Document Type of Changes

Summary of Changes for the Application Processing System guide

This guide provides an overview of major application processing system updates, such as:

• Reduction of Central Processing System (CPS) Rejects by using Internal Revenue Service (IRS) Data Field Flags

• Verification Enhancements

• Expanded Electronic Communications

• Pell Lifetime Eligibility Used (LEU) Changes

• NSLDS Unusual Enrollment History Flag

• Need Analysis Income Threshold Increase

• Retired Web Sites

It covers changes to Federal Student Aid’s Web sites for students, such as:

• PIN Web Site

• FAFSA on the Web Site

It covers changes to Federal Student Aid’s Web sites for FAAs, such as:

• FAA Access to CPS Online

• Return of Title IV Funds (R2T4) on the Web

• ISIR Analysis Tool

• CPS Web Applications Demonstration Web System

This guide also includes an application processing system schedule and a summary of changes for the CPS, such as:

• Database Matches

• CPS Edits

• Need Analysis Changes

• Comment Code Changes

• Changes to Application Output Sent to Students, such as the SAR and SAR Acknowledgement.

Software Cover Letters

The software cover letters describe changes that have been implemented in the software product that is being released, for example, EDExpress.

http://ifap.ed.gov/ifap/byAwardYear.jsp?type=sumchngsappsys






Document Type of Changes

Electronic Data Exchange (EDE) Technical Reference

This technical reference includes general information about the EDE process, a summary of changes to the technical reference, descriptions of the electronic FAFSA and corrections process, information on sending and receiving electronic data, record layouts and processing codes used to send and receive electronic data, and information on printing an ISIR.

SAR Comment Codes and Text

This document includes the comment code number and text along with reject code and SAR C code information and data match information.

Note: Throughout this guide, when we reference the FAFSA on the Web site, we are describing both the English and Spanish versions of the site unless otherwise noted. The functionality of the English and Spanish versions of FAFSA on the Web are the same; the only difference is the language that is used.

http://ifap.ed.gov/ifap/byAwardYear.jsp?type=edetechref




http://ifap.ed.gov/ifap/byAwardYear.jsp?type=sarcommcodestxt

http://ifap.ed.gov/ifap/byAwardYear.jsp?type=sarcommcodestxt


Processing Flow The applicant data process flow for generating ISIRs is the same in 2013-2014 as in 2012-2013.

The student starts the process by completing a FAFSA. The information is processed through the CPS, and the results are returned to the student and institution. See the bullet point labeled “The Financial Aid Application” on the next page for filing options.

The charts on pages 7 and 8 show how information from a financial aid applicant flows through the system for the various types of applications and corrections and describe when an ISIR is generated. The major participants, documents, and records in the application process are:

• The U.S. Department of Education

• The Student. The student can apply for federal student aid under the following Title IV programs: Federal Pell Grant, Teacher Education Assistance for College and Higher Education (TEACH) Grant, Federal Supplemental Educational Opportunity Grant (FSEOG), Federal Work-Study, Federal Perkins Loan, and the William D. Ford Federal Direct Loan (Direct Loan) Program.

• The Federal Student Aid PIN for Students and Parents. The Federal Student Aid PIN (PIN), along with the user’s personal information, serves as an electronic signature when entered on the FAFSA on the Web site. The PIN also serves as an identifier to let the student access his or her personal information in various U.S. Department of Education systems. Because the PIN serves as an electronic signature and provides access to personal information, the PIN should not be shared with anyone.

Students and parents can create their own PINs, request that Federal Student Aid generate a PIN for them that is displayed on the screen in real time or request that the PIN be e-mailed in real time. The PIN is issued in real time so that the student or parent can use it immediately to authenticate with the IRS and retrieve IRS data, and sign the FAFSA electronically. The Social Security Number (SSN), name, and date of birth information submitted by the applicant and parent is transmitted for a match with the Social Security Administration (SSA). If the SSN, name, and date of birth are successfully matched (SSN Match Flag of 4), the PIN remains valid and becomes a permanent PIN. After receiving a successful SSN match from SSA, the PIN can be used to access a renewal FAFSA, view or print a SAR, make corrections, and access NSLDS data.

Beginning on December 30, 2012: We will remove the postal mail option for applicant PIN notifications.


In the limited cases where the SSA match is unsuccessful, the PIN is disabled and an e-mail is sent to notify the applicant that a PIN will not be issued. If the applicant used the temporary PIN to sign his or her FAFSA, the applicant is also sent a paper SAR requesting all required signatures. A SAR comment (comments 275 to 280) appears on the student’s SAR (and ISIR), indicating the specific results of the SSA match. Until a positive match (SSN Match Flag of 4) is received from the SSA, the PIN cannot be used to sign any documents or access Web sites that require the PIN.

• The Financial Aid Application. Different forms of the application are available for the student to apply for federal student aid. These include English and Spanish versions of the following:

− FAFSA on the Web

− FAFSA PDF

− Paper FAFSA

− FAFSA on the Phone

The school can also submit an application for the student by completing an online FAFSA through FAA Access to CPS Online or by submitting an ASCII flat file through the Student Aid Internet Gateway (SAIG) in message class EAPS14IN. Students can get an early start on the financial aid process by using FAFSA4caster to get an estimate of their eligibility for federal financial aid.

• The FAFSA Processor. One organization serves as the data entry processor for the 2013-2014 processing year under contract with the U.S. Department of Education. The FAFSA processor receives paper applications, paper SAR corrections, and paper signature pages in the mail, performs document analysis to ensure that the data is acceptable, and handles missing or unacceptable responses. The processor images the application, enters the information from the application, and transmits the data and image electronically to the CPS.

• The Central Processing System (CPS). The CPS operates under a contract with the U.S. Department of Education to receive and process application and correction information. The CPS matches student records with other federal databases, such as the SSA and Department of Homeland Security, to confirm eligibility. The CPS also applies a series of compute edits to the application information to check for inconsistencies, contradictions, and missing data. During the compute process, the CPS uses the need analysis formula specified by law to calculate each applicant’s expected family contribution (EFC).

• The Institutional Student Information Record (ISIR). ISIRs are electronic records produced by the CPS that provide institutions with processed application and correction information. ISIRs can be sent to destination points (schools, servicers, and state agencies) daily or by request using FAA Access to CPS Online.


• The Student Aid Report (SAR). This document provides the student with processed application information. Students who provide an e-mail address on their FAFSA and have an SSN Match Flag of 4 (SSN, name, and date of birth match) receive an e-mail notifying them that their SAR can be accessed electronically. For those students who do not meet this criteria, the CPS prints the SAR and mails it directly to the address the student provided. The SAR is in English or Spanish, depending on the language used on the application or correction that generates the SAR.

• The School. “The school” refers to each postsecondary educational institution that the student listed on the financial aid application. The FAA at the school uses the processed information from the ISIR or SAR to determine the types and amount of federal student aid the applicant is eligible to receive. Schools and states can also use information from the ISIR or SAR to award their own financial aid.


Federal Application Processing System Paper and Electronic Processes to Generate an ISIR

Electronically ThroughSchool

Student (spouse, parent[s]) completes a paper FAFSA or a paper Spanish

FAFSA, or provides school with acceptable documents for applications

or corrections.

Destination Point (school or servicer) enters data into FAA Access to CPS

Online or into a mainframe or third-party software and transmits the application or correction data and signature flags to the

CPS.

Paper Process

Student (spouse, parent[s]) completes a paper FAFSA, a paper

Spanish FAFSA, or makes corrections on a paper SAR.

Student mails document to the FAFSA processor.

FAFSA Processor enters and transmits application or correction

data and signature flags to the CPS.

The CPS edits data from all sources, performs data matches, calculates EFC, and generates all processing results in real time when possible. The CPS returns the results electronically through an E-mail Notification of SAR Processing when the student has provided an e-mail address with valid syntax and has an SSN Match Flag of 4 (SSN, name, and date of birth match). Otherwise,

the CPS prints and mails the information to students in an English or Spanish paper SAR or paper SAR Acknowledgement. The CPS makes the processed data (ISIRs) available to schools,

servicers, and state agencies.

Electronically Through SchoolStudent receives an E-mail Notification of SAR Processing if an e-mail address with valid syntax was received and the record

has an SSN Match Flag of 4. Otherwise, a paper SAR Acknowledgement is sent.

Student may submit paper SAR or paper SAR Acknowledgement to school if school is not listed on application. However, school must take

action to ensure school is added to student's record so that school receives electronic ISIR.

Paper ProcessStudent receives E-mail Notification of SAR Processing if an e-mail address with valid

syntax was received on the paper application or correction and student has an

SSN Match Flag of 4. Otherwise, a paper SAR is sent.

.


Federal Application Processing System Web Process to Generate an ISIR

FAFSA on the Web

(A PIN is Optional*)

Renewal FAFSAsFAFSA Corrections

(A PIN is Required for All*)

Student (spouse, parent[s]) completes the application online and transmits the data directly to the CPS. Student (and parent) must provide

electronic signature or send paper signature to the FAFSA processor to complete the process.

Student accesses renewal FAFSA or FAFSA Corrections, with PIN. Student updates/

completes the application online and signs with the PIN.

FAFSA Processor receives Signature page from students or parents who did not sign electronically using a PIN when submitting data from FAFSA on the Web or FAFSA

Corrections. The processor enters and transmits the signature flags to the CPS.

CPS receives Web submissions, edits data, performs data matches, calculates EFC, and generates all processing results in real time when possible. The CPS returns the results electronically through an

E-mail Notification of SAR Processing when the student has provided an e-mail address with valid syntax and the record has an SSN Match Flag of 4 (SSN, name, and date of birth match). Otherwise, the CPS prints and mails the information to students in an English or Spanish paper SAR or paper SAR Acknowledgement. The

CPS makes the processed data (ISIRs) available to schools, servicers, and state agencies.

Dependent Student transmits data to the CPS. The student and parent must sign using a

PIN, which is an electronic signature, or sign and mail the

paper Signature page.

Independent Student transmits data to the CPS.

The student must sign using a PIN, which is an electronic

signature, or sign and mail the paper Signature page.

Dependent Student transmits data to the CPS. The data has

been signed using a PIN, which is an electronic signature

for the student. Parent must sign with a PIN or use the paper Signature page if

changes are made to parental data.

Signature Resolution: Students and parents who acquire a PIN after submitting data without an electronic signature can return to the FAFSA on

the Web site after submission and sign the application using their PINs. Once the PIN(s) are matched to FAFSA data in the hold file, the application

is removed from the hold file and will be processed by the CPS.

Independent Student transmits data to the

CPS. The data has been signed using a PIN, which is an electronic signature

for the student.

`

* See “The Federal Student Aid PIN for Students and Parents” in the Processing Flow section of this guide for more information on PINs.


Transactions A transaction is an interaction between the CPS and a financial aid applicant or a school that changes any of the data on a student’s record. Each transaction results in a new ISIR and SAR, and is identified by a two-digit transaction number (for example, 01, 02, or 03). A transaction may be system-generated. For example, when a student’s eligibility for federal student aid changes on the NSLDS, the CPS automatically processes the application information and generates a new transaction without additional input from the student or from a school. These system-generated transactions are automatically sent (or pushed) to the destination point in unique electronic message classes.

When application data for an award year first arrives at the CPS and is processed, the resulting report is called the “01” transaction. The student receives an E-mail Notification of SAR Processing or a paper SAR or SAR Acknowledgement, and the listed schools can receive ISIRs. State agencies can also receive the ISIR data.

If corrections are necessary, the student can make the corrections electronically through FAFSA on the Web. Alternatively, students who receive a paper SAR can make changes on the SAR and return it to the FAFSA processor to have the information processed. A school can submit corrections electronically through the SAIG or enter the corrections using the FAA Access to CPS Online Web site, even if the school did not submit the original application electronically. The corrections generate a new record that is identified as the “02” transaction.

To create a correction transaction, a change must be made to at least one data element. Examples of common corrections include an address correction or the addition or change of a school. The first correction transaction is labeled “02,” and subsequent correction transactions are labeled “03,” “04,” and so forth. Identifying the correct transaction is important when communicating with the Common Origination and Disbursement (COD) System and when requesting duplicate SARs or making ISIR requests. Transactions greater than 30 are rejected by the CPS for “too many transactions.”


Highlights and Assumptions Paper System Highlights and Assumptions Students are instructed to review information on the SAR carefully for accuracy. SAR items requiring special attention are highlighted in bold type. The student and the FAA should pay careful attention to questions and responses that are highlighted.

During the edit process, the CPS applies logic that compares two or more pieces of information provided by the student. On the SAR, the CPS highlights information that is conflicting or missing and items that are questioned.

In certain instances, the application is rejected if the student’s data is in conflict. For example, an independent student answers that he or she is not married but provides financial information for a spouse. The CPS rejects this application (Reject 11) and prints the questioned items in bold type on the SAR. In this situation, the student receives a SAR with arrows printed next to the questionable line items. The student is then required to correct them. The CPS does not calculate an EFC, because key financial information is conflicting.

In other situations, the CPS makes assumptions and does not reject the student’s record. For example, a student reports that he or she is married and provides spouse’s income, but reports only one person in the household. In this case, the CPS assumes two people are in the household, highlights both questions and responses on the SAR, and calculates an EFC as long as the record is not rejected for other reasons. Both the reported and the assumed values are printed, with the word “ASSUMED” in parentheses next to the assumed response that was used in the EFC calculation.

The CPS most often makes assumptions when questions are left blank. After an answer is assumed, the assumed information is used throughout the subsequent edits and in the EFC calculation.

On the ISIR, EDExpress prints the letter h to the left of the field title that was highlighted. EDExpress prints an asterisk (*) to the left of the field title to indicate that the CPS made an assumption, and the assumed value is printed in place of the reported value.


Electronic System Highlights and Assumptions All federal student aid application systems used to submit application data contain certain edits that prompt users to resolve inconsistencies before sending the information to the CPS. These edits are contained in the FAA Access to CPS Online and FAFSA on the Web applications and corrections.

When inconsistencies or missing data would cause the record to be rejected at the CPS, the Web sites do not allow the record to be submitted until information is changed or added. However, when these inconsistencies would cause an assumption, the user is prompted to review and change the data, but the application can be submitted even if a change is not made. The ISIR data file that a school receives includes a flag for each highlighted field in positions 2169 to 2363, and the printed ISIR displays an h (for highlight) next to the items on which assumptions were made.

An FAA can override certain CPS rejects using FAA Access to CPS Online. If a record contains inconsistent or missing data that would result in the CPS rejecting the record, the FAA receives a message to correct or re-enter the information. If the data originally provided is correct, the FAA must re-enter the data. FAA Access to CPS Online sets and transmits a reject override code in the student’s record, suppressing the edit, and the actual data is used instead of assumed values. For example, a student may have an unusually large number of family members. When the FAA re-enters the number of family members, FAA Access to CPS Online sets a reject override code in the student’s record, which excludes the reject for an unusually large number of family members.

Similarly, an FAA can override certain CPS assumptions using FAA Access to CPS Online. For example, if three people are in an independent student’s household and three are in college, CPS assumes one in college. When the FAA reenters the number in household and the number in college when the message appears, an assumption override code is submitted with the data that suppresses the assumption.

Students who are using FAFSA on the Web can confirm the data they have entered in the same way. In response to the student’s confirmation, the Web application sets the assumption override codes and most reject override codes.


ISIR Data

Overview A school can automatically receive ISIRs for students who listed that school’s Federal School Code on their applications or corrections. Institutions can send application and correction data from the school or through a servicer (both are called destination points) and receive processed student records (ISIRs) at the destination point.

A school can also access 2012-2013 and 2013-2014 ISIRs from the ISIR Datamart, the centralized location for all ISIR data generated by the CPS. Schools, state agencies, and other authorized users receive ISIRs from the datamart through the SAIG. For more information on the ISIR Datamart, see the 2013-2014 Electronic Data Exchange (EDE) Technical Reference, available at the FSAdownload Web site.

Schools do not need to print hard copy ISIRs. However, so that you can refer to the codes that appear on the ISIR as we discuss them in this guide, Appendix E contains an example of the ISIR as it appears when printed using the EDExpress for Windows software. The student’s processed FAFSA information appears on the printout along with one or two pages for “NSLDS Financial Aid History,” depending on the student’s number of loans.


Cover Page The first page of the ISIR contains the student’s identifying information, including his or her name and mailing address, along with the transaction process date, EFC, and, if applicable, C flag.

The remainder of the page contains the comments identified on the ISIR in the Comment Codes field for which float-in text is provided.

The bottom of the page includes the applicant’s transaction ID or “trans ID,” which consists of the applicant’s original SSN, first two letters of the last name, and transaction number. For example:

XXX-XX-XXXX JO 01

XXX-XX-XXXX is the SSN; JO is the first two letters of the last name; and 01 is the transaction number.


FAFSA Questions The FAFSA questions are printed on pages 2 and 3 of the ISIR.

The student’s processed application information appears on the printout in a two-column, two-page format with an abbreviated version of each FAFSA question on the left and the student’s response on the right. Information is divided into sections like the FAFSA sections (for example, Step One, Step Two, and Step Three). Questions are not numbered individually, but each section heading identifies the range of FAFSA questions included.

Changes to the questions on the 2013-2014 FAFSA are minimal and do not affect the layout of the ISIR.

For more information on changes to the FAFSA, see the Summary of Changes for the Application Processing System guide, available later this fall. For more information on changes to the ISIR printed from EDExpress, see the Electronic Data Exchange (EDE) Technical Reference. Both documents are posted to the IFAP Web and FSAdownload Web sites.

Asset Threshold Exceeded The Student Asset Threshold Exceeded and Parent Asset Threshold Exceeded fields are printed within the answers to the FAFSA fields and follow the respective asset questions. These fields inform you if the applicant’s or parents’ assets exceeded the threshold, therefore requiring the applicant or parents to provide additional asset information by answering questions 40-42 for independent applicants and questions 88-90 for dependent applicants.

ISIR Value Value Printed on ISIR Description

Blank Blank Applicant filed on the Web and the asset threshold filtering question was not presented or the applicant filed using a paper FAFSA. Alternatively, the FAA used EDE or FAA Access.

1 Yes Asset threshold was exceeded; must provide additional asset information

2 No Asset threshold was not exceeded; no additional asset information is needed


Dependency Status Results On the top right column of the second page of the ISIR, the applicant’s dependency status is displayed. The following dependency status codes are used:

ISIR Value and Value Printed on ISIR

Description

D Dependent

I Independent

X Rejected Dependent

Y Rejected Independent


Office Information Following the FAFSA questions, in the right column on page 3 is a section titled “Office Information,” the following information appears:

• Primary EFC Type

• Secondary EFC Type

• Processed Date

• Transaction Data Source/Type

• Source of Correction

• Federal School Code Indicator

• Reject Override Codes

• Assumption Override Codes

Primary and Secondary EFC Types These codes tell an FAA which formula was used to calculate the EFC.


Description

1 Full Needs Test: dependent

2 Full Needs Test: independent without dependents

3 Full Needs Test: independent with dependents

4 Simplified Needs Test: dependent

5 Simplified Needs Test: independent without dependents

6 Simplified Needs Test: independent with dependents

Processed Date The Processed Date is the date this transaction was processed at the CPS.


Transaction Data Source/Type Code The Transaction Data Source/Type code identifies a FAFSA processor or other source of the transaction.

ISIR Value Value Printed on ISIR 1A Electronic Application 1C Electronic – Correction Full SAR 2A Web Student – Application 2B Web Student – Application Spanish 2C Web Student – Correction 2E Web Student – EZ FAFSA 2F Web Student – EZ FAFSA Spanish 2G Web Student – EZ FAFSA Renewal Application 2H Web Student – EZ FAFSA Renewal Spanish 2Q Web Student – Spanish Correction 2R Web Student – Renewal Application 2T Web Student – Spanish Renewal Application 3A Web FAA – Application 3C Web FAA – Correction 3E Web FAA – EZ FAFSA 3G Web FAA – EZ FAFSA Renewal Application

3R Web FAA – Renewal Application 4A Paper – Application 4B Paper – Application Spanish 4C Paper – Correction 4J Paper – Correction Application 4K Paper – Correction Application Spanish 4Q Paper – Spanish Correction 4U PDF – Application 4V PDF – Spanish Application 5D CPS – Drug Abuse Hold Release 5M CPS –DHS secondary confirmation 5N CPS – NSLDS Postscreening 5P CPS – Reprocessed Record 5S CPS – CPS System-generated Signature 5W CPS – SSA Death File Match 5X DOD File Match


ISIR Value Value Printed on ISIR 6A FAFSA on the Phone 6B Spanish FAFSA on the Phone 6C FSAIC – Correction 6E EZ FAFSA on the Phone 6F Spanish EZ FAFSA on the Phone 7G EZ FAFSA Renewal 7H EZ FAFSA Spanish Renewal 7R Web Student – FAFSA4caster Renewal App 7T Web Student – FAFSA4caster Spanish Ren App

Source of Correction The Source of Correction Flag is a field that is set on each correction transaction and indicates the source of the correction.

ISIR Value Value Printed on ISIR

A Applicant

D CPS

S School

Federal School Code Indicator The Federal School Code Indicator verifies the identity of the originating institution.

Reject and Assumption Override Codes The ISIR shows which Reject Override Codes and which Assumption Override Codes were set on the transaction. These override codes enable a student or an FAA to override certain rejects. FAAs can also override certain assumptions the CPS has made about a student’s data when the information appears to be inconsistent. If an override is set, the ISIR prints “1,” and, if no override is set, the field is blank.


Description

Blank No override code set

1 Override code set


The FAFSA is intended to be a snapshot of the student and parent’s situation “as of the date” he or she completed the application. Students and parents should not change their answers to these questions unless the data originally submitted was incorrect as of the date the application was submitted.

Some exceptions to this rule exist. For example, FAAs have the discretion to ask a student to update marital status information for changes that occur after the initial application was submitted. If the FAA determines the update is necessary to address an inequity or to reflect more accurately the applicant’s ability to pay, the FAA can override the resulting marital status reject edit (Reject 21). Additional guidance for the appropriate use of the reject override is found in the Federal Student Aid Handbook.


FAA Information The “FAA Information” section displays all relevant information about a student’s eligibility in one place. FAA information is printed on the third page of the ISIR following the summary of application data and is labeled “FAA Information.” Descriptive labels are intended to help the FAA identify reject codes, match flags, intermediate values, and so forth. Using the printed ISIR format as a basis, here are identifications for the codes and flags that appear as FAA information.

Date ISIR Received The Date ISIR Received is the date the ISIR was imported into the school’s EDExpress software.

Verification Flag The Verification Flag indicates if a student has been selected for verification on any transaction. After the student is selected, he or she is always selected for the current processing year. This data comes from the Student Is Selected for Verification field in the ISIR record layout.


Description

Y Selected for verification

N Not selected for verification

* Selected for verification on a subsequent transaction

Professional Judgment This flag indicates the status of an EFC adjustment resulting from a professional judgment decision by an FAA.


Blank Blank No EFC adjustment processed

1 Yes EFC adjustment processed

2 Failed EFC adjustment attempted but failed

When an FAA uses professional judgment to change a data item on the ISIR, only the school that made the change remains listed on the new ISIR transaction.

Transaction Receipt Date This is the date the FAFSA processor or the CPS received the input information that generated the transaction. The Application Receipt Date for the first application is a fixed date. However, the Transaction Receipt Date changes each time a new transaction is generated.


For example, a student mails a FAFSA that is received by the FAFSA processor on March 14, 2013. This first transaction SAR and ISIR has an Application Receipt Date and a Transaction Receipt Date of March 14, 2013. If the student then mails in a SAR with corrections and it is received on April 18, the 02 transaction shows an Application Receipt Date of March 14, 2013 and a Transaction Receipt Date of April 18, 2013.

Reprocessing Code This code provides information about records that are reprocessed by the CPS for any reason. When the Transaction Data Source/Type Code is set to 5P (reprocessed record), this position contains a two-digit number, beginning with 01 and incrementing each time a group of records is reprocessed. Check the IFAP Web site for announcements that define the reason associated with a particular two-digit number.

Processed Record Type This code indicates the type of processed record.


Description

Blank Original or renewal application (from any source)

C Correction Application

H Correction (from any source)

CPS Pushed ISIR Flag This flag is set to identify transactions that are automatically sent (pushed) to schools. If the ISIR is a pushed ISIR, the ISIR record layout contains Y, and the ISIR prints Yes for transactions meeting the pushed ISIR criteria. If the ISIR does not meet the criteria for a pushed ISIR, this field is blank, and nothing is printed next to the CPS Pushed ISIR Flag label on the ISIR. Examples of transactions automatically pushed to the school include:

• EFC Change Flag is set

• SAR C Flag changes between correction and transaction being corrected

• Transaction is system-generated

• Reject Status Change Flag is set

• Verification Selection Change Flag is set

Rejects Met Up to seven reject reason codes can be printed in this space. See Appendix A for the reject reason codes and the comment numbers associated with certain types of rejects.


Verification Tracking Flag This field identifies the verification group with which this record is associated. You use this information to determine which fields require verification. Federal Student Aid provided verification guidance in Dear Colleague Letter GEN-12-11; see the July 17, 2012 Dear Colleague Letter posted on the IFAP Web site for more information.


Description

V1 Standard Verification

V2 SNAP Verification

V3 Child Support Paid Verification

V4 Custom Verification

V5 Aggregate Verification

Blank Not selected for verification

Dependency Override This flag identifies a record that resulted from an application or correction on which an FAA made a dependency override request. On initial applications, overrides can be made in one direction only, from dependent to independent. FAA Access to CPS Online allows an FAA to cancel a previous override.

ISIR Value

Value Printed on ISIR

Description

Blank Blank No FAA override requested

1 Yes FAA overrode dependency status from dependent to independent

2 Canceled FAA canceled override

3 Failed FAA override request failed

4 Homeless Youth Det

FAA determined applicant is a homeless youth

When an FAA performs a dependency override, only the school that submitted the override receives the new ISIR transaction.

http://ifap.ed.gov/dpcletters/GEN1211.html



ETI The Electronic Transaction Indicator (ETI) Flag indicates whether the school receiving the ISIR submitted input to generate the ISIR transaction or did not generate the transaction but was listed on the record. It also indicates whether the type of ISIR is a daily, requested, or pushed ISIR. One character is printed on the ISIR.


Description

0 School generated transaction and is an ISIR Daily school (applications) (IDAP)

1 School did not generate transaction and is an ISIR Daily school (automatic) (IDSA)

2 School generated transaction and is an ISIR Request school (ISRF)

3 School did not generate transaction and is an ISIR Request school (applications) (ISRF)

4 School generated transaction and is an ISIR Daily school, ISIR is CPS Pushed ISIR (corrections) (IGCO)

5 School did not generate transaction and is an ISIR Daily school, ISIR is CPS Pushed ISIR (automatic) (IGSA)

6 School generated transaction and is an ISIR Request school, ISIR is CPS Pushed ISIR (corrections) (IGCO)

7 School did not generate transaction and is an ISIR Request school, ISIR is CPS Pushed ISIR (automatic) (IGSA)

8 School did not generate transaction and is an ISIR Daily school, ISIR is CPS Pushed System-Generated ISIR (IGSG)

9 School did not generate transaction and is an ISIR Request school, ISIR is CPS Pushed System-Generated ISIR (IGSG)

Blank No destination code associated or school not participating

Correction # Applied To This field only applies to transactions greater than 01 and indicates the prior transaction against which the correction was applied. For example, if you are looking at an 03 transaction and the Correction # Applied To field is 02, that means that corrections were made against the 02 transaction to create the 03 transaction.

Application Receipt Date This field shows the date the paper application was received by the FAFSA processor or the date an electronic FAFSA transmission was received by the CPS.


Pell Eligible Flag The Pell Grant Eligibility Flag field, in the ISIR record layout, alerts schools to an applicant’s Pell Grant eligibility status. This data is found in the Pell Elig Flag field on the ISIR. A Y confirms that a student’s EFC and undergraduate or qualifying graduate status makes him or her eligible for a Pell Grant and that the record has been included in the payment system database.


Description

Blank Not eligible for a Pell Grant

Y Eligible for a Pell Grant

If an undergraduate student incorrectly reported on the FAFSA that he or she will be a graduate student or has a bachelor’s degree, this information must be corrected. Otherwise, he or she is not considered eligible for a Pell Grant, and the school is unable to receive Pell funds for that student.

Primary and Secondary EFCs/Alternate EFCs The ISIR “FAA Information” section contains the Primary EFC and Secondary EFC. If a Primary and a Secondary EFC appear, this indicates the student qualified for the Simplified Needs Test (SNT) but also provided information about assets. Two calculations were performed, producing the Primary EFC (asset information was not included in the calculation) and the Secondary EFC (asset information was included in a full-data calculation). If only a Primary EFC appears, it indicates the student:

• Did not meet the SNT criteria and only the full-data calculation was done, or

• Met the SNT criteria and provided no asset information or incomplete or inconsistent asset information and only one calculation could be performed.

The figures printed for each of the twelve months represent alternate EFCs that an FAA must use to award aid—other than a Federal Pell Grant—for an academic year that is less than or greater than nine months. For a dependent student, the alternate EFCs are calculated by the CPS according to a formula prescribed by Congress. For less than nine-month enrollment for the independent student, the EFC is prorated.


Intermediate Values These abbreviations represent the intermediate steps used in calculating the EFC. They show the components of the need analysis formula, such as the employment allowance or parents’ contribution from assets. These components are defined by Congress. The values can be useful to FAAs in performing recalculations or in making professional judgment adjustments to data items. The intermediate values are identified as follows:

ISIR Field Label

Description

TI Total Income

ATI Allowances against Total Income

STX State and Other Tax Allowance

EA Employment Allowance

IPA Income Protection Allowance

AI Available Income

CAI Contribution from Available Income (Independent Student)

DNW Discretionary Net Worth

NW Net Worth

APA Education Savings and Asset Protection Allowance

PCA Parents’ Contribution from Assets

AAI Adjusted Available Income

TSC Total Student’s Contribution

TPC Total Parents’ Contribution

PC Parents’ Contribution

STI Student’s Total Income

SATI Student’s Allowance against Total Income

SIC Dependent Student’s Income Contribution

SDNW Student’s Discretionary Net Worth

SCA Dependent Student’s Contribution from Assets

FTI FISAP Total Income

More information on the need analysis formula and methodology for calculating the EFC is available in the Federal Student Aid Handbook, Volume 1–FSA Handbook: Student Eligibility and the 2013-2014 EFC Formula Guide located on the IFAP Web site.


High School Flag This flag is set to Y if the high school information reported on the application is not found on valid high school file.

IRS Request Flags The Student IRS Request Flag and Parent IRS Request Flag on the ISIR help you determine if an applicant was eligible for the IRS data retrieval process, if data was retrieved from the IRS, and if the data from the IRS was modified.


Description

Blank IRS Data Retrieval Tool not available in the application method utilized by the student (for example, paper FAFSA, EDE, or FAA Access to CPS Online)

00 Not eligible to use the IRS Data Retrieval Tool and was therefore not presented with the option to use it in FAFSA on the Web

01 Presented with the option to use the IRS Data Retrieval Tool in FAFSA on the Web and elected to use it, but did not transfer IRS data into the FAFSA

02 IRS data was transferred from the IRS and was not changed by the user prior to submission of an application or correction

03 IRS data was transferred from the IRS and changed by the user prior to submission of an application or correction

04 IRS data was transferred from the IRS and then changed by the user on a subsequent transaction

05 Presented with the option to use the IRS Data Retrieval Tool in FAFSA on the Web, but did not elect to use it

06 IRS data was transferred from the IRS, but a subsequent change made the student or parent ineligible to use the IRS Data Retrieval Tool


Auto Zero EFC Flag An applicant who meets certain federal benefit, dislocated worker, tax filing, and income criteria qualifies automatically for an EFC amount of 0. When these criteria are met, the CPS assigns a 0 EFC and does not perform a full calculation except for Total Income, Student’s Total Income, and FISAP Total Income. Only these three intermediate values appear in the “FAA Information” section. This information is found in the Automatic Zero EFC Indicator field on the ISIR.


Blank Blank Does not meet criteria

Y Yes Student meets automatic zero EFC criteria

EFC Change Flag This flag indicates whether the EFC has increased or decreased between a correction transaction and the transaction to which the correction was applied.


Blank No change No change in EFC value

1 Increase EFC increased

2 Decrease EFC decreased

SNT Flag This flag gives information about the Simplified Needs Test (SNT), which excludes asset information from the EFC calculation. The SNT is performed if an applicant meets certain federal benefit, dislocated worker, tax filing status, and income criteria.


Y Yes SNT was met

N No SNT was not met or could not be determined

Rejected Status Change Flag If the reject status on a transaction changes from the status on the transaction being corrected, this field is set to Y.


Description

Blank No change to reject status

Y Reject status has changed


Verification Selection Flag The Verification Selection Flag field on the ISIR identifies a correction transaction that is selected for verification, if the transaction being corrected was not selected for verification. This field is always blank on an initial transaction. This flag is set to Y only on the correction transaction that is initially selected for verification. If the Verification Selection Flag is set from the previous transaction, this field is blank. The data for this field comes from the Verification Selection Change Flag field in the ISIR record layout.


Description

Blank Transaction not selected for verification

Y Transaction is now selected for verification when the transaction being corrected was not selected

Special Circumstances Flag The Special Circumstances Flag identifies a transaction that was filed on the Web by a dependent applicant who believes he or she has a special circumstance that prevents him or her from providing parental information.


Description

Blank Flag is not set

1 Dependent record submitted without parental data

2 Correction made to parental data

3 Unaccompanied homeless individual

Dependent student who is 22 or 23 years of age (or 21 years of age or younger but answered No to all three homelessness dependency status questions) and indicated he or she is unaccompanied and homeless or at risk of homelessness.

4 Dependent student who only wants to be considered for unsubsidized loans

A value of 1, 3, or 4 in this field identifies an applicant who did not provide parental information. The ISIR is rejected and no EFC is calculated for the transaction.

A youth (21 years of age or younger) who answers “Yes” to any of the homelessness dependency status questions is automatically determined to be independent.


• If the student’s application has a Special Circumstances Flag of 1, collect appropriate documentation and, if the applicant qualifies, perform a dependency override setting the value to “1.” If not, the applicant needs to provide parental information.

• If the student’s application has a Special Circumstances Flag of 3, collect appropriate documentation and, if the applicant qualifies, perform a dependency override setting the value to “4” for homeless youth determination. If not, the applicant needs to provide parental information.

• If the student’s application has a Special Circumstances Flag of 4, collect appropriate documentation if warranted, so you can award unsubsidized loans.

In these situations, do not set and submit a dependency override flag, because doing so would trigger the CPS to treat the dependent student as independent and could lead to misawarding of aid.

• When an applicant provides parental information on a subsequent transaction, the Special Circumstances Flag contains a value of 2.

Duplicate SSN Flag This flag is set to Yes if another record was found in the CPS database with the same SSN but a different last name.


Blank Blank No other records with the same SSN and different last name

Y Yes Another record is found on the CPS database with the same SSN but a different last name

Address Only Correction Flag If a mailing or e-mail address modification is the only change to a record, this field contains data.

Note: Corrections to the Signed By and Special Handle fields can be included with an Address Only change. The Address Only Change Flag field on the ISIR contains one of the following values.


Description

Blank No change

1 Student’s mailing address corrected

2 Student’s e-mail address corrected

3 Parent’s e-mail address corrected

4 More than one of the above corrected


SAR C Change Flag If the SAR C Flag is set or removed from the transaction being corrected, this field contains the value Y.


Description

Blank SAR C Flag has not changed

Y SAR C Flag has changed

Match Flags The “Match Flags” section of the ISIR shows alphabetic or numeric codes that are the result of matching the applicant record with databases containing information that can affect eligibility. The “Match Flags” appear in the “FAA Information” section and are described on the following pages.

The 2013-2014 SAR Comment Codes and Text guide, posted on the IFAP and FSAdownload Web sites later this fall, contains a detailed discussion about the flags and codes.

SSN Match Flag The SSN Match flag is the result of the student’s SSN match with the Social Security Administration (SSA).


Description

1 No match on SSN

2 SSN and name match, but no match on date of birth

3 SSN match, no match on name

4 SSN, name, and date of birth match

5 SSN, name, and date of birth match but includes a date of death

6 SSN was not verified

8 Blank Record was not sent to the SSA


SSA Citizenship Code The SSA Citizenship Code is the result from the citizenship match with Social Security Administration. The data for this field comes from the SSA Citizenship Flag field in the ISIR record layout.

DHS Match Flag The DHS Match Flag is the result from the Department of Homeland Security (DHS) match. An applicant record must meet specific criteria to be sent to DHS to confirm the applicant’s U.S. citizenship.


Description

Blank Record not sent to DHS

Y Citizenship confirmed

N Citizenship not confirmed


Description

Blank Domestic born (U.S. citizen) if SSN Match Flag equals 4 (SSN, name, and date of birth match) or No match conducted if SSN Match Flag equals 8 (Record not sent to the SSA)

A U.S. Citizen

B Legal alien, eligible to work

C Legal alien, not eligible to work

D Other

E Alien, student restricted, work authorized

F Conditionally legalized alien

N Unable to confirm citizenship due to no match on SSN, name or date of birth

* Foreign


Selective Service Match Flag The Selective Service Match Flag is the result from the Selective Service (SS) match. Only an applicant record that meets specific criteria is sent to SS to confirm the applicant’s registration.


Description

Blank Record not sent to the Selective Service

N Registration status not confirmed

T Temporarily exempt

Y Registration status confirmed

NSLDS Match Flag The NSLDS Match Flag is the result of the match with NSLDS to identify potential default or overpayment issues in the applicant’s financial aid history.

VA Match Flag The VA Match Flag is the result of the match with Veterans Affairs to confirm the applicant is a veteran.


Description

1 Veteran status confirmed

2 Record found on VA database but not a qualifying Veteran

3 Record not found on VA database

4 Record found on VA database but applicant on active duty

8 Record not sent to VA


Description

1 Student not in default or overpayment

2 Default

3 Overpayment

4 Default and overpayment

7 Match, but no data provided

8 Record not sent to NSLDS


DHS Secondary Confirmation Match Flag The DHS Secondary Confirmation Match Flag is the result from DHS’s confirmation that an applicant failed primary confirmation of U.S. citizenship status.


Description

C DHS has not yet confirmed eligible noncitizen status

N DHS did not confirm eligible noncitizen status

P Pending results of secondary confirmation

X DHS did not have enough information to confirm eligible noncitizen status

Y Citizenship status confirmed by DHS

Father’s/Stepfather’s SSN and Mother’s/Stepmother’s SSN The SSN Match flag is the result of the father’s/stepfather’s or mother’s/stepmother’s SSN match with the SSA.


Description

1 No match on SSN

2 SSN and name match, no match on date of birth

3 SSN match, no match on name

4 SSN, name, and date of birth match

5 SSN, name, date of birth match with date of death

6 SSN not verified

8 Record not sent to SSA

DHS Verification Number The DHS Verification Number is a 15-digit confirmation number that the DHS returns when an applicant provides his or her Alien Registration Number (ARN) and a match with DHS is conducted. The FAA must enter this number on the G-845 form when manual Secondary Confirmation is necessary. If the DHS Verification Number is blank and DHS verification is needed, the FAA should add the student’s ARN to the FAFSA and submit a correction. A comment is returned on the resulting ISIR.


Selective Service Registration Flag The Selective Service Registration Flag is the result from the applicant’s request to be registered with Selective Service.


Description

Blank Record not sent to Selective Service

N Registration not completed

T Temporarily exempt

Y Registration completed

NSLDS Transaction Number The NSLDS Transaction Number is the number of the last transaction on which the student’s NSLDS data changed. It is a signal to the FAA to review the NSLDS information on a particular transaction.

NSLDS Database Results Flag The NSLDS Database Results Flag is the result from the match with NSLDS and informs the FAA whether the applicant was found in the NSLDS database.


Description

Blank Record not sent to NSLDS and all NSLDS fields will be blank

1 Match was found and NSLDS data sent to CPS

2 SSN match but name or DOB did not match, no data sent

3 SSN not found in NSLDS, no match

4 Match was found but no relevant NSLDS data to send to the CPS

5 Real-time transaction not sent to NSLDS


DoD Match The DOD Match flag is the result from the match with the Department of Defense (DoD) to determine if the applicant’s parent was a member of the Armed Forces who died as a result of service in Iraq or Afghanistan after September 11, 2001.


Description

Blank No match

Y Applicant’s SSN included in the DoD Match file

Notes about the DOD Match Flag and Parent’s Date of Death: The DOD Match Flag results and Parent’s Date of Death are included in the ISIR file. For sensitivity reasons, we limit the way this information is printed:

• The DOD Match Flag is printed with the other match flag information in the “FAA Information” section of the ISIR.

• The Parent’s Date of Death is not printed on the EDExpress ISIR report.

• The DOD Match Flag results and the Parent’s Date of Death are never printed on the SAR.

• The DOD Match Flag and Parent’s Date of Death are printed on the FAA version of the eSAR.

In addition, each time the DoD updates its database, the CPS compares the most recent transaction for all non-matched student records with the DoD database. If a student’s record was recently added to the DoD file, the CPS:

• Sends a system-generated ISIR transaction to the school that includes comment code 298, a DOD Match Flag of Y, Date of Parent’s Death, and the Data Source/Type Code of 5X.

• Sends a system-generated SAR to the student that includes comment code 298 stating, “This SAR has been produced due to a possible change in your eligibility for federal student aid. Please contact your financial aid office for more information.”

• Sends a personalized letter to the student explaining the possible increase in eligibility for Title IV aid.

FAAs need the Parent’s Date of Death to confirm that applicants who were over age 23 at the time of their parent or guardian’s death were enrolled in college at the time the parent or guardian died. The FAA can view this data in

• The ISIR file

• FAA Access to CPS Online

• The FAA Information View dialog box in the EDExpress 2013-2014 software


Students with a positive DoD match may be eligible for additional Title IV aid, including a maximum Pell Grant award or an Iraq and Afghanistan Service Grant for the award year. As stated earlier, FAAs must assess each student with a positive DoD match for this additional eligibility and adjust the student’s aid package as necessary.

Note: When submitting awards to Common Origination and Disbursement (COD) System, you must pay on an ISIR transaction with the DOD Match Flag set to Y in order for the award to be accepted.

A November 6, 2009 electronic announcement provided detailed information on the steps you need to take for students with a positive DoD match and aid eligibility. A May 13, 2010 electronic announcement provides additional guidance.

Comment Codes The last line in the “FAA Information” section shows all the codes for comments generated on the record. FAAs can review the comment codes without reading every SAR comment to find those that may require action. Up to 20 comment codes can be printed.

The EDExpress software prints comment text if the option is selected. Certain comment codes (047, 050, 112, 149, 158, 159, 170, and 171) are included in the ISIR file but do not print text on the ISIR printed from EDExpress. The text for these comments is used to print the variable text on the SAR. All comment codes and text used in 2013-2014 are provided in the 2013-2014 SAR Comment Codes and Text guide, to be posted later this fall on the IFAP and FSAdownload Web sites.

http://ifap.ed.gov/eannouncements/110609DODMatch.html

http://ifap.ed.gov/eannouncements/051310UpdateOperImpleIncreaseTitleIVDODMatch.html

http://ifap.ed.gov/eannouncements/051310UpdateOperImpleIncreaseTitleIVDODMatch.html


NSLDS Financial Aid History FAAs can view limited NSLDS information provided on ISIRs or by accessing the FAA Access to CPS Online Web Site. Complete student financial aid history information is available at the NSLDS Professional Access Web site, located at nsldsfap.ed.gov.

The “NSLDS Financial Aid History” section displays the NSLDS information included in the ISIR file. Descriptive labels are intended to help the FAA identify the data. Using the printed ISIR format as a basis, descriptions of the NSLDS data that appears in the “NSLDS Financial Aid History” section follow.

Flags (Upper Section) The loan change flags appear at the top of the “NSLDS Financial Aid History” page next to the label. If # appears to the right of the label, the flag has changed.

Discharged Loan Flag The Discharged Loan Flag reflects the status of any loan discharged due to disability or death. If this flag contains a value other than N, the C Flag is set on the SAR/ISIR and a comment is given.


Description

C Conditional discharge

D Death

M Multiple codes

N None

P Permanent discharge

Fraud Loans Flag The Fraud Loans Flag is set when any loans or overpayments are flagged for potential fraud status. Appendix C includes a chart for 2013-2014 loan status codes and eligibility.

Defaulted Loans Flag The Defaulted Loans Flag is set when any loans are in a defaulted status. Appendix C includes a chart for 2013-2014 loan status codes and eligibility.

Loan Satisfactory Payment Arrangement Flag The Loan Satisfactory Payment Arrangement Flag at the top of the “Financial Aid History” page displays the value Y for Yes or N for No.

http://nsldsfap.ed.gov/


Active Bankruptcy Flag The Active Bankruptcy Flag at the top of the “Financial Aid History” page displays the value Y for Yes or N for No.

Postscreening Reason Codes Up to three postscreening codes can be sent on the same ISIR. The codes listed in the NSLDS Postscreening Reason Code field help schools identify students whose eligibility for federal student aid may have changed since the last SAR/ISIR transaction was produced. To find cases where a student’s eligibility status has changed, NSLDS scans its database weekly.

New for 2013-2014: We added a new postscreening reason code of 24 to identify unusual enrollment history status changes.

Postscreening Reason Codes

ISIR Value and Printed on ISIR

Description

Blank Not an NSLDS postscreening transaction

01 The student entered default on a Title IV loan that was previously not in default

02 Became obligated for a new overpayment of a Title IV grant or loan

03 Cleared a previously reported default of a Title IV loan

04 Cleared an overpayment obligation on a previously reported Title IV grant or loan

05 Direct Loan Master Promissory Note (MPN) status change (Stafford)

06 A loan was discharged due to disability

07 A loan went out of disability discharged status

08 Student has a loan for a closed school

09 Student has exceeded subsidized aggregate loan limit

10 Student has exceeded combined aggregate loan limit

11 Applicant no longer exceeds subsidized aggregate loan limit

12 Applicant no longer exceeds combined aggregate loan limit

13 Change in disability discharged loan status

14 Loan entered active bankruptcy

15 Direct Loan PLUS MPN status change

16 Graduate Direct Loan PLUS MPN status change

17 A fraud conviction was added to the student’s record


Postscreening Reason Codes

ISIR Value and Printed on ISIR

Description

18 A fraud conviction on the student’s record was cleared

19 TEACH Grant was converted to a loan

20 Pell eligible and met or exceeded Pell lifetime limit

21 No longer meeting or exceeding Pell lifetime limit

22 Pell eligible and close to Pell lifetime limit

23 No longer close to Pell lifetime limit

24 Unusual enrollment history status change

99 The “Other” category includes, NSLDS requests for individual reprocessing, NSLDS error reprocessing, etc.

In most postscreening situations, the CPS generates a new SAR/ISIR transaction that includes the changed information as part of the “NSLDS Financial Aid History” section. Students with an SSN Match Flag of 4 (SSN, name, and date of birth match) and a valid e-mail address receive an E-mail Notification of SAR Processing instead of a paper SAR for system-generated transactions. The processed ISIRs are returned to the school in the IGSG14OP message class, and FAAs can identify these transactions when both of the following are true:

• CPS Pushed ISIR Flag equals Y

• Transaction Data Source/Type Code equals 5N (NSLDS Postscreening)

A comment is printed on the output document (SAR/ISIR) informing the student and the school that the record needs to be reviewed because a change was made to the record that could affect the student’s eligibility for Title IV aid.

Postscreened ISIR transactions meet the criteria of a pushed ISIR and are automatically returned to the school, even if the school did not request the ISIR. Postscreening Reason Codes are included in the top section of the “Financial Aid History” page. If the transaction is system-generated because of postscreening, a numeric value appears in this field. Values 01 through 24 correspond to the situations described previously, and a code of 99 is used for any other data changes that generate the transaction. Schools must act on the updated information they receive regarding a change in a student’s eligibility for Title IV aid and must ensure that a student remains eligible for payment; otherwise, the school is liable for improperly disbursed funds.

TEACH Grant Loan Conversion Flag The TEACH Grant Loan Conversion Flag at the top of the “Financial Aid History” page displays the value Y for Yes or N for No.

Note: The status changes reported on a 2013-2014 ISIR may affect eligibility for payments to the student during the 2012-2013 award year.


If the school has disbursed funds to a student who is found ineligible, the school must contact the student to arrange for repayment. If the student has received a Federal Family Education Loan (FFEL), the school must notify the lender. If the student has received a Federal Direct Loan, the school must notify the appropriate ED Servicer.

Unusual Enrollment History Flag New for 2013-2014: This field is the result of new edits performed by NSLDS to identify records with unusual enrollment history. The following values may appear in the Unusual Enrollment History Flag field:


Description

1 For Federal Student Aid use only

2 Possible enrollment pattern problem, school may need to resolve

3 Questionable enrollment pattern, school must resolve

N Enrollment pattern not unusual, no school action required

Blank Record not sent for match

Overpayment Flags The following values appear in the Overpayment Flag fields for ACG, Pell Grant, FSEOG, Perkins, National SMART Grant, TEACH Grant, and Iraq and Afghanistan Service Grant that appear on the ISIR:


Description

D Deferred

N N/A

S Satisfactory Payment Arrangements

F Fraud

W Waived

Y Overpayment exists


Contact The Contact field for each Overpayment Flag displays a school code (OPEID) or ED Debt Collection Service Region code. N/A is displayed when no overpayment exists, and Access NSLDS is displayed when the ISIR Contact Value equals Y, because more than one overpayment exists for a specific aid type.

NSLDS Pell Lifetime Eligibility Used New for 2013-2014: The new Pell Lifetime Eligibility Used field provides the percentage of the total Pell Grant eligibility used by the applicant. This percentage prints on the ISIR in the format 9999.999%.

NSLDS Pell Lifetime Limit Flag New for 2013-2014: The new Pell Lifetime Limit Flag identifies whether an applicant is close to or exceeding his or her total Pell Grant eligibility limit. Valid values are:


Description

C Close to Pell limit

E Met or Exceeded Pell limit

H High Pell percent

N No problem

Blank Record not sent for match

For additional discussion of NSLDS information and applicable school requirements, see the following documents:

• Federal Student Aid Handbook, Volume 1–FSA Handbook: Student Eligibility, Chapter 3–NSLDS Financial Aid History, located at: ifap.ed.gov.

• Dear Colleague Letter GEN-96-13, located at: ifap.ed.gov/dpcletters/doc0501_bodyoftext.htm

• Dear Colleague Letter GEN-98-6, located at: ifap.ed.gov/dpcletters/doc0350_bodyoftext.htm

• Dear Colleague Letter GEN-03-12, located at: ifap.ed.gov/dpcletters/GEN0312.html

• Current and Archived NSLDS Newsletters, located at: ifap.ed.gov/ifap/byNSLDSType.jsp?type=NSLDS%20Newsletters

http://www.ifap.ed.gov/ifap

http://ifap.ed.gov/dpcletters/doc0501_bodyoftext.htm



http://www.ifap.ed.gov/ifap/byNSLDSType.jsp?type=NSLDS%20Newsletters


Aggregate Amounts for FFEL/Direct Loans, TEACH Loan, and Perkins Loan Section This section includes information on subsidized, unsubsidized, unallocated portions of consolidated loans, and TEACH Loans (TEACH Grant converted to a loan). The combined amount reflects the total amount the student has borrowed in subsidized and unsubsidized loans. The combined amount does not include any unallocated amounts, as that portion cannot be attributed to either loan type. Schools are not required to research unallocated dollars to determine their effect on a student’s aggregate loan eligibility. NSLDS continues to calculate and send CPS the outstanding principal balance and total amounts of the unallocated portion of a Consolidation Loan. Separately, NSLDS calculates and reports the TEACH Loan (Direct Unsubsidized) outstanding principal balance and total amounts.

NSLDS does not maintain the Consolidation Loan’s outstanding principal balance or total amounts. Instead, NSLDS has developed an algorithm to determine the breakdown of a Consolidation Loan (FFEL and Direct Loan) and then allocates it appropriately in the subsidized, unsubsidized, combined, and unallocated aggregate amounts. For purposes of calculating aggregates for prescreening and postscreening, NSLDS assumes that the total outstanding balance of a Consolidation Loan consists of the same ratio of subsidized and unsubsidized loans as the sum of the disbursed amounts on the original underlying loans. The remaining portion that cannot be attributed to either the subsidized or the unsubsidized loans is applied to the unallocated amounts. If NSLDS cannot identify the underlying loans for a FFEL Consolidation Loan, NSLDS counts the entire FFEL Consolidation Loan in the subsidized aggregate balance.

The outstanding principal balance and current year loan amount for Perkins loans are included in this section. For all FFEL and Direct Loans in an out-of-school status or cases where the loan period end date plus 90 days has passed, the aggregate outstanding principal balance amount is determined by comparing the net loan amount, disbursed amount, and outstanding principal balance after subtracting capitalized interest. If all three of these are greater than zero, the one with the lowest value is used. Zero is not used if any one of these fields is equal to zero; instead, the lesser of the other two values is used. The net loan amount is the amount of the loan less cancellations and refunds.

For FFEL and Direct Loans in an in-school or in-grace status when the corresponding loan status date is within 90 days after the loan end period date, the aggregate outstanding principal balance amount is determined as follows:

• If either outstanding principal balance or disbursed amount is greater than zero, use the one with greater value, but do not exceed the net loan amount.

• If both are equal to zero, use zero. These are usually loans guaranteed or approved but not disbursed.


For non-consolidated Direct Loans in an in-school status when the corresponding loan status date is within 90 days after the loan end period date, pending disbursements are calculated by subtracting the total disbursed amount from the net loan amount. For non-consolidated FFEL loans in an in-school status when the corresponding loan status date is within 90 days after the loan end period date, pending disbursements are calculated by subtracting the aggregate outstanding principal balance from the net loan amount. Pending disbursements are not calculated for any Direct Loan or FFEL loan in an out-of-school status or after the loan period end date plus 90 days has past.

The ISIR provides cumulative undergraduate and graduate FFEL/Direct Loans aggregate loan totals; however, this information is separated into corresponding undergraduate and graduate portions and dynamically displayed on the “Loan History” section of the NSLDS Professional Access Web site, located at nsldsfap.ed.gov. This makes it easy for an FAA to determine aggregate loan amounts and limits grouped by graduate and undergraduate academic levels.

Pell Payment Data Section Pell Grant data shows current award year (2013-2014) payment information as reported by schools to the COD System. Information for up to three Pell Grants is printed on the ISIR. This information includes the following:

• (Attending) School Code

• Transaction Number

• Scheduled Award Amount

• Award Amount

• Disbursed Amount (Amount Paid to Date)

• Additional Eligibility Indicator

• Percent Scheduled Award Used by Award Year

• As Of (Last Update Date)

• Pell Verification Flag

• EFC

A message instructing the school to “Access NSLDS for additional Pell Data” appears when the student has more than three Pell records for the award year.

http://nsldsfap.ed.gov/


Academic Competitiveness Grant (ACG) Data Section ACG data shows payment information as reported by schools to the COD System. Information for up to three ACG awards is printed on the ISIR from the prior award years. This program does not have funding after the 2010-2011 school year, so any information reported in this field is from prior years. NSLDS determines which three most relevant ACGs to include based on:

• Grants with the highest year in school; and

• Most recent reported grant data from the COD System

This information includes the following:




• Award Amount


• Percent Eligibility Used by Scheduled Award

• Total Percent Eligibility Used by Academic Year Level

• Award Year


• Academic Year Level

• Eligibility Code

• High School Program Code

• ACG Sequence Code

A message instructing the school to “Access NSLDS for additional ACG Data” appears when the student has more than three ACG records.

National Science and Mathematics Access to Retain Talent Grant (National SMART Grant) Data Section National SMART Grant data shows payment information as reported by schools to the COD System. Information for up to three National SMART Grant awards is printed on the ISIR from prior award years. This program does not have funding after the 2010-2011 school year, so any information reported in this field is from prior years. NSLDS determines which three most relevant National SMART Grants to include based on:


• Most recent reported grant data from the COD System






• Award Amount


• Percent Eligibility Used by Scheduled Award

• Total Percent Eligibility Used by Academic Year Level

• Award Year



• Classification of Instructional Programs (CIP) Code

• National SMART Grant Sequence Code

A message instructing the school to “Access NSLDS for additional National SMART Data” appears when the student has more than three National SMART Grant records.

Teacher Education Assistance for College and Higher Education (TEACH Grant) Data Section TEACH Grant data shows payment information as reported by schools to the COD System and transmitted to NSLDS by Direct Loan Servicing. This section provides aggregate disbursement amounts for undergraduate/post baccalaureate TEACH Grants and graduate TEACH Grants. Information for up to three TEACH Grant awards is printed on the ISIR from the current and prior award years. NSLDS determines which three most relevant TEACH Grants to include based on:


• Most recent reported grant data from the COD System.





• Award Amount


• Award Year

• As of (Last Update Date)



• Loan Conversion Flag

• TEACH Grant Sequence Code

A message instructing the school to “Access NSLDS for additional TEACH Data” appears when the student has more than three TEACH Grant records.

Loan Detail Section The information appearing for each loan in the “Loan Detail” section is as follows:

• Description of Loan Program Type – If a # symbol appears to the left of the label, the loan information has changed.

• Net Loan Amount

• Loan Begin Date

• Loan End Date

• GA Code

• School Code

• Grade Level

• Contact Code

• Contact Type

• Additional Unsubsidized Loans Flag

• Loan Type (Recent, Discharged, Defaulted, or Fraud)

• Capitalized Interest (appears as YES or NO)

• Date of Last Disbursement

• Amount of Last Disbursement

• Current Loan Status Code

• As of Current Loan Status Date

• Outstanding Principal Balance

• As of Outstanding Principal Balance Date

If no information is present to report, N/A is displayed.

Note: For a Direct Loan, when an additional unsubsidized loan has been awarded, one of the following reason codes appears:


P PLUS PLUS Loan denial

H Health Prof Health Profession Loan

B Both Both

N Neither Neither


When an additional unsubsidized loan has been awarded due to a PLUS loan denial for a FFEL unsubsidized loan, the reason displayed is “PLUS.” NSLDS derives this value when the PLUS Denial conditions are met. Direct Loan Servicing provides NSLDS with these PLUS Denial and Health Profession codes after origination.

NSLDS monitors undergraduate and graduate aggregate loan levels for students who have undergraduate and graduate loans and flags them accordingly to the appropriate academic loan limits. NSLDS calculates the aggregate levels based on academic levels of loans reported to NSLDS by the data providers rather than the self-reported grade level from the applicant on the FAFSA.

When consolidation loans are reported to NSLDS, lenders often need some time to report underlying loans as paid in full through consolidation. NSLDS considers the age of the consolidation loans when calculating aggregate Outstanding Principal Balances.

NSLDS does not calculate an Aggregate Outstanding Principal Balance if:

• The consolidation loan (FFEL and Direct Loan) date is within 60 days of the current date and

• All the underlying loans have an open loan status code and are not one of the following Loan Status Codes: PC, PN, DN, PF, or DP. See Appendix C of this guide for code values.

This procedure should decrease the occurrences of double counting and inflated aggregate amounts that may have contributed to exceeding the aggregate loan limits. An underlying loan is a loan associated with a consolidated loan with Loan Status Code PC, PN, DN, PF, or DP, and the Loan Status Date of the underlying loan is within 210 days (before or after) of the consolidated loan date. See Appendix C of this guide for code values.

Additionally, FFEL Consolidation Loans and Direct Consolidation Loans factor out the Perkins and/or PLUS underlying loans from the unallocated amount.

The “Loan Detail” section continues to display up to six loans (including Perkins loans). The sort and display order of the loans is determined by current loan status and categorized into different groups:

• Group 1 includes loans in a deceased status, making the student ineligible for aid.

• Group 2 includes loans in a defaulted or fraud status, making the student ineligible for aid.

• Group 3 includes loans where a school may have to take action; this includes loans in an abandoned, disability, active bankruptcy, or temporary uninsured status.

• Group 4 are loans in an open status not included in groups 2 and 3.

• Group 5 includes closed loans (those not included in groups 1, 2, 3, and 4).

Group 1 consists of loan statuses for deceased borrowers, DD (defaulted, then loan holder died) and DE (loan holder died). This category ensures that FAAs are notified of these loan statuses, because SARs for applicants with one or more Loan Status Codes DD or DE are not distributed.


Within each group, the sort order is determined by descending Loan Begin Date with the highest outstanding principal balance sorted first for loans with the same loan begin date. Loans selected are from group 1 first, group 2 second, and followed by those in groups 3 and 4. Loan Status Codes and their groupings are identified in Appendix C. If more than six loans are in the NSLDS database, a message to Access NSLDS for additional information is printed on the output. The NSLDS Professional Access Web site, located at nsldsfap.ed.gov, displays this loan information.

A contact type is included for each loan. The contents of the Contact Type field are:

Master Promissory Note/Loan Limit Information Section

Direct Loan Subsidized and Unsubsidized MPN Direct Loan PLUS MPN Direct Loan Graduate PLUS MPN Master Promissory Note (MPN) Information is located at the end of the “Loan Detail” section.

• The Direct Loan Subsidized/Unsubsidized MPN field identifies whether a student has an MPN for Subsidized and Unsubsidized Direct Loans on file at the COD System.

• The Direct Loan PLUS MPN identifies if an MPN for a PLUS loan is on file at the COD System.

• The Direct Loan Graduate/Professional PLUS loan’s MPN information is provided by the Direct Loan Servicer if an MPN is on file at the COD System.

Each MPN indicator identifies the MPN status as listed in the table on the next page.


Description

SCH School

LEN Lender

EDR ED Region

GA Guaranty Agency

LNS Lender Servicer

DDP Disability Data Provider

RDS U.S. Department of Education

N/A Not applicable

http://www.nsldsfap.ed.gov/


ISIR Value Value Printed on the ISIR

Blank No data from NSLDS

A Active MPN

C All MPNs Closed

E Inactive due to the linking of a PLUS Loan with an endorser

I All MPNs Inactive

N No MPN on File

Undergraduate Subsidized Loan Limit Flag Undergraduate Combined Loan Limit Flag Graduate Subsidized Loan Limit Flag Graduate Combined Loan Limit Flag The following four loan limit flags are printed at the end of the “MPN/Loan Limit Information” section and indicate the condition of the borrower’s loan limits:

• Undergraduate Subsidized Loan Limit Flag

• Undergraduate Combined Loan Limit Flag

• Graduate Subsidized Loan Limit Flag

• Graduate Combined Loan Limit Flag

Comment codes are generated based on the value of these four flags. Because the NSLDS Professional Access Web site displays the undergraduate and graduate portions separately, FAAs can use it to aid in researching the loan limit flags received on the ISIR.

The valid flag values for loan limit flags are as follows:

ISIR Value Value Printed on the ISIR

Blank Blank

C Close to or equal to limit

E Exceeded limit

N Not near limit


Additional ISIR Data In addition to the information described above that is printed on the paper ISIR, we explain below several important ISIR fields that are not printed on the EDExpress ISIR:

DRN The student’s Data Release Number (DRN) is not printed on the ISIR and is not part of the ISIR file. The DRN is printed only on the student’s SAR and the Web confirmation pages for FAFSAs, pre-filled FAFSAs, corrections, and electronic signatures. The DRN appears immediately after the confirmation number. See Appendix D for more information about the DRN.

IRS Data Field Flags New for 2013-2014: Four IRS Data Field Flags indicate if the data in the field was retrieved from the IRS and if that data was changed. These fields are used for system editing and are provided for system developers. These fields are not printed on the ISIR. The new fields are:

• IRS Student Adjusted Gross Income (AGI) Data Field Flag (ISIR position 1077)

• IRS Student Federal Income Tax (FIT) Data Field Flag (ISIR position 1078)

• IRS Parent AGI Data Field Flag (ISIR position 1079)

• IRS Parent FIT Data Field Flag (ISIR position 1080)

Value Meaning

0 IRS data not transferred (default value)

1 IRS data was transferred and not changed by user

2 IRS data was transferred and changed by user to a different value

3 IRS Request flag is equal to 02, 03, or 04, and field has been corrected on this transaction

4 IRS Request flag is equal to 02, 03, or 04, and field has been corrected on a previous transaction


Signature Reject EFC The Signature Reject EFC is an EFC value calculated for records that have only signature rejects, and no other reject reasons. One or more of the following rejects can be displayed on the student’s record:

• 14 (missing student signature on paper FAFSA or SAR)

• 15 (missing parent signature on FAFSA or SAR)

• 16 (missing student signature on Web application)

The EFC is not printed on the ISIR from EDExpress, SAR, or eSAR and does not appear in FAA Access to CPS Online. Appropriate signatures must be processed, as usual, before award disbursements can be made. This information benefits students who are trying to meet state deadlines that require the EFC to be calculated by a certain date. This value is found on the ISIR in positions 1482 to 1486.

Field Correction Flags The ISIR contains a Correction Flag for each field on the FAFSA/SAR. These flags are found in positions 1959 through 2153 on the ISIR. The values for this field are as follows:

Value Meaning Symbol

Printed on ISIR

0 Field was not previously corrected

1 Field was corrected on the current transaction (i.e., changed to another value; correction from blank to zero is not considered a correction)

#

2 Field was corrected on a previous transaction (i.e., changed to another value; correction from blank to zero is not considered a correction)

@

EDExpress does not actually print the data in this field. EDExpress uses the values in this field to print the character # (pound symbol) on the ISIR to the right of the field variable that was corrected on the most current transaction and to print the character @ (at symbol) to the right of the field variable that was corrected on a previous transaction.

Correction flags are cumulative (i.e., the flag is included on all subsequent transactions).


FAFSA Data Verify Flags FAFSA Data Verify Flags are found on the ISIR (positions 2379 through 2573). Each FAFSA Data Verify Flag byte corresponds to a specific SAR field and indicates fields corrected to the same value on the transaction being corrected.

Value Meaning

0 Field was not corrected to the same value

1 Field was verified as containing the same data as the transaction being corrected

2 CPS has asked that the field be verified

EDExpress does not print these flags on the ISIR. These flags can be found on the ISIR record layout. They were added at the request of third-party servicers to assist them when performing correction edits.


Corrections and Updates

Overview The initial steps in the application process are sending a student’s application information to the CPS and receiving that student’s processed application data back from the system. One of three types of documents is sent to the applicant as a result of an application:

• E-mail Notification of SAR Processing

• SAR

• SAR Acknowledgement

For more information on the types of documents sent to a student and the situations in which they are sent, see Appendix D of this guide.

When data must be updated (under the limited circumstances allowed by regulation) or corrected, additional steps are required. FAAs and students can correct application data. Different processes are used for updating records depending on who is correcting the record and the type of document used to make the correction.


FAAs Making Corrections FAAs can make corrections to students’ records using FAA Access to CPS Online, third-party software, or their own mainframe systems.

FAA Access to CPS Online In FAA Access to CPS Online, changes (corrections or updates) can be made to any student’s record by an FAA, regardless of whether the application originally entered the system in paper or electronic format. Both updates and corrections are referred to as correction transactions. The electronic correction process requires that the school that inputs the new information maintain signed correction documentation.

Documentation can consist of a paper SAR or other documents, such as tax returns, a verification worksheet, or a change-of-address form. The FAA enters the changes on the FAA Access to CPS Online correction entry screen, submits the changes to the CPS, and receives an ISIR containing the new processed data. In this electronic input situation, the student receives an E-mail Notification of SAR Processing if he or she provided an e-mail address with valid syntax and has an SSN Match Flag of 4 (SSN, name, and date of birth match). Otherwise, a SAR Acknowledgement is sent. The school receives an electronic ISIR.

Mainframe System FAAs can use their own systems to make changes or updates to any student’s record, regardless of whether it originally entered the system as a paper or an electronic application. Using a mainframe system or third-party software, FAAs can submit electronic corrections to the CPS using the SAIG. As with FAA Access to CPS Online, the school must maintain signed correction documentation.

In this electronic input situation, the student receives an E-mail Notification of SAR Processing if he or she provided an e-mail address with valid syntax and has an SSN Match Flag of 4. Otherwise, a SAR Acknowledgement is sent. The school receives an electronic ISIR.

For more information on supporting a mainframe system, see the 2013-2014 Electronic Data Exchange (EDE) Technical Reference, which provides sufficient programmer specifications and information to design or build your own system or software or the Application Processing System Specifications for Software Developers. Both documents are posted on the IFAP and FSAdownload Web sites.


Students Making Corrections A student can make corrections to his or her application data using paper output documents or using FAFSA on the Web. The options for a student to make a correction depend on the document the student received after the application or subsequent transaction was processed. In most cases, a student receives one of the following output documents. The exception is for a student who submits corrections that are processed in real time through FAFSA on the Web; this student will have the option to view and print the eSAR after he or she clicks the Exit button on the confirmation page to return to the My FAFSA page.

E-mail Notification of SAR Processing The E-mail Notification of SAR Processing is designed to notify the student of application and eligibility status more quickly than either the paper SAR or the SAR Acknowledgement. The e-mail includes a link to the student’s processed SAR information online and enables the student to print the online SAR document as often as needed. In addition, the student can correct or confirm the applicant data, as needed. To complete corrections to the application data, the student must sign with a PIN. If the student is dependent and is changing parental data, a parent must also sign. Students with undeliverable e-mail addresses and those whose E-mail Notifications of SAR Processing have been returned to the U.S. Department of Education are sent paper SARs or SAR Acknowledgements.

SAR Acknowledgement The SAR Acknowledgement is designed to notify the student of application and eligibility status and is mailed when an applicant has completed an electronic application or correction and has an SSN Match Flag of 4 (SSN, name, and date of birth match) and no missing signatures (Reject Reasons are not 15 or 16), but a valid e-mail address was not provided If corrections are needed, the student uses FAFSA on the Web, contacts the school to submit the corrections through FAA Access to CPS Online or a mainframe system, or calls the Federal Student Aid Information Center (FSAIC) to request a duplicate SAR and use it to mail corrections or updates to the FAFSA processor.

SAR The SAR is designed to serve two basic purposes: to notify the student of application and eligibility status and to provide a means for correcting or confirming applicant data.

The SAR is a vehicle for corrections for students who filed on paper and do not have a valid e-mail address. Additionally, a paper SAR is mailed when an applicant does not have an SSN Match Flag of 4 (SSN, name, and date of birth match), or when an application is missing signatures and a valid e-mail address was not provided. A student can correct or update his or her application information on the SAR and mail it to the FAFSA processor for data entry.

After the FAA or student makes corrections and the changes are processed, the student receives a new E-mail Notification of SAR Processing, SAR Acknowledgement, or SAR. In all cases, an ISIR is generated for the school.


SAR Corrections As described in the previous section, for each non-real-time transaction processed at the CPS, an output document is sent to the applicant: a paper SAR, a SAR Acknowledgement, or an E-mail Notification of SAR Processing with information for accessing SAR data on the Web. An applicant who submits corrections using FAFSA on the Web that are processed in real time is presented with a link to his or her eSAR after clicking the Exit button on the confirmation page. This section describes the paper SAR. Additional information on the paper SAR, including changes for 2013-2014, can be found in Appendix D.

Boxes with the question number and a shortened question description that corresponds to a question on the FAFSA appear on the SAR. These question boxes contain the student’s response to the question. Next to or below the question box are boxes or ovals that resemble the answer fields on the FAFSA where the student can indicate or write in a corrected answer, if necessary.

Items that are highlighted (printed in bold type) require special attention. Highlighting indicates the CPS identified the responses as questionable or inconsistent with other answers. The CPS may assume answers to certain questions by comparing them with other information on the application. Answers might be assumed when the question was left blank, or a positive number might be assumed when the answer to an income question was given as a negative number.

When the CPS assumes an answer, both the value reported by the applicant and the assumed values are printed on the SAR. The word “ASSUMED” appears in parentheses with the assumed value. Assumed values are used by the CPS in performing the EFC calculation and should be reviewed carefully. If the assumed values are correct, the student does not need to change them on the SAR.

The student can correct other items if necessary, whether or not they are highlighted.

If the record has been rejected, an arrow points to the response field for the questioned item. This indicates that the student must provide a new answer because the original response was blank or illegible, and the item is necessary to perform an EFC calculation. The student can also correct other items if necessary, even if they are not highlighted.

Instructions to the student at the top of the SAR explain the meaning of the arrows and the proper way to fill in an oval or to correct, confirm, or delete an answer. To confirm a previously reported answer, the student must rewrite the same value in the answer fields and return the SAR.


Parent Information for Independent Students The SARs for dependent and independent students contain the same sections and numbered items as the FAFSA. Parent information is printed in the parent section for an independent student if the student provided it on the FAFSA, although the EFC calculation does not include parental data. Students in certain health profession programs are advised that they may have to provide parental data because the data is required by many health profession schools to award Title VII aid. Parental data provided by independent students is not subject to any edits, but the data appears on the SAR and ISIR and is carried forward on all transactions.

Parental data is required for dependent students and is edited and used in the EFC calculation.


Signatures SAR Corrections A message in the lower portion of the last page of the SAR shows the address where SAR corrections should be mailed.

In the lower left corner of the same page, the student is asked to certify that any corrections made on the SAR are accurate and complete. The student must sign this statement if he or she chooses to submit the corrections on paper. If the student is dependent and is changing parental data, one parent must also sign.

The student can also make corrections using FAFSA on the Web, located at fafsa.gov. A PIN is needed to access the correction data. When corrections are made using the Web, a parent needs to sign or supply his or her PIN only if the parental data is changed. The student must supply his or her PIN.

PINs The PIN simplifies and expedites processing for any applicant and his or her parent. A PIN can be issued in real time from the PIN Web site or FAFSA on the Web, enabling an applicant and his or her parent to immediately sign a 2013-2014 FAFSA.

Students and parents can create their own PIN, request that Federal Student Aid generate a PIN for them that is displayed on the screen in real time, or request that the PIN be e-mailed in real time. The PIN is issued in real time so that the student or parent can immediately use it to electronically sign the application. See “The Federal Student Aid PIN for Students and Parents” in the “Processing Flow” section earlier in this guide for more information.

Beginning on December 30, 2012: We have removed the postal mail option for applicant PIN Mailers and notifications.

Signature Rejects The Signature Reject EFC field is calculated for records that have only one or more of the three signature rejects described on the following pages.

Note: The Signature Reject EFC is included in the ISIR file but is not printed on the ISIR from EDExpress, SAR, or eSAR and does not appear in FAA Access to CPS Online or Student Inquiry. Appropriate signatures must be processed as usual before award disbursements can be made. This information benefits students who are trying to meet state deadlines that require the EFC to be calculated by a certain date.

http://www.fafsa.gov/


Reject 16 — Missing Student Signature from a FAFSA on the Phone or Web Application Reject 16 is generated and sent in an E-mail Notification of SAR Processing or on a paper SAR to a student who submitted an application by calling FSAIC to submit a FAFSA on the Phone or submitted an application through FAFSA on the Web or Spanish FAFSA on the Web but did not provide a PIN or follow up with a signed Signature/Certification page. Reject 16 is also generated if the Signature/Certification page sent by the applicant was incomplete and could not be processed.

If the application record indicates that a Signature/Certification page was printed, the CPS holds the transmission for up to 14 calendar days pending receipt of the page. If the Signature/Certification page is not received in 14 calendar days, the CPS processes the record and mails a SAR with a Reject 16 code.

If the application record indicates that a Signature/Certification page was not printed, the CPS immediately processes the record and mails a SAR with a Reject 16 code.

Note: Reject 16 may appear with other rejects or highlighted data requiring correction or verification. A Reject 16 SAR does not have a calculated EFC and contains the full Certification Statement that appears on the FAFSA.

Reject 15 — Missing Parent Signature on FAFSA or SAR Reject 15 is generated and sent in an E-mail Notification of SAR Processing or on a paper SAR to a dependent student who submitted a paper FAFSA or SAR without a parent signature. Reject 15 is also generated if a dependent student files a FAFSA or renewal application on FAFSA on the Web and signs with a PIN but does not provide a parent signature or PIN.

To resolve a Reject 15 code, the CPS requires at least one parental signature for dependent students. The parent can use his or her PIN to sign electronically using FAFSA on the Web; sign and mail the Signature/Certification statement on the paper SAR; or contact the school’s FAA, who can submit the signature data electronically through the FAA Access to CPS Online Web site.

When a parent signs his or her dependent child’s application or correction record with a PIN, other corrections can be made simultaneously; however, both the dependent student and one of the student’s parents must use their PINs to sign an application or correction, or the transaction will result in a Reject 15.

If a printer is available, a dependent student can also print the Signature/Certification page, obtain a parent’s signature, and mail it to the processor. The transmitted application is held up to 14 calendar days pending receipt of the page. If the Signature/Certification page is not received in 14 calendar days, the CPS processes the record and sends an E-mail Notification of SAR Processing or a paper SAR with a Reject 15 code.

If the application record indicates that a Signature/Certification page was not printed, the CPS processes the record and mails a SAR with a Reject 15 code or sends the E-mail Notification of SAR Processing.


If neither parent of a dependent student has a PIN nor has a printer to print the Signature/Certification page, the student’s school can obtain the necessary documentation and submit the parent signature using FAA Access to CPS Online.


Reject 14 — Missing Student Signature on Paper FAFSA or SAR Reject 14 is generated when a student submits a paper FAFSA or SAR without a student signature or if the FAFSA or correction was signed before January 1, 2013 and sent to the FAFSA processor after the January 1, 2013 system startup date.

To correct a SAR with Reject 14, the student must sign and return the paper SAR to the FAFSA processor address indicated on the form. The student can also make other corrections to the Reject 14 SAR simultaneously, if necessary. By signing and returning the certification statement along with the application data, the student completes the application process.

A student who has an active PIN can also sign his or her record electronically on the Web and make other corrections using FAFSA on the Web. Alternatively, schools can obtain the necessary documentation from the student and submit his or her signature using the FAA Access to CPS Online Web site.



School Code Corrections A student can correct the school codes listed on his or her record in several ways. A school code can be added, removed, or replaced using FAFSA on the Web, FAA Access to CPS Online, or the SAR.

Note: The FAFSA contains space for up to four school codes and housing plans, while FAFSA on the Web applications and corrections can contain up to ten school codes. All ten schools are included in the ISIR file but, due to space constraints, only the first four schools print on the SAR and the first six schools print on the ISIR from EDExpress. You can view all schools on the student’s record using FAA Access to CPS Online.

On the SAR, the student can correct any of the four school code fields and the new code is added in the position in which it was entered on the SAR. If the student chooses a position that has a school code in it, the previous code is replaced by the new school code. The school with the code that was removed does not receive ISIRs for the student.

The same results occur if the school correction is made using FAA Access to CPS Online, FAFSA on the Web, or if the student makes the request over the telephone through FSAIC. However, all ten school code fields can be corrected, and, if the correction is made using FAA Access to CPS Online, the processing system does not process a change that removes the school that transmitted the correction from the student’s record.

To prevent schools from viewing or receiving transactions that contain a professional judgment by another school, students and FAAs are not permitted to add a new school code to a transaction that contains a professional judgment flag. The student or FAA must choose a transaction on which a professional judgment has not been performed to make the correction. This does not apply to transactions that result from dependency overrides.


Getting Help

Customer Service FSATECH Listserv FSATECH is an e-mail listserv for technical questions about Federal Student Aid systems, software, and mainframe products.

For more information on subscribing to FSATECH, go to ed.gov/offices/OSFAP/services/fsatechsubscribe.html.

CPS/SAIG Technical Support Federal Student Aid maintains this call center to address questions about CPS processing, EDExpress and EDconnect software, SAIG enrollment, and data transmissions and to collect system enhancement suggestions.

800/330-5947; 319/665-4762; (TDD/TTY 800/511-5806)

Representatives are available Monday through Friday, 8 a.m. to 8 p.m. Eastern Time (ET).

E-mail: [email protected]

http://www.ed.gov/offices/OSFAP/services/fsatechsubscribe.html

mailto:[email protected]


Federal Student Aid Information Center (FSAIC) The Federal Student Aid Information Center (FSAIC) serves the public with information about the federal student aid application process. FSAIC customer service representative support is provided in English and Spanish. Customers include students, parents, and FAAs seeking general information about federal grant and loan programs and assistance with the FAFSA (paper and FAFSA on the Web versions, including Federal Student Aid PIN assistance) and student aid processing timeframes.

Types of FSAIC assistance include: FAFSA status checks, completion of FAFSA and FAFSA corrections, requests to change addresses and Federal School Codes on the FAFSA, duplicate SAR requests, identification of holders of existing student loans (including contact information), Federal Student Aid publication fulfillment, and assisting the student with NSLDS’s loan and TEACH Grant exit counseling sessions.

800/4-FED-AID (800/433-3243); 319/337-5665; or TDD/TTY 800/730-8913

Representatives are available Monday through Friday and on certain Saturdays and Sundays during peak processing as defined in the table below. FSAIC is closed on federal holidays with the following exceptions:

• New Year’s Day, open from 9 a.m. to 6 p.m. (ET)

• Martin Luther King Jr.’s Birthday, open from 8 a.m. to 11 p.m. (ET)

• Washington’s Birthday, open from 8 a.m. to 11 p.m. (ET)

FSAIC is also closed the day after Thanksgiving and December 24.

Month Weekday Hours (ET) Saturday Hours (ET) Sunday Hours (ET)

January 8 a.m. to 11 p.m. 8 a.m. to 5 p.m. 12 p.m. to 6 p.m. Second 2 weeks

February 8 a.m. to 11 p.m. 8 a.m. to 5 p.m. 12 p.m. to 6 p.m.

March 8 a.m. to 11 p.m. 8 a.m. to 5 p.m. First 2 weeks

None

April 8 a.m. to 10 p.m. None None May 8 a.m. to 10 p.m. None None

June 8 a.m. to 11 p.m. 8 a.m. to 5 p.m. Second 2 weeks

None

July 8 a.m. to 11 p.m. 8 a.m. to 5 p.m. 12 p.m. to 6 p.m. August 8 a.m. to 11 p.m. 8 a.m. to 5 p.m. 12 p.m. to 6 p.m.

September 8 a.m. to 10 p.m. 8 a.m. to 5 p.m. First 2 weeks

None

October 8 a.m. to 10 p.m. None None November 8 a.m. to 10 p.m. None None December 8 a.m. to 10 p.m. None None


Federal Student Aid’s Research and Customer Care Center (RCCC) This call center provides information about and assistance with Title IV policy, regulations, application processing questions, and contacting other Federal Student Aid staff. Contact them at:

800/433-7327

Representatives are available Monday through Friday, 9 a.m. to 5 p.m. ET.

E-mail address: [email protected]


October 2012 (2013-2014) The ISIR Guide Appendix A A-1

APPENDIX A – 2013-2014 REJECT CODES AND REJECT REASONS

Reject Reason Codes Reject reason codes can be either alphabetic or numeric. Some reject reasons are verifiable—that is, the student can confirm the questionable data by re-entering the same value or correcting it to a different value. Other reject reasons are not verifiable; the questioned data must be changed or provided. In all reject situations, the questioned information is highlighted on the SAR and an EFC is not calculated.

A confirmation overrides a CPS edit. For example, if a student reports an exceptionally large number of family members (such as 20), the student’s application receives a Reject W. The student can confirm the information by correcting the item to the same value, and Reject W is not triggered again.

However, if instead of confirming that 20 family members is correct, the student changes “20” to “21,” the corrected data is subject to the same edits and will receive Reject W again.

In FAA Access to CPS Online, an FAA can override some verifiable rejects before transmitting the student’s data to the CPS if the FAA knows that the reported information is correct. When filing an application or making corrections using FAFSA on the Web, the student can also override the reject by confirming the information he or she has entered.

As part of the annual changes, we incremented the year references in our edits that cause rejects A and B to be set on a record.


Table of Reject Codes and How to Respond to Each Reject codes, reasons, and their associated SAR comment codes are listed here. If a student is rejected for more than one reason, the reject codes appear in the “FAA Information” section in priority order. The resolution for a rejected SAR is the responsibility of the student, not the institution, and the SAR comment generated by the reject explains what action the student must take.


Table of Reject Codes and How to Respond to Each Reject Code

Reject Reason Action Comment Code

*A Date of birth year equals 1900 through 1938.

Confirm (re-enter the same value) or correct the Date of Birth.

069

*B Independent student and date of birth equals 09/01/97 or greater, and date of birth is not equal to or greater than current year.


072

*C Taxes Paid is greater than zero and greater than or equal to a fixed percentage of the AGI, but not equal to or greater than AGI. (Parent or Independent Student)

Confirm (re-enter the same value) or correct Taxes Paid and Adjusted Gross Income.

154, 155

D Student’s SSN match, but no name match

Confirm (re-enter the same value) Student’s First and Last Name.

061

E Father’s SSN match, but no name match

Confirm (re-enter the same value) Father’s Last Name and First Initial.

040

F Mother’s SSN match, but no name match

Confirm (re-enter the same value) Mother’s Last Name and First Initial.

051

*G Taxes Paid is greater than zero, and greater than or equal to a fixed percentage of the AGI, but not equal to or greater than AGI. (Dependent Student)


153

*J Father’s SSN contains all zeroes and reported as a tax filer

Confirm (re-enter the same value) for the Father’s SSN.

**083

*K Mother’s SSN contains all zeroes and reported as a tax filer

Confirm (re-enter the same value) for the Mother’s SSN.

**084

*N Missing first or last name Correct the Student’s Last Name or First Name or confirm (re-enter the same value) a blank First or Last Name field if the student actually has only one name.

080

* These Reject Codes are the same as the Reject Override Codes. ** If Rejects J and K are on the ISIR, comment codes 083 and 084 are suppressed and replaced with comment code 164.


Table of Reject Codes and How to Respond to Each (continued) Reject Code


R Student’s Social Security Match, but no Date of Birth Match

Confirm (re-enter the same value) or correct the Student’s Date of Birth.

060

S Father’s Social Security Match, but no Date of Birth Match

Confirm (re-enter the same value) or correct the Father’s Date of Birth.

016

T Mother’s Social Security Match, but no Date of Birth Match

Confirm (re-enter the same value) or correct the Mother’s Date of Birth.

017

*W Unusually high number of family members

If the student is dependent, confirm (re-enter the same value) or correct Parents’ Number of Family Members.

If the student is independent, confirm (re-enter the same value) or correct Student’s Number of Family Members.

178, 179

1 The simplified needs test is not met, automatic zero EFC flag is not set, asset threshold exceeded is “Yes” or blank on current transaction, and any asset data is blank

For a dependent student, if the Student’s Asset Threshold Exceed field equals “Yes” or blank on the current transaction, provide the following: Student’s Cash, Savings and Checking, Student’s Real Estate/ Investment Net Worth, and Student’s Business/ Investment Farm Net Worth. Also, if the Parents’ Asset Threshold Exceed field equals “Yes” or blank on current transaction, provide the following: Parents’ Cash, Savings, and Checking, Parents’ Real Estate/ Investment Net Worth, and Parents’ Business/Investment Farm Net Worth.

For an independent student, if the Student’s Asset Threshold Exceed field equals “Yes” or blank on current transaction, provide the following: Student’s Cash, Savings and Checking, Student’s Real Estate/ Investment Net Worth, and Student’s Business/Investment Farm Net Worth.

150, 151

* These Reject Codes are the same as the Reject Override Codes.




2 Incomplete FAFSA If the student is dependent, provide Parents’ Taxed and Untaxed Income.

If the student is independent, provide Student and Spouse (if married) Taxed and Untaxed Income.

129, 130

*3 Student’s Taxes Paid is greater than zero and equal to or greater than AGI.

Correct Student’s Taxes Paid or AGI. 114, 152

4 Student’s marital status date on the initial application is greater than the date the application was signed

Or

Student’s marital status date on a correction transaction is greater than transaction receipt date.

If the student’s marital status date is after the date the application was originally signed, correct the marital status to single.

062

5 Missing or invalid Date of Birth Correct the Date of Birth. 018

6 Father’s Social Security Number was not matched with the Social Security Administration

Correct the SSN for the father. Also review and correct the name and/or Date of Birth for mother and/or father to achieve a full match for at least one parent.

011

7 Mother’s Social Security Number was not matched with the Social Security Administration

Correct the SSN for the mother. Also review and correct the name and/or Date of Birth for mother and/or father to achieve a full match for at least one parent.

012

8 SSN match with Date of Death Contact the Social Security Administration to fix the error at SSA. Then re-enter name or Date of Birth and submit as a correction for an updated SSA Match.

076, 140, 145

9 Dependent student and one of SSN, Last Name, or Date of Birth is missing for both parents

Correct the SSN, name, and/or Date of Birth for mother and/or father to achieve a full match for at least one parent.

049





10 Missing marital status and number of family members

If the student is dependent, review and correct Parents’ Marital Status and Parents’ Number of Family Members.

If the student is independent, review and correct Student’s Marital Status and Student’s Number of Family Members.

168, 169

11 Marital status inconsistent with reported incomes

If the student is dependent, review and correct Parent’s Marital Status or at least one of the following fields: Father’s/ Stepfather’s Income From Work or Mother’s/ Stepmother’s Income From Work. If the student is independent, review and correct Student’s Marital Status or at least one of the following fields: Student’s Income Earned From Work or Spouse’s Income Earned From Work.

089, 099

*12 Parents’ Taxes Paid is greater than zero and equal to or greater than AGI

Correct Parents’ Taxes Paid or AGI. 111

13 Missing Name Provide the following: Student’s Last Name and/or Student’s First Name, or confirm a blank first or last name field if the student actually has only one name.

082

14 Missing student signature on paper FAFSA or SAR

Signature correction must be made on a printed Student Aid Report certification page and resubmitted to the FAFSA Processor or can be corrected electronically.

160

15 Missing parent signature on FAFSA or SAR

Signature correction must be made on a printed SAR certification page and resubmitted to the FAFSA Processor or can be corrected electronically.

108





16 Missing student signature on Web application

Signature correction must be made on a printed SAR certification page and resubmitted to the FAFSA Processor or corrected electronically.

110, 285

17 Citizenship status left blank and SSA did not confirm citizenship status or applicant reported not a citizen or eligible noncitizen

Provide the Citizenship Status with the Alien Registration Number if appropriate.

068

18 SSN not verified on SSA’s database Correct the SSN. If the SSN is correct, contact the SSA to fix the error in their records. Then re-enter SSN and submit as a correction for an updated SSA Match.

024

19 An EFC cannot be calculated because the Department of Justice has placed a “hold” on the student

Student needs to call 202-377-3889 to resolve comment 009.

009

*20 A non-tax filer is reporting an income that is above the IRS filing requirement

If the student is dependent, review and correct the appropriate set of data from the following:

Student’s Tax Return Completed status or student’s income

or

Parents’ Tax Return Completed status or income for the father and mother.

If the student is independent, review and correct at least one of the following:

Student’s Tax Return Completed status or income for the student and spouse.

126, 131

*21 Student’s corrected marital status date is greater than or equal to the application receipt date and less than or equal to the transaction receipt date.

If the student’s marital status date is greater than or equal to the date the application was received, correct the marital status date and/or marital status.

119


October 2012 (2013-2014) The ISIR Guide Appendix B B-1

APPENDIX B – 2013-2014 DATABASE MATCHES AND MATCH FLAGS

Overview Previously, this appendix included expanded charts showing match flags for all matches, the reasons associated with these match results, the SAR comment number that is triggered, and a determination as to if an action is required. This information was moved to the SAR Comment Codes and Text guide into a reformatted table so that all comment information is in one document. At the end of the SAR Comment Codes and Text guide, we provide simplified tables that cross-reference match flag results with the rejects, C flag, and comment numbers.

The 2013-2014 SAR Comment Codes and Text guide is posted on the IFAP and FSAdownload Web sites in early November.

February 2013 (2013-2014) The ISIR Guide Appendix C C-1

APPENDIX C - LOAN STATUS CODES AND ELIGIBILITY CHARTS

Overview Appendix C describes the loan status codes, Federal Direct Loan servicer codes, selected servicer codes, guaranty agency codes, selected lenders, and contact information/fields associated with loan status.

The Loan Status Codes table on the following pages contains a column titled “Group (ISIR sort order).” This column describes the order that these loans are sorted and displayed on the ISIR with regard to their current loan status, categorized in the following groups:

• Group 1 includes loans in deceased status, making the student ineligible for aid.

• Group 2 includes loans in a defaulted or fraud status, making the student ineligible for aid.

• Group 3 includes loans where a school may have to take action; this includes loans in an abandoned, disability, active bankruptcy, or temporary uninsured status.

• Group 4 are loans in an open status not included in groups 2 and 3.

• Group 5 includes closed loans (those not included in groups 1, 2, 3, and 4).


Loan Status Codes

Code Status Eligibility for Title IV Group (ISIR sort

order)

AL Abandoned Loan Yes 3

BC No Prior Default,

Bankruptcy Claim, Discharged Yes, because loan was not in default and was discharged

5

BK No Prior Default,

Bankruptcy Claim, Active Yes, because loan was not in default 3

CA Canceled (Perkins = Loan Reversal) Yes 5

CS Closed School Discharge Yes 5

DA Deferred Yes 4

DB Defaulted, then Bankrupt, Active. (Perkins: all bankruptcies. FFELP and Direct Loans: Chapter 13)

No, unless debtor can show that loan is dischargeable. See Dear Colleague letter GEN-95-40, dated September 1995

2

DC Defaulted, Compromise Yes, because compromise is recognized as payment in full

5

DD Defaulted, then Died No, because if borrower is reapplying, then loan status is in error

1

DE Death No, because if borrower is reapplying, then loan status is in error

1

DF Defaulted, Unresolved No 2

DI Disability Yes 3

DK Defaulted, then Bankrupt, Discharged. (Perkins: all bankruptcies. FFELP and Direct Loans: Chapter 13)

Yes, because defaulted loan has been totally discharged

5




Loan Status Codes (continued)

Code Status Eligibility for Title IV Group

(ISIR sort order)

DL Defaulted, in Litigation No 2

DN Defaulted, then Paid in Full through Consolidation Loan

Yes 5

DO Defaulted, then Bankrupt, Active, other. For FFELP and Direct Loans in Chapters 7, 11, and 12

No, unless debtor can show that loan is dischargeable. See Dear Colleague letter GEN-95-40, dated September 1995

2

DP Defaulted, then Paid in Full Yes, because loan was paid in full 5

DR Defaulted Loan Included in Roll-up Loan

Yes, because the loan was combined with other loans and subrogated to the Department of Education, which reported the same information to NSLDS in one loan. The status of that record will determine eligibility

5

DS Defaulted, then Disabled Yes, because loan debt is canceled 3

DT Defaulted, Collection Terminated No 2

DU Defaulted, Unresolved No 2

DW Defaulted, Write-Off No 2

DX Defaulted, Satisfactory Arrangements, and Six Consecutive Payments

Yes, assuming student continues to comply with repayment plan on defaulted loan or is granted forbearance by the GA

4

DZ Defaulted, Six Consecutive Payments, then Missed Payment

No, loan is back in active default status

2

FB Forbearance Yes 4

FC False Certification Discharge Yes 5

FR Fraud No 2




(ISIR sort order)

FX Fraud, Resolved Yes 5

IA Loan Originated Yes 4

ID In School or Grace Period Yes 4

IG In Grace Period Yes 4

IM In Military Grace Yes 4

IP In Post-Deferment Grace (Perkins only)

Yes 4

OD Defaulted, then Bankrupt, Discharged, other. For FFELP and Direct Loans in Chapters 7, 11, and 12

Yes, because defaulted loan has been totally discharged

5

PC Paid in Full through Consolidation Loan

Yes. Does not matter whether consolidation loan was through FFELP or Direct Loan or whether underlying loans were in default

5

PD Permanently Disabled Yes 5

PF Paid in Full Yes 5

PM Presumed Paid in Full Yes 5

PN Non-defaulted, Paid in Full through Consolidation Loan

Yes 5

PX Identity Theft – Loan Discharged Yes 2




(ISIR sort order)

PZ PLUS Loan, Student has since died No, the deceased student is not eligible because if borrower is reapplying, then loan status is in error

Yes, the living parent of a parent PLUS Loan is eligible to receive Title IV aid

5

RF Refinanced Yes, because defaulted loans cannot be refinanced

5

RP In Repayment Yes 4

UA Temporarily Uninsured – No Default Claim Requested

Yes 3

UB Temporarily Uninsured – Default Claim Denied

Yes, because the loan is not a federal loan while temporarily uninsured

3

UC FFEL: Permanently Uninsured/Unreinsured – Non-Defaulted Loan

Perkins: Non-Defaulted Loan Purchased by School

Yes

5

UD FFEL: Permanently Uninsured/Unreinsured – Defaulted Loan

Perkins: Defaulted Loan Purchased by School

Yes, because the loan is no longer a federal loan

5

UI Uninsured/Unreinsured Yes, does not matter if loan was in default

3

VA Disability, determined by Veteran’s Administration

Yes, disabled veteran discharged 3

XD Defaulted, Satisfactory Arrangements, and Six Consecutive Payments

Yes, assuming student continues to comply with repayment plan on defaulted loan or is granted forbearance by the GA

4


Federal Loan Servicers New: Added loan servicer codes 700503 to 700506, 700508, and 700511.

Borrower and school contact information for all federal loan servicers is available on the IFAP Web site’s Loan Servicing Centers for Students page and Loan Servicing Centers for Schools page, respectively.

Code Name

700500 Department of Education Missouri Higher Education Loan Authority (MOHELA), Chesterfield, MO

700501 Department of Education Education Services of America, Inc. (ESA-EDFINANCIAL), Knoxville, TN

700502 Department of Education Utah Higher Education Assistance Authority (UHEAA-Cornerstone), Salt Lake City, UT

700503 Department of Education Aspire Resources Inc. – ISL, West Des Moines, IA

700504 Department of Education Granite State, Concord, NH

700505 Department of Education EDMANAGE, Columbia, SC

700506 Department of Education OSLA Servicing, Oklahoma City OK

700508 Department of Education KSA Servicing, Louisville, KY

700511 Department of Education Vermont Student Assistance Corporation (VSAC) Federal Loans, Winooski, VT

700556 Department of Education Debt Management and Collections System, Greenville, TX

700577 Department of Education Xerox ACS, Utica, NY

700578 Department of Education SALLIE MAE, Reston, VA

http://www.ifap.ed.gov/ifap/helpContactInformationDetailedList.jsp?lsc=2

http://ifap.ed.gov/ifap/helpContactInformationDetailedList.jsp?lsc=1


Federal Loan Servicers (continued)

Code Name

700579 Department of Education FEDLOAN SERVICING (PHEAA), Harrisburg, PA

700580 Department of Education NELNET, Lincoln, NE

700581 Department of Education GREAT LAKES, Madison, WI

700582 Department of Education NELNET (TPD), Denver, CO

700583 Department of Education Direct Loan Servicing Center (Xerox) (ACS), Greenville, TX


ED Servicers New: Added servicer codes 503 to 506, 508, and 511.

Code Short Name Name

500 ED/MOHELA Department of Education/Missouri Higher Education Loan Authority

501 ED/ESA-EDFINANCIAL

Department of Education/Education Services of America, Inc.

502 ED/UHEAA-Cornerstone

Department of Education/Utah Higher Education Assistance Authority

503 ED/Aspire Department of Education/Aspire Resources Inc.

504 ED/Granite State Department of Education/GSMR-NH

505 ED/Edmanage Department of Education/Edmanage-SC

506 ED/OSLA Department of Education/OSLA Servicing

507-512 TBD Department of Education/TBD

508 ED/KSA Department of Education/KSA Servicing

509 TBD Department of Education/TBD


511 ED/VSAC Department of Education/VSAC Servicing


556 ED/DMCS Department of Education/Debt Management and Collections System

578 ED/Sallie Mae Department of Education/Sallie Mae

579 ED/PHEAA Department of Education/FEDLOAN Servicing (PHEAA)


ED Servicers (continued)

Code Short Name Name

580 ED/NELNET Department of Education/NELNET

581 ED/Great Lakes Department of Education/Great Lakes

582 ED/TPD Department of Education/NELNET Total and Permanent Disability Servicer

583 ED/DLSC Department of Education/Direct Loan Servicing Center (ACS)


Selected Servicers Code Name City State

700001 ALABAMA COMMISSION ON HIGHER EDUCATION MONTGOMERY AL

700002 CONN. ASSISTANCE FOR LOAN SERVICING (CAL) ROCKY HILL CT

700003 NYSHESC NEW YORK STATE HIGHER EDU ALBANY NY

700004 STUDENT LOAN MARKETING ASSOCIATION KILLEEN TX

700005 OHIO PAYMENT SERVICES COLUMBUS OH

700006 ACS LONG BEACH CA

700007 ADP NOT IN SERVICE CHERRY HILL NJ

700008 SOUTHWEST STUDENT SERVICES CORP GILBERT MESA AZ

700009 BANK OF NORTH DAKOTA BISMARCK ND

700010 BANK ONE BANK OF COLUMBUS

COLUMBUS OH

700011 BANKS OF IOWA COMPUTER SERVICES CEDAR RAPIDS IA

700012 BOONE COUNTY NATIONAL BANK COLUMBIA MO

700013 BORTHWICK ASS NOT IN SERVICE DOVER NH

700014 BRAZOS HIGHER ED AUTHORITY AUSTIN TX

700015 C.S.X. COMM NOT IN SERVICE JACKSONVILLE FL

700016 STUDENT LOAN MARKETING ASSOCIATION LYNN HAVEN FL

700017 CITIBANK (NYS) STUDENT LOAN PITTSFORD NY

700018 THE STUDENT LOAN CORPORATION ROCHESTER NY

700019 CITICORP INFO RES NOT IN SERVICE TROY MI

700020 CITICORP INFO RES - NOT IN SERVICE WOBURN MA

700021 CITIZENS FIDELITY BANK & TRUST CO LEXINGTON KY

700022 COLLEGE FINANCE ASSISTANCE CORP DEERFIELD IL

700023 COLLEGE ACCESS NETWORK COLORADO STUDENT LOAN PGM

DENVER CO

700024 COMAC FINANCIAL SERV NOT IN SERVICE OKLAHOMA CITY OK

700025 COMERICA BANK - DETROIT DETROIT MI

700026 COMPUTER SERVICES, INC ELIZABETHTOWN KY

700027 COSTEP EDINBURG MCALLEN

TX

700028 CROSS ISLAND COMPUTERS WILLINSTON PARK NY

700029 CSOBA DENVER CO

700030 NELNET LOAN SERVICES (JAX) INTUITION INC

LINCOLN JACKSONVILLE

NE FL

700031 CTHEA/COSTEP (CENTRAL TEXAS HIGH) SAN MARCOS TX


Selected Servicers (continued)

Code Name City State 700032 CUSTOMER THRIFT SERVICES, INC. FLORHAM PARK NJ

700033 DATA CENTER, INC. HUTCHINSON KS

700034 UNIPAC SERVICE CORPORATION DENVER CO

700035 DUNFAM, INC. LONGWOOD FL

700036 E.L.M.I. (NOEL BAILEY) WAKEFIELD MA

700037 EDUCATION LOAN SERVICES INC BRAINTREE MA

700038 GREAT LAKES ED LOAN SVCS, INC. (EASCI) EDUCATION ASSISTANCE SERVICE CORP INC

ABERDEEN SD

700039 EASTERN OPERATIONS CENTER MECHANICSVILLE VA

700040 EDS – NO LONGER IN BUSINESS RICHARDSON TX

700041 NELNET (EFS) INDIANAPOLIS IN

700042 STUDENT LOAN CO-OPERATIVE, INC. WAKEFIELD MA

700043 USA GROUP LOAN SERVICES INC INDIANAPOLIS IN

700044 EFS - PROFESSIONAL LOAN SERVICES INDIANAPOLIS IN

700045 EFS OF MICIGAN - NO LONGER BUSINESS EAST LANSING MI

700046 ELECTRONIC DATA SYSTEMS LOMBARD IL

700047 ELECTRONIC DATA SYSTEMS WOBURN MA

700048 FINANCIAL SERVICE, INC. GLEN ROCK NJ

700049 FIRST AMERICA SAVINGS BANK LONGMONT CO

700050 FIRST FINANCIAL MANAGEMENT CORP. ATLANTA GA

700051 FIRST INTERSTATE BANK OF DES MOINES DES MOINES IA

700052 FIRST NATIONAL BANK IN BOULDER BOULDER CO

700053 EDUSERV TECHNOLOGIES, INC WINSTON-SALEM NC

700054 FISC LEWISTON ME

700055 FISERV CLEVELAND OH

700057 GREAT LAKES HIGHER ED CORP MADISON WI

700058 OFFICE OF EDUCATION SERVICES BATON ROUGE LA

700059 GEORGIA STUDENT FINANCE AUTHORITY TUCKER GA

700060 GUARANTEED STUDENT LOAN CANYON TX

700061 EDUSERV TECHNOLOGIES INC ST PAUL MN

700062 HARPER, SMITH AND ASSOCIATE JACKSONVILLE FL

700063 HAWAII IMPULSE SYSTEMS HONOLULU HI

700064 HIGHER EDUCATION SERVICING CORP ARLINGTON TX

700065 IOWA HIGHER ED LOAN PGM DES MOINES IA

700066 ILLINOIS DESIGNATED ACCT PURCHASE PROG DEERFIELD IL


Code Name City State 700067 ILLINOIS STATE SCHOLARSHIP COMM

ILLINOIS STUDENT ASSISTANCE COMMISSION DEERFIELD IL

700068 IOWA COLLEGE AND COMMISSION DES MOINES IA

700070 IOWA HIGHER EDUCATION LOAN PROGRAM DES MOINES IA

700071 KEARNEY STATE BANK KEARNEY NE

700072 KENTUCKY HIGHER ED STUDENT LOAN CORP LOUISVILLE KY

700073 LEBER SERVICES ROCKFORD IL

700074 LIBERTY NATIONAL BANK AND TRUST CO LOUISVILLE KY

700075 EDUSERV TECHNOLOGIES, INC SALT LAKE CITY UT

700076 STUDENT LOAN MARKETING ASSOCIATION RESTON VA

700077 SALLIE MAE RESTON VA

700078 STUDENT LOAN MARKETING ASSOC. VA HERNDON VA

700079 STUDENT LOAN MARKETING ASSOCI/TEXAS KILLEEN TX

700080 M.F.G. INFORMATION SYSTEMS DECATUR IL

700081 MISSOURI HIGHER ED LOAN AUTHORITY ST. LOUIS MO

700082 MAINE ED SERVICE AUGUSTA ME

700083 MFG INFORMATION SYSTEMS, INC. BARTONVILLE IL

700084 MISSISSIPPI GUARANTEE STUDENT LOAN JACKSON MS

700085 MASSACHUSETTS HIGHER ED ASSOC BOSTON MA

700086 MITCHELL SWEET AND ASSOCIATES TEMPE AZ

700087 MONTANA BANK OF SO MSCA MISSOULA MT

700088 MONTANA GUARANTEED STUDENT LOAN PGM HELENA MT

700089 N.C.R. VIRGINIA BEACH VA

700090 NATIONAL BANK OF AMERICA SALINA KS

700091 NCR CORPORATION FRAMINGHAM MA

700092 NCR DATA CORPORATION GLASTONBURY CT

700093 NCR DATA SERVICES CRANBURY NJ

700094 NCR-MID-ATLANTIC DATA SERV CENTER COLUMBIA MD

700095 NHELP SERVICING CENTER LINCOLN NE

700096 NELLIE MAE BRAINTREE MA

700097 NEW JERSEY DEPT OF HIGHER ED TRENTON NJ

700098 NEW MEXICO ED ASSISTANCE FOUNDATION ALBUQUERQUE NM

700099 NATIONAL EDUCATION SERVICING CHICAGO IL

700100 AMERICAN EDUCATION SERVICES HARRISBURG PA

700101 PANHANDLE PLAINS STUDENT LOAN CENTER CANYON TX

700102 PNC EDUCATION LOAN CENTER PITTSBURGH PA


Code Name City State 700103 STUDENT ASSISTANCE SUPPORT SERVICE AUSTIN TX

700104 SANDUSKY COMPUTER CENTER, INC. SANDUSKY OH

700105 SAVINGS BANKS TRUST CO. WOODBURY NY

700106 SOUTH CAROLINA STUDENT LOAN CORP COLUMBIA SC

700107 SOUTHERN EDUCATORS LIFE INSURANCE NORCROSS GA

700108 SOUTHRUST BANK/LSC/VA MERRIFIELD VA

700109 TGSLC LOAN SERVICING AUSTIN TX

700110 STUDENT FINANCE SERVICE CORP SEATTLE WA

700111 STUDENT LOAN FINANCE ASSISTANCE LOS ANGELES CA

700112 STUDENT LOAN FUND OF IDAHO MARKET FRUITLAND ID

700113 STUDENT LOAN FUNDING CORP CINCINNATI OH

700114 SUBURBAN BANK OF AURORA AURORA IL

700115 SUSIE MAE HARTFORD CT

700116 T.E. LOTT & CO COLUMBUS MS

700117 THE CHASE MANHATTAN BANK N.A. TAMPA FL

700118 STUDENT LOAN SERVICE CENTER HARTFORD CT

700119 TRANS WORLD INSURANCE CO SACRAMENTO CA

700120 USA FUNDS INDIANAPOLIS IN

700121 NELNET LOAN SERVICES INC. (DEN) LINCOLN JACKSONVILLE

NE FL

700122 UNIPAC ST. PAUL MN

700123 UNIVERSITY ACCOUNTING SERVICE BROOKFIELD WI

700124 STUDENT LOAN MARKETING ASSOCIATION WALTHAM MA

700125 USERS, INC HONOLULU HI

700126 UTAH STATE BOARD OF REGENTS LSC SALT LAKE CITY UT

700127 VERMONT STUDENT ASST. CORP. VERMONT SECONDARY LOAN MARKET

WINOOSKI VT

700128 VIRGINIA EDUCATION LOAN AUTHORITY RICHMOND VA

700129 EDFINANCIAL SERVICES KNOXVILLE TN

700130 WESCO HELENA MT

700131 WESCO GRAND RAPIDS MI

700132 WEST TEXAS EDUCATION SERVICE EL PASO TX

700133 WYOMING STUDENT LOAN CORP CHEYENNE WY

700134 1ST INTERSTATE DALLAS DALLAS TX

700135 5/3 BANK CINCINNATI OH

700136 HIGHER EDUCATION ASSISTANCE FOUN ST. PAUL MN

700138 STUDENT INFORMATION SERVICE CENTER ALBANY NY


Code Name City State 700139 STUDENT INITIATED LOAN SERVICING MONTGOMERY AL

700140 STUDENT LOAN SERVICES JACKSONVILLE FL

700141 AMERICAN EDUCATION SERVICES HARRISBURG PA

700142 STUDENT LOAN SERVICING CENTER ST. PAUL MN

700143 INDIANA SECONDARY MARKET INDIANAPOLIS IN

700144 NELNET LOAN SERVICES INC. (LOANSTAR) BRYAN TX

700145 IOWA CREDIT UNION LEAGUE DES MOINES IA

700146 ISM LOAN SERVICING CENTER INDIANAPOLIS IN

700147 LENDER SERVICE PGM MADISON WI

700148 NORTHEASTERN COMPUTER SERVICES INC. SYRACUSE NY

700149 OHIO STUDENT LOAN COMMISSION COLUMBUS OH

700150 PROMAX WO. WEYMOUTH MA

700151 MEMBER DATA PROCESSOR, INC. CARMEL IN

700152 RHODE ISLAND STUDENT LOAN AUTHORITY NAT'L EDUCATION LOAN OF NEW ENGLAND

WARWICK RI

700153 RONALD FRAME, EDS BINGHAMTON NY

700154 TEXAS GUARANTEED STUDENT LOAN CORP. AUSTIN TX

700155 OSLA STUDENT LOAN SERVICING OKLAHOMA CITY OK

700156 WISCONSIN HIGHER EDUCATION CORP. MADISON WI

700157 CHELA SAN FRANCISCO CA

700158 EFG TECHNOLOGIES WINSTON-SALEM NC

700160 AMSOUTH BANK N.A. BIRMINGHAM AL

700161 EDUCATION SERVICES FOUNDATION JACKSON MS

700162 CHEMICAL BANK - EDUCATIONAL JERICHO NY

700163 COMMERCE BANK OF ST. LOUIS ST. LOUIS MO

700164 COSTA MESA SERVICE CENTER LOS ANGELES CA

700165 CREDIT UNION PROCESSING BATTLECREEK MI

700166 CUPS SOUTHFIELD MI

700167 DAVENPORT BANK AND TRUST CO DAVENPORT IA

700168 FIRST BANK OPERATIONS CENTER DULUTH MN

700170 ICUL DATA SERVICES DES MOINES IA

700172 STUDENT ASSISTANCE FOUNDATION OF MT HELENA MT

700173 MISSOURI HIGHER EDUCATION LOAN AUTH CHESTERFIELD MO

700174 NELS PROVIDENCE RI

700178 NSLP LINCOLN NE

700180 STUDENT LOAN SERVICE CORP SALT LAKE CITY UT


Code Name City State 700181 STUDENT LOAN SERVICING CENTER MINNEAPOLIS MN

700183 TOWN NORTH NATIONAL BANK KILLEEN TEX

700185 ACADEMIC LOAN RESOURCE SEATTLE WA

700189 STUDENT ASSISTANCE SUPPORT SERVICE AUSTIN TX

700190 STUDENT LOAN SVCING CTR/SLMA WA SPOKANE WA

700191 SALLIE MAE, INC. WILKES-BARRE PA

700192 MONTANA HIGHER EDUCATION STUDENT AS HELENA MT

700193 FIRST SECURITY STUDENT LOAN BOISE ID

700194 CHASE STUDENT LOAN SERVCING, LLC MADISON MS

700195 ACADEMIC LOAN RESOURCE FRUITLAND ID

700196 IOWA STUDENT LOAN LIQUIDITY CORP DES MOINES IA

700197 LSI FINANCIAL GROUP LITTLE ROCK AR

700198 AFSA DATA CORP UTICA NY

700199 STUDENT LOAN SERVICING CENTER/SLMA PANAMA CITY FL

700200 GREATER EAST TEXAS SERVICING CORP BRYAN TX

700201 ACS EDUCATION SERVICES, INC. LONG BEACH CA

700202 WELLS FARGO BANK NA SIOUX FALLS SD

700203 WACHOVIA EDUCATION FINANCE, INC SACRAMENTO CA

700204 GRANITE STATE MANAGEMENT & RESOURCE CONCORD NH

700205 KNIGHT COLLEGE RESOURCE GROUP BOSTON MA

700206 STUDENT LOAN FINANCE CORPORATION ABERDEEN SD

700207 GREAT LAKES EDUCATIONAL LOANS SERV MADISON WI

700208 BRAZOS HESC WACO TX

700209 STUDENT ASSISTANCE FOUNDATION OF MT HELENA MT

700210 GEORGIA HIGHER EDUCATION ASST. CORP TUCKER GA

700211 ELM RESOURCES(PEPS) OAKLAND CA

700212 ACCESS GROUP, INC. WILMINGTON DE

700213 WESTERN STATES LEARNING CORP CHEYENNE WY

700215 XPRESS LOAN SERVICING CLEVELAND OH

700216 CLC SERVICING CORP. WOODBURY MN

700217 STUDENT LOAN FUND OF IDAHO (IMA) FRUITLAND ID

700218 GCO SERVICING CORPORATION FRUITLAND ID

700219 BRAZOS LOAN SERVICING GRADUATE LEVERAGE LOAN SERVICING CTR.

COLLEGE STATION TX

700220 ALL STUDENT LOAN SERVICING CORP VANCOUVER WA

700788 STUDENT LOAN MARKETING ASSOCIATION HERNDON VA


Code Name City State 700789 STUDENT LOAN MARKETING ASSOCIATION WILKES-BARRE PA

700790 UNIPAC SERVICE CORP LINCOLN NE

700791 FOUNTAINHEAD GROUP, LLC, STE 1910 ST. PAUL MN


Guaranty Agencies

Number Short Name Name

555 DCS DCMS Debt Collection Management Service US Department of Education

575 CDDTS DDP The Conditional Disability Discharge Tracking System (CDDTS)

577 ED/ACS Department of Education/ACS

705 Arkansas Student Loan Guaranty Foundation of Arkansas

706 California ECMC – California

708 Colorado College Assist

712 Florida Florida Department of Education OSFA

713 Georgia Georgia Higher Education Assistance Corporation

717 Illinois Illinois Student Assistance Commission

719 Iowa Iowa College Student Aid Commission

721 Kentucky Kentucky Higher Education Assistance Authority

722 Louisiana Louisiana Office of Student Financial Assistance

723 Maine Finance Authority of Maine (FAME)

725 Massachusetts American Student Assistance of Massachusetts

726 Michigan Michigan Higher Education Assistance Authority

729 Missouri Missouri Department of Higher Education

730 Montana Montana Guaranteed Student Loan Program

731 Nebraska National Student Loan Program, Inc.

733 New Hampshire New Hampshire Higher Education Assistance Foundation

734 New Jersey New Jersey Higher Education Assistance Authority

735 New Mexico New Mexico Student Loan Guarantee Corporation

736 New York New York State Higher Education Services

737 North Carolina North Carolina State Ed. Assistance Authority

738 North Dakota Student Loans of North Dakota

740 Oklahoma Oklahoma College Assistance Program

742 PHEAA Pennsylvania Higher Education Assistance Agency

744 Rhode Island Rhode Island Higher Education Assistance Authority

745 South Carolina South Carolina State Ed Assistance Authority

747 Tennessee Tennessee Student Assistance Corporation

748 Texas Texas Guaranteed Student Loan Corporation

749 Utah Utah Higher Education Assistance Authority


Guaranty Agencies (continued)

Number Short Name Name

750 Vermont Vermont Student Assistance Corporation

753 Washington Northwest Education Loan Association-Washington

755 Great Lakes Great Lakes Higher Education Guaranty Corporation

800 USAF United Student Aid Funds, Incorporated

927 / 951 ECMC Education Credit Management Corporation


Selected Lenders To find the lender’s code, name, city, and state, use the NSLDS Professional Access Web site at nslds.ed.gov/nslds_FAP/secure/logon.jsp. The organization’s contact information can be found under the Org tab by filtering for the type as “Lender.”

https://www.nslds.ed.gov/nslds_FAP/secure/logon.jsp


Contact Information & Fields Associated with Loan Status

Loan Contact GA

Code School Code

Current Holder

Region Code

FFEL Primary: Servicer or Lender (as applicable) Secondary: GA

Yes OPE-ID Servicer or Lender Code (as applicable)

Blank

FFEL, defaulted GA Yes OPE-ID 000### (### is the GA Code)

Blank

FFEL, assigned* ED (See Region) 555 or 556 (ED)

OPE-ID 000555 or 000556 (ED)

Yes

FFEL, CDDTS ED 575 (ED)

OPE-ID 000575 (ED)

Blank

FFEL, U.S. Dept. of ED ED/ACS 577 (ED)

OPE-ID 000577 (ED)

Blank

FFEL, U.S. Dept. of ED Servicer

ED/SALLIE MAE Primary: Servicer Code Secondary: GA Code

578 (ED)

OPE-ID Servicer Code: 700578 (ED)

Blank


ED/PHEAA Primary: Servicer Code Secondary: GA Code

579 (ED)


Blank


ED/NELNET Primary: Servicer Code Secondary: GA Code

580 (ED)


Blank


ED/Great Lakes Primary: Servicer Code Secondary: GA Code

581 (ED)


Blank

FFEL and Perkins, U.S. Dept. of ED Servicer

ED/NELNET TPD 582 (ED)

OPE-ID 000582 (ED)

Blank

FDLP Servicer Blank OPE-ID Servicer Code Blank


Loan Contact GA

Code School Code

Current Holder

Region Code

FDLP, Held by DCS ED (See Region) 555 or 556 (ED)

OPE-ID 000555 or 000556 (ED)

Yes

FISL Primary: Servicer (if applicable) Secondary: School (is primary contact if no servicer used)

Blank OPE-ID Servicer Code (if applicable), or blank

Blank

FISL, Held by DCS ED (See Region) 555 or 556 (ED)

OPE-ID 000555 or 000556 (ED)

Yes

Perkins Primary: Servicer (if applicable) Secondary: School (is primary contact if no servicer used)

Blank OPE-ID Servicer Code (if applicable), or blank

Blank

Perkins, Held by DCS ED (See Region)

Perkins, U.S. Dept. of ED/ACS

ED 577 (ED)

OPE-ID 000577 (ED)

Blank

* Assigned = Held by Debt Collection Service (DCS).

Note: The School Code field always shows the OPE-ID of the school the student attended when the loan was received.

October 2012 (2013-2014) The ISIR Guide Appendix D D-1

APPENDIX D – SAR AND SAR ACKNOWLEDGEMENT

Overview For each non-real-time transaction processed at the CPS, an output document is sent to the applicant: a paper SAR, SAR Acknowledgement, or an E-mail Notification of SAR Processing with information to access SAR data on the Web. An applicant who submits corrections using FAFSA on the Web that are processed in real time is presented with a link to his or her eSAR after clicking the Exit button on the confirmation page. The type of document sent is determined by the type of record that was submitted by the applicant and his or her results of the Social Security Administration (SSA) Social Security Number Match (SSN Match) as follows:

Record Submitted Output

Any record type and applicant did not have a match with the SSA (SSN Match Flag not equal to 4 [SSN, name, and date of birth match])

English or Spanish SAR

Paper FAFSA or SAR (SSN Match Flag equal to 4)

English or Spanish SAR or E-mail Notification of SAR Processing

FAFSA on the Web, application and corrections (non-real-time) with signatures (SSN Match Flag equal to 4)

English or Spanish SAR Acknowledgement or E-mail Notification of SAR Processing

FAFSA on the Web, application and corrections (non-real-time) without signatures (SSN Match Flag equal to 4)

English or Spanish SAR or E-mail Notification of SAR Processing

FAFSA on the Web, corrections (real-time) (SSN Match Flag equal to 4)

No output, student receives link to eSAR after clicking Exit on the confirmation page

FAA Access to CPS Online Application or Correction (SSN Match Flag equal to 4)

English or Spanish SAR Acknowledgement or E-mail Notification of SAR Processing


Students who meet the following criteria receive an e-mail containing a link to access the SAR on the Web instead of the paper SAR or paper SAR Acknowledgement:

• Social Security Administration (SSA) match equals 4 and

• E-mail address exists and has valid syntax.

We print and mail a paper SAR to students:

• Who did not have an have an SSN Match Flag of 4, or

• Who were missing signatures and did not have an e-mail address, or

• Whose e-mail addresses have invalid syntax, or

• Whose E-mail Notifications of SAR Processing were returned to us.

The SAR serves two basic purposes:

• Notifies the student of application and eligibility status

• Provides a means for correcting or confirming applicant data

The SAR Acknowledgement is designed to notify the student of application and eligibility status. If corrections are needed, the student uses FAFSA on the Web or contacts the school to submit them through FAA Access to CPS Online or a mainframe system.

The E-mail Notification of SAR Processing is designed to notify the student of application and eligibility status more quickly than the paper SAR or the SAR Acknowledgement. It enables the student to view the SAR online and to print the online SAR document as often as needed. The SAR links the student to FAFSA on the Web for correcting or confirming the applicant data. To complete corrections to the application data, the student must sign with a PIN and, if dependent and changing parental data, a parent must also sign.


Paper SAR The paper SAR follows the order of the questions as they are presented on the paper FAFSA.

All English SARs are ten-page documents, and Spanish SARs are eleven-page documents. The first four pages are in a letter format and include the comment text, NSLDS information, and FAA information. The last six pages (seven pages for Spanish) display the question responses reported by the student and provide space for making corrections. Each page of the SAR is described in detail below. In addition, to match the color scheme of the paper FAFSA, the 2013-2014 SAR is printed on green paper.

A draft copy of the 2013-2014 SAR is available on the IFAP Web site.

SAR–Page 1 The date below the “www.fafsa.gov” Web site address in the upper left corner is the date the record was processed at the CPS. Below the process date is a tracking number for the FAFSA processor and the CPS that is not used for any institutional purpose. The student’s name and mailing address is printed below the tracking number.

The student’s four-digit Data Release Number (DRN) is to the right of the processed date in the upper right corner below the Office of Management and Budget (OMB) number. The DRN can be used by schools to access the student’s electronic application record if they were not originally listed on the student’s application or SAR. In addition, the student can use the DRN to make a request for correction by telephone through the FSAIC at 800/4FED AID (800/433-3243) or TDD/TTY 800/730-8913. The following types of changes can be made:

• Correct data entry errors made by the FAFSA processor

• Update the response to FAFSA question 23 (drug question)

• Request a change of address, e-mail address, telephone number, or institution

• Update the assumption overrides

Below the Data Release Number (DRN) is the student’s EFC.

The EFC printed on the front page of the SAR is the primary EFC, calculated for a nine-month academic year. An asterisk printed next to the EFC indicates that the student was selected for verification by the CPS. A “C” printed next to the EFC indicates the student has an eligibility problem that must be resolved before Title IV aid can be disbursed to the student.

Below this information we print information specific to the applicant based on his or her application information, processing results, and database match results.

In the lower part of the SAR, two series of numbers appear on every page. The numbers on the left are processing codes used by the FAFSA processor and the CPS for tracking and quality control purposes. The numbers on the right are a cross-cycle student identifier, providing the CPS an alternate way to identify a student without printing his or her SSN on the form.


SAR–Page 2 The upper half of page 2 contains required information from the Office of Management and Budget regarding the:

• Paperwork Reduction Act,

• Information Release to Schools, and

• Drug convictions affecting aid eligibility.

The “Only For Use by Financial Aid Office” section on the SAR appears on the lower half of page 2. Descriptive labels are intended to help the FAA identify reject codes, match flags, intermediate values, and so forth. This data is similar to the FAA information provided on the ISIR, which is described in detail earlier in this guide; however, the presentation of the information is different.

Note: The DOD Match Flag information is not printed on the SAR, it is printed only on the ISIR.

Important Note: The comment codes listed on this part of the SAR are not all comments generated for this student. Only the comment codes that do not have a corresponding flag or other indicators already provided in the “FAA Information” section are printed in this section.

SAR–Page 3 The third page uses checkboxes in front of each comment that is printed on the SAR.

The first section, “Comments About Your Information” includes comments that have been set during the processing of the record at the CPS. The first section is for general notes.

The second section, “What You Must Do Now” is a checklist for students to use to make sure they resolve the issues on the SAR, such as missing information or eligibility problems and give the student more detailed information and directions for getting additional help.

SAR–Page 4 This page displays financial aid history information for the student. This is a subset of the information received from NSLDS, which is included on the ISIR and described earlier in this guide. The information printed on the SAR includes the Aggregate Loan information for FFEL, Direct, Perkins, and TEACH loans.

SAR–Pages 5-10 (Spanish Pages 5-11) The remaining six pages of the English SAR (seven pages of the Spanish SAR) display the information that was reported by the applicant for each question on the FAFSA/SAR.

The SAR is a vehicle for corrections in the paper system. A shortened version of each numbered item corresponding to a question on the FAFSA is displayed. Printed beneath the numbered item is the student’s response to that question. Below or to the right of each question response are


boxes or ovals that resemble the answer fields on the FAFSA, which the student can use to indicate or write in a corrected answer, if necessary.

Items that are highlighted (printed in bold type) require special attention. Highlighting indicates the student must provide a new answer, because the CPS identified the responses as blank, illegible, questionable, or inconsistent with other answers. The CPS may assume answers to certain questions by comparing them with other information on the application. Answers might be assumed when the question is left blank, or a positive number might be assumed when the answer to an income question is given as a negative number.

When the CPS assumes an answer, both the value reported by the applicant and the assumed value are printed on the SAR. The word “ASSUMED” appears in parentheses with the assumed value. Assumed values are used by the CPS in performing the EFC calculation and should be reviewed carefully. If the assumed values are correct, the student does not need to change them on the SAR.

The student can correct other items, if necessary, whether or not they are highlighted.

When an application is rejected, the resulting SAR does not have a calculated EFC. The SAR requires the student to correct information and return pages 5 through 10 of the English SAR (pages 5 through 11 of the Spanish SAR) to the FAFSA processor for reprocessing.

Instructions to the student at the top of page 5 explain the meaning of the arrows and the proper way to fill in an oval or to correct, confirm, or delete an answer. To confirm a previously reported answer, the student must rewrite the same value in the answer field and return the SAR.

Sometimes students are caught in a reject “loop” because they do not respond to all highlighted and arrowed items to turn off the reject, or because they provide new information that the edit check still considers inconsistent or questionable.

Up to four school codes and housing plans are printed on pages 9 and 10 (Spanish page 10) of the SAR; however, the student can list up to ten school codes on his or her Web application or correction. The following English statement is printed under question 101g if the fifth through tenth college code is non-blank on the applicant’s record:

“Your FAFSA information was sent to all colleges you listed although they are not all shown here. To see all of the colleges you listed go to www.fafsa.gov and select ‘View Processed Information’.”

A graduation and retention and transfer rate statement is printed below the school code statement described above. The statement is:

“For more information about the colleges you listed on your FAFSA, visit College Navigator at www.nces.ed.gov/collegenavigator or view your Student Aid Report at www.fafsa.gov for graduation, retention, and transfer rates.”

See the “Corrections and Updates” section of this guide for more information on using the SAR to make corrections.


SAR Acknowledgement The SAR Acknowledgement in English is a three-page document; the SAR Acknowledgement in Spanish is a four-page document. It provides a summary of the student’s processing results when the information is input electronically by the school or the student using the Web and no e-mail address is provided. The SAR Acknowledgement is printed on green paper and is an eligibility document containing information for the student and FAA but cannot be used to make corrections.

SAR Acknowledgement–Page 1 Page 1 of the SAR Acknowledgement is in a letter format addressed to the applicant. The format of this page looks similar to the SAR letterhead. The U.S. Department of Education letterhead is used and includes the Federal Student Aid Information Center telephone number and the FAFSA on the Web Internet address. The Office of Management and Budget (OMB) form-clearance number is printed on the right side.

The date below the “www.fafsa.gov” Web site in the upper left corner is the date the record was processed at the CPS. Below the process date is a tracking number for the FAFSA processor and the CPS that is not used for any institutional purpose. The student’s name and mailing address is printed below the tracking number.

To the right of the processed date (below the OMB number) is the student’s four-digit Data Release Number (DRN).

Below the DRN is the student’s EFC. The EFC printed on the front page of the SAR Acknowledgement is the primary EFC, calculated for a nine-month academic year. An asterisk printed next to the EFC indicates that the student was selected for verification by the CPS. A “C” printed next to the EFC indicates the student has an eligibility problem that must be resolved before Title IV aid can be disbursed to the student.

The front page of the SAR Acknowledgment contains two sections, “Application Status (review the checked boxes)” and “Federal Student Aid Eligibility (review the checked boxes).” Both sections display checkboxes next to statements regarding eligibility status and processing results.

SAR Acknowledgement–Pages 2-3 (Spanish Pages 2-4) Page 2 (back of page 1) and page 3 display, in condensed form, every numbered question from the FAFSA and prints the answer the student gave to that question or the value the CPS assumed.

Only the first four school codes and housing plans are printed on the SAR Acknowledgement. However, because students can enter up to ten college choices on the Web, the following statement is printed before the “For Financial Aid Office Use Only” section if School Codes 5 through 10 are non-blank on an applicant’s record:

“Your FAFSA information was sent to all the colleges you listed although they are not all shown here. To see all of the colleges you listed go to www.fafsa.gov and select ‘View Processed Information’.”


In the lower part of the page, the section “For Financial Aid Office Use Only” includes information and codes for FAAs. Included here are the important match flags showing results of eligibility matches and other information that an FAA needs when using the SAR Acknowledgement as an eligibility document.

Note: Up to 20 comment codes generated for the student’s ISIR are printed here, regardless of whether an associated match flag or other indicator is also provided.

October 2012 (2013-2014) The ISIR Guide Appendix E E-1

APPENDIX E – SAMPLE 2013-2014 ISIR

Overview This section contains a sample of the 2013-2014 ISIR that is printed using the EDExpress software. You are not required to print your ISIR output documents in this or any other format. If you do choose to print ISIRs, you can also choose to print additional information on the ISIR. See the “Printing” section in the 2013-2014 Electronic Data Exchange (EDE) Technical Reference, posted on the IFAP and FSAdownload Web sites.

Note: Changes to the EDExpress 2013-2014 ISIR report may occur following the publication of this guide. If this occurs, we will update the sample and repost The 2013-2014 ISIR Guide. The ISIR Guide is posted on the IFAP and FSAdownload Web sites.


Sample ISIR

2013-2014 Institutional Student Information Record ****************************************************************************************** * IMPORTANT: Read ALL information to find out what to do with this Report. * ****************************************************************************************** OMB Number: 9999-9999 XXXXXXXXXXXX X. XXXXXXXXXXXXXXXX MMMMMMMMM DD, CCYY XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XXXXXXXXXXXXXXXX XX 99999 EFC 99999 X 999 XXX XXXX XXXXXX XXXXXXXXX XXX XXXXXX XXXX XXXX XX XXXX XXXXXXXXXXXXX XXXXXXX XXXXXXXXXXX XXXXXX XXXXX XXX XXX XXXXXX XXXXXXXXXXX XX XX XXXXXXXX XX XXXXXXXXX XXXX XXXXXXXXXX XXXXX XX XXX XX XXXX XXXXXXXXX XXX XXXXXXXXXXXXXX XXXXX 999 XX XXX XXX XXXXXXXXXX XX XXXX XXXX XX XXXXXXX XXX XXX XX XXXXXXX XX XXXXXXX X XXXXXXX XXXX XXXXXX XXX XXXXX XXXXXXX XXXXXXX XXX XX XXXXXXXX XXXX XXX XXXX XXXXXXXXX XXXXXX XXX XXXX XX XXXXXXXXXXXX XXXXXXXXXXXX XX XXXXXXX XXXX XXXX XXXXXX XX XXX XXXX XXXXXX XX XXX XXXX XX XXXXXXXXXX XX XXXX XXXXXXX XXXX XXXXXXXXXXX XXXXXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXXX XXXXXXXXXX XX XXXX XXXX XXXXXXXXX XXXXXXXXXXXXX XXXXXX XXXXXXXXXXXXX XXX XXXXX XXXXXXXX 999 XXXX XX XXXX XXX XXXX XX XX XXXX XXXXXX XXX XXXXXXXXX XX XXXX XXXXX XX XXX XX XXX XXXX XXXXX XXX XXXXXXXXX XXXX XXXXXXXXX XX XXXXXXXXX XXX XXXXXXXXXX XXXXX XX XXX XX XXXX XXXX XX XXX XXX XXXXXXX XX XXXXXXXX XX XX XXX XXX XX XXXXXX XXX XXXXX XX XX XXXXX XXX XXXXXX XXX XXXXXX XXXXX XXX XXXXXXX XXX XXXXXX XXXXXXXXXXXXXXX 999 XXX XXXX XXXXXX XXXXXXXXX XXX XXXXXX XXXX XXXX XX XXXX XXXXXXXXXXXXX XXXXXXX XXXXXXXXXXX XXXXXX XXXXX XXX XXX XXXXXX XXXXXXXXXXX XX XX XXXXXXXX XX XXXXXXXXX XXXX XXXXXXXXXX XXXXX XX XXX XX XXXX XXXXXXXXX XXX XXXXXXXXXXXXXX XXXXX 999 XXX XXXX XXXXXX XXXXXXXXX XXX XXXXXX XXXX XXXX XX XXXX XXXXXXXXXXXXX XXXXXXX XXXXXXXXXXX XXXXXX XXXXX XXX XXX XXXXXX XXXXXXXXXXX XX XX XXXXXXXX XX XXXXXXXXX 999 XXX XXXX XXXXXX XXXXXXXXX XXX XXXXXX XXXX XXXX XX XXXX XXXXXXXXXXXXX XXXXX 999 XXX XXXX XXXXXX XXXXXXXXX XXX XXXXXX XXXX XXXX XX XXXX XXXXXXXXXXXXX XXXXXXX XXXXXXXXXXX XXXXXX XXXXX XXX XXX XXXXXX XXXXXXXXXXX XX XX XXXXXXXX XX XXXXXXXXX XXXX XXXXXXXXXX XXXXX Page 1 of 6 999-99-9999 XX 99


2013-2014 Institutional Student Information Record Student ID 999-99-9999 XX 99 EFC 99999 X STEP ONE (THE STUDENT) (Q1 – Q31) Dependency Status X Name XXXXXXXXXXXX XXXXXXXXXXXXXXXX Address: STEP TWO (STUDENT & SPOUSE) CONT. XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX Military or Clergy Allowances 99999 XXXXXXXXXXXXXXXX XX 99999 Veterans Noneducation Benefits 99999 Social Security Number 999-99-9999 Other Untaxed Income 99999 Date of Birth MM/DD/CCYY Money Received/Paid on Your Behalf 99999 Permanent Home Phone # (999)999-9999 Driver's License # XXXXXXXXXXXXXXXXXXXXX STEP THREE (STUDENT STATUS) (Q45 - Q57) E-mail Address Born Before MM-DD-CCYY? XXX XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX Citizenship Status XXXXXXXXXXXXXXXXXXXX Is Student Married? XXX Alien Registration Number XXXXXXXXX Working on Master's/Doctorate Program? XXX Marital Status XXXXXXXXX On Active Duty in U.S. Armed Forces? XXX Marital Status Date MM/DD/CCYY Veteran of U.S. Armed Forces? XXX State of Legal Residence XX Have Children You Support? XXX Legal Resident before MM-DD-CCYY? XXX Dependents Other Than Children/Spouse? XXX Legal Residence Date MM/CCYY Orphan or Ward of the Court? XXX Male or Female? XXXXXX Are/Were you an Emancipated Minor? XXX Register for Selective Service? XXX Are/Were you in Legal Guardianship? XXX Drug Conv Affecting Elig? XXX Homeless Child or Youth? XXX Father's Educational Level XXXXXXXXXXXXXX Determined by HUD Homeless? XXX Mother's Educational Level XXXXXXXXXXXXXX At Risk for Homelessness? XXX High School or Equivalent? XXX High School Name/City, State XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XXXXXXXXXXXXXXXXXXXXXXXXXXXX, XX STEP FOUR (PARENTS) (Q58 - Q92) High School Code XXXXXXXXXXXX Marital Status XXXXXXXXX First Bachelor's Degree by MM-DD-CCYY? XXX Marital Status Date MM/DD/CCYY Grade Level in College XXXXXXXXXXXXXXXX Father's/Stepfather's SSN 999-99-9999 Degree/Certificate XXXXXXXXXXXXXXXX Father's Last Name XXXXXXXXXXXXXXXX Interested in Work-Study? XXXXXXXXXX Father's First Initial X Father's Date of Birth MM/DD/CCYY STEP TWO (STUDENT & SPOUSE) (Q32 - Q44) Mother's/Stepmother's SSN 999-99-9999 Tax Return Filed? XXXXXXXXX Mother's Last Name XXXXXXXXXXXX Type of CCYY Tax Return Used XXXXXXXXX Mother's First Initial X Eligible to File 1040A/1040EZ? XXXXXXXXXX Mother's Date of Birth MM/DD/CCYY Adjusted Gross Income 999999 E-mail Address XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX U.S. Income Tax Paid 999999 State of Legal Residence XX Exemptions Claimed 99 Legal Residents before 1-1-2008? XXX Student's Income Earned From Work 999999 Legal Residence Date MM/DD/CCYY Spouse's Income Earned From Work 999999 Number of Family Members 99 Cash, Savings, and Checking 999999 Number in College 99 Net Worth of Investments 999999 Supplemental Security Income Benefits XXX Net Worth of Business/Farm 999999 SNAP Benefits XXX Asset Threshold Exceeded XXX Free/Reduced Price Lunch Benefits XXX Student's Addl Financial Information 99999 TANF Benefits XXX Education Credits 99999 WIC Benefits XXX Child Support Paid 99999 Tax Return Filed? XXXXXXXXX Taxable Earnings Need-Based Emply 99999 Type of CCYY Tax Return Used XXXXXXXXX Grant & Scholarship Aid Reported 99999 Eligible to File 1040A/1040EZ? XXXXXXXXXX Special Combat Pay/Combat Pay 99999 Parent a Dislocated Worker? XXXXXXXXXX Co-op Earnings 99999 Adjusted Gross Income 999999 Student/Spouse Untaxed Income 99999 U.S. Income Tax Paid 999999 Tax-Deferred Pension/Savings 99999 Exemptions Claimed 99 IRA Deductions and Payments 99999 Father's Income Earned From Work 999999 Child Support Received 99999 Mother's Income Earned From Work 999999 Tax Exempt Interest Income 99999 Cash, Savings, and Checking 999999 Untaxed IRA Distributions 99999 Net Worth of Investments 999999 Untaxed Portions of Pension 99999 Net Worth of Business/Farm 999999 Asset Threshold Exceeded XXX *=assumption h=highlight flag #=corrected this trans @=corrected previous trans Page 2 of 6


2013-2014 Institutional Student Information Record Student ID 999-99-9999 99 EFC 99999 X Last Name XXXXXXXXXXXXXXXX STEP FOUR (PARENTS) CONT. STEP SIX (Q101) Parents' Addl Financial Information 99999 School #1 999999 Housing #1 XXXXXXXXXXX Education Credits 99999 School #2 999999 Housing #2 XXXXXXXXXXX Child Support Paid 99999 School #3 999999 Housing #3 XXXXXXXXXXX Taxable Earnings Need-Based Emply 99999 School #4 999999 Housing #4 XXXXXXXXXXX Grant & Scholarship Aid Reported 99999 School #5 999999 Housing #5 XXXXXXXXXXX Special Combat Pay/Combat Pay 99999 School #6 999999 Housing #6 XXXXXXXXXXX Co-op Earnings 99999 Parents’ Untaxed Income 99999 STEP SEVEN (Q102 – Q106) Tax-Deferred Pension/Savings 99999 Date Application Completed MM/DD/CCYY IRA Deductions and Payments 99999 Signed By XXXXXXXXXXXXXXXXXXXX Child Support Received 99999 Preparer's SSN 999-99-9999 Tax Exempt Interest Income 99999 Preparer's EIN XXXXXXXX Untaxed IRA Distributions 99999 Preparer's Signature XXXXXX Untaxed Portions of Pension 99999 Military or Clergy Allowances 99999 OFFICE INFORMATION Veterans Noneducation Benefits 99999 Primary EFC Type 9 Other Untaxed Income 99999 Secondary EFC Type 9 Processed Date MM/DD/CCYY STEP FIVE (STUDENT HH) (Q93 – Q100) Transaction Data Source/Type: Number Family Members 99 XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX Number in College 99 Source of Correction XXXXXXXXX Supplemental Security Income Benefits XXX Federal School Code Indicator 999999 SNAP Benefits XXX Reject Override Codes: Free/Reduced Price Lunch Benefits XXX A: B: C: G: J: K: N: W: TANF Benefits XXX 3: 12: 20: 21: WIC Benefits XXX Assumption Override Codes: Student/Spouse a Dislocated Worker? XXX 1: 2: 3: 4: 5: 6: ---------------------------------------------------------------------------------------- FAA INFORMATION CPS Pushed ISIR Flag XXX Date ISIR Received MM/DD/CCYY Rejects Met: 99,99,99,99,99,99,99 Verification Flag X Verification Tracking Flag XXXX Professional Judgment XXXXXX Dependency Override XXXXXXXXXXXXXXXXXXX Transaction Receipt Date MM/DD/CCYY ETI 9 Reprocessing Code XX Correction # Applied To 99 Processed Record Type X Application Receipt Date MM/DD/CCYY Pell Elig Flag X Intermediate Values Primary EFC 99999 Secondary EFC 99999 TI 9999999 PCA 9999999 Mon 1 99999 Mon 7 99999 Mon 1 99999 Mon 7 99999 ATI 9999999 AAI 9999999 Mon 2 99999 Mon 8 99999 Mon 2 99999 Mon 8 99999 STX 9999999 TSC 9999999 Mon 3 99999 Mon 10 99999 Mon 3 99999 Mon 10 99999 EA 9999999 TPC 9999999 Mon 4 99999 Mon 11 99999 Mon 4 99999 Mon 11 99999 IPA 9999999 PC 9999999 Mon 5 99999 Mon 12 99999 Mon 5 99999 Mon 12 99999 AI 9999999 STI 9999999 Mon 6 99999 Mon 6 99999 CAI 9999999 SATI 9999999 DNW 9999999 SIC 9999999 High School Flag X NW 9999999 SDNW 9999999 Student IRS Req Flag XX APA 9999999 SCA 9999999 Parent IRS Req Flag XX FTI 9999999 Auto Zero EFC Flag XXX Rejected Status Change Flag X Duplicate SSN Flag XXX EFC Change Flag XXXXXXXX Verification Selection Flag X Address Only Correction X SNT Flag XXX Special Circumstance Flag X SAR C Change Flag X Match Flags: SSN 9 SSA DHS SS N NSLDS 9 VA DHS Sec. Conf. X Father SSN 9 DHS Verification #999999999999999 SS Registration Flag Mother SSN 9 NSLDS Transaction Number 9 NSLDS Database Results Flag 9 DOD X Comments: 999,999,999,999,999,999

*=assumption h=highlight flag #=corrected this trans @=corrected previous trans

Page 3 of 6


2013-2014 Institutional Student Information Record Student ID 999-99-9999 XX 99 EFC 99999 X Last Name XXXXXXXXXXXXXXXX READ, SIGN, AND DATE If you are the student, by signing this application you certify that you (1) will use federal and/or state student financial aid only to pay the cost of attending an institution of higher education, (2) are not in default on a federal student loan or have made satisfactory arrangements to repay it, (3) do not owe money back on a federal student grant or have made satisfactory arrangements to repay it,(4) will notify your college if you default on a federal student loan, and (5) will not receive a Federal Pell Grant from more than one college for the same period of time. If you are the parent or the student, by signing this application you certify that all of the information you provided is true and complete to the best of your knowledge and you agree, if asked, to provide information that will verify the accuracy of your completed form. This information may include U.S. or state income tax forms that you filed or are required to file. Also, you certify that you understand that the Secretary of Education has the authority to verify information reported on this application with the Internal Revenue Service and other federal agencies. If you sign any document related to the federal student aid programs electronically using a Personal Identification Number (PIN), you certify that you are the person identified by the PIN and have not disclosed that PIN to anyone else. If you purposely give false or misleading information, you may be fined $20,000, sent to prison, or both. Everyone whose information is given on this form should sign below. The student (and at least one parent, if parent information is given) MUST sign below. Student __________________________________________________ Date: _______________ Parent __________________________________________________ Date: _______________ Page 4 of 6


2013-2014 Institutional Student Information Record XXXXXXXXXXXX XXXXXXXXXXXXXXXX 999-99-9999 CCYY-CCYY NSLDS FINANCIAL AID HISTORY Processed: MM/DD/CCYY This page contains your previous financial aid information, which is contained in the National Student Loan Data System (NSLDS). Your Financial Aid Administrator will use it to determine your eligibility. ***************************************************************************************** #Discharged #Fraud #Defaulted #Loan Sat. #Active #Post Screening #TEACH Loan Flag:Y Loans:Y Loans:Y Repayment:Y Bnkrptcy:N Reason: 99,99,99 Loan:Y Unusual Enrollment History: X #Overpayment: Contact: LEU % Lifetime ACG: Limit Flag Pell: X XXXXXXXXXXXXX 9999.999% X N.SMART: X 99999999 TEACH: X 99999999 Iraq and Afghanistan Service Grant: X 99999999 FSEOG: X 99999999 Perkins: ***************************************************************************************** Aggregate Amounts: Outstanding Pending Total: #FFEL/Direct Loans: Prin. Bal.: Disb(s): Subsidized Loans: $999,999 $999,999 $999,999 Unsubsidized Loans: $999,999 $999,999 $999,999 TEACH Loans: $999,999 $999,999 Combined Loans: $999,999 $999,999 $999,999 Unallocated Consolidation Loans: $999,999 $999,999 #Perkins Loans: Outstanding Principal Bal.: $999,999 Current Year Loan Amount: $999,999 TEACH Grants: Undergrad/Post Bacc Disb Amount:$999,999 Grad Disbursement Amount: $999,999 ***************************************************************************************** #Pell Payment Data: Sch.Code: 99999999 Tran: 99 Sch.Amt:$9,999 Award Amt:$9999 Disb.Amt:$999,999 AEI: X % Sch Awd Used by Award Yr: 999.9999 As Of: MM/DD/CCYY Pell Verification Flag: X EFC:99999 Access NSLDS for additional Pell Data. ***************************************************************************************** #ACG Payment Data: Sch.Code: 99999999 Tran: Sched. Award:$9,999 Award Amt:$9,999 Disb.Amt:$999,999 % Elig. Used by Sched. Award:999.9999 Tot. % Elig. Used by Acad. Yr. Level:999.9999 Awd Yr:9999 As Of: MM/DD/CCYY Academic Yr. Level: 9 Elig: 99 HS Prog: XX9999 Sequence: 999 Access NSLDS for additional ACG Data. ***************************************************************************************** #National SMART Payment Data: Sch.Code: 99999999 Tran: Sched. Award:$999,999 Award Amt:$ 9,999 Disb.Amt:$ 999,999 % Elig. Used by Sched. Award:999.9999 Tot. % Elig. Used by Acad. Yr. Level:999.9999 Awd Yr:9999 As Of: MM/DD/YYYY Academic Yr. Level: 9 CIP: 99.9999 Sequence: 999 Access NSLDS for additional National SMART Data. ***************************************************************************************** #TEACH Payment Data: Sch.Code: 99999999 Tran: 99 Sched. Award:$9,999 Award Amt:$9,999 Disb.Amt:$ 9,999 Awd Yr:9999 As Of: MM/DD/CCYY Grade Level: 9 Loan Conv Flag: X Sequence: 999 Access NSLDS for additional TEACH Grant Data. ***************************************************************************************** Loan Detail: Net Loan Begin End GA School Grade Contact Amount Date Date Code Code Level Code/Type Additional Loan Capitalized Date of Amt of Unsub Type Interest Last Disb Last #FFEL Stafford Subsidized $999,999 MM/DD/CCYY MM/DD/CCYY 999 99999999 XXX XXXXXXXX/999

XXXXXXXXXXX XXXXXXXXX XXX MM/DD/CCYY $9,999 Status Code RP as of MM/DD/CCYY Outstanding Bal. $999,999 as of MM/DD/CCYY

Page 5 of 6 999-99-9999 XX 99


2013-2014 Institutional Student Information Record XXXXXXXXXXXX XXXXXXXXXXXXXXXX 999-99-9999 CCYY-CCYY NSLDS FINANCIAL AID HISTORY Processed: MM/DD/CCYY This page contains your previous financial aid information, which is contained in the National Student Loan Data System (NSLDS). Your Financial Aid Administrator will use it to determine your eligibility. ***************************************************************************************** Loan Detail: Net Loan Begin End GA School Grade Contact Amount Date Date Code Code Level Code/Type Additional Loan Capitalized Date of Amt of Unsub Type Interest Last Disb Last #FFEL Stafford Unsubsidized $999,999 MM/DD/CCYY MM/DD/CCYY 999 99999999 XXX XXXXXXXX/999 XXXXXXXXXXX XXXXXX XXX MM/DD/CCYY $9,999 Status Code RP as of MM/DD/CCYY Outstanding Bal. $999,999 as of MM/DD/CCYY FFEL Stafford Subsidized $999,999 MM/DD/CCYY MM/DD/CCYY 999 99999999 XXX XXXXXXXX/999 XXXXXXXXXX Status Code DU as of MM/DD/CCYY Outstanding Bal. $999,999 as of MM/DD/CCYY FFEL Stafford Subsidized $999,999 MM/DD/CCYY MM/DD/CCYY 999 99999999 XXX XXXXXXXX Status Code DU as of MM/DD/CCYY 999 Outstanding Bal. $999,999 as of MM/DD/CCYY FFEL Stafford Subsidized $999,999 MM/DD/CCYY MM/DD/CCYY 999 99999999 XXX XXXXXXXX Status Code RP as of MM/DD/CCYY 999 Outstanding Bal. $999,999 as of MM/DD/CCYY FFEL Stafford Subsidized $999,999 MM/DD/CCYY MM/DD/CCYY 999 99999999 XXX XXXXXXXX Status Code ID as of MM/DD/CCYY 999 Outstanding Bal. $999,999 as of MM/DD/CCYY MPN/Loan Limit Information Direct Loan Subsidized/Unsubsidized MPN: XXXXXXXXXXXXXXX Direct Loan PLUS MPN: XXXXXXXXXXXXXXX Direct Loan Grad PLUS MPN: XXXXXXXXXXXXXXX Undergraduate Subsidized Loan Limit Flag: XXXXXXXXXXXXXXX Undergraduate Combined Loan Limit Flag: XXXXXXXXXXXXXXX Graduate Subsidized Loan Limit Flag: XXXXXXXXXXXXXXX Graduate Combined Loan Limit Flag: XXXXXXXXXXXXXXX Page 6 of 6 999-99-9999 XX 99

February 2013 (2013-2014) The ISIR Guide Appendix F F-1

Appendix F – Change Page Tracking Logs

Overview This Appendix is added and updated when change pages are issued to include all the tracking logs for each set of change pages as they are issued.

We will continue to show new text additions in the ISIR Guide change pages with bold italic text. Text deletions will be marked with strikethrough. Changes to page numbers in the Table of Contents will not be tracked.

The footer on each page of the section will change to reflect the month that the change was made. For example, if a change was made in Appendix C on page C-6, all pages in Appendix C will show the new month in the footer. Use the corresponding Tracking Log to see what was changed in that section during that period.

This Appendix contains the current and previous tracking logs for your reference.


2013-2014 ISIR Guide February 2013 Change Page Tracking Log

Pages Affected Pages Inserted Changes Made

Table of Contents

iv to v iv to v Updated Appendix C page numbers and added Appendix F

ISIR Guide

30 30 Updated the SSN Match Flag value of “Blank” to “8”

31 31 Updated the SSA Citizenship Code description and description for the “Blank” value

Note: FAA Access will not be updated to reflect this change until September 2013

42 42 In the Aggregate Amounts for FFEL/Direct Loans, TEACH Loan, and Perkins Loan Section text we removed two instances of “FFEL” in the second paragraph and added “after subtracting capitalized interest” in the third paragraph

Appendix C

C-6 to C-7 C-6 to C-7 Updated the Federal Loan Servicers table

• Added Federal Loan Servicers codes 700508 and 700511

• Updated the name for Federal Loan Servicers codes 700577 and 700583

C-8 C-8 to C-9 Updated the ED Servicers table to add codes 508 and 511; as a result the table now spans two pages; page numbers throughout the remainder of the section incremented by one

C-9 to C-15 C-10 to C-16 Updated the Selected Servicers table

• Updated the Name for the following servicer codes: 700010, 700023, 700030, 700038, 700067, 700127, 700152, and 700219

• Updated the City and/or State for the following servicer codes: 700008, 700027, 700030, and 700121



C-16 C-17 Updated the Guaranty Agencies table

• Updated the Short Name and Name for guaranty agency number 555

• Updated the Short Name for guaranty agency number 575

Appendix F

F-1 to F-3 Added Appendix F to the ISIR Guide

Companion to the EDE Technical Reference

SAR Comment Codes and Text

2013-2014

U.S. Department of Education

February 2013 (2013-2014) 2013-2014 SAR Comment Codes and Text i

Table of Contents

2013-2014 SAR COMMENT CODES AND TEXT .................................................................1

Overview .................................................................................................................................1

How do the comment codes and text work? ..........................................................................1

How do I use the 2013-2014 SAR Comment Text table? ......................................................2

Where can I find more information about ISIRs? ..................................................................2

Changes to the Comment Codes ...............................................................................................3

SAR Comment Code Changes ..............................................................................................3

SAR C Code Changes ...........................................................................................................4

2013-2014 SAR Comment Text ...............................................................................................5

Database Match Results ....................................................................................................... 114

How to Use the Charts ...................................................................................................... 114

Selective Service Match .................................................................................................... 114

Selective Service Registration ........................................................................................... 114

DHS Primary Verification Match ...................................................................................... 115

DHS Secondary Confirmation Match ................................................................................ 115

Social Security Administration Citizenship Status Match .................................................. 116

Student’s Social Security Number Match .......................................................................... 116

Parent’s Social Security Number Match ............................................................................ 117

Department of Veterans Affairs Veteran Status Match ...................................................... 118

National Student Loan Data System (NSLDS) Match ....................................................... 119

National Student Loan Data System (NSLDS) Unusual Enrollment History Flag .............. 120

Department of Defense (DOD) Match............................................................................... 120

Drug Abuse Hold .............................................................................................................. 120

Drug Conviction Question 23 ........................................................................................... 121

Verification Selection Edits .............................................................................................. 121

APPENDIX ............................................................................................................................ A-1

Overview ............................................................................................................................. A-1

February 2013 Change Page Tracking Log ..................................................................... A-2

February 2013 (2013-2014) 2013-2014 SAR Comment Codes and Text 1

2013-2014 SAR Comment Codes and Text

Overview The 2013-2014 SAR Comment Codes and Text document serves as a standalone guide, as well as a companion to the 2013-2014 Electronic Data Exchange (EDE) Technical Reference.

Refer to this document for information on the 2013-2014 Student Aid Report (SAR) comment codes and text.

We have not included the Web versions of the SAR comment text in this guide, because they are very similar to the SAR comment text. (See the Reminder on page 3 for one exception.) The only differences are wording changes that make the comments relevant to the Web version of the SAR rather than to the paper form or printed (electronic) Institutional Student Information Record (ISIR). For example, the text for a SAR comment code may describe printed information, whereas the equivalent Web comment code describes a Web page displaying the information.

How do the comment codes and text work? The Central Processing System (CPS) adds comment codes and text to the student’s transaction to provide information to the student and to you about the student’s processed Free Application for Federal Student Aid (FAFSA).

The comment codes and text are printed on paper SARs and on ISIRs printed from EDExpress for Windows or other financial aid software you may use. Each comment code is three digits in length and can be found in positions 2721 to 2780 in the ISIR file.


How do I use the 2013-2014 SAR Comment Text table? The 2013-2014 SAR Comment Text table includes the following information:

• Column 1, SAR Comment Code: This column lists the comment codes numerically.

• Column 2, SAR Comment Text Definition: This column contains the text that is printed on SARs and on printed ISIRs.

• Column 3, Notes/Changes: This column describes changes to the comment text.

• Column 4, Reason for the Comment: This column describes the reason or conditions that caused this comment to appear in the student’s record.

• Column 5, C Code: This column indicates whether a C code is set.

The CPS typically generates a C code when database match results require resolution by the school. The CPS also generates a C code if an applicant’s response to the FAFSA drug question (question 23) requires resolution or financial aid administrator action.

• Column 6, Reject Code: This column indicates a reject number or letter if a reject code is associated with a comment code.

• Column 7, Action Needed: The final column describes actions needed to resolve the C flag or reject associated with the comment.

Note: The resolution information is provided for you to use as a quick reference. The Federal Student Aid Handbook, Volume 1–FSA Handbook: Student Eligibility contains detailed information about student eligibility and the action needed to resolve discrepancies found in the data matches. The handbook is located on the U.S. Department of Education’s Information for Financial Aid Professionals (IFAP) Web site, located at ifap.ed.gov.

Where can I find more information about ISIRs? The 2013-2014 ISIR Guide is designed to assist financial aid administrators with interpreting student information from ISIRs. The 2013-2014 ISIR Guide is available on the IFAP Web site, as well as on the Federal Student Aid Download (FSAdownload) Web site, located at fsadownload.ed.gov.

http://www.ifap.ed.gov/ifap/

https://www.fsadownload.ed.gov/


Changes to the Comment Codes

SAR Comment Code Changes You can review the changes to the comments in the Notes/Changes column of the following table. A summary of these changes is also provided in the 2013-2014 Summary of Changes for the Application Processing System guide, posted later this fall on the IFAP and FSAdownload Web sites.

Comments with the first line indented are printed in the “Comments About Your Information” section on the SAR. Comments that are left-justified are printed with a checkbox in front of the comment and are printed in the “What You Must Do Now” section.

Reminder: As part of the 2008-2009 SAR Redesign process, we removed the text for comment codes 047, 050, 112, 149, 158, 159, 170, and 171 from the paper SAR comments section on page three and instead present the information contained in these comments as variable text in the appropriate section on the first page. Text associated with these comment codes is only displayed on the Web; the text is not displayed in the EDExpress software and is not printed on the EDExpress ISIR. Note, however, that the comment code numbers are included in the ISIR file and appear in the FAA Information section of the printed ISIR. Schools using EDExpress still have the ability to query their databases using these comment code numbers.

When viewing or printing an ISIR using FAA Access to CPS Online, or when a student is viewing or printing his or her SAR information on the Web, the text for the affected comments is printed. ISIRs printed from third-party software may not print the text for these comments, depending on how the software was programmed. We recommend consulting with your software vendor for more information.

Note for users of this guide: To assist you when reviewing a SAR or ISIR that contains these comment codes, we have provided the text for the Web comments in this guide. If the comment text is preceded with text referring to the Web, the comment text is printed on the ISIR from FAA Access to CPS Online and is displayed to the student on the Web.

In some cases, the text that was removed from the EDExpress software is the same as the Web text, and we note that where appropriate. In other cases, the text varies slightly from the Web version. We have also provided the SAR/ISIR text that was removed from EDExpress. Schools using their own software and third-party software providers may, at their discretion, program their systems to include the text on printed ISIRs.

See the March 20, 2008 electronic announcement regarding this change on the IFAP Web site.

http://ifap.ed.gov/eannouncements/0320SARComment.html


SAR C Code Changes The SAR C code is set on a student’s record based on his or her eligibility conditions. The following is a complete list of 2013-2014 comments that are associated with the SAR C code:

10, 20, 30, 33, 38, 39, 41, 42, 43, 46, 53, 54, 56, 57, 58, 63, 64, 65, 66, 67, 77, 79, 86, 90, 100, 101, 102, 105, 107, 109, 115, 116, 124, 132, 133, 134, 135, 136, 138, 141, 142, 144, 146, 162, 173, 180, 240, 241, 242, 243, 244, 246, 254, 255, 256, 260, 261, 262, 263, 264, 265, 266, 289, 290, 291, 292, 293, 294, 309, 310, 311, 312, 313, 314, 346, 347, 359 and 360.

New for 2013-2014: Comments 359 and 360 are associated with the SAR C Flag.

Comments that generate the C-Flag are arranged by the areas that the comments are associated with:

• Selective Service Match: 30, 33, and 57

• DHS Match: 46, 105, 109, 141, 142, and 144

• Social Security Administration Citizenship Status: 146

• Student’s Social Security Number Match: 63 and 64

• Veterans Affairs Status Match: 162, 173, and 180

• NSLDS: 10, 20, 38, 39, 41, 42, 43, 65, 66, 67, 77, 79, 86, 90, 100, 101, 102, 107, 115, 116, 124, 132, 133, 134, 135, 136, 138, 240 to 244, 246, 254 to 256, 260 to 266, 289 to 294, and 309 to 314, 346, 347, 359, and 360

− Potential Pell Overpayment: 20, 38, 39, 41, 42, 43, 346, and 347

− Potential FSEOG Overpayment: 10, 65, 66, 67, 77, and 79

− Potential Perkins Overpayment: 86, 90, 100, 101, 102, and 107

− Potential ACG Overpayment: 240, 241, 242, 243, 244, and 246

− Potential National SMART Grant Overpayment: 261, 262, 263, 264, 265, and 266

− Potential TEACH Grant Overpayment: 289, 290, 291, 292, 293, and 294

− Potential Iraq and Afghanistan Service Grant Overpayment: 309, 310, 311, 312, 313, and 314

− NEW: Unusual Enrollment History: 359 and 360

• Responses to Question 23/Drug Conviction: 53, 54, 56, and 58

Note: In rare cases, the C-Flag is provided on an ISIR/SAR without a corresponding comment. This would happen only if the applicant receives an excessive number of comments (including C-Flag comments) and some of the comments must be suppressed so that a SAR/ISIR can be generated.


2013-2014 SAR Comment Text SAR

Comment Code

SAR Comment Text Definition Notes/

Changes Reason for Comment

C Code

Reject Code

Action Needed

001 WHAT YOU MUST DO NOW (Use the checklist below to make sure that all of your issues are resolved.)

Heading Comment

002 This SAR reflects your Financial Aid Administrator’s use of professional judgment.

Professional Judgment with college change

003 This SAR shows corrections to information that we previously entered incorrectly.

Data entry error corrected

004 This SAR has been produced due to a change in your financial aid history information in the National Student Loan Data System (NSLDS) that may affect your eligibility for federal student aid.

System generated for NSLDS change

005 We are unable to read all of the information on your FAFSA or SAR because it was damaged. Please review all of the items on this SAR and make any corrections as needed.

Special handled for damaged document

006 If you need to make corrections to your information, you may either make them online at www.fafsa.gov, or by using this SAR. You must use your Federal Student Aid PIN to access your record online. If you need additional help with your SAR, contact your school’s financial aid office or visit www.fafsa.gov and click the “Help” icon on the FAFSA home page. If your mailing address or e-mail address changes, you can make the correction online or send in the correction on your SAR.

Updated comment

General instructions



SAR Comment

Code SAR Comment Text Definition

Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

007 As we previously indicated, your father’s date of birth in Item 63 does not match his date of birth in the Social Security Administration’s (SSA) records for his Social Security Number (SSN). If his SSN (Item 60) or date of birth is incorrect, you need to make a correction. If his SSN and date of birth are correct, your father should contact the SSA to make sure that they correct their records. The SSA can be contacted by calling 1-800-772-1213 or by visiting www.socialsecurity.gov.

Father’s SSN Match Flag = 2 (SSN and name match, no DOB match) and Mother’s SSN Match Flag does not = 4 (4 = SSN, name, and DOB match)

Father reaffirmed that SSA’s invalid DOB is correct

Mother does not have a full match

Reject S verified

No resolution required.

A correction was made to reaffirm the father’s date of birth. However, SSA records have not changed.

The CPS will suppress the reject S.

If the father’s DOB is correct, the father should contact SSA to update its records.

Correct mother’s data elements as appropriate to achieve full match.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

008 As we previously indicated, your mother’s date of birth in Item 67 does not match her date of birth in the Social Security Administration’s (SSA) records for her Social Security Number (SSN). If her SSN (Item 64) or date of birth is incorrect, you need to make a correction. If her SSN and date of birth are correct, your mother should contact the SSA to make sure that they correct their records. The SSA can be contacted by calling 1-800-772-1213 or by visiting www.socialsecurity.gov.

Mother’s SSN Match Flag = 2 (SSN and name match, no DOB match) and Father’s SSN Match Flag does not = 4 (4 = SSN, name, and DOB match)

Mother reaffirmed that SSA’s invalid DOB is correct

Father does not have a full match

Reject T verified


A correction was made to reaffirm the mother’s date of birth. However, SSA records have not changed.

The CPS will suppress the reject T.

If the mother’s DOB is correct, the mother should contact SSA to update its records.

Correct father’s data elements as appropriate to achieve full match.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

009 We cannot process your FAFSA because of issues related to the Anti-Drug Abuse Act of 1988. To address these issues, you must contact us by telephone at 202-377-3889 within 30 days from the date of this letter.

The Department of Justice has placed a “hold” on the student

19 Resolution required.

Student needs to call 202-377-3889 to resolve this issue.

Note: No match flag values are associated with hold files.

The Anti-Drug Abuse Act of 1988 in-cludes provisions that authorize federal and state judges to deny certain federal benefits, including student aid, to persons convicted of drug trafficking or possession. The CPS maintains a hold file of those who have received such a judgment, and it checks applicants against that file to determine if they should be denied aid. This is separate from the check for a drug conviction via question 23; confirmation of a student in the drug abuse hold file will produce a rejected application and a separate comment from those associated with responses to question 23.

010 For additional information about your FSEOG overpayment, your Financial Aid Administrator must access NSLDS.

NSLDS Results Flag = 1 (record matched, data sent)

NSLDS Match Flag = 3 (overpayment)

Flagged for FSEOG overpayment

Y Resolution required.

The financial aid administrator should access NSLDS for additional information to help student resolve overpayment.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

011 The Social Security Administration (SSA) did not confirm the Social Security Number (SSN) you reported for your father in Item 60. If you believe that the SSN you reported is correct, your father must contact the SSA. The SSA can be contacted by calling 1-800-772-1213 or by visiting www.socialsecurity.gov. If the SSN is incorrect, you must make the necessary correction.

Father’s SSN Match Flag = 1 (no SSN match) or 6 (SSN not verified) and Mother’s SSN Match Flag does not = 4 (4 = SSN, name, and DOB match)

Father’s SSN invalid at SSA or not verified

Mother’s match results indicate an invalid SSN, no match on name, or no match on DOB

Neither parent has a full match of 4


Correct the SSN for the father. Also review and correct the name and/or Date of Birth for mother and/or father to achieve a full match for at least one parent.

If documentation confirms that the father does not have an SSN, enter all zeros in the field and confirm by re-entering the zeros.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

012 The Social Security Administration (SSA) did not confirm the Social Security Number (SSN) you reported for your mother in Item 64. If you believe that the SSN you reported is correct, your mother must contact the SSA. The SSA can be contacted by calling 1-800-772-1213 or by visiting www.socialsecurity.gov. If the SSN is incorrect, you must make the necessary correction.

Mother’s SSN Match Flag = 1 (no SSN match) or 6 (SSN not verified) and Father’s SSN Match Flag does not = 4 (4 = SSN, name, and DOB match)

Mother’s SSN invalid at SSA or not verified

Father’s match results indicate an invalid SSN, no match on name, or no match on DOB

Neither parent has a full match of 4


Correct the SSN for the mother. Also review and correct the name and/or Date of Birth for mother and/or father to achieve a full match for at least one parent.

If documentation confirms that the mother does not have an SSN, enter all zeros in the field and confirm by re-entering the zeros.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

013 You cannot change your Social Security Number (SSN) (Item 8). The Social Security Administration has already confirmed that this SSN belongs to you.

No additional SSN match conducted

Applicant tried to change SSN after SSA verified the reported SSN was correct


This occurs on correction transactions only.

If student used the wrong SSN, yet his or her name, date of birth, and SSN were confirmed by SSA on the previous transaction, contact ED’s Correction Application Coordinator at (319) 665-7101 for further instructions. These cases usually arise when spouses or siblings with similar names use each other’s SSNs by mistake. These cases must be resolved.

014 The Social Security Administration (SSA) confirmed the Social Security Number (SSN) you reported for your mother on your FAFSA, but did not confirm the SSN you reported for your father (Item 60). If you believe that the SSN you reported for your father is correct, your father should contact the SSA. The SSA can be contacted by calling 1-800-772-1213 or by visiting www.socialsecurity.gov. If the SSN is incorrect, you need to make the necessary correction.

Father’s SSN Match Flag = 1 (no SSN match) or 6 (SSN not verified) and Mother’s SSN Match Flag = 4 (SSN, name, and DOB match)

Father’s SSN invalid at SSA or not verified

Mother has a full match


Correct Father’s SSN to achieve a full match.



SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

015 The Social Security Administration (SSA) confirmed the Social Security Number (SSN) you reported for your father on your FAFSA, but did not confirm the SSN you reported for your mother (Item 64). If you believe that the SSN you reported for your mother is correct, your mother should contact the SSA. The SSA can be contacted by calling 1-800-772-1213 or by visiting www.socialsecurity.gov. If the SSN is incorrect, you need to make the necessary correction.

Mother’s SSN Match Flag = 1 (no SSN match) or 6 (SSN not verified) and Father’s SSN Match Flag = 4 (SSN, name, and DOB match)

Mother’s SSN invalid at SSA or not verified

Father has a full match


Correct Mother’s SSN to achieve a full match.



SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

016 Your father’s date of birth as reported on your FAFSA does not match his date of birth in the Social Security Administration’s (SSA) records for his Social Security Number (SSN). Therefore, you must correct his SSN (Item 60) or his date of birth (Item 63). If his date of birth is correct, you must confirm it by re-entering it in Item 63. If you confirm your father’s date of birth, your father should also contact the SSA to make sure that they correct it in their records. The SSA can be contacted by calling 1-800-772-1213 or by visiting www.socialsecurity.gov.

Father’s SSN Match Flag = 2 (SSN and name match, no DOB match) and Mother’s SSN Match Flag does not = 4 (4 = SSN, name, and DOB match)

Father’s Social Security Match, but no Date of Birth Match

Mother does not have a full match

S Resolution required.

Correct the father’s date of birth.

If the father’s date of birth is correct on the SAR/ISIR re-enter the same value to reaffirm that date of birth is correct. The CPS will process the transaction without the reject.

In addition, if the father’s date of birth is correct, he should contact SSA to update its records. Records sent for rematching in future years would continue to receive this match flag until SSA updates its database.

If a correction is made to date of birth, SSN, first name, or last name, the record will be sent again for matching. Review subsequent transactions for updated match flag.

Correct mother’s data elements as appropriate to achieve a full match.



SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

017 Your mother’s date of birth as reported on your FAFSA does not match her date of birth in the Social Security Administration’s (SSA) records for her Social Security Number (SSN). Therefore, you must correct her SSN (Item 64) or her date of birth (Item 67). If her date of birth is correct, you must confirm it by re-entering it in Item 67. If you confirm your mother’s date of birth, your mother should also contact the SSA to make sure that they correct it in their records. The SSA can be contacted by calling 1-800-772-1213 or by visiting www.socialsecurity.gov.

Mother’s SSN Match Flag = 2 (SSN and name match, no DOB match) and Father’s SSN Match Flag does not = 4 (4 = SSN, name, and DOB match)

Mother’s Social Security Match, but no Date of Birth Match

Father does not have a full match

T Resolution required.

Correct the mother’s date of birth.

If the mother’s date of birth is correct on the SAR/ISIR, re-enter the same value to reaffirm that the date of birth is correct. The CPS will process the transaction without the reject.

In addition, if the mother’s date of birth is correct, she should contact SSA to update its records. ISIR records sent for rematching in future years would continue to receive this match flag until SSA updates its database.


Correct father’s data elements as appropriate to achieve a full match.


018 You must provide your date of birth in Item 9. Missing or invalid Date of Birth


Correct the Date of Birth.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

019 The date of birth you reported for your mother on your FAFSA matches the Social Security Administration’s (SSA) records, but the date of birth you reported for your father does not match the SSA’s records. Your father should review the date of birth in Item 63 and either confirm the date you have reported or make the necessary correction.

Father’s SSN Match Flag = 2 (SSN and name match, no DOB match) and Mother’s SSN Match Flag = 4 (SSN, name, and DOB match)

Father’s DOB is invalid at SSA



Correct father’s DOB to achieve a full match.

020 To resolve your Pell overpayment, your Financial Aid Administrator must access NSLDS for additional Pell overpayment information.



Flagged for Pell overpayment




SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

021 The date of birth you reported for your father on your FAFSA matches the Social Security Administration’s (SSA) records, but the date of birth you reported for your mother does not match the SSA’s records. Your mother should review the date of birth in Item 67 and either confirm the date you have reported or make the necessary correction.

Mother’s SSN Match Flag = 2 (SSN and name match, no DOB match) and Father’s SSN Match Flag = 4 (SSN, name, and DOB match)

Mother’s DOB is invalid at SSA



Correct mother’s DOB to achieve a full match.

022 The name you reported for your father on your FAFSA doesn’t match the Social Security Administration’s (SSA) records. If the last name and first initial you reported in Items 61 and 62 are correct, contact the SSA. If they are incorrect, you need to make the necessary corrections.

Father’s SSN Match Flag = 3 (SSN match, no name match) and Mother’s SSN Match Flag = 4 (SSN, name, and DOB match)

Father’s name is invalid at SSA



Correct father’s name to achieve a full match.

023 Comment not used


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

024 The Social Security Administration (SSA) did not confirm that the Social Security Number (SSN) you reported on your FAFSA is correct, and also could not confirm your U.S. citizenship. If you believe that the SSN you reported in Item 8 is correct, contact the SSA by calling 1-800-772-1213 or by visiting www.socialsecurity.gov. If the SSN is incorrect, you must correct the SSN on a paper SAR or submit a new FAFSA online with the correct SSN.

SSN match conducted

SSN Match Flag = 1 (no match on SSN, SSN invalid)

SSN Match Flag = 6 (SSN not verified)

Student’s Social Security Number is not matched with the SSA database


Correct the SSN. If the SSN is correct, contact the SSA to fix the error in their records. Then re-enter SSN and submit as a correction for an updated SSA Match.

ISIR records sent for rematching will continue to receive this match flag until SSA updates its database. If a correction is made to date of birth, SSN, first name, or last name, the record will be sent again for matching. Review subsequent transactions for updated match flag.

If the SSN is incorrect, the student can correct the SSN on the SAR/ISIR. If this is done, the student’s original SAR ID [the ID that is used (with the incorrect SSN) to access the SAR/ISIR] will not change, but the current SSN reported in question 8 will be changed to reflect the corrected SSN.

Alternatively, the applicant can file a new FAFSA under the correct SSN. This FAFSA will be treated as an original application and will be sent through all of the matches as if another FAFSA was never completed. The SAR ID will be the same as the SSN reported on this application.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

025 The name you reported for your mother on your FAFSA doesn’t match the Social Security Administration’s (SSA) records. If the last name and first initial you reported in Items 65 and 66 are correct, contact the SSA. If they are incorrect, you need to make the necessary corrections.

Mother’s SSN Match Flag = 3 (SSN match, no name match) and Father’s SSN Match Flag = 4 (SSN, name, and DOB match)

Mother’s name is invalid at SSA



Correct mother’s name to achieve a full match.

026 If you want to register with Selective Service, you can register by doing one of the following: (1) answer “Male” to Item 21 and “Register Me” to Item 22 on this SAR, (2) complete a Selective Service registration form at your local post office, or (3) register online at www.sss.gov. Selective Service will not process your registration until 30 days before your 18th birthday.

Selective Service Match Flag = T (temporarily exempt)

Student is within 45 days of his 18th birthday Applicant is temporarily exempt because he is not yet 18 years old


An update is not required during the year.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

027 According to the Social Security Administration, the Social Security Number you provided for your father in Item 60 belongs to a deceased person. Please review your answer to Item 60 and make a correction if necessary.

Father’s SSN Match Flag = 5 (SSN, name, and DOB match with date of death)

A successful match has been made to a deceased person’s record on the SSA database for father


If the father’s identifiers are correct, the father should contact SSA to fix their records.

After SSA corrects its records, the father can re-enter the name and submit it as a SAR/ISIR correction for an updated match flag.

028 We have forwarded your name to Selective Service for registration, as you requested. They will process your registration request 30 days prior to your 18th birthday.

Selective Service Registration Flag = T (temporarily exempt)

Registration conducted


Student’s information forwarded to Selective Service for registration as requested on application or SAR. Registration will be processed by Selective Service 30 days before the applicant’s 18th birthday.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

029 According to the Social Security Administration, the Social Security Number you provided for your mother in Item 64 belongs to a deceased person. Please review your answer to Item 64 and make a correction if necessary.

Mother’s SSN Match Flag = 5 (SSN, name, and DOB match with date of death)

A successful match has been made to a deceased person’s record on the SSA database for mother


If the mother’s identifiers are correct, the mother should contact SSA to fix their records.

After SSA corrects its records, the mother can re-enter the name and submit it as a SAR/ISIR correction for an updated match flag.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

030 The Selective Service reported that you have not registered with them. If you are female or were born before 1960, registration is not required. Otherwise, if you are not yet registered, are male, and are 18 through 25 years of age, to receive aid you must do one of the following: (1) answer “Male” to Item 21 and “Register Me” to Item 22 on this SAR, (2) complete a Selective Service registration form at your local post office, or (3) register online at www.sss.gov. If you believe you have already registered or are exempt, please check the Selective Service Web site at www.sss.gov, select “registration info” and then “Who Must Register?”. If you have documentation proving an exemption, submit it to your school to save time. Contact the Selective Service at 847-688-6888 only after reviewing the SSS Web site information.

Selective Service Match Flag = N (registration status not confirmed)

The applicant is not in the Selective Service database


Assist student to meet Selective Service eligibility requirements, student must:

Register with Selective Service, present appropriate confirmation (for example, his Selective Service Registration Acknowledgement or his letter of registration) that he is registered, or

Qualify for a waiver or exemption.

Request documentation from a noncitizen who first entered the U.S. after he or she turned 26, or who entered the U.S. as a lawful nonimmigrant on a valid visa and remained in the U.S. on the terms of that visa until after turning 26. A letter from Selective Service is not required if the student’s documentation supports an exemption. More information regarding exemptions is available at www.sss.gov (select “registration info” and then “Who Must Register?”) and in the Federal Student Aid Handbook, Volume 1–FSA Handbook: Student Eligibility, chapter 5.

031 We have forwarded your name to Selective Service for registration, as you requested.

Selective Service Registration Flag = Y (registration completed)

Registration conducted


Forwarded student’s information to Selective Service for registration as requested on application or SAR.

http://www.sss.gov/


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

032 The number you have reported for your parents’ number of family members is significantly different than the number you reported on your FAFSA last year. Review Item 72 and make a correction if necessary.

Cross year edit – parents’ number of family members

033 We could not send your name to Selective Service as you requested because you did not give us enough information, you are outside the age range for registration, or you did not sign your form. If you are male and at least 18 but not yet 26, to receive aid you must do one of the following: (1) answer “Male” to Item 21 and “Register Me” to Item 22 on this SAR and also provide information for Items 1, 2, and 9, (2) complete a Selective Service registration form at your local post office, or (3) register online at www.sss.gov. If you are a male who is age 26 or older, you must check the Selective Service Web site at www.sss.gov. Select “registration info” and then “Who Must Register?” for more information. Contact the Selective Service at 847-688-6888 only after reviewing the SSS Web site information. You must resolve your registration status before you can receive federal student aid. You are exempt from registering if born before 1960.

Selective Service registration not sent

Selective Service Match Flag = blank (record not sent to Selective Service)

Applicant requested that ED send name to Selective Service for registration, but applicant is not within age range or some information needed to register him is missing


If student is between the ages of 18 and 25, help student make corrections to his SAR/ISIR and submit corrections for processing. If the information needed to register the student is present, student’s name will be sent to Selective Service. Review subsequent SAR/ISIR for updated registration flag.

If student is over the age of 26 and has not yet registered, student must obtain documentation from Selective Service regarding his registration status. Determine if the student is exempt from registering or is eligible for a waiver of the registration requirement. If student did not register by the age of 26 and is not exempt or waived from the registration requirement, student may not be eligible for aid. More information regarding exemptions is available at www.sss.gov (select “registration info” and then “Who Must Register?”) and in the Federal Student Aid Handbook, Volume 1–FSA Handbook: Student Eligibility, chapter 5.

http://www.sss.gov/


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

034 The number you have reported for your parents’ number of family members in college is significantly greater than the number you reported on your FAFSA last year. Review Item 73 and make a correction if necessary.

Cross year edit – parents’ number in college

035 The amount you have reported for your parents’ income is significantly less than the amount you reported on your FAFSA last year. Review Items 83, 86, 87, and 92a through 92i and make the necessary corrections.

Cross year edit – parents’ total income

036 The amount you have reported for your parents’ income taxes paid is significantly greater than the amount you reported on your FAFSA last year. Review Item 84 and make a correction if necessary.

Cross year edit – parents’ taxes paid

037 Certain post-baccalaureate students enrolled in teaching credential programs may be eligible for a Federal Pell Grant.

Graduate student in teaching credential program

038 To resolve your Federal Pell Grant overpayment, your Financial Aid Administrator must contact the school associated with the Pell overpayment.





The financial aid administrator should help the student resolve the overpayment by contacting the school associated with the overpayment.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

039 To resolve your Federal Pell Grant overpayments, your Financial Aid Administrator must access NSLDS for additional Pell overpayment information.






040 Your father’s name as reported on your FAFSA does not match the name in the Social Security Administration’s (SSA) records for his Social Security Number (SSN). Therefore, you must correct his SSN (Item 60) or his name (Items 61 and 62). If his name is correct, you must confirm it by re-entering both his last name and first name initial in Items 61 and 62. If you confirm your father’s name, your father should also contact the SSA to make sure that they correct it in their records. The SSA can be contacted by calling 1-800-772-1213 or by visiting www.socialsecurity.gov.

Father’s SSN Match Flag = 3 (SSN match, no name match) and Mother’s SSN Match Flag does not = 4 (4 = SSN, name, and DOB match)

Father’s SSN match, but no name match

E Resolution required.

Correct the father’s name.

If the father’s name is correct, re-enter the same value to reaffirm that the name is correct. The CPS will process the transaction without the reject.

In addition, if the father’s name is correct, he should contact SSA to update its records. Records that are sent for rematching in future years would continue to receive this match flag until SSA updates its database.





SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

041 To resolve your Federal Pell Grant overpayment, call the U.S. Department of Education at 1-800-621-3115, or write to the U.S. Department of Education, P.O. Box 5609, Greenville, Texas 75403-5609.





Applicant needs to contact the agency listed to resolve the overpayment.














SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

044 As we previously indicated, your father’s name as reported on your FAFSA does not match the name in the Social Security Administration’s (SSA) records for his Social Security Number (SSN). If his SSN (Item 60) or name (Items 61 or 62) are incorrect, you need to make the necessary corrections. If his SSN and name are correct, your father should contact the SSA to make sure that they correct their records. The SSA can be contacted by calling 1-800-772-1213 or by visiting www.socialsecurity.gov.

Father’s SSN Match Flag = 3 (SSN match, no name match) and Mother’s SSN Match Flag does not = 4 (4 = SSN, name, and DOB match)

Reject E verified

Father’s name is still inconsistent with SSA records


A correction was made to reaffirm the father’s name. However, SSA records have not changed.

The CPS will suppress the reject E.

If the father’s name is correct, the father should contact SSA to update its records.



045 You reported a Social Security Number (SSN) for both your father and mother (Items 60 and 64) but also reported that their marital status is not married (Item 58). You should only report the SSN for the parent or stepparent whose financial information is reported on your FAFSA.

Parent’s marital status is not married and SSNs are provided for both the father and the mother


Either correct parent marital status or eliminate the appropriate parent SSN information.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

046 The United States Citizenship and Immigration Services (USCIS) of the Department of Homeland Security did not confirm that you are a noncitizen (Item 14) in an immigration status associated with the requirements of eligibility for the financial assistance for which you have applied. You must submit proof to your school that you are in the required noncitizen immigration status. If you do not submit proof within 30 days, or longer if your school allows, you may not be eligible for federal student aid.

DHS Secondary Match Flag = N (DHS did not confirm eligible noncitizen status)

DHS did not confirm eligibility during secondary confirmation


You must begin paper (G-845) Secondary Confirmation process. See the “Electronic Announcements” section of the IFAP Web site, for the most recent G-845 form and mailing addresses. Also, see Volume 1, Chapter 2: Citizenship, of the Federal Student Aid Handbook at ifap.ed.gov/fsahandbook/attachments/1112FSAHbkVol1Ch2.pdf. If the requested documentation includes an HHS Eligibility or Certification letter and/or the student provides a copy of a T-visa, follow the instructions in G-845 form and mailing addresses and GEN-06-09, ifap.ed.gov/dpcletters/ GEN0609.html, in lieu of completing and submitting the G-845 form.


http://ifap.ed.gov/fsahandbook/attachments/1112FSAHbkVol1Ch2.pdf

http://ifap.ed.gov/fsahandbook/attachments/1112FSAHbkVol1Ch2.pdf



SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

047 This text is for the Web.

There are issues with your FAFSA information that need to be resolved before your eligibility can be determined. Be sure to review the items marked with an h and make any corrections if necessary by clicking ‘Make FAFSA Corrections’ on the ‘My FAFSA’ page.

If this comment code is included in the comment codes listed on the SAR/ISIR, a similar message will print on the first page of the SAR and ISIR.

There are issues with your FAFSA information that need to be resolved before your eligibility can be determined. Read this letter carefully and review any items printed in bold type on this SAR. If you need to make corrections on this SAR, you and your parent must sign the certification at the end before you send it back to us.

Comment text is not printed on the SAR or ISIR from EDExpress

Dependent rejected record general instructions

(Web only)

048 You have reported a Social Security Number for your parent (Item 60 or 64) that is the same as yours. Please review this item.

Parent SSN same as student’s SSN


If documentation confirms that the mother or father does not have an SSN, enter all zeros in appropriate parent’s SSN field and/or confirm by re-entering the zeros.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

049 You must report a valid Social Security Number (SSN), name, and date of birth for your father or mother. If your parent does not have an SSN, you must correct Item 60 and/or 64 to all zeroes.

Match with SSA was not conducted on either parent

Dependent student and one of SSN, Last Name, or Date of Birth is missing for both parents


Correct the SSN, name, and/or Date of Birth for mother and/or father to achieve a full match for at least one parent.

If parents do not have an SSN, provide zeros or confirm by re-entering the zeros.

050 This text is for the Web.

There are issues with your FAFSA information that need to be resolved before your eligibility can be determined. Carefully review any items marked with an h. If you need to make corrections, click ‘Make FAFSA Corrections’ on the ‘My FAFSA’ page.

If this comment code is included in the comment codes listed on the SAR/ISIR, a similar message will print on the first page of the SAR and ISIR.

There are issues with your FAFSA information that need to be resolved before your eligibility can be determined. Read this letter carefully and review any items printed in bold type on this SAR. If you need to make corrections on this SAR, you must sign the certification at the end before you send it back to us.


Independent rejected record general instructions

(Web only)


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

051 Your mother’s name as reported on your FAFSA does not match the name in the Social Security Administration’s (SSA) records for her Social Security Number (SSN). Therefore, you must correct her SSN (Item 64) or her name (Items 65 and 66). If her name is correct, you must confirm it by re-entering both her last name and first name initial in Items 65 and 66. If you confirm your mother’s name, your mother should also contact the SSA to make sure that they correct it in their records. The SSA can be contacted by calling 1-800-772-1213 or by visiting www.socialsecurity.gov.

Mother’s SSN Match Flag = 3 (SSN match, no name match) and Father’s SSN Match Flag does not = 4 (4 = SSN, name, and DOB match)

Mother’s SSN match, but no name match

F Resolution required.

Correct the mother’s name.

If the mother’s name is correct, re-enter the same value to reaffirm that the name is correct. The CPS will process the transaction without the reject.

In addition, if the mother’s name is correct, she should contact SSA to update its records. ISIR records that are sent for rematching in future years would continue to receive this match flag until SSA updates its database.




052 Your answer to Item 23 has changed since you filed your initial FAFSA. Please review this item.

Applicant’s made a correction to his or her drug conviction question responses from “Yes (Part Year)” or “Yes/ Don’t Know” to “No”



SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

053 You left Item 23 blank. Your failure to provide an answer to this question makes you ineligible to receive federal student aid. Either indicate that you have not been convicted of possessing or selling illegal drugs for an offense that occurred while you were receiving federal student aid (such as grants, loans, and work-study), or use the enclosed worksheet to determine your answer to this question. You can answer Item 23 on your SAR or you can correct this item by calling 1-800-4-FED-AID (1-800-433-3243) or by going to www.fafsa.gov. Please understand that a drug conviction does not necessarily disqualify you from receiving student aid.

Applicant left drug conviction question blank


Applicant is not eligible for federal aid if this response is left blank. A correction to provide a response must be made by following the directions provided in the comment text.

054 You reported a ‘2’ in response to Item 23. This indicates that you are ineligible for federal student aid for part of the 2013-2014 school year. The period of ineligibility resulting from your drug-related conviction(s) ends on or after July 1, 2013. You should contact your Financial Aid Administrator after July 1, 2013 so that he or she can determine if you may receive federal funds during the 2013-2014 award year.

Updated year references

Applicant’s response to drug conviction question was 2 “Yes (Part Year)”


Applicant is not eligible for federal aid until ineligibility period expires between July 1, 2013, and June 30, 2014.

055 Your denial of benefits under the Anti-Drug Abuse Act of 1988 has been resolved and processing of your FAFSA may continue.

Released from drug abuse hold file


Note: No match flag values are associated with hold files. Hold files are maintained at the CPS and not at an outside matching agency.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

056 You reported in Item 23 that you have been convicted of an illegal drug offense. Use the enclosed worksheet to determine if your conviction(s) affect your eligibility for federal student aid. If you determine that your conviction(s) do not affect your eligibility for federal student aid, or affect it for only part of the 2013-2014 school year, you must correct Item 23. You can change your answer by using your SAR or you can correct this item or get additional help with this question by calling 1-800-4-FED-AID (1-800-433-3243).

YOU ARE NOT ELIGIBLE FOR FEDERAL STUDENT AID WHILE YOUR ANSWER TO ITEM 23 IS ‘3, YES’ but you may still be eligible to receive state, school, or other non-federal student aid.

Updated year reference

Applicant’s response to drug conviction question was 3 “Yes” on the original paper FAFSA


Applicant is not eligible for federal aid. If response is incorrect, applicant should follow directions in the comment text to make a change. Applicant should not be referred to any other phone numbers at the Department of Education for resolution.

057 Selective Service did not register you because you did not answer “Male” to Item 21. If you are male and want to register, you can do one of the following: (1) answer “Male” to Item 21 and “Register Me” to Item 22 on this SAR, (2) complete a Selective Service registration form at your local post office, or (3) register online at www.sss.gov.

Selective Service Registration Flag = N (registration not complete)

Registration not conducted


Applicant requested that ED send name to Selective Service for registration, but applicant did not confirm that he is male.

058 You reported in Item 23 that you are not eligible for federal student aid as a result of a drug-related conviction, or that you do not know if your conviction(s) affect your eligibility. However, you may still be eligible to receive state, school, or other non-federal student aid. If you have answered this question incorrectly, you must correct Item 23 by using your SAR. You can also correct this item or get help with this question by calling 1-800-4-FED-AID (1-800-433-3243).

Applicant’s response to drug conviction question was 3 “Yes” on transactions other than original paper FAFSA


Applicant is not eligible for federal aid. If response is incorrect, applicant should follow directions in the comment text to make a change. Applicant should not be referred to any other phone numbers at the Department of Education for resolution.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

059 The Social Security Administration could not determine if the Social Security Number reported in Item 8 belongs to you because you did not give us your last name (Item 1) and/or date of birth (Item 9). Review these items and make the necessary corrections.

SSN Match Flag = 8 (record not sent to SSA)

Record could not be sent to SSA because no last name, date of birth, or signature provided

Rejects N, 5, 13, 14 and/ or 16

Resolution required.

Student will still receive reject for missing name, date of birth, and/or signature (not for match flag 8).

Reject N: Either first or last name missing

Reject 13: Both first and last name missing

Reject 5: Date of birth blank

Reject 14 or 16: Student signature missing

Help student make corrections to name, date of birth, or signature. When corrections are submitted, record will be sent to SSA for matching. Review subsequent transactions for updated match flag.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

060 The date of birth you reported on your FAFSA does not match the date of birth in the Social Security Administration’s (SSA) records for your Social Security Number (SSN). Therefore, you must correct your SSN (Item 8) or your date of birth (Item 9). If your date of birth is correct, you must confirm it by re-entering it in Item 9. If you confirm your date of birth, you should also contact the SSA to make sure they correct it in their records. The SSA can be contacted by calling 1-800-772-1213 or by visiting www.socialsecurity.gov.

Match conducted

SSN Match Flag = 2 (SSN and name match, no DOB match)

Student’s Social Security Match, but no Date of Birth Match

R Resolution required.

Confirm (re-enter the same value) or correct the Student’s Date of Birth.

The student must make a correction to provide the correct date of birth.

If the date of birth is correct, the student must correct the date of birth on the SAR/ISIR to the same value reaffirming that it is correct. The CPS will process the transaction without the reject.

In addition, if the student’s date of birth is correct, he or she should contact SSA to update its records. Records sent for rematching in future years would continue to receive this match flag until SSA updates its database.


061 The name you reported on your FAFSA does not match the name in the Social Security Administration’s (SSA) records for your Social Security Number (SSN). Therefore, you must correct your SSN (Item 8) or name (Items 1 and 2). If your name is correct, you must confirm it by re-entering both your first and last names in Items 1 and 2. If you confirm your name, you should also contact the SSA to make sure that they correct it in their records. The SSA can be contacted by calling 1-800-772-1213 or by visiting www.socialsecurity.gov.

SSN Match Flag = 3 (SSN match, no name match)

Student’s SSN match, but no name match

D Resolution required.

Confirm (re-enter the same value) Student’s First and Last Name.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

062 You reported the date of your marital status in Item 17 to be after the date you completed your application. You must report your marital status (Item 16) as of the date you submit your application. Please review Items 16 and 17 and make the necessary corrections.

Student’s marital status date is greater than the date the application was signed


If the Student’s Marital Status Date is after the date the application was originally signed, correct the Student’s Marital Status.

063 As we previously indicated, the date of birth you reported on your FAFSA in Item 9 does not match the date of birth in the Social Security Administration’s (SSA) records for your Social Security Number (SSN). If either your SSN (Item 8) or date of birth is incorrect, you must make a correction. If your SSN and date of birth are correct, you should contact the SSA to make sure that they correct their records. The SSA can be contacted by calling 1-800-772-1213 or by visiting www.socialsecurity.gov. You must provide proof of your date of birth to your financial aid office.

SSN Match Flag = 2 (SSN and name match, no DOB match)

Date of birth still inconsistent with SSA records after student reaffirmed value

Reject R verified


The student made a correction to reaffirm date of birth. However, the SSA records have not changed.

The CPS will suppress the reject R.

In addition, the student must provide date of birth proof to the financial aid administrator.

064 As we previously indicated, the name you reported on your FAFSA in Items 1 and 2 does not match the name in the Social Security Administration’s (SSA) records for your Social Security Number (SSN). If your SSN (Item 8) or name are incorrect, you must make the necessary corrections. If your SSN and name are correct, you should contact the SSA to make sure that they correct their records. The SSA can be contacted by calling 1-800-772-1213 or by visiting www.socialsecurity.gov. You must provide proof of your name to your financial aid office.

SSN Match Flag = 3 (SSN match, no name match)

Name is still inconsistent with SSA records

Reject D verified


The student made a correction to reaffirm name. However, SSA records have not changed.

The CPS will suppress the reject D.

In addition, the student must provide documentation explaining discrepancy in name (for example, marriage certificate, court order, etc.).


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

065 To resolve your FSEOG overpayment, call the U.S. Department of Education at 1-800-621-3115, or write to the U.S. Department of Education, P.O. Box 5609, Greenville, Texas 75403-5609.



Flagged for FSEOG overpayment or fraud










SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed








SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

068 You did not indicate on your FAFSA that you are a U.S. citizen or an eligible noncitizen (Item 14). To receive federal student aid, a student must be – (1) A U.S. citizen (or U.S. National), or

(2) An eligible noncitizen, such as a U.S. permanent resident or a resident of certain Pacific Islands, or as determined by the U.S. Department of Education.

DHS Primary Verification match not conducted

Match Flag = blank (record not sent)

Citizenship status left blank and SSA did not confirm citizenship status or applicant reported he/she is not a citizen or eligible noncitizen


Provide the Citizenship Status with the Alien Registration Number if appropriate.

If student failed to provide an Alien Registration Number (ARN), DHS match was not conducted. However, match was still conducted with SSA to determine citizenship. If SSA Citizenship Flag indicates that the student is a U.S. citizen, record will not be rejected. No resolution is required, but student should correct question 14 to reflect that student is U.S. Citizen/National.

If student is an eligible noncitizen, student should correct citizenship in question 14 to indicate eligible noncitizen status AND should provide an ARN. The student’s record will be sent to the DHS match to determine if the student is an eligible noncitizen. After the corrected SAR is returned, review the DHS match flag to determine student’s citizenship status.

069 Review your date of birth in Item 9 and either confirm the date you have reported by re-entering it or make the necessary correction.

Date of birth year equals 1900 through 1937

A Resolution required.


070 You reported that you will either have a bachelor’s degree by July 1, 2013 (Item 28) or will be working on a degree beyond a bachelor’s degree (Item 47). Graduate students are eligible for most types of federal aid, but generally not the Federal Pell Grant.


Graduate student No resolution required.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

071 As we previously indicated, your mother’s name as reported on your FAFSA does not match the name in the Social Security Administration’s (SSA) records for her Social Security Number (SSN). If her SSN (Item 64) or her name (Items 65 or 66) are incorrect, you need to make the necessary corrections. If her SSN and name are correct, your mother should contact the SSA to make sure that they correct their records. The SSA can be contacted by calling 1-800-772-1213 or by visiting www.socialsecurity.gov.

Parents’ SSN Match conducted

Mother’s SSN Match Flag = 3 (SSN match, no name match) and Father’s SSN Match Flag does not = 4 (4 = SSN, name, and DOB match)

Mother’s name is still inconsistent with SSA records

Reject F verified


A correction was made to reaffirm the mother’s name. However, SSA records have not changed. The CPS will suppress the reject F.

If the mother’s name is correct, she should contact SSA to update its records.



072 Review your date of birth in Item 9 and either confirm the date you have reported by re-entering it or make the necessary correction.

Independent student and date of birth equals 09/01/96 or greater, and date of birth is not equal to or greater than current year

B Resolution required.


073 The number you reported for your number of family members is significantly different than the number you reported on your FAFSA last year. Review Item 93 and make a correction if necessary.

Cross year edit – independent student number of family members


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

074 The number you reported for your number of family members in college is significantly greater than the number you reported on your FAFSA last year. Review Item 94 and make a correction if necessary.

Cross year edit – independent student number in college

075 You should not update your marital status (Item 16) if your marital status changes after you sign and submit your original application. You should only change this item if you made a mistake in reporting your correct marital status on your original application.

Student’s marital status corrected


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

076 Social Security Administration (SSA) records indicate that the Social Security Number (SSN) that was provided in Item 8 belongs to a deceased person. If the SSN is correct, the applicant must contact the SSA at 1-800-772-1213 or www.socialsecurity.gov to resolve this problem. If the SSN is incorrect, the applicant must correct the SSN on a paper SAR or submit a new FAFSA online with the correct SSN.

SSN Match Flag = 5 (SSN, name, and DOB match with date of death)

A successful SSN match with a record that belongs to deceased person


If the student’s SSN is correct, he or she must contact SSA. After SSA corrects its records, the student can re-enter the name or date of birth and submit it as a SAR/ISIR correction so the transaction can go back to SSA for an updated match flag. ISIR records sent for rematching will continue to receive this match flag until SSA updates its database. Review subsequent transactions for updated match flag.


Alternatively, to obtain a SAR with a SAR ID that matches the student’s reported SSN, the applicant should file a new FAFSA under the correct SSN. This FAFSA will be treated as an original application and will be sent through all of the matches as if another FAFSA had never been completed. The SAR ID will be the same as the SSN reported on this application.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

077 To resolve your FSEOG overpayment, your Financial Aid Administrator must contact the school associated with the FSEOG overpayment.






078 The U.S. Dept. of Education granted permission to process your FAFSA after the June 30, 2014 deadline.


Late processing of application allowed

079 To resolve your FSEOG overpayments, your Financial Aid Administrator must access NSLDS for additional FSEOG overpayment information.






080 We recently received an application with an incomplete name from this address. The applicant should review this SAR and provide his or her full name in Items 1 and 2. If the applicant does not have both a first and a last name, draw a line through both the previous answer and the new answer space for the name that should be left blank.

Rejected for incomplete name on application; missing first or last name

N Resolution required.

Correct the Student’s Last Name or First Name or confirm (re-enter the same value) a blank First or Last Name field if the student actually has only one name.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

081 We did not process your correction to change your date of birth (Item 9) to blank. We must have your date of birth to process your record.

Attempting to change Date of Birth to blank

082 We recently received an application with no name from this address. The applicant must provide a full name in Items 1 and 2 on this SAR.

Rejected for no name on application


Provide the following:

Student’s Last Name and/or Student’s First Name or confirm a blank First or Last Name field if the student actually has only one name.

083 You reported that your parent(s) did file or will file a 2012 income tax return (Item 79) but also reported that your father does not have a Social Security Number (Item 60). Please review your answers and make the necessary corrections.


Father’s SSN contains all zeroes and reported as a tax filer

J Resolution required.

Enter the father’s SSN or confirm that the father does not have an SSN by re-entering all zeros.

084 You reported that your parent(s) did file or will file a 2012 income tax return (Item 79) but also reported that your mother does not have a Social Security Number (Item 64). Please review your answers and make the necessary corrections.


Mother’s SSN contains all zeroes and reported as a tax filer

K Resolution required.

Enter the mother’s SSN or confirm that the mother does not have an SSN by re-entering all zeros.

085 We assumed your parent(s) did file or will file a 2012 income tax return (Item 79). Please review this item.


Parents assumed tax filers because AGI is positive or negative value, tax return status is blank, and type of tax return is blank


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

086 To resolve your Perkins overpayment, your Financial Aid Administrator must access NSLDS for additional Perkins overpayment information.



Perkins overpayment



087 We assumed your parent(s) did not file and will not file a 2012 income tax return (Item 79). Please review this item.


Parents assumed non-tax filers because AGI is blank or zero, tax return status is blank, and type of tax return is blank

088 We did not process your correction to change your citizenship to blank (Item 14). We must have your citizenship status to process your record.

Attempting to change Citizenship to blank

089 Review your parents’ marital status in Item 58. If your parents are not married, provide only the income for the parent who supports you.

Parents are reported as unmarried but two parental incomes are reported


Review and correct Parent’s Marital Status or at least one of the following fields: Father’s/ Stepfather’s Income From Work or Mother’s/ Stepmother’s Income From Work.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

090 To resolve your Perkins overpayment, your Financial Aid Administrator must contact the school associated with the Perkins overpayment.



Flagged for Perkins overpayment



091 It appears you reported the same income amount for more than one of your parent(s)’ income questions. Please review these items.

Multiple Parents’ income fields have same values; AGI and untaxed income fields

092 It appears you reported the same income amount for more than one of your income questions. Please review these items.

Independent Student income fields equal

093 It appears you reported the same income amount for more than one of your income questions. Please review these items.

Dependent Student income fields equal

094 It appears you reported the same adjusted gross income amount for you and your parent(s). Review Items 35 and 83 and make any necessary corrections.

Student AGI equal to Parent AGI


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

095 We assumed you did file or will file a 2012 income tax return (Item 32).


Student assumed tax filer because AGI is positive or negative value, tax return status is blank, and type of tax return is blank

096 You have reported the same amount for your father’s and your mother’s income (Items 86 and 87). Please review these items.

Parents Income fields are equal

097 We assumed you did not file and will not file a 2012 income tax return (Item 32). Please review this item.


Student assumed non-tax filer because AGI is blank or zero, tax return status is blank, and type of tax return is blank

098 You have reported the same amount for your income and your spouse’s income (Items 38 and 39). Please review these items.

Student’s income equal to Spouse’s income

099 Review your marital status in Item 16. You should report income for a spouse only if you were married and not separated as of the date you signed and submitted your FAFSA. Please note: if you were separated or divorced as of the date you signed your FAFSA, we will need only your income, even if a joint tax return was filed.

Independent student reported as unmarried but two incomes are reported


Review and correct Student’s Marital Status or at least one of the following fields:

Student’s Income Earned From Work or Spouse’s Income Earned From Work.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

100 To resolve your Perkins overpayment, call the U.S. Department of Education at 1-800-621-3115, or write to the U.S. Department of Education, P.O. Box 5609, Greenville, Texas 75403-5609.



















SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

103 One or more of the schools you listed on your FAFSA are not in our file of eligible schools. To receive federal student aid, you must attend a school that participates in the federal student aid programs. Please review Item 101 and make changes as necessary.

Not all schools found on eligible school file

104 Either you did not list any schools on your FAFSA or the schools you listed are not in our file of eligible schools. To receive federal student aid, you must attend a school that participates in the federal student aid programs. Please review Item 101 and make changes as necessary. To verify your school code, go to www.fafsa.gov and click the “School Code Search” link.

No schools found on eligible school file

105 The United States Citizenship and Immigration Services (USCIS) of the Department of Homeland Security has not yet confirmed that you are a noncitizen (Item 14) in an immigration status associated with the requirements of eligibility for the financial assistance for which you have applied. You must submit proof to your school that you are a noncitizen in the required immigration status. If you do not submit proof to your school within 30 days, or longer if your school allows, you may not be eligible for federal student aid.

DHS Secondary Confirmation Match Flag = C (DHS has not yet confirmed eligible noncitizen status)

DHS secondary confirmation match is in continuance


School must wait ten business days for another system-generated ISIR with updated Secondary Confirmation match flag before beginning mandatory paper (G-845) Secondary Confirmation process. See the “Electronic Announcements” section of the IFAP Web site, located at ifap.ed.gov for the most recent G-845 form and mailing addresses. If the requested documentation includes an HHS Eligibility or Certification letter and/or the student provides a copy of a T-visa, follow the instructions in GEN-06-09, ifap.ed.gov/dpcletters/GEN0609.html, in lieu of completing and submitting the G-845 form.

http://www.ifap.ed.gov/ifap



SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

106 You have corrected information on your SAR more than 10 times. Before sending in another correction, contact your financial aid office for assistance.

More than 10 transactions

107 To resolve your Perkins overpayments, your Financial Aid Administrator must access NSLDS for additional Perkins overpayment information.






108 Your parent did not sign your FAFSA or the SAR corrections you submitted. If your parent is not able to sign, see your school’s financial aid office or High School Counselor.

Missing parent signature on FAFSA or SAR




SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

109 The United States Citizenship and Immigration Services (USCIS) of the Department of Homeland Security did not have enough information to confirm that you are a noncitizen (Item 14) in an immigration status associated with the requirements of eligibility for the financial assistance for which you have applied. You must contact the financial aid office at your school to find out what information is needed. If you do not submit the required information within 30 days, or longer if your school allows, you may not be eligible for federal student aid.

DHS Secondary Confirmation Match Flag = X (DHS did not have enough information to confirm eligible noncitizen status)

DHS did not confirm eligibility because additional information is needed


You must begin paper (G-845) Secondary Confirmation process. See the “Electronic Announcements” section of the IFAP Web site, for the most recent G-845 form and mailing addresses. Also, see Volume 1, Chapter 2: Citizenship, of the Federal Student Aid Handbook at ifap.ed.gov/fsahandbook/attachments/1112FSAHbkVol1Ch2.pdf If the requested documentation includes an HHS Eligibility or Certification letter and/or the student provides a copy of a T-visa, follow the instructions in G-845 form and mailing addresses and GEN-06-09, ifap.ed.gov/dpcletters/ GEN0609.html, in lieu of completing and submitting the G-845 form.

110 We have not received the signature page from your FAFSA on the Web application or correction. You must sign and return this SAR before we can determine your eligibility for federal student aid.

Missing student signature on Web application



111 The amount you reported for your parents’ income tax is equal to or greater than the amount you reported for their adjusted gross income. Review Items 83 and 84 and make the necessary corrections.

Parents’ Taxes Paid is greater than zero and equal to or greater than AGI


Correct Parents’ Taxes Paid or AGI.


http://www.ifap.ed.gov/fsahandbook/attachments/1112FSAHbkVol1Ch2.pdf

http://www.ifap.ed.gov/fsahandbook/attachments/1112FSAHbkVol1Ch2.pdf



SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

112 This text is for the Web and if this comment code is included in the comment codes listed on the SAR/ISIR, a similar message will print on the first page of the SAR and ISIR.

Based on the information we have on record for you, your EFC is <EFC>. You are not eligible for a Federal Pell Grant but you may be eligible for other aid. Your school will use your EFC to determine your financial aid eligibility for other federal grants, loans, and work-study, and possible funding from your state and school.


Pell ineligible EFC

(Web only)

113 We assumed the value for number in college (Item 73) based on your parents’ marital status and number of family members. Your parents should not be included in the number in college. Please review this item.

Parents’ number in college assumed to be less than the number reported

114 The amount you reported for your income taxes is equal to or greater than the amount you reported for your adjusted gross income. Review Items 35 and 36 and make the necessary corrections.

Independent Student and Taxes Paid is greater than zero and equal to or greater than AGI


Correct Student’s Taxes Paid or AGI.

115 The National Student Loan Data System (NSLDS) indicates that one or more of your federal student loans have been discharged. If you have questions, contact the financial aid office at your school.


Loan is discharged due to disability


See the Federal Student Aid Handbook, Volume 1–FSA Handbook: Student Eligibility, chapter 3.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

116 The National Student Loan Data System (NSLDS) indicates you have one or more student loans in an active bankruptcy status. Before you can receive additional federal student loans, you must contact the financial aid office at your school.


Loan is in Bankruptcy


See the Federal Student Aid Handbook, Volume 1–FSA Handbook: Student Eligibility, chapter 3.

117 We assumed certain information to calculate your eligibility for federal student aid. We printed the assumption we made and the word “assumed” in the “You told us” space for each of these items. If our assumptions are correct, do not change them. If they are incorrect, you need to make the necessary corrections.

Assumption made for one or more fields

118 Be sure to review the items printed in darker print on this SAR and make any corrections if necessary.

Highlight on for one or more fields

119 You corrected the date of your marital status to be after the date you submitted your application. Your marital status (Item 16) and date (Item 17) should only be changed if they were reported incorrectly on the date the FAFSA was originally submitted, or if a Financial Aid Administrator has instructed you to update this information. Review Items 16 and 17 and make the necessary corrections or contact your Financial Aid Administrator for assistance.

Marital Status Date is between the application date and transaction date

21 Resolution Required

Student should correct Student’s Marital Status and Marital Status Date and make the necessary corrections or have the financial aid administrator set reject override 21.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

120 Your citizenship status (Item 14) has been confirmed by the Department of Homeland Security and you meet the citizenship requirements for federal student aid.

DHS Secondary Confirmation match conducted

Match Flag = Y (citizenship status confirmed by DHS)

DHS confirmed student is an eligible noncitizen

121 It appears you have reported the same amount for your parents’ cash, savings, and checking accounts and your parents’ real estate/investment net worth. Review Items 88 and 89 and make the necessary corrections.

Parent asset fields equal

122 It appears you have reported the same amount for your cash, savings, and checking accounts and your real estate/investment net worth. Review Items 40 and 41 and make the necessary corrections.

Dependent student asset fields equal

123 It appears you have reported the same amount for your cash, savings, and checking accounts and your real estate/investment net worth. Review Items 40 and 41 and make the necessary corrections.

Independent student asset fields equal

124 Contact the following agency(ies) regarding your defaulted or fraudulent federal student loan(s):

Contacts for defaulted student loans


Student needs to contact the agency to resolved defaulted or fraudulent loan.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

125 To be considered for a Federal Pell Grant, your financial aid office must receive your SAR by September 27, 2014, or your last day of enrollment, whichever comes first. Other student aid programs have different deadlines.

Updated deadline date

The transaction process date is between 6/30/2014 and 8/20/2014

126 You reported that your parents will not file an income tax return, but the amount you reported for your parents’ income appears to be over the minimum amount required to file a tax return. Please review Items 79, 86, and 87 and make the necessary corrections.

Dependent student indicated that your parent is not a tax filer but appears to meet income requirement for tax filing


Review and correct or confirm (re-enter the same value) the appropriate set of data from the following:

Student’s Tax Return Completed status or student’s income

or

Parents’ Tax Return Completed status or income for the father and mother.

127 It may be too late to submit any corrections to your SAR. To be considered for a Federal Pell Grant, you must submit a complete, correct SAR to your financial aid office no later than September 27, 2014, or your last day of enrollment, whichever comes first. If it is later than September 27, 2014, you must contact your financial aid office for assistance.


The transaction process date is between 8/21/2014 to end of processing year and was not rejected (or a reject 19 only)

128 It may be too late for you to make corrections or give us any more information for this year. We must have your corrected SAR no later than September 23, 2014. If it is later than September 23, 2014, you must contact your financial aid office for assistance.


The transaction process date is between 8/21/2014 to end of processing year and was rejected for a reason other than 19


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

129 You must provide your parent(s)’ income information in Items 83 through 87 and 92a through 92i.

Dependent student and incomplete income information provided


Provide Parents’ Taxed and Untaxed Income.

130 You must provide your income information in Items 35 through 39 and 44a through 44j.

Independent student and incomplete income information provided


Provide Student and Spouse (if married) Taxed and Untaxed Income.

131 You reported that you will not file an income tax return, but the amount you reported for your (and your spouse’s) income appears to be over the minimum amount required to file a tax return. Please review Items 32, 38, and 39 and make the necessary corrections.

Independent student indicated that he or she is not a tax filer but appears to meet income requirement for tax filing


Review and correct the appropriate set of data from the following:

Student’s Tax Return Completed status or income for the student and spouse.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

132 The National Student Loan Data System (NSLDS) indicates that you are in DEFAULT on one or more federal student loans. You are not eligible to receive any federal student aid until you resolve any loan default(s).


NSLDS Match Flag = 2 (default)

Applicant has at least one loan in default


Comment 124 will be printed in conjunction with comment 132 and will include up to three agencies that are holding defaulted loans. (Comments 135, 136, 181 to 239, 251 to 253, 303 to 307, or 309 to 314)

Depending on loan status, student needs to contact GA, DLS, or EDR and make satisfactory arrangements to repay loan. If student has repaid the loan, obtain documentation that the loan identified as being in default is the loan that was paid off by the student.

See the list of loan status codes and information on student eligibility in Appendix C of The ISIR Guide or in the Processing Codes section of the Electronic Data Exchange Technical Reference.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

133 The National Student Loan Data System (NSLDS) indicates that you have received one or more overpayments of federal student aid funds. You are required by law to repay any federal student aid funds received for which you were not entitled. You are not eligible to receive any federal student aid until you resolve your overpayment(s).



Applicant has at least one overpayment or is in a fraud status and as a result, the applicant has at least one Overpayment Flag set to: Y = Overpayment or F = Fraud

NSLDS Overpayment


Access NSLDS to obtain additional overpayment information.

When there is an overpayment comment 133 will be provided with an additional comment(s) based on the type of overpayment.

Federal Supplemental Educational Opportunity Grant (FSEOG) Overpayment: 010, 065, 066, 067, 077, or 079.

Pell Grant Overpayment: 020, 038, 039, 041, 042, or 043

Perkins Loan Overpayment: 086, 090, 100, 101, 102, or 107.

Academic Competitiveness Grant (ACG) Overpayment: 240 to 244 or 246.

National Science & Mathematics Access to Retain Talent Grant (National SMART) Overpayment: 261 to 266.

Teacher Education Assistance for College and Higher Education (TEACH) Grant Overpayment: 289 to 294

Iraq and Afghanistan Service Grant Overpayment: 309 to 314

134 The National Student Loan Data System (NSLDS) indicates that you are in DEFAULT on one or more federal student loans and that you received one or more overpayments of federal student aid funds. You are not eligible to receive any federal student aid until these items have been resolved.

NSLDS Defaulted loan and Overpayment


See resolution for comments 132 and 133.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

135 To resolve your defaulted or fraudulent federal student loan(s), contact the lender associated with the loan.

Defaulted loan lender contact


A defaulted or fraudulent loan for this student is held by the lender of this loan.

136 To resolve your defaulted or fraudulent federal student loan(s), contact the school associated with the loan.

Defaulted loan school contact


A defaulted or fraudulent loan for this student is held by the school who issued this loan.

137

One or more of your student loans or TEACH Grant service obligation(s) has been discharged for total and permanent disability. You must meet additional eligibility requirements to receive further student loans or TEACH Grants. Contact the financial aid office at your school for further assistance.

Loan data provider contact DDP and not GA contact code 582

The student is not eligible for Title IV loans or TEACH Grants until he/she takes appropriate action as explained below. To be eligible for new loans and TEACH Grants, he/she must provide: (1) a statement from his/her physician certifying that the student is able to engage in substantial gainful activity; and (2) a statement, signed by the student, acknowledging that the new loan or TEACH Grant service obligation cannot be discharged in the future on the basis of any impairment present when the new loan or TEACH Grant is made, unless that impairment causes a substantial deterioration in the student’s health.

The school must provide the Total and Permanent Disability (TPD) Servicer with copies of all documentation that the student provides. Contact information for the TPD Servicer is provided below.

Unless the student’s prior total and permanent disability discharge was granted based on a determination from the


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

137 (cont.)

U. S. Department of Veterans Affairs (VA) that he/she was unemployable due to a service-connected disability (as indicated by an NSLDS Loan Status Code of “VA”), the school must also contact the TPD Servicer to identify and address the following possible conditions:

If less than three (3) years have passed since the date of discharge, the student must:

1. Contact the TPD Servicer and explain that he/she wishes to regain Title IV loan or Teach Grant eligibility, and

2. Resume payment on the previously discharged loan(s) or acknowledge that he/she is once again subject to the terms of the TEACH Grant agreement to serve.

The school must contact the TPD Servicer to confirm the reinstatement of the student’s obligation to repay the discharged loan and, for TEACH Grants, the student’s acknowledgement of again being subject to the terms of the TEACH Grant agreement to serve.

If the student’s loan(s) or TEACH Grant service obligation is in a conditional discharge status, based on a discharge application received before July 1, 2010, different requirements apply. In this status, a conditional discharge flag will appear on the student’s NSLDS loan history. If so, please contact the TPD


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

137 (cont.)

Servicer for further assistance.

Student and schools may contact the TPD Servicer at 1-888-303-7818, e-mail at [email protected] or write at Nelnet Total & Permanent Disability Servicer, P.O. Box 173904, Denver, CO 80217-3904.

138 The National Student Loan Data System (NSLDS) found your reported Social Security Number (SSN) (Item 8) on their database, but your name (Items 1 and 2) and date of birth (Item 9) did not match. Therefore, this SAR does not contain the financial aid history that is associated with your reported SSN.

NSLDS Results Flag = 2 (SSN match, no name or date of birth match, no data sent)

NSLDS Match Flag = 7 (match but no data provided)

SSN matched, but name and DOB did not match


Determine if the NSLDS record is that of the applicant by contacting the NSLDS Customer Service Staff directly at 800-999-8219.

The NSLDS Customer Service Staff will help determine whether that SSN belongs to the student being assisted. Reviewing the student records with NSLDS Customer Service Staff will reveal which data provider supplied the conflicting SSN information. This provider can then be contacted directly to resolve the discrepancy. There is no need to wait for NSLDS to be updated before continuing the award process.

If the record belongs to the student, verify they are in good standing by using the information in NSLDS to determine eligibility for Federal Student Aid student aid funds.

139 To resolve issues with your federal student loan(s), call the Perkins Loans Customer Service Center at 1-800-826-4470, or write to them at Perkins Loans Customer Service, P.O. Box 7060, Utica, NY 13504-7060.

Loan data provider contact RDS Perkins



SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

140 According to Social Security Administration (SSA) records, the Social Security Number (SSN) that was provided in Item 8 belongs to a deceased person. If the SSN in Item 8 is correct, the applicant must contact the SSA at 1-800-772-1213 or www.socialsecurity.gov to resolve this problem. If the SSN is incorrect, the applicant must correct the SSN on a paper SAR or submit a new FAFSA online with the correct SSN.


System generated

Successful SSN match with a record that belongs to deceased person






SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

141 You changed either your response to citizenship (Item 14) or the Alien Registration Number (Item 15) that was verified with the Department of Homeland Security. Therefore, you must submit proof of your citizenship status to your financial aid office.


Match Flag = blank (record not sent to DHS)

Applicant changed from eligible noncitizen to citizen or changed Alien Registration Number


Determine why student changed citizenship status and resolve any conflicting information. Student may need to submit proof of citizenship depending on reason for change.

142 The United States Citizenship and Immigration Services (USCIS) of the Department of Homeland Security could not confirm that you are a noncitizen (Item 14) in an immigration status associated with the requirements of eligibility for the financial assistance for which you have applied because there is an issue with your Alien Registration Number (Item 15). You must submit proof to your school that you are a noncitizen in the required immigration status. If you do not submit proof within 30 days, or longer if your school allows, you may not be eligible for federal student aid.


Match Flag = blank (record not sent to DHS)

Student did not provide Alien Registration Number or provided invalid Alien Registration Number


If student failed to provide Alien Registration Number (ARN) or provided an invalid ARN, do not perform Secondary Confirmation. Instead, help student add or correct his or her ARN or make other corrections to the SAR/ISIR and resubmit for processing. If student provides adequate information to conduct match, record will be sent back to DHS for matching. Review match flags on subsequent transactions for updated match flag.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

143 Your citizenship status has been confirmed by the Department of Homeland Security and you meet the citizenship requirements for federal student aid.

DHS Match Flag = Y (citizenship confirmed)

Applicant’s noncitizen eligibility confirmed by DHS


Do not initiate Secondary Confirmation unless there is conflicting information about the student’s status or you have reason to believe the status reported is incorrect.

The SAR/ISIR will serve as the necessary documentation to prove the student’s eligible noncitizen status.

144 The United States Citizenship and Immigration Service (USCIS) of the Department of Homeland Security (DHS) has not yet confirmed your status as a noncitizen (Item 14) in an immigration status associated with the requirements of eligibility for the financial assistance for which you have applied. DHS will continue to check its records and we will notify you once we receive more information from DHS.

DHS Match Flag = N (citizenship not confirmed)

DHS did not confirm applicant’s noncitizen eligibility


See match flag for Secondary Confirmation.

DHS will conduct the Secondary Confirmation process based on applicant identifier and Primary Verification information only. The next steps will depend on results from Secondary Confirmation match results.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

145 According to Social Security Administration (SSA) records, the Social Security Number (SSN) that was reported in Item 8 belongs to a deceased person. If the SSN in Item 8 is correct, the applicant must contact the SSA at 1-800-772-1213 or www.socialsecurity.gov to resolve this problem. If the SSN is incorrect, the applicant must correct the SSN on a paper SAR or submit a new FAFSA online with the correct SSN.


A successful SSN match with a record that belongs to deceased person






SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

146 The Social Security Administration did not confirm that you are a U.S. citizen. Please provide your financial aid office with documentation of your U.S. citizenship (such as your U.S. Passport, Certificate of Naturalization or Birth Certificate). If the documents support your status as a U.S. citizen, the financial aid office at your school will make a copy of your documentation and can continue to process your federal student aid. If you are an eligible noncitizen, you or your school must submit a correction to Item 14 to indicate that you are an eligible noncitizen and also provide your Alien Registration Number in Item 15. You and your school will receive a new SAR/ISIR within three processing days with results from the Department of Homeland Security about your eligible noncitizen status.

SSA citizenship status match conducted

SSA Match Flag = B, C, D, E, F, or *

(B = Legal alien, eligible to work C = Legal alien, not eligible to work D = Other E = Alien, student restricted, work authorized F = Conditionally legalized alien * = Foreign

Blank = Domestic born [U.S. citizen])

SSA did not confirm U.S. citizenship status


If student is a U.S. citizen, he or she should provide birth certificate, passport, or other documents that definitively prove citizenship. Voter registration cards are not adequate proof of citizenship since many localities do not require proof of citizenship.

If student is an eligible noncitizen, he or she should correct question 14 to indicate that the student is an eligible noncitizen and the Alien Registration Number (ARN) in question 15.

If student provided citizenship and Alien Registration Number on the FAFSA or SAR, determine if his or her record was sent to DHS for matching. If it was not, verify that the ARN submitted is correct and that the First and Last Name, Date of Birth, and applicant’s signature are on the record. If student was successfully matched with DHS as an eligible noncitizen, comment 146 is suppressed and no further resolution is necessary.

Note: A match flag of * (asterisk) generally indicates that the student was born in a foreign country to American parents that were stationed in another country (for example, military, State Department, or Foreign Service). These students generally have birth certificates indicating that they are U.S. citizens who were born abroad. The SSA will not automatically update this flag and the financial aid administrator should document the information in the student’s record.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed


148 We assumed the number in college should be one (Item 73). Your parents should not be included in the number in college.

Parents’ number in college assumed to be less than the number reported


Based on the information we have on record for you, your EFC is <EFC>. You may be eligible to receive a Federal Pell Grant and other federal student aid. Your school will use your EFC to determine your financial aid eligibility for federal grants, loans, and work-study, and possible funding from your state and school.


Pell eligible EFC

(Web only)

150 You must provide asset information for you and your parent(s). Review Items 40 through 42 and Items 88 through 90 and make the necessary corrections.

Dependent student did not meet Simplified Needs Test criteria and supplemental asset data left blank


If the student is dependent and filed using FAFSA on the Web, the response can be blank only if the parents’ total asset net worth did not exceed the asset threshold amount determined by CPS as of the day the FAFSA was completed, or the student meets the simplified needs test or qualifies for an automatic zero Expected Family Contribution (EFC)

Provide the following: Parents’ Cash, Savings, and Checking; Parents’ Real Estate/Investment Net Worth and Parents’ Business/Investment Farm Net Worth.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

151 You must provide your asset information. Review Items 40 through 42 and make the necessary corrections.

Independent student did not meet Simplified Needs Test criteria, SNT not met and supple-mental asset data left blank


If the student is independent and filing using FAFSA on the Web, the response can be blank only if the student indicates his or her (and spouse’s) current asset net worth did not exceed the asset threshold amount determined by CPS as of the day the FAFSA was completed, or the student meets the simplified needs test or qualifies for an automatic zero Expected Family Contribution (EFC)

Provide the following:

Student’s Cash, Savings and Checking; Student’s Real Estate/Investment Net Worth and Student’s Business/Investment Farm Net Worth.

152 The amount you reported for your income tax is equal to or greater than the amount you reported for your adjusted gross income. Review Items 35 and 36 and make the necessary corrections.

Dependent Student and Taxes Paid is greater than zero and equal to or greater than AGI

3


Correct or confirm (re-enter the same value) Student’s Taxes Paid or AGI.

153 The amount you reported for your income tax appears to be over the allowable amount based on what you reported for your adjusted gross income. Review Items 35 and 36 and make the necessary corrections.

Dependent student’s Taxes Paid is greater than zero, and greater than or equal to a fixed percentage of the AGI, but not equal to or greater than AGI

G Resolution required.



SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

154 The amount you reported for your parents’ income tax appears to be over the allowable amount based on what you reported for their adjusted gross income. Review Items 83 and 84 and make the necessary corrections.

Parent’s Taxes Paid is greater than zero and greater than or equal to a fixed percentage of the AGI, but not equal to or greater than AGI

C Resolution required.


155 The amount you reported for your income tax appears to be over the allowable amount based on what you reported for your adjusted gross income. Review Items 35 and 36 and make the necessary corrections.

Student’s Taxes Paid is greater than zero and greater than or equal to a fixed percentage of the AGI, but not equal to or greater than AGI

C Resolution required.



SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

156 If your parents have now completed their 2012 tax return, you should correct your information to reflect the income and tax information reported on their tax return. You may either make corrections to your information online at www.fafsa.gov, or by using this SAR. If you make corrections online at www.fafsa.gov and your parents filed a federal tax return with the IRS, they may be eligible to use the IRS Data Retrieval Tool, which is the best and easiest way to provide accurate tax information. With just a few simple steps, your parents can view information from their IRS tax return and transfer that information directly into your FAFSA. If your parents have not yet completed their tax return, you must correct this SAR to reflect the income and tax information reported on their tax return once it is filed.


Parents’ tax filing status is will file

157 If you have now completed your 2012 tax return, you should correct your information to reflect the income and tax information reported on your tax return. You may either make corrections to your information online at www.fafsa.gov, or by using this SAR. If you make corrections online at www.fafsa.gov and you filed a federal tax return with the IRS, you may be eligible to use the IRS Data Retrieval Tool, which is the best and easiest way to provide accurate tax information. With just a few simple steps, you can view information from your IRS tax return and transfer that information directly into your FAFSA. If you have not yet completed your tax return, you must correct this SAR to reflect the income and tax information reported on your tax return once it is filed.


Student’s tax filing status is will file


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed


You are not eligible to receive a Federal Pell Grant because you reported that you have a bachelor’s degree (Item 28) or you are working on a degree beyond a bachelor’s degree (Item 47). Your Financial Aid Administrator will determine what types of federal student aid you are eligible to receive.


Pell eligible EFC, graduate student

(Web only)


You MAY not be eligible to receive a Federal Pell Grant because you reported that you have a bachelor’s degree (Item 28) or you are working on a degree beyond a bachelor’s degree (Item 47). Your Financial Aid Administrator will determine what types of federal student aid you are eligible to receive.


Pell eligible EFC, graduate student in teaching credential program

(Web only)

160 You either did not sign your FAFSA or FAFSA correction, or the date that you provided indicates that you completed your FAFSA prior to January 1, 2013, or later than the date the FAFSA was received. You must sign and return this SAR before we can determine your eligibility for federal student aid.


Missing student signature on paper FAFSA or SAR




SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

161 We could not match your information with the Department of Veterans Affairs. Please provide your full name (Items 1 and 2) and/or date of birth (Item 9) for us to complete the match with the Department of Veterans Affairs.

VA Match Flag = 8 (record not sent to VA)

VA Match not completed

Record could not be sent to VA because of last name, date of birth, and/or signature provided


Help student make corrections to name, date of birth, or signature if necessary so that the student’s record can be sent to VA for matching. Review subsequent transactions for updated match flag.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

162 The Department of Veterans Affairs did not confirm that you are or will be a qualifying veteran for purposes of receiving federal student aid for the 2013-2014 school year. If you believe you are or will be a qualifying veteran, contact your financial aid office and provide a copy of your DD214 (military separation form). If you are currently serving on active duty in the U.S. Armed Forces for purposes other than training, change your answer to Item 49 from “Yes” to “No” and answer “Yes” to Item 48. If you are not and will not be a veteran, you must change the answer to Item 49 from “Yes” to “No” and provide parental information, including the signature of at least one of your parents.


VA Match Flag = 2 (record found on VA database but not a qualifying Veteran)

Independent and record is not independent for a reason other than veteran status


If the student believes the match results are in error, he or she should contact a regional VA office to have VA records updated. The CPS will continue to send any correction transactions to VA for rematching and an updated match flag.

While the student is resolving the discrepancy with the VA, the financial aid administrator can collect documentation from the applicant that clearly demonstrates that he or she is a veteran of the U.S. Armed Forces. The student can provide the DD214 form showing that “Character of Service” is other than “dishonorable.” However, until the information is corrected in the VA database, the match results will not change. If the documentation confirms that the student is a veteran, Title IV aid can then be disbursed to the student.

If the match results are correct and the student is not a qualifying veteran, then he or she must submit a correction to change the answer to Item 55 from “Yes” to “No” and provide parental information, including the signature of at least one parent.

163 This SAR reflects your Financial Aid Administrator's determination of your status as a homeless youth.

Homeless Youth Determination set


A financial aid administrator has reviewed the applicant’s record and confirmed that he or she is a homeless youth.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

164 You reported that your parent(s) did file or will file a 2012 income tax return (Item 79) but also reported that your father and your mother do not have a Social Security Number (Items 60 and 64). Please review your answers and make the necessary corrections.


Comment is printed instead of printing comments 83 and 84 together

J and K Resolution required.




168 You must provide answers for your parents’ marital status and number of family members in Items 58 and 72.

Dependent student and marital status and number of family members are blank


Review and correct Parents’ Marital Status and Parents’ Number of Family Members.

169 You must provide answers for your marital status and number of family members in Items 16 and 93.

Independent student and marital status and number of family members are blank


Review and correct Student’s Marital Status and Student’s Number of Family Members.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed


Your FAFSA has been selected for a review process called verification. Your school has the authority to request copies of certain financial documents from you and your parent(s).


Selected for verification, dependent

(Web only)


Your FAFSA has been selected for a review process called verification. Your school has the authority to request copies of certain financial documents from you (and your spouse).


Selected for verification, independent

(Web only)

172 This SAR was produced because we processed a change to your information based on information reported to us by another agency or as a result of a processing system change. Review your SAR to see what effect, if any, this change has had on your application, and call 1-800-4-FED-AID (1-800-433-3243) if you have any questions.

Updated comment

System generated


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed



VA Match Flag = 3 (record not found on VA database)

Independent, record not found on VA database, and record is not independent for a reason other than veteran status


If the student believes the match results are in error, he or she can provide the DD214 form (military separation form). However, it is likely that the military branch or Department of Defense has not sent the data to the VA. The student should contact a regional VA office to have VA records updated. Until the information is corrected in the VA database, the match results will not change.

While the student is resolving the discrepancy with the VA, the financial aid administrator can collect from the applicant the DD214 that clearly demonstrates that he or she is a veteran of the U.S. Armed Forces. If the documentation confirms that the student is a veteran, Title IV aid can then be disbursed to him or her.

If the match results are correct and the student is not a qualifying veteran, he or she must submit a correction to change the answer to Item 55 from “Yes” to “No” and provide parental information, including the signature of at least one parent.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

174 We did not process your request to add another school code to your application because the Financial Aid Administrator at your previous school updated your application based on professional judgment. Please contact the financial aid office at your new school for assistance.

Attempting to add a school to an FAA adjusted transaction

175 You reported that you are married and have dependents other than a spouse, but you also reported that your number of family members is 2. These answers are inconsistent. Review Items 16, 51, and 93 and make the necessary corrections.

Dependency, marital status, and number of family members inconsistent

176 You reported that you do not have children or other legal dependents, but you also reported that your number of family members is greater than 2. These answers are inconsistent. Review Items 50, 51, and 93 and make the necessary corrections.

Dependency, legal dependents and number of family members inconsistent

177 You reported that you are not married and do not have children or other legal dependents, but you also reported that your number of family members is 2. These answers are inconsistent. Review Items 16, 50, 51, and 93 and make the necessary corrections.

Dependency, legal dependents, number of family members, and marital status inconsistent

178 Review the number of family members you have reported in Item 72 and either confirm your answer by re-entering it or make the necessary correction.

Dependent with large number of family members

W Resolution required.

Confirm (re-enter the same value) or correct Parents’ Number of Family Members.

179 Review the number of family members you have reported in Item 93 and either confirm your answer by re-entering it or make the necessary correction.

Independent with large number of family members

W Resolution required.

Confirm (re-enter the same value) or correct Student’s Number of Family Members.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed



VA Match Flag = 4 (record found on database but applicant is on active duty)

Record is not independent for a reason other than veteran status


Student must provide documentation to the school that shows upcoming release orders from a military branch, typically in memorandum format or letter, stating intent to release. There is no requirement to reconfirm actual separation during the award year.

181 Default Resolution Group, 1-800-621-3115 (GA 611) NSLDS defaulted loan contact


A defaulted loan for this student is held by this agency.














SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed







188 United Student Aid Funds, Alaska Claims Assistance, 1-800-331-2314 (GA 702)

NSLDS defaulted loan contact



189 Student Loan Guarantee Foundation of Arkansas, Collections, 1-800-622-3446 (GA 705)




190 Educational Credit Management Corporation – CA, 1-888-221-3262 or 651-221-0566 (GA 706)

Updated phone numbers




191 College Assist, 1-800-333-2858 or 1-800-727-9834 (GA 708)




192 Educational Credit Management Corporation, 651-221-0566 or 1-888-221-3262 (GA 709)








SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed




195 Florida Department of Education, Defaulted Borrowers Assistance, 1-800-366-3475 (GA 712)




196 Georgia Student Finance Commission, Collections, 1-800-505-4732 (GA 713)

Updated first phone number and deleted second phone number




197 Northwest Education Loan Association, Collection Office, 1-888-272-5543 or 1-800-331-2314 (GA 716)




198 Illinois Student Assistance Commission, Claims and Collections, 1-800-899-4722 or 847-948-8500 (GA 717)

Updated first phone number




199 United Student Aid Funds, Indiana Claims Assistance, 1-800-331-2314 (GA 718)




200 Iowa College Student Aid Commission, Claims Dept., 1-800-383-4222 or 1-888-272-5543 (GA 719)

Updated second phone number




201 Kentucky Higher Education Assistance Authority, Collections Office, 1-800-928-8926 or 1-800-928-4241 (GA 721)





SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

202 Louisiana Office of Student Financial Assistance, 1-800-256-6882 or 1-800-259-5626 (GA 722)




203 Finance Authority of Maine, 1-800-331-2314 or 1-888-272-5543 (GA 723)

Updated agency name and second phone number




204 United Student Aid Funds, Maryland Claims Assistance, 1-800-331-2314 (GA 724)




205 American Student Assistance, Collections, 1-800-999-9080 (GA 725)

Deleted second phone number




206 Michigan Higher Education Assistance Authority, Collections, 1-800-642-5626 (GA 726)




207 Great Lakes Educational Loan Services, Inc., 1-800-354-6980 (GA 727)







209 Missouri Department of Higher Education, 1-800-473-6757 (GA 729)

Deleted first phone number





SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

210 Montana Guaranteed Student Loan Program, Claims Management, 1-800-537-7508 or 1-800-322-3086 (GA 730)





211 National Student Loan Program (NSLP), Collection Office, 1-800-735-8778, Ext. 6380 (GA 731)




212 United Student Aid Funds, Nevada Claims Assistance, 1-800-331-2314 (GA 732)




213 New Hampshire Higher Educ. Assistance Foundation, Claims Section, 603-225-6612, Ext. 6004 (GA 733)





214 New Jersey Higher Education Student Assistance Authority, 1-800-792-8670 (GA 734)




215 New Mexico Student Loan Guarantee Corporation, 505-761-2366 or 505-345-8821, Ext. 1361 (GA 735)





216 New York State Higher Education Services Corporation, Office of Default, 1-866-944-4372 or 1-888-697-4372 (GA 736)





217 North Carolina State Education Assistance Authority, Collections, 1-800-544-1644 (GA 737)





SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

218 North Dakota Post Claims Collections, 701-328-5707 or 701-328-5669 (GA 738)








220 Oklahoma College Assistance Program, Collection Office, 1-800-522-8022 or 1-800-442-8642 (GA 740)





221 Oregon Student Assistance Commission, Collection Office, 541-984-2450 or 1-888-323-3262 (GA 741)




222 Pennsylvania Higher Education Assistance Agency, 1-800-233-0751 or 1-800-692-7392 (GA 742)




223 Rhode Island Higher Education Assistance Authority, 401-736-1120 (GA 744)

Deleted first phone number and updated second phone number




224 South Carolina State Education Assistance Authority, Collections, 803-798-7960 (GA 745)

Deleted first phone number and updated second phone number





SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

225 Great Lakes Higher Education Corporation, 1-800-354-6980 or 1-800-472-3398 (GA 746)





226 Tennessee Student Assistance Corporation, BTI Services, 1-800-342-1663 or 615-741-1346 (GA 747)





227 Texas Guaranteed Student Loan Corp., Collections, 1-800-845-6267 (GA 748)

Updated first phone number and deleted second phone number




228 Utah Higher Education Assistance Authority, 801-366-8411 or 1-800-418-8757 (GA 749)





229 Vermont Student Assistance Corp., 1-800-642-3177 (GA 750)

Deleted second phone number







231 Northwest Education Loan Association, Collection Office, 1-888-272-5543 (GA 753)

Updated phone number




232 Great Lakes Higher Education Corporation, 1-800-354-6980 or 1-888-686-6919 (GA 755)






SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed







235 United Student Aid Funds, Post Claims Assistance, 1-800-331-2314 (GA 800)




236 United Student Aid Funds, Arizona Claims Assistance, 1-800-331-2314 (GA 804)




237 United Student Aid Funds, Hawaii Claims Assistance, 1-800-331-2314 (GA 815)




238 Educational Credit Management Corporation, 651-325-3333 or 1-888-221-3262 (GA 927)





239 Educational Credit Management Corporation, 1-888-221-3262 (GA 951)






SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

240 To resolve your Academic Competitiveness Grant (ACG) overpayment, your Financial Aid Administrator must contact the school associated with the ACG overpayment.



Flagged for ACG overpayment



241 To resolve your Academic Competitiveness Grant (ACG) overpayment, call the U.S. Department of Education at 1-800-621-3115 or write to the U.S. Department of Education, P.O. Box 5609, Greenville, Texas 75403-5609.













SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed







244 To resolve your Academic Competitiveness Grant (ACG) overpayments, your Financial Aid Administrator must access NSLDS for additional ACG overpayment information.






245 Direct Loan Servicing Center, Utica, NY, 1-800-848-0979 (00100)

Direct loan servicing center information

246 To resolve your Academic Competitiveness Grant (ACG) overpayment, your Financial Aid Administrator must access NSLDS for additional ACG overpayment information.







SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

247 The National Student Loan Data System (NSLDS) indicates that one or more of your federal student loans have been discharged by the Department of Veterans Affairs. If you have questions, contact the financial aid office at your school.

Loan discharged by the Veterans Administration

248 Direct Loan Servicing Center (ACS), Utica, NY, 1-800-848-0979 (GA 583)

Direct loan servicing center information



251 Call the U.S. Department of Education at 1-800-621-3115, or write to the U.S. Department of Education, P.O. Box 5609, Greenville, Texas 75403-5609. (EDR 04)

ED Regional office contact information












SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

254 Based upon data provided by the National Student Loan Data System (NSLDS) and your grade level, we have determined that you may have received subsidized student loans in excess of loan limits established for the federal loan programs. You should review the information on Page 4.

NSLDS

Subsidized or Combined Loan Total has exceeded loan limits based on NSLDS Loan Limit Flags or Postscreening reason codes of 09 or 10


In general, students who borrow in excess of aggregate loan limits are ineligible to receive further Title IV assistance. However, if the school determines that the student inadvertently borrowed in excess of the limits, the student may regain eligibility either by repaying the amount borrowed in excess of the aggregate limits or by making satisfactory (to the loan holder) repayment arrangements for the excess amount.

See Section 668.35(b) (1) of the Federal Student Financial Aid Regulations and Dear Colleague Letter GEN 96-13, Q&A #17 for additional information.

255 Based upon data provided by the National Student Loan Data System (NSLDS) and your grade level, we have determined that you may have received a total amount of undergraduate student loans that exceeds the loan limits established for the federal loan programs. You should review the information on Page 4.

NSLDS

Subsidized or Combined Loan Total has exceeded undergraduate loan limits based on NSLDS Loan Limit Flags or Postscreening reason code 09 or 10


See Action Needed for comment 254.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

256 Based upon data provided by the National Student Loan Data System (NSLDS) and your grade level, we have determined that you may have received a total amount of student loans (graduate and undergraduate) that exceeds the loan limits established for the federal loan programs. You should review the information on Page 4.

NSLDS

Subsidized or Combined Loan Total has exceeded graduate loan limits based on NSLDS Loan Limit Flags or Postscreening reason code 09 or 10



257 Based upon data provided by the National Student Loan Data System (NSLDS) and your grade level, we have determined that you may have received a total amount of student loans (graduate and undergraduate) that is close to or equal to the loan limits established for the federal loan programs. Therefore, your eligibility for additional student loans may be limited. You should review the information on Page 4.

NSLDS Subsidized or Combined Loan Total is close to exceeding the loan limits based on NSLDS Loan Limit Flags

Graduate close to loan limit


On the CPS 01 transaction, loan limits may already be exceeded. However, the CPS would not detect it until NSLDS postscreening occurs. Schools must check aggregate amounts to determine if loans to the student are close to, equal to, or exceeding loan limits. If they are exceeding, see action needed for comment 254. If loan limits are close to or equal to the limits, caution should be used to ensure that the student does not exceed his or her loan limits with subsequent Title IV loans.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

258 Based upon data provided by the National Student Loan Data System (NSLDS) and your grade level, we have determined that you may have received a total amount of undergraduate student loans that is close to or equal to the loan limits established for the federal loan programs. Therefore, your eligibility for additional student loans may be limited. You should review the information on Page 4.

NSLDS Subsidized or Combined Loan Total is close to exceeding the loan limits based on NSLDS Loan Limit Flags

Undergraduate close to loan limit



259 The National Student Loan Data System (NSLDS) indicates you have one or more student loans in a status associated with identity theft. Before you can receive additional federal student loans, you must contact the financial aid office at your school.

NSLDS Identity Theft loan


SAR comment code 259 was originally developed in 2008-2009 to be added to the record of an innocent student who was the victim of identity theft. However, we subsequently determined the comment was unnecessary as the student would simply have his or her identifiers removed from the fraudulently received loan. This comment will never appear on a student's record.


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

260 Based upon data provided by the National Student Loan Data System (NSLDS), your grade level, and your dependency status, we have determined that you may have received student loans in excess of loan limits established for the federal loan programs. You should review the information on Page 4.

NSLDS

Subsidized or Combined Loan Total has exceeded loan limits based on NSLDS Loan Limit Flags or Postscreening reason code 09 or 10



261 To resolve your National SMART Grant overpayment, your Financial Aid Administrator must contact the school associated with the National SMART Grant overpayment.



Flagged for National SMART Grant overpayment




SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

262 To resolve your National SMART Grant overpayment, call the U.S. Department of Education at 1-800-621-3115, or write to the U.S. Department of Education, P.O. Box 5609, Greenville, Texas 75403-5609.













SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed







265 To resolve your National SMART Grant overpayments, your Financial Aid Administrator must access NSLDS for additional National SMART Grant overpayment information.







SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

266 To resolve your National SMART Grant overpayment, your Financial Aid Administrator must access NSLDS for additional National SMART Grant overpayment information.







268 You reported that you completed a rigorous high school program or state scholars program that may qualify you for an Academic Competitiveness Grant (ACG).

Comment will not appear for 2013-2014

ACG – High School program

269 You reported that you completed two or more Advanced Placement (AP) courses or two or more International Baccalaureate (IB) courses and achieved a score on the exams that may qualify you for an Academic Competitiveness Grant (ACG).


ACG – AP/IB courses

270 You reported that you took and passed a series of high school courses that may qualify you for an Academic Competitiveness Grant (ACG).


ACG – Rigorous high school courses

271 The Financial Aid Administrator at your college will determine if you are eligible for an ACG. All follow-up information about your grant eligibility will come from the financial aid office at your college.


ACG – Referral to FAA


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

272 The National Student Loan Data System (NSLDS) indicates that you have one or more student loans that may have been obtained fraudulently. You are not eligible to receive any federal student aid until this issue is resolved.

NSLDS Fraud Loan


SAR comment code 272 will appear only if a guaranty agency, a Perkins school, or the Department of Education has determined that a loan was obtained fraudulently. In these rare cases, the loan is listed under the perpetrator's identifiers and thus he or she cannot get further Title IV federal student aid. If a school receives a student record with comment code 272, the school should refer the applicant to the loan holder for resolution.

273 You changed the answer to your parents’ income, income taxes paid, or exemptions. If your parents have completed their 2012 tax return, you should also change the answer to the tax return question (Item 79) to indicate their tax return has been completed. You may make corrections online at www.fafsa.gov and if your parents filed a federal tax return with the IRS, they may be eligible to use the IRS Data Retrieval Tool, which is the best and easiest way to provide accurate tax information. With just a few simple steps, your parents can view information from their IRS tax return and transfer that information directly into your FAFSA.


Parent corrections to tax fields with estimated tax return


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

274 You changed the answer to your income, income taxes paid, or exemptions. If you have completed your 2012 tax return, you should also change the answer to the tax return question (Item 32) to indicate your tax return has been completed. You may make corrections online at www.fafsa.gov and if you filed a federal tax return with the IRS, you may be eligible to use the IRS Data Retrieval Tool, which is the best and easiest way to provide accurate tax information. With just a few simple steps, you can view information from your IRS tax return and transfer that information directly into your FAFSA.


Student corrections to tax fields with estimated tax return

275 You were issued a Federal Student Aid PIN to sign your 2013-2014 FAFSA. Your information has been verified and your PIN has been confirmed. Do not share your PIN with anyone. Remember that your PIN stays the same from year to year and that you can use your PIN to make corrections, add school codes, view your federal student loan history, and electronically sign your Federal Direct Loan Master Promissory Note. For more information on the PIN, visit www.pin.ed.gov.


Student Temporary PIN confirmed

276 You were issued a Federal Student Aid PIN to sign your 2013-2014 FAFSA. We were unable to verify your name, date of birth, and/or Social Security Number (SSN) with the Social Security Administration (SSA). Therefore, your PIN has been deactivated. Follow the instructions below to resolve your problem with the SSA.


Student Temporary PIN not confirmed



SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

277 Your father was issued a Federal Student Aid PIN to sign your 2013-2014 FAFSA. His information has been verified and his PIN has been confirmed. Your father should not share his PIN with anyone. The PIN stays the same from year to year and can be used to make corrections, add school codes, and view your federal student loan history. For more information on the PIN, your father can visit www.pin.ed.gov.


Father Temporary PIN confirmed

278 Your father was issued a Federal Student Aid PIN to sign your 2013-2014 FAFSA. We were unable to verify his name, date of birth, and/or Social Security Number (SSN) with the Social Security Administration (SSA). Therefore, his PIN has been deactivated. Follow the instructions below to resolve your father’s problem with the SSA.


Father Temporary PIN not confirmed

279 Your mother was issued a Federal Student Aid PIN to sign your 2013-2014 FAFSA. Her information has been verified and her PIN has been confirmed. Your mother should not share her PIN with anyone. The PIN stays the same from year to year and can be used to make corrections, add school codes, and view your federal student loan history. For more information on the PIN, your mother can visit www.pin.ed.gov.


Mother Temporary PIN confirmed

280 Your mother was issued a Federal Student Aid PIN to sign your 2013-2014 FAFSA. We were unable to verify her name, date of birth, and/or Social Security Number (SSN) with the Social Security Administration (SSA). Therefore, her PIN has been deactivated. Follow the instructions below to resolve your mother’s problem with the SSA.


Mother Temporary PIN not confirmed


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed


282 To resolve issues with your federal student loan(s), call the Nelnet Total and Permanent Disability Servicer at 1-888-303-7818 from 8:00 A.M to 8:00 P.M (ET), Monday through Friday. Hearing impaired individuals with access to a TDD (Telecommunications Device for the Deaf) can call 1-888-636-6401, or write to: Nelnet, U.S. Department of Education, P.O. Box 173904, Denver, CO 80217. Nelnet can also be contacted by e-mail at [email protected].

Loan data provider contact DDP and GA contact code 582


284 This SAR reflects your Financial Aid Administrator’s decision to consider you an independent student.

Dependency Override set

285 Since you filed your FAFSA over the telephone, you must sign and return this SAR before we can determine your eligibility for federal student aid.

Missing student signature on FAFSA on the Phone record


Signature correction must be made on a printed SAR certification page and resubmitted to the FAFSA Processor or corrected electronically.

286 We assumed the total amount for your parents’ income deductions to be zero in order to calculate your eligibility for federal student aid because the amounts you reported in Items 91a through 91f are high, based on the other income amounts you reported. If our assumption is correct, no further action is required. If it is incorrect, you need to confirm your answers or make the necessary corrections to Items 91a through 91f.

Parents Additional Financial Information Total assumed


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

287 We assumed the total amount for your income deductions to be zero in order to calculate your eligibility for federal student aid because the amounts you reported in Items 43a through 43f are high, based on the other income amounts you reported. If our assumption is correct, no further action is required. If it is incorrect, you need to confirm your answers or make the necessary corrections to Items 43a through 43f.

Dependent student’s Additional Financial Information Total assumed

288 We assumed the total amount for your income deductions to be zero in order to calculate your eligibility for federal student aid because the amounts you reported in Items 43a through 43f are high, based on the other income amounts you reported. If our assumption is correct, no further action is required. If it is incorrect, you need to confirm your answers or make the necessary corrections to Items 43a through 43f.

Independent student’s Additional Financial Information Total assumed

289 To resolve your TEACH Grant overpayment, your Financial Aid Administrator must contact the school associated with the TEACH Grant overpayment.



Flagged for TEACH Grant overpayment




SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

290 To resolve your TEACH Grant overpayment, call the U.S. Department of Education at 1-800-621-3115, or write to the U.S. Department of Education, P.O. Box 5609, Greenville, Texas 75403-5609.



















SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

293 To resolve your TEACH Grant overpayment, your Financial Aid Administrator must access NSLDS for additional TEACH Grant overpayment information.






294 To resolve your TEACH Grant overpayment, your Financial Aid Administrator must access NSLDS for additional TEACH Grant overpayment information.






295 You did not report information about your parents on your FAFSA and will see comments and highlighted fields on your SAR regarding the missing information. You indicated you have a circumstance that requires you to follow-up with your Financial Aid Administrator before your eligibility for federal student aid can be determined.

Special Circumstances Flag = 1 (dependent record submitted without parental data)


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

296 This SAR reflects the parental data that you have added to your FAFSA.

Parental data corrected on Special Circumstances record

297 You indicated that you were homeless or at risk of being homeless. Since you are over the age of 21, only your Financial Aid Administrator can make the determination that you meet the homeless conditions, so we have assumed the answer to Item 55, 56, or 57 to be ‘No’. You should contact your financial aid office for assistance in determining your status.

Assumption for Homeless Youth questions


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

298 This SAR has been produced due to a possible change in your eligibility for federal student aid. Please contact your financial aid office for more information.

DOD Match Flag = Y (applicant’s SSN included in the DOD Match file

Student’s SSN and first two letters of the last name match a record on the DOD Match file confirming the student had a parent who died as the result of military service in Iraq or Afghanistan after September 11, 2001

DOD Match system generated transaction

If the student was 24 years of age or older on the date of the parent’s death, confirm that the student was enrolled in college. The parent’s date of death is included in the ISIR file or can be viewed in the EDExpress FAA Information View and on FAA Access to CPS Online. The date of death is not printed on the ISIR and the match flag and date of death do not print on the SAR. The Date of Death does print on the FAA version of the e-SAR. If the student is Pell-eligible and has a Pell-eligible EFC, he or she should receive a 0 (zero) EFC Pell Grant award. If the student’s EFC is not Pell-eligible, he or she should receive the equivalent to a 0 (zero) EFC Pell Grant award in the Iraq and Afghanistan Service Grant.

299 You did not report information about your parents on your FAFSA because you indicated you are homeless or at risk of homelessness. You will see comments and highlighted fields on your SAR regarding the missing information. You are required to follow-up with your Financial Aid Administrator before your eligibility for federal student aid can be determined.

Special Circumstances Flag = 3


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

300 You did not report information about your parents on your FAFSA because you indicated you are only applying for an unsubsidized student loan. You will see comments and highlighted fields on your SAR regarding the missing information and are required to follow-up with your Financial Aid Administrator before your eligibility for federal student aid can be determined.

Special Circumstances Flag = 4 (dependent record unsubsidized loans only)

301 You did not report whether or not you will have your first bachelor’s degree by July 1, 2013 (Item 28). You need to provide an answer for this item.


Blank Bachelor’s Degree

302 You have changed your marital status in Item 16 or your marital status date in Item 17 to a new response. The answer to these questions must be your marital status as of the date you signed and submitted your FAFSA. If your answers do not reflect your status as of the date you submitted your FAFSA, you need to make a correction to one or both of these items.

Student’s Marital Status or Marital Status Date corrected

303 Department of Education/ACS, 1-800-835-4611 (GA 577)

NSLDS defaulted loan contacts



304 Department of Education/SALLIE MAE, 1-800-722-1300 (GA 578)




305 Department of Education/FEDLOAN Servicing (PHEAA), 1-800-699-2908 (GA 579)





SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

306 Department of Education/NELNET, 1-888-486-4722 (GA 580)




307 Department of Education/GREAT LAKES, 1-800-236-4300 (GA 581)




308 You have changed your parents’ marital status in Item 58 or your parents’ marital status date in Item 59 to a new response. The answer to these questions must be your parents’ marital status as of the date you signed and submitted your FAFSA. Unless a Financial Aid Administrator has instructed you to update this information, you need to make a correction to one or both of these items if your answers do not reflect your parents’ status as of the date you submitted your FAFSA.

Parents’ Marital Status or Marital Status Date corrected

309 To resolve your Iraq/Afghanistan Service Grant overpayment, your Financial Aid Administrator must contact the school associated with the Iraq/Afghanistan Service Grant overpayment.



Flagged for Iraq and Afghanistan Service Grant overpayment




SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

310 To resolve your Iraq/Afghanistan Service Grant overpayment, call the U.S. Department of Education at 1-800-621-3115, or write to the U.S. Department of Education, P.O. Box 5609, Greenville, Texas 75403-5609.













SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed







313 To resolve your Iraq/Afghanistan Service Grant overpayments, your Financial Aid Administrator must access NSLDS for Iraq/Afghanistan Service Grant overpayment information.







SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

314 To resolve your Iraq/Afghanistan Service Grant overpayment, your Financial Aid Administrator must access NSLDS for additional Iraq/Afghanistan Service Grant overpayment information.






315 Missouri Higher Education Loan Authority (MOHELA), 1-888-866-4352 (GA 500)




316 ESA/Edfinancial, 1-855-337-6884 (GA 501)




317 Utah Higher Education Assistance Authority (Cornerstone), 1-800-663-1662 (GA 502)




318 Aspire Resources, 1-855-475-3335 (GA 503) Added comment




319 Granite State Management and Resources, 1-888-556-0022 (GA 504)

Added comment





SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

320 EdManage, 1-855-479-0490 (GA 505) Added comment




321 Oklahoma Student Loan Authority, 1-866-264-9762 (GA 506)

Added comment




322 to 344 Comments not used

323 KSA Servicing, 1-877-292-4825 (GA 508) Added comment


Resolution required. A defaulted loan for this student is held by this agency.


326 Vermont Student Assistance Corporation, 1-888-932-5626 (GA 511)

Added comment


Resolution required. A defaulted loan for this student is held by this agency.


345 There is a limit to the total amount of Federal Pell Grants that a student may receive, which is the equivalent of 6 school years. Based on information reported to the National Student Loan Data System (NSLDS) by the schools you have attended, you have received Pell Grants for the equivalent of between four and five school years.

Revised comment

Applicant’s Pell Lifetime Eligibility Used amount is high


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

346 There is a limit to the total amount of Federal Pell Grants that a student may receive, which is the equivalent of 6 school years. Based on information reported to the National Student Loan Data System (NSLDS) by the schools you have attended, you have received a total amount of Pell Grants that is close to the cumulative total you can receive. Therefore, your eligibility for additional Pell Grants may be limited.

Revised comment

Applicant’s Pell Lifetime Eligibility Used amount is close to the Pell limit


Check NSLDS records to verify that applicant is not exceeding lifetime eligibility.

347 There is a limit to the total amount of Federal Pell Grants that a student may receive, which is the equivalent of 6 school years. Based on information reported to the National Student Loan Data System (NSLDS) by the schools you have attended, you may have received a total amount of Pell Grants that equals or exceeds the cumulative total you can receive.

Revised comment

Applicant’s Pell Lifetime Eligibility Used amount is met or has exceeded the limit


Check NSLDS records to verify that applicant is not exceeding lifetime eligibility.

348 Based on information from NSLDS, the total amount of Federal Pell Grants that you have received has changed, which may affect your eligibility for additional Pell Grants.

Applicant’s Pell Lifetime Eligibility Used amount is no longer close to or exceeding the limit

349 There is a limit to the total amount of Federal Pell Grants that a student may receive, which is the equivalent of 6 school years. Once a total amount of Pell Grant eligibility has been received, a student can no longer receive Pell Grant aid.

Added comment

Pell eligible and Pell Lifetime Eligibility Used is 0%


SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

350 There is a limit to the total amount of Federal Pell Grants that a student may receive, which is the equivalent of 6 school years. Based on information reported to the National Student Loan Data System (NSLDS) by the schools you have attended, you have received Pell Grants for the equivalent of up to one half of a school year.

Added comment

Pell eligible and Pell Lifetime Eligibility Used is greater than 0% and less than or equal to 50%

351 There is a limit to the total amount of Federal Pell Grants that a student may receive, which is the equivalent of 6 school years. Based on information reported to the National Student Loan Data System (NSLDS) by the schools you have attended, you have received Pell Grants for the equivalent of between one-half and one school year.

Added comment


352 There is a limit to the total amount of Federal Pell Grants that a student may receive, which is the equivalent of 6 school years. Based on information reported to the National Student Loan Data System (NSLDS) by the schools you have attended, you have received Pell Grants for the equivalent of between one and one and one-half school years.

Added comment


353 There is a limit to the total amount of Federal Pell Grants that a student may receive, which is the equivalent of 6 school years. Based on information reported to the National Student Loan Data System (NSLDS) by the schools you have attended, you have received Pell Grants for the equivalent of between one and one-half and two school years.

Added comment



SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

354 There is a limit to the total amount of Federal Pell Grants that a student may receive, which is the equivalent of 6 school years. Based on information reported to the National Student Loan Data System (NSLDS) by the schools you have attended, you have received Pell Grants for the equivalent of between two and two and one-half school years.

Added comment


355 There is a limit to the total amount of Federal Pell Grants that a student may receive, which is the equivalent of 6 school years. Based on information reported to the National Student Loan Data System (NSLDS) by the schools you have attended, you have received Pell Grants for the equivalent of between two and one-half and three school years.

Added comment


356 There is a limit to the total amount of Federal Pell Grants that a student may receive, which is the equivalent of 6 school years. Based on information reported to the National Student Loan Data System (NSLDS) by the schools you have attended, you have received Pell Grants for the equivalent of between three and three and one-half school years.

Added comment


357 There is a limit to the total amount of Federal Pell Grants that a student may receive, which is the equivalent of 6 school years. Based on information reported to the National Student Loan Data System (NSLDS) by the schools you have attended, you have received Pell Grants for the equivalent of between three and one-half and four school years.

Added comment




SAR Comment


Notes/ Changes

Reason for Comment

C Code

Reject Code

Action Needed

359 Your school may request additional information to determine your eligibility for federal student aid.

Added comment

Revised the Action Needed column

NSLDS Unusual Enrollment History Flag equals 2

Y Resolution may be required.

Look for an upcoming Dear Colleague Letter posting on the Information for Financial Aid Professionals (IFAP) Web site that will provide updated resolution guidance. Perform customized verification of the applicant’s record.

Action depends on whether the school is a new school for the applicant for 2013-2014. If not a new school, school not required to take any action but may look into the applicant’s enrollment history. If new school for applicant, school must take certain actions that will be developed by FSA and OPE policy.

360 Based upon data provided by the National Student Loan Data System (NSLDS), your school will request additional information to determine your eligibility for federal student aid and before disbursement of funds can be made.

Added comment

Revised the Action Needed column

NSLDS Unusual Enrollment History Flag equals 3


Look for an upcoming Dear Colleague Letter posting on the Information for Financial Aid Professionals (IFAP) Web site that will provide updated resolution guidance. Perform customized verification of the applicant’s record.

School must take certain enhanced actions that will be developed by FSA and OPE policy.


Database Match Results

How to Use the Charts The information in this section is provided for you to use as a quick reference. The Federal Student Aid Handbook, Volume 1–FSA Handbook: Student Eligibility contains detailed information about student eligibility and the action needed to resolve discrepancies found in the data matches. The handbook can be found on the IFAP Web site, located at ifap.ed.gov.

A flag of C is an indicator that institutional resolution is required. The C Flag is printed on the SAR next to the EFC if any of the conditions described in the chart are met.

Note: Some of these data match results generate rejected records. Comments associated with a match results reject do not generate SAR C codes. However, a SAR C code could be generated by another match result comment and is printed on a SAR rejected for other than match results reasons. An EFC is not provided on any rejected records.

An asterisk (*) in the Match Flag column of this chart indicates that a match flag value is not generated for cases that could not be sent to the matching agency.

Selective Service Match SAR C Code/

Reject Match Flag Comment Number

Y = Registration status confirmed No comment

T = Temporarily exempt 026

C code N = Registration status not confirmed 030

Blank = Record not sent to Selective Service No comment

Selective Service Registration SAR C Code/


Y = Registration completed 031

T = Temporarily exempt 028

C code Blank = Record not sent to Selective Service.* 033

C code N = Registration not completed 057

http://www.ifap.ed.gov/ifap/


DHS Primary Verification Match SAR C Code/


Y = Citizenship confirmed 143

C code N = Citizenship not confirmed 144

Reject 17 Blank = Record not sent to DHS * 068

C code Blank = Record not sent to DHS * 141 or 142

DHS Secondary Confirmation Match CPS waits for three compute days to receive results from Secondary Confirmation instead of processing ISIRs with results from Primary Verification only.

After three days, if DHS does not return a response, CPS generates the ISIR, which shows that Secondary Confirmation is still in progress.

SAR C Code/ Reject

Match Flag Comment Number

P = Pending results of secondary confirmation No comment

Y = Citizenship status confirmed by DHS 120

C code C = DHS has not yet confirmed eligible noncitizen status 105

C code N = DHS did not confirm eligible noncitizen status 046

C code X = DHS did not have enough information to confirm eligible noncitizen status

109

Notes about the paper (G-845) Secondary Confirmation Process • Before sending copies of documentation to DHS, the school should confirm that the student

identifiers on the ISIR are accurate, especially Alien Registration Number and Date of Birth. If application data is incorrect, submit corrections to the CPS instead of paper Secondary Confirmation.

• Be sure to enter the student’s 15 digit DHS Verification Number on the G-845 form. It can be found in the Match Flags section of the ISIR.

• In all cases, if a school does not receive a response to a paper Secondary Confirmation request within 15 days, student is eligible for aid if documentation appears to support claim of eligible noncitizen.


Social Security Administration Citizenship Status Match SAR C Code/


A = U.S. citizen

Blank = Domestic born (U.S. citizen)

No comment

C code B = Legal alien, eligible to work

C = Legal alien, not eligible to work

D = Other

E = Alien, student restricted, work authorized

F = Conditionally legalized alien

* = Foreign

146

Student’s Social Security Number Match SAR C Code/


Reject 18 1 = No match on SSN

6 = SSN not verified

024

Reject R 2 = SSN and name match, no match on DOB 060

C code 2 = SSN and name match, no match on DOB 063

Reject D 3 = SSN match, no match on name 061

C code 3 = SSN match, no match on name 064

4 = SSN, name, and DOB match 013, 076, or no comment

Reject 8 5 = SSN, name, DOB match with date of death 076, 140, 145

8 = Record not sent to SSA 059 or no comment


Parent’s Social Security Number Match SAR C Code/


N/A 048

N/A 045

Reject 6 Father = 1 (no match on SSN) or 6 (SSN not verified)

Mother does not = 4 (4 = SSN, Name, and DOB match)

011

Reject 7 Mother = 1 (no match on SSN) or 6 (SSN not verified)

Father does not = 4 (4 = SSN, Name, and DOB match)

012

Father = 1 (no match on SSN) or 6 (SSN not verified)

Mother = 4 (SSN, Name, and DOB match)

014

Mother = 1 (no match on SSN) or 6 (SSN not verified)

Father = 4 (SSN, Name, and DOB match)

015

Reject S Father = 2 (SSN and name match no match on DOB)


016

Father = 2 (SSN and name match no match on DOB)


007

Reject T Mother = 2 (SSN and name match no match on DOB)


017

Mother = 2 (SSN and name match no match on DOB)


008

Father = 2 (SSN and name match no match on DOB)


019

Mother = 2 (SSN and name match no match on DOB)


021

Father = 3 (SSN match, no match on name)


022

Reject E Father = 3 (SSN match, no match on name)

Mother does not = 4 (SSN, Name, and DOB match)

040

Father = 3 (SSN match, no match on name)

Mother does not = 4 (SSN, Name, and DOB match)

044

Mother = 3 (SSN match, no match on name)


025


Parent’s Social Security Number Match (continued)

SAR C Code/ Reject

Match Flag Comment Number

Reject F Mother = 3 (SSN match, no match on name)

Father does not = 4 (SSN, Name, and DOB match)

051

Mother = 3 (SSN match, no match on name)

Father does not = 4 (SSN, Name, and DOB match)

071

Father = 5 (SSN, name, DOB match with date of death) 027

Mother = 5 (SSN, name, DOB match with date of death) 029

Reject 9 049

Department of Veterans Affairs Veteran Status Match SAR C Code/


1 = Veteran status confirmed No comment

C code 2 = Record found on VA database but not a qualifying Veteran

162

2 = Record found on VA database but not a qualifying Veteran

No comment

C code 3 = Record not found on VA database 173

3 = Record not found on VA database No comment

C code 4 = Record found on VA database but applicant on active duty

180

4 = Record found on VA database but applicant on active duty

No comment

8 = Record not sent to VA 161

Blank = No match No comment


National Student Loan Data System (NSLDS) Match SAR C Code/

Reject Results Flag Match Flag Comment Number

1 = Match found; NSLDS data sent

1 = Student not in default or overpayment

No comment

3 = Student’s SSN not found; No NSLDS data to send


No comment

4 = Match found; No relevant NSLDS data to send


No comment

C code 2 = Incomplete match; no NSLDS data sent

7 = Match, but no data provided

138

C code 1 = Match found; NSLDS data sent

2 = Default 132, 124

Up to three names and phone numbers of Guaranty Agencies, Direct Loan Servicers or ED Regions that are holding the student’s defaulted loan(s) will be listed (comments 135, 136, 181 to 239, 251 to 253, 303 to 307, 315 to 319, or 321, 323, or 326).


3 = Overpayment Comment 133 will be provided with one of the following comments:

010, 020, 038, 039, 041, 042, 043, 065, 066, 067, 077, 079, 086, 090, 100, 101, 102, 107, 240 to 244, 246, 261 to 266, 289 to 294, or 309 to 314.


4 = Default and overpayment

134


115, 116

8 = Record not sent to NSLDS

No comment

C code 254 to 256, 260, 346, 347


National Student Loan Data System (NSLDS) Unusual Enrollment History Flag New for 2013-2014: This new flag identifies an applicant whose record contains unusual enrollment information.

SAR C Code/ Reject

Unusual Enrollment History Flag Comment Number

1 = For Federal Student Aid Use Only No comment

C code 2 = Unusual enrollment history 2 (Possible enrollment pattern problem, school may need to resolve)

359

C code 3 = Unusual enrollment history 3 (Questionable enrollment pattern, school must resolve)

360

N = Enrollment pattern not unusual (No school action required)

No comment

Blank = Record not sent for match No comment

Department of Defense (DOD) Match SAR C Code/


Blank = No match No comment

Y = Applicant’s SSN included in the DOD Match file

298

Drug Abuse Hold SAR C Code/ Reject Comment Number

Reject 19 009

055

Note: No match flag values are associated with hold files. Hold files are maintained at the CPS and not at an outside matching agency.


Drug Conviction Question 23 SAR C Code/ Reject Comment Number

C code 053

C code 054

C code 056

C code 058

052

Verification Selection Edits If the applicant’s record is selected for verification, variable text is printed on the first page of the SAR. If the school requests it, the student must complete the verification process and submit all necessary documentation within the necessary timeframe. More information can be found in The Application and Verification Guide, which is part of the Federal Student Aid Handbook and is available on the IFAP Web site, located at ifap.ed.gov.


February 2013 (2013-2014) 2013-2014 SAR Comment Codes and Text Appendix A-1

Appendix

Overview This Appendix is updated each time change pages are issued for the SAR Comment Codes and Text. The tracking log is added for each set of change pages as they are issued, providing you with a cumulative list of the updates made to the document.

New text additions in SAR Comment Codes and Text change pages are identified with bold italic text. Text deletions are marked with strikethrough.

When the SAR Comment Codes and Text is modified through a change page release, the footer is updated to reflect the month that the change pages were issued. For example, if a change is made to page 105 in December 2011, the footer will show “December 2011.” Use the corresponding tracking log to identify that specific month’s change page posting.

February 2013 (2013-2014) 2013-2014 SAR Comment Codes and Text Appendix A-2

2013-2014 SAR Comment Codes and Text

February 2013 Change Page Tracking Log


i i Updated the Table of Contents to include Appendix

4 4 Updated the NSLDS bullet to remove an extra “and” and add a missing comma

109 to 113 109 to 113

Added Comments 323 and 326; placement of other comments shifted through the remainder of the section

Revised the Action Needed column for comments 359 and 360 to add a note to look for an upcoming Dear Colleague Letter posting on the IFAP Web site and remove the “Perform customized verification of the applicant’s record.” statement

119 119 Updated the National Student Loan Data System (NSLDS) Match table to include comments 320, 323, and 326 for NSLDS Results Flag = 1 and Match Flag = 2

A-1 to A-2 Added the Appendix

2013-2014

CITY UNIVERSITY OF NEW YORK

Federal Work-Study

Program & Policy Manual

THE OFFICE OF STUDENT FINANCIAL ASSISTANCE 205 EAST 42ND STREET New York, NY 10017 (212) 290-5696

2

The City University of New York Federal Work-Study Program

The Federal Work-Study Program (FWS) operates on the premise that students can gain both educational and financial benefits from work experience outside the classroom. Eligible students may be placed in off-campus positions with agencies that meet the FWS criterion. The requirements of an agency participating in FWS are: The agency must be a not-for-profit, non-partisan and non-

discriminatory public or private organization. The agency must have full-time professional staff.

The agency must be providing a significant public service.

3

TABLE OF CONTENTS

PAGE PURPOSE OF THE FEDERAL WORK STUDY PROGRAM ........................ 4

America Reads Program .............................................................................. 4 America Counts Program ............................................................................ 4

AGENCY RESPONSIBILITIES .................................................................... 5

Philosophic Responsibilities........................................................................ 5 Fiscal Responsibilities ................................................................................. 5 Liability Under Unemployment Insurance Law ......................................... 6 Agency Record Keeping ............................................................................. 6 Citizenship Verification .............................................................................. 7

STUDENTS IN THE CUNY FWS PROGRAM ........................................... 7

Referral Process ........................................................................................... 7 Student's FWS Award ................................................................................. 8 Hours FWS Students May Work ................................................................. 8 Establishment of Pay Rate ........................................................................... 9 Number of FWS Students a Company May Employ .................................. 9 Termination/Discontinuation of FWS Student Employment ...................... 9

PAYMENT AND BILLING ........................................................................ 10

FWS Student Payment Process ................................................................. 10 AGENCY’S INVOICE ................................................................................. 11

Resolution of Errors .................................................................................. 13 Failure to Make Payment .......................................................................... 14

LISTING OF ALL CUNY FEDERAL WORK STUDY CAMPUSES AND COORDINATORS ....................................................................................... 15

4

PURPOSE OF THE FEDERAL WORK STUDY PROGRAM The Federal Work-Study Program (FWS) operates on the premise that students can gain both educational and financial benefits from work experience outside the classroom. In 1997, a new FWS program was introduced, “The America Reads Challenge.” and in the academic year 2000 another Work-Study program came into being, “The America Counts Program.” All FWS eligible students may be placed in off-campus positions with agencies that meet the FWS criterion. The requirements of an agency participation in FWS are:

The agency must be a not-for-profit, non-partisan and non-discriminatory public or private organization.

The agency must have full-time professional staff.

The agency must be providing a significant public service.

AMERICA READS PROGRAM The additional requirement of an agency participating in the FWS America Reads Program is:

The agency must have a literacy-tutoring program with the purpose of helping children to read who are in pre-k through 6 grades. In addition, families of the children who are in the literacy program may also receive help from this program.

AMERICA COUNTS PROGRAM

The additional requirement of an agency participating in the FWS America Counts Program is:

The agency must have a math-tutoring program with the purpose of helping children (and families of those children) who are in elementary school through the ninth grade.

5

AGENCY RESPONSIBILITIES

PHILOSOPHIC RESPONSIBILITIES The agency is responsible for training and supervising the employee's activities and ensures that the work is performed satisfactorily. A second area of responsibility, which flows from the first, is to help the individual gain an educational experience from his/her employment that will be useful when they enter the job market. Many students take a FWS job directly related to career goals, for example, accounting, programming, tutoring, etc. The guidance given to the student by an experienced professional is invaluable. Even if a particular position does not relate directly to the student's course of study, he/she will still benefit from the work experience. For some students, especially freshmen, a FWS position may be their first structured employment. It is important for such a person to learn how an employee should carry out his/her duties and to learn how their job enables the organization to fulfill its objectives.

FISCAL RESPONSIBILITIES The agency has three main fiscal responsibilities:

To reimburse the City University of New York (CUNY) for an amount equal to forty percent (40%) of the student's gross wages (or other applicable costs such as F.I.C.A.) within ten days after receiving an invoice from the University Accounting Office.

To reimburse CUNY for the entire employer's share of FICA, which is currently 7.65% (6.2% for Social Security and 1.45% for Medicare).

To provide Worker's Compensation Insurance coverage for all students who work for the agency under the CUNY FWS Agreement. The company takes care of this directly with its Worker's Compensation Insurance Carrier.

6

* If the agency is participating in the America Reads or America Counts program, the student’s gross wage portion of the reimbursement is waived.

LIABILITY UNDER UNEMPLOYMENT INSURANCE LAW Historically, a few students have applied for unemployment insurance (U.I.) benefits. A student who does apply for such benefits must meet the same criteria as other applicants. For example, the number of weeks worked within a year, average earning per week, and the availability for work. Given the number of hours the student works and including the fact that unemployment insurance benefits are considered a resource when calculating eligibility for financial aid, it is unlikely that many students will ever qualify or apply for U.I. benefits. However, the determination of eligibility is made by the State of New York. We have no reason to believe that the Department of Labor would consider the status of the Federal Work-Study employee to be different than that of other workers. ANY U.I. PAYMENTS, WHICH DO OCCUR, ARE THE SOLE RESPONSIBILITY OF THE PARTICIPATING AGENCY. We are not aware of any unemployment insurance payments made to FWS students in the past few years.

AGENCY RECORD KEEPING The agency should keep a copy of the student's job referral form and a copy of each invoice received from CUNY. It must keep copies of the student's time sheets for a period of five years. An Agency is not responsible for reporting the student's withholding taxes (Income and FICA) to the federal government. CUNY does this reporting and also furnishes the student with his/her W-2 Form.

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CITIZENSHIP VERIFICATION The agency is responsible for the collection of the required Immigration and Naturalization Service I-9 form (along with the accompanying documentation) for all FWS students who are employed.

STUDENTS IN THE CUNY FWS PROGRAM Financial need is the sole criterion used to establish a student's eligibility. FWS is part of an overall financial aid package and is made available to students on the basis of helping first those students who are most needy. It is possible that a student will have financial need but not receive financial aid because there are other students who are in greater need.

REFERRAL PROCESS The job description(s) that a participating agency supplies to the Office of Student Financial Assistance, 1114 Avenue of the Americas, New York, NY., are forwarded to each CUNY College’s Financial Aid Office. The student goes to his/her FWS placement counselor where he/she is given the opportunity to select an appropriate job from among the agency job description forms on file. The student or his/her counselor will then contact the agency to arrange an interview. If both the FWS student and the agency are amenable, the student may work at the agency until he/she has earned his/her total FWS award. We prefer that the agency inform the student at the time of the interview if he/she will not be hired. As a courtesy, do not make a student wait more than forty-eight (48) hours before giving him/her your definite answer otherwise the student will experience a delay in finding other employment. The employer (agency) indicates on the job referral form whether has or has not been hired. Our only method of knowing if a position is still open is if the agency contacts Mrs. Trudy Hilton at the Office of Student Financial Assistance (212-290-5696) directly. A mailing will then be sent to all the CUNY FWS Campus Coordinators listing the number of positions

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available, the name of the person to contact and the telephone number.

STUDENT'S FWS AWARD The FWS award indicated on the referral form is the maximum amount of money a FWS student may earn under the Program in an award year or part thereof. CUNY prefers that the student earn ½ of his/her award each semester. The amount of the award varies from student to student. Each student's award is indicated on his/her job referral form. A student will not be compensated under FWS by CUNY for an amount in excess of his/her award. Payment of earnings in excess of the student's FWS award is the sole responsibility of the agency. Agencies should be aware that the ability of the student to earn his/her full FWS award is dependent on CUNY not exhausting its federal FWS dollars.

HOURS FWS STUDENTS MAY WORK A CUNY FWS student generally works part-time (maximum twenty [20] hours per week) while attending classes during the semester within the academic year. During the summer, a student generally may work full-time up to forty (40) hours per week. In many cases a student may also work more than part-time during certain other periods, namely the winter inter-session period and the spring break. The Office of Student Financial Assistance will provide each agency with a list by college, stating the maximum hours students may work during these vacation periods. The number of hours may vary from college to college. It is generally a good idea for the employer and the student (employee) to discuss work hours during vacation periods a week or two in advance so that a mutually satisfactory schedule can be arranged. FWS students may not work during scheduled class hours. A Student Class Schedule Form will be given to the FWS student each term by the FWS coordinator after the student is placed with the agency. This form must be signed by the student's supervisor. A copy is returned to the FWS coordinator; the student keeps a copy and the supervisor receives a copy.

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ESTABLISHMENT OF PAY RATE Student wages are determined by the Coordinator of Student Employment at the Office of Student Financial Assistance using CUNY-wide standard pay scale. The basis for determining a student's wage is the nature of the position (experience required and degree of responsibility). The job description submitted by the agency is the key source of information to determine the wage rate. Typically, wages range between $7.25 and $9.00 an hour. America Reads/Counts tutors $7.50 an hour.

NUMBER OF FWS STUDENTS A COMPANY MAY EMPLOY An agency may request as many FWS workers as it can productively employ, (pay for) and supervise. However, since FWS students have the opportunity to choose among many FWS positions, it is impossible for us the guarantee the referral of any specific number of students to any given agency

TERMINATION/DISCONTINUATION OF FWS STUDENT EMPLOYMENT

The relationship between the FWS student and the participating agency is essentially that between an employee and his/her employer. When a student wishes to discontinue his/her employment, of course, he/she may do so. We hope that a student employee would notify his/her employer in advance of terminating employment. Similarly the employer may dismiss a FWS employee. We hope that if the student has not performed well, his/her deficiencies will be called to the student-employee's attention and that he/she will be given an opportunity to improve his/her work. There is a section on the student’s time sheet where the employer must remark on the student’s work performance. If the student must be dismissed, the employer is asked to notify the student's FWS Coordinator.

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PAYMENT AND BILLING

FWS STUDENT PAYMENT PROCESS If you need help understanding the invoice, please call Benjamin

Alcantara at (212) 397-5629 or email him at: [email protected]

The FWS student will present to the supervisor a blank time sheet that is on three-ply NCR paper (see Appendix D). The supervisor will complete the time sheet on a daily basis. At the end of a work cycle, the supervisor will sign the time sheet and mail the white copy to the student's college. The college address is pre-printed in the upper right-hand corner of the time sheet. The gold copy is the supervisor's copy and the pink copy is for the student. The signed time sheet is never to be given to the student to return to the college. On the basis of this time sheet, the student's check and invoice to the agency will be produced by CUNY. Generally both of these items are produced four (4) weeks after the agency returns the time sheet. The student will pick up his/her paycheck at respective college. The principle involved in paying a student under work-study is an hour's pay for an hour's work. Students do not get paid for days they are ill, hours of work missed because of lateness, for long breaks such as lunch hours, or for time worked when they have scheduled classes. Student time sheets are submitted second or third week (per a schedule established by the student's college). A student's check is generally distributed by CUNY at about the same time the agency receives the invoice. Please note: The school pays the student. The agency will be billed for its share of the student's wages. For the first time sheet - After a student is accepted by your agency, and returns the signed job referral form to his/her FWS Coordinator, the student will be provided with a time sheet, which is to be given to the agency FWS supervisor.

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After the first time sheet - The FWS Coordinator will mail the agency supervisor a supply of blank time sheets. If the FWS student's supervisor runs out of blank time sheets, he/she should call the FWS Coordinator at the student's college for additional forms. At the end of the work cycle, per the CUNY payroll calendar, the supervisor and the student both review the reported hours work and job evaluation and sign the time sheet. The FWS supervisor then mails the time sheet back to the college’s FWS Coordinator. Please make sure to mail the time sheet promptly (within 3 days of the cycle) to avoid any delay in payment to the student. Be aware that it can be seven weeks from the first day the student works until he/she receives his/her first check.

AGENCY’S INVOICE

The invoice is sent electronically via email. Thus, we request that you keep us updated of any changes to you email contact. The electronic invoice format is as follows:

I. First Page

A. In the upper right-hand corner are two dates. “Payroll Date” reflects the scheduled date of the Payroll. “Run Date” is the date the Payroll was generated by our computer.

B.

1. Agency Name - In the middle of the upper part of the page you will find the agency’s name, address and the person you designed to receive the invoice. In most instances, this is the person who signed the contract.

2. Name - In the extreme left column you will find the

name of the student(s) working for the organization under the FWS Program. Students from any given college will be listed alphabetically. Although the College name will not be indicated, the College Code will be found in column 3.

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3. College Code - The two-digit computer code indicates which CUNY campus the student attends. This is not important to you in terms of the invoice.

4. Last Four Digits of student Social Security Number.

5. The "Effective Work Ending" - The date of the last day

of the work period for which the company is being billed. Please note that a student may be paid for a prior work period due to a late time sheet. Each period is listed separately.

6. Hours - The number of hours for which the agency is

billed for the indicated work period. This comes directly off the time sheet submitted by the agency.

7. Pay Rate - The hourly pay rate for each student

8. Current Gross - The product of the number of hours

multiplied by the pay rate

9. Current FICA - The amount of Social Security Tax payable to CUNY by the agency. Usually this will only be applicable for work performed during the summer. FICA tax is now 7.65% of the student's gross earnings.

II. Last Page On the last page you will find:

A. An agency summary. It will summarize the important data in this invoice for each location (branch) of the agency and the agency as a whole. Every agency has at least one location - e.g. its main office.

B. On the bottom portion you will find four important data

items:

1. Prior Balance - The agency’s outstanding balance (if any) prior to the current invoice. The balance is

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kept for the agency as a whole. It is not kept by individual locations.

2. Agency’s Matching Share - This is 40% of each

FWS employee's earnings on the invoice with the exception of the America Reads and the America Counts program.

3. FICA - For hours on the invoice subject to FICA.

4. New Balance - The sum of the above three items.

Please Remember: 1. If the agency has more than one location, and has requested a

breakdown on the invoice by location, we will be glad to accommodate. However, the responsibility for payment of the entire invoice lies with the organization who signed the Federal Work-Study Agreement.

2. Always attach your check to a copy of the invoice when making

payments. This is extremely important to us in terms of prompt and precise accounting.

RESOLUTION OF ERRORS

The agency circles the item it believes to be incorrect and briefly notes what seems to be wrong. The University Accounting Office will investigate the matter and correct the account if warranted. If the agency does not notify the University Accounting Office within one week of receipt of invoice of any discrepancies between the invoice it receives and the agency’s own records, the agency is deemed to have accepted the invoice as correct. The agency is not expected to pay the disputed amount pending clarification of the matter. However, it must pay the balance of the invoice within the usual ten days. After thirty days, if the Accounting Office has not notified the company of the resolution of the

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discrepancies, please contact Mrs. Trudy Hilton at the Office of Student Financial Assistance at (212) 290-5696.

FAILURE TO MAKE PAYMENT Agencies in arrears will jeopardize future participation the Work-Study Program. CUNY reserves the right to institute a late fee for any invoice over ninety days past due and may at its option disclose to credit bureau organizations those agencies which are in arrears. In addition, past due accounts may be referred to collection agencies.

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LISTING OF ALL CUNY FEDERAL WORK STUDY CAMPUSES AND COORDINATORS

Aponte, Jennifer LaGuardia CC - CUNY [email protected] Ph.# 718.482.5015 31-10 Thomson Avenue, Rm. C107 Fax # 718.609.2020 LIC, NY 11101 Ball, Indira CCNY - CUNY [email protected] Ph.#. 212.650.6354 160 Convent Avenue, Admin.Bldg. #104 Fax.# 212 .650.5829 New York, NY 10031 Baez, Grace John Jay College - CUNY [email protected] Ph. # 212.237.8149 445 West 59 Street, Rm. 3400 N Fax # 212.237.8936 New York, NY 10019 Brogna, Donna CSI - CUNY [email protected] Ph.# 718.982.2582 2800 Victory Blvd., Bldg. 2A -401 Fax # 718.982.2037 New York, NY 10314 Calderon, Jr., Amado Medgar Evers College - CUNY [email protected] Ph. # 718.270.6133 1637 Bedford Avenue, S110 Fax # 718.270.6194 Brooklyn, NY 11225 Campbell, Jeanne Queens College - CUNY [email protected] Ph.# 718.997.5112 65-30 Kissena Blvd./Jefferson Hall #202 Fax # 718.997.5122 Flushing, NY 11367 Dennis, Daffodil Hunter College - CUNY [email protected] Ph. # 212.650.3927 695 Park Avenue, Rm. 241N Fax # 212.650.3666 New York, NY 10021 Gonzalez, Marie Lehman College CUNY - Shuster Hall [email protected] Ph. # 718.960.8617 250 Bedford Park Blvd. West, Rm. 136 Fax # 718.960.8328 Bronx, NY 10468 Grant, Millicent Brooklyn College - CUNY [email protected] Ph. # 718.951.5816/5178 2900 Bedford Ave.,West Quad Bldg. 3Fl Fax # 718.951.4778 Brooklyn, NY 11210 Jardine, Melissa Borough of Manhattan CC - CUNY [email protected] Ph. # 212.220.1496 & 1438 199 Chambers Street, Rm. N301 Fax #212.220.2368 New York, NY 10007 Johnson, Anne V. The Graduate Center - CUNY [email protected] Ph. # 212.817.7465/0 365 Fifth Avenue, Suite 7201 Fax # 212.817.1623 New York, NY 10016 Joseph, Angela CUNY-School of Law/Queens College [email protected] Ph. # 718.340.4331 65-21 Main Street, Rm. 230J Fax # 718.340.4218 Flushing, NY 11367 Kamel, Magda Kingsborough CC - CUNY [email protected] Ph. # 718.368.5168 2001 Oriental Blvd. Rm. U201 Fax # 718.368.4656 Brooklyn, NY 11235

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Lebert, Angela Bronx CC CUNY-Colston Hall Rm. 504 [email protected] Ph. # 718.289.5702 University Avenue & W181 Street Fax # 718.289.6303 Bronx, NY 10453 Morrison, Cheryl York College - CUNY cmorrison@york,cuny.edu Ph.# 718.262.5326 94-20 Guy R. Brewer Blvd., Rm. 1M08 Fax # 718.262.2236 Jamaica, NY 11451 Murphy, Olga Hostos CC - CUNY - Savoy Building [email protected] Ph. # 718.518.4382 120 East 149 Street, Rm. B112-115 Fax # 718.518.4430 Bronx, NY 10451 O'Sullivan, Karen Queensborough CC - CUNY [email protected] Ph. # 718.281. 5113 222-05 56 Avenue, Rm. L - 409 Fax # 718.281.5121 Bayside, NY 11364 Samlal, Michelle City College New York - CUNY [email protected] Ph.# 212.650.6662 160 Convent Avenue, Admin.Bldg. #104 Fax.# 212 .650.5829 New York, NY 10031 Sertima-Hall, Hazel NYC College of Technology - CUNY [email protected] Ph. # 718.260.5703 300 Jay Street, Namm-G13 Fax # 718.254.8525 Brooklyn, NY 11201 Umana-Walters, Isis Bernard Baruch College - CUNY [email protected] Ph.#646.312.1252 151 East 25 Street, Room 880 Fax.#646.312.1361 New York, NY 10010

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Dear Colleague Letter

GEN-10-16 FP-10-06

General Guidance for Disasters August 23, 2010

General Provisions (all Title IV Programs)

Institutional Participation (§668.26(a)(1)). Unlike cessation of providing an educational program for other reasons, closure due to a natural disaster does not automatically result in a loss of eligibility or participation. The institution should promptly contact its School Participation Team to discuss its situation. Department staff will work with the institution to determine when it plans to reopen and what impact that interruption will have on its students.

Length of Academic Year (§668.3). If, as a direct result of a disaster, an institution is temporarily closed for a period of time that impacts the length of its academic year, the Department will determine the continued eligibility of the institution’s programs and students on a case-by-case basis. The institution should promptly contact its School Participation Team to discuss its situation.

Agreements to Permit Study at Another Institution (§668.5). If an institution is unable to continue to provide a student's eligible program because of a disaster, the Department strongly encourages the institution to establish a written agreement with another institution to enable the student to continue his or her academic program while receiving Title IV assistance. The requirements for the agreement are found in §668.5 of the Student Assistance General Provisions regulations.

One of the most significant lessons learned from Hurricanes Katrina and Rita was the importance of institutions having agreements that permit students to study at other institutions outside of the local area. These arrangements might be with other institutions in the state system of the affected institution or with institutions in a neighboring state’s system. In the case of private institutions, these arrangements might be most appropriately developed with other institutions in the affected institution’s region or, in the case of affiliated institutions, with institutions that share the same affiliation. Campus Security Reporting and Equity in Athletics Disclosures (§668.41). If an institution is unable to provide the appropriate data to the Department for its Annual Campus Security Report or its Equity in Athletics Disclosure (EADA) Report by the established deadlines because of a disaster, it should contact its School Participation Team to seek guidance in meeting the disclosure requirements.

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General Guidance for Disasters Page 2 Cash Management (Part 668, Subpart K). The Department will work with institutions affected by a disaster to address specific problems related to compliance with the cash management requirements. Specifically, the appropriate School Participation Team will address concerns on a case-by-case basis about the following regulatory requirements:

Borrower Requests for Loan Cancellation (§668.165(a)(4)(ii))

Credit Balances (§668.164(e))

Excess Cash (§668.166(a))

Notices and Authorizations (§§668.165(a)(3)(i) and 668.165(b)(4)(iii))

Late Disbursements (§668.164(g)). Deadlines related to withdrawal issues, including post-withdrawal disbursements, are addressed under the "Institutional Charges, Refunds, and Return of Title IV Funds Calculations" section of this letter.

Lost Student Records (§668.24). The Secretary recognizes that records an institution is required to keep may no longer be available or legible because of a disaster. An affected institution must attempt to preserve and reconstruct those records, but will not be held responsible for records that cannot be reconstructed. The institution must document that the records were lost due to a disaster and its attempts to preserve and reconstruct those records.

Need Analysis. Any aid, whether in the form of grants or low-interest loans, received by victims of a disaster from a federal or state entity for the purpose of providing financial relief, is not counted as income for calculating a family's Expected Family Contribution (EFC) under the Federal Methodology or as estimated financial assistance for packaging purposes.

Professional Judgment. Section 479A of the Higher Education Act of 1965, as amended (HEA) specifically gives the financial aid administrator (FAA) the authority to use professional judgment to make adjustments on a case-by-case basis to the cost of attendance or to the values of the items used in calculating the EFC to reflect a student's special circumstances. We encourage FAAs to use professional judgment to reflect more accurately the financial need of students and families affected by a disaster. In making case-by-case determinations, the FAA must obtain documentation that is retained in each affected student's file and substantiates the reasons for any adjustment. The use of professional judgment in the Federal Methodology need analysis is discussed in the Federal Student Aid Handbook.

As usual, any professional judgment decisions made by an FAA that affect a student's eligibility for a Federal Pell Grant must be reported to the Central Processing System (CPS) as a “correction” transaction and with the “PJ” indicator set.

Satisfactory Academic Progress (§§668.34 and 668.16(e)). If a student fails to meet an institution's satisfactory academic progress standards due to a disaster, the institution may use the exception provided in §668.34(c)(3) to find that because of "other special circumstances" the student is nevertheless meeting its standards. The institution must document in the student's file that the student’s failure to maintain satisfactory academic progress was due to a disaster.

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General Guidance for Disasters Page 3 Verification (Part 668 Subpart E). The Department will not enforce the verification requirements for selected applicants whose verification records were lost or destroyed because of a disaster, provided that the institution has attempted to preserve and reconstruct any records as noted above under “Lost Student Records.” An institution must document that it does not have these records or did not perform verification because of the disaster. For these students, Verification Status Code "S" may be used to report a Federal Pell Grant disbursement.

Further, the Department waives the requirements under §§668.57(b) and (c) that a dependent student submit a statement signed by one of the student’s parents when no responsible parent can provide the required signature because the parent is affected by the disaster. In such a situation, the institution must note and retain an explanation of why neither of the student’s parents was available to provide such a statement.

Institutional Charges, Refunds, and Return of Title IV Funds Calculations (§668.22)

If a student withdraws because of a disaster, the institution must perform a Return of Title IV Funds calculation in accordance with §668.22. The statutory provisions for a Return of Title IV Funds calculation include the concept that a student "earns" a portion of the aid for the time that he or she was enrolled. Essentially, any Title IV aid disbursed that is in excess of the amount earned must be returned to the programs. Even in the case of a disaster, the school must return any Title IV funds for which it is responsible. This is particularly important for a student who received loans for that period; the calculations require the institution to return unearned funds first to the Title IV loan program from which the student borrowed. This benefits the student by reducing the student's loan debt. If the disbursed amount is less than the calculated amount of earned aid, the student is entitled to the difference as a post-withdrawal disbursement.

Deadlines and Time Frames. The appropriate School Participation Team will address any concerns about the deadlines and time frames that are part of the Return of Title IV Funds requirements on a case-by-case basis.

Institutional Charges and Refunds. The Department strongly encourages institutions to provide a full refund of tuition, fees, and other institutional charges, or to provide a credit in a comparable amount against future charges, for students who withdraw from school as a direct result of a disaster. The Department also urges institutions to consider providing easy and flexible re-enrollment options to these students. However, before an institution makes a refund of institutional charges, it must perform the required Return of Title IV Funds calculation based on the institutional charges originally assessed. After determining the amount that the institution must return to the Title IV Federal student aid programs, any reduction of institutional charges should take into account the funds that the institution is required to return. In other words, the Department does not expect that an institution would return funds to the Federal programs, and also provide a refund of those same funds to the student.

In addition, the institution should not include the number of days on which classes were not offered as a result of the disaster in either the numerator or denominator of the Return of Title IV Funds calculations for students whose withdrawal date is after such an unscheduled break.

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General Guidance for Disasters Page 4 Leaves of Absence (§668.22(d)). A leave of absence that meets the definition of an approved leave of absence generally applies only to clock hour or non-term programs. A student enrolled in such a program and who is directly affected by a disaster can request a leave of absence without doing so in writing, and the student request for the leave of absence does not have to be made before the leave of absence starts. The institution must document that, because of the disaster, it waived the written request requirement and the requirement that the request be made prior to the leave of absence. Post-Withdrawal Disbursements (§668.22(a)(4) and (5)). The appropriate School Participation Team will address any concerns about the time frame for allowing a student (or parent) to respond to an offer of a post-withdrawal disbursement on a case-by-case basis. Waiver of Title IV Grant Overpayments (§668.22(h)(5)). The Secretary is authorized to waive the amount of a student’s Title IV grant overpayment if the student withdrew from the institution because of a major disaster under specified conditions. The Secretary’s exercising of this waiver authority remains in effect until it is specifically withdrawn. A Title IV grant overpayment otherwise due from a student under the Return of Title IV Funds requirements is waived if the student withdrew because of a disaster under the following conditions: The student was residing in, employed in, or attending an institution that is located in a

disaster area;

The student withdrew because of the impact of the disaster on the student or the institution; and

The student’s withdrawal occurred within the academic year during which the disaster occurred or during the next succeeding academic year.

If a student’s grant overpayment has been waived in accordance with this provision, an institution is not required to notify the student or the National Student Loan Data System (NSLDS) of the overpayment, or refer any portion of the overpayment to the Department. In addition, an institution must not apply any Title IV credit balance to pay down the grant overpayment. An institution must document the student’s file when it applies this waiver and note the amount of the overpayment that is waived.

Federal Pell Grant, Academic Competitiveness Grant (ACG), National Science and Mathematics Access to Retain Talent Grant (National SMART Grant), and Teacher Education Assistance for College and Higher Education (TEACH) Grant Programs

Deadline for Reporting Initial Disbursement Records (Federal Pell Grant §690.83; ACG/National SMART Grant §691.83; and TEACH Grant §686.37). Normally, an institution must submit to the Department a Federal Pell Grant, ACG, National SMART Grant, or TEACH Grant disbursement record for a student not later than 30 calendar days after the institution makes a disbursement to the student or becomes aware that a disbursement needs to be adjusted.

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General Guidance for Disasters Page 5 For the ACG/National SMART Grant or Federal Pell Grant programs, if the institution becomes aware that previously reported payments or expected payments for a student are no longer accurate, the institution must submit an accurate disbursement record for that student no later than 30 calendar days after becoming aware of the need to make the change. The institution should promptly contact its School Participation Team if it is unable to meet these deadlines. For the ACG/National SMART Grant or Federal Pell Grant programs, if the institution becomes aware that previously reported payments or expected payments for a student are no longer accurate, the institution must submit an accurate disbursement record for that student no later than 30 calendar days after becoming aware of the need to make the change. The institution should promptly contact its School Participation Team if it is unable to meet these deadlines.

Additional deadline details are included in the deadline date notice published annually in the Federal Register. (See the 2008-2009 notice at 74 FR 28918 (June 18, 2009).)

For the TEACH Grant Program, an institution must submit to the Department subsequent disbursement records, including adjustments and cancellation records not later than 30 days following the date of the disbursement, adjustment, or cancellation. The appropriate School Participation Team will address any concerns about the deadlines for submitting disbursement records (including adjustments and cancellations) for the TEACH Grant Program on a case-by-case basis.

Final Federal Reporting Deadlines. Upon an institution's request, the Department will extend the deadline for reporting final Federal Pell Grant, ACG, and National SMART Grant payments if the institution is unable to meet the published deadline because of a disaster. An affected institution should make the request as soon as possible by submitting a request via the Common Origination and Disbursement (COD) Web site (http://www.cod.ed.gov ) or by contacting the COD School Relations Center at 1-800-474-7268. General Campus-Based Program Issues

Allocation Reduction Due to Under-Utilization (§673.4(d)(3)). In general, if an institution returns more than 10 percent of its allocation under the Federal Perkins Loan, Federal Work-Study (FWS), or Federal Supplemental Educational Opportunity Grant (FSEOG) programs for an award year, the institution's allocation for the program in question for the second succeeding award year is reduced by the amount unexpended. The HEA authorizes the Secretary to waive this reduction for an institution if enforcing it is contrary to the interest of the program. The Department considers the failure of an institution to expend funds solely due to a disaster to be an appropriate reason for using this waiver authority. An institution must submit a request for a waiver of the under-utilization penalty along with a statement that explains the reason for its failure to comply with the requirement. Affected institutions should make the waiver request as soon as possible by contacting the Campus-Based Call Center at 1-877-801-7168.

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General Guidance for Disasters Page 6 Filing Deadline for Fiscal Operations Report and Application to Participate (FISAP). The Secretary will consider on a case-by-case basis the effect of a disaster on an institution's ability to meet required reporting deadlines. If an institution is having trouble filing its complete FISAP by the published deadline because of a disaster, the Department will assist the institution. An affected institution should request assistance as soon as possible by contacting the Campus-Based Call Center at 1-877-801-7168. Federal Work-Study (FWS) Program Community Service Requirements (§675.18(g)). An institution must use at least seven percent of the total amount of its FWS Federal funds granted for an award year to compensate students employed in community service. In addition, the institution must ensure that it includes at least one project for reading tutoring of children or one project for family literacy in providing community service. The HEA provides that a waiver of one or both of the community service requirements may be granted if the Secretary determines that enforcing the requirements would cause hardship for students at the institution. The Department considers the failure of an institution to expend at least seven percent of its total FWS Federal allocation for community service and/or to have at least one project for reading tutoring of children or family literacy due to a disaster as an appropriate basis for a waiver. An institution must submit a request for a waiver along with a statement that explains the reason for its failure to comply with one or both of the community service requirements. An affected institution should request a waiver as soon as possible by using the annually published waiver submission guidelines, or by contacting the Campus-Based Call Center at 1-877-801-7168. Community Services (§675.2). The Department encourages institutions to employ their FWS students in cleanup and relief efforts for the communities affected by a disaster. These efforts are considered to be part of the institution's community services activities under the FWS Program. Flexibility in Making Certain FWS Payments (§675.18(i)). The Higher Education Opportunity Act (HEOA) added a provision to the HEA that allows an institution to make FWS payments under certain limited circumstances to disaster-affected students who are unable to continue working. An institution in an area affected by a major disaster (as defined in the cover letter and included in the Robert T. Stafford Disaster Relief and Emergency Assistance Act in 42 U.S.C. §5122(2)) may only make payments to disaster-affected students for the period of time in which the students were prevented from fulfilling their FWS obligations due to the disaster. The period of time may not exceed the award period. Payments may be made in an amount equal to or less than the amount of FWS wages those students would have been paid had they been able to complete the work obligation necessary to receive FWS funds. Any payments made must meet the FWS matching requirements, unless the Department waives the matching requirements. The term “disaster-affected student” means a student enrolled at an eligible institution who: Received an FWS award for the award period during which a disaster occurred in the area

where the institution is located; Earned FWS wages from the institution for that award period;

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General Guidance for Disasters Page 7

Was prevented from fulfilling his or her FWS obligation for all or part of the award period

due to the disaster; and Was unable to be reassigned to another FWS job.

Payments may not be made to any student who was not eligible for FWS, or was not completing the work obligation necessary to receive FWS funds, or had already separated from his or her FWS employment prior to the occurrence of the disaster. Federal Perkins Loan Program

Reporting Student Enrollment Status (§674.16(j)). If an institution is unable to report a student’s enrollment status to NSLDS under the established schedule as a direct result of a disaster, it must contact NSLDS Customer Service at 1-800-999-8219 to modify its reporting schedule. An institution using the National Student Clearinghouse or another third party servicer should contact its servicer to see if its enrollment data submission schedule needs to be adjusted. If an institution receives a warning letter from NSLDS regarding missed reporting deadlines, it should contact NSLDS Customer Service to ensure that reporting schedule modifications have been made.

A Borrower’s Loan Status (§674.31). If a Perkins Loan borrower who was in an "in-school" status on the date the borrower's attendance at the institution was interrupted due to a disaster, the institution should continue to report that borrower’s status to NSLDS as “in-school.” The institution should continue the borrower in that status until the borrower withdraws or fails to resume attendance on at least a half-time basis in the next regular enrollment period, whichever is earlier. The institution should then change the borrower’s status from “in-school” to “in grace,” effective as of the withdrawal date or the day prior to the first day of the next regular enrollment period, as applicable. (A borrower who resumes at least half-time enrollment in the next regular enrollment period would continue in an “in-school” status.)

For example, assume a borrower begins attendance on September 5. On September 30, the institution temporarily closes due to a disaster. The institution reopens October 25 but the borrower (who has not withdrawn) does not return until the start of the next semester in January. The borrower’s status should be reported as “in-school” throughout the fall semester.

In a different situation, assume that the borrower does not return to the institution at all after it temporarily closes on September 30. The borrower’s status should be reported as “in-school” throughout the fall semester. If the institution determines that the borrower has not returned for the spring semester in January, the institution would report the borrower’s status as “in-grace,” effective as of the last date of the fall semester.

Borrowers in Initial or Post-Deferment Grace Periods (§674.42). The appropriate School Participation Team will address any concerns about borrowers in initial and post-deferment grace periods, on a case-by-case basis.

Borrowers in Repayment (§674.33). The Department authorizes institutions to grant forbearance, for a period not to exceed three months, to a Federal Perkins Loan borrower who is in repayment at the time of a disaster and who is unable to make payments due to the disaster.

8

General Guidance for Disasters Page 8 Interest accrues during any period of forbearance. A borrower may request this forbearance orally or in writing, and is not required to submit documentation to be considered eligible for this forbearance. An institution must document the forbearance in the borrower’s file. To receive forbearance beyond the three-month period, the borrower must make a request to the institution and provide supporting documentation. (At the expiration of the three month period, the institution should examine the borrower’s situation to determine potential eligibility for an economic hardship deferment or unemployment deferment, as appropriate.) This period of forbearance is counted toward the 3-year maximum limit on the number of years of forbearance that may be granted to a borrower.

Collection of Defaulted Loans (Part 674, Subpart C—Due Diligence). The institution may stop collection activities for three months upon notification by the borrower, a member of the borrower’s family, or another reliable source that the borrower has been affected by a disaster. Collection activities must resume at the end of the 3-month period. The institution must document in the loan file why it suspended collection activities on the loan, and is not required to obtain evidence of the borrower’s status while collection activities have been suspended. The appropriate School Participation Team will address any additional concerns about required billing and collection activities on a case-by-case basis.

Satisfactory Repayment Arrangements on Defaulted Loans (§674.2). During the time a borrower is affected by a disaster, an institution should not treat any scheduled payment the borrower fails to make as a missed payment in the stream of six on-time, consecutive, monthly payments required for the borrower to make satisfactory repayment arrangements on a defaulted Perkins Loan and to re-establish his or her eligibility for assistance under Title IV of the HEA. When the borrower is no longer affected by the disaster, the required sequence of qualifying payments may resume at the point at which it was discontinued. Payments to Rehabilitate Defaulted Loans (§674.39). During the time a borrower is affected by a disaster, an institution should not treat any scheduled payment the borrower fails to make as a missed payment in the stream of nine on-time, consecutive, monthly payments required for the borrower to rehabilitate the defaulted loan. When the borrower is no longer affected by the disaster, the required sequence of qualifying payments may resume at the point at which it was discontinued William D. Ford Federal Direct Loan (Direct Loan) Program/Federal Family Education Loan (FFEL) Program: Institutions

Reporting Student Enrollment Status (§§685.309(b) and 682.610(c). If an institution is able to report a student’s enrollment status to NSLDS, the institution should continue to report the enrollment status of each Direct Loan or FFEL loan borrower who was enrolled at least half-time on the date the borrower's attendance at the institution was interrupted due to a disaster as either "full-time” or “at least half-time," as appropriate. The institution should continue each borrower in the appropriate enrollment status until the borrower withdraws or does not return for a subsequent enrollment period. In both instances, the borrower’s enrollment status would be changed to “withdrawn,” effective as of the withdrawal date or the end of the enrollment period, as appropriate. If the student resumes attendance on at least a half-time basis, the appropriate enrollment status should be reported.

9

General Guidance for Disasters Page 9 If an institution is unable to report a student’s enrollment status to NSLDS under the established schedule as a direct result of a disaster, it must contact NSLDS Customer Service at 1-800-999-8219 to modify its reporting schedule. An institution using the National Student Clearinghouse or another third-party servicer should contact its servicer to see if its enrollment data submission schedule needs to be adjusted. If an institution receives a warning letter from NSLDS regarding missed reporting deadlines, it should contact NSLDS Customer Service to ensure that reporting schedule modifications have been made. Submission of Direct Loan Promissory Note, and Loan Origination and Disbursement Records (§685.301(e)). This regulation requires institutions to submit the Direct Loan promissory note (if collected by the institution), a loan origination record, and initial disbursement record for a loan to the Secretary no later than 30 days following the date of the initial disbursement as well as any adjustment to a previously reported disbursement. An institution that is unable to meet this requirement must contact its School Participation Team to discuss its situation. Direct Loan Program: Department of Education Borrowers in In-School Loan Status (§685.207) and In-School Deferment Status (§685.204). The Department will continue to report to NSLDS as "in-school" the loan status of each borrower who was in an "in-school" status on the date the borrower's attendance at the institution was interrupted due to a disaster. The Department will continue the borrower in that loan status until the institution reports the borrower as withdrawn, as specified above in “Reporting Student Enrollment Status (§685.309(b)).” Borrowers in Repayment (§685.205). For a borrower in repayment who is affected by a disaster, the Department will grant an administrative forbearance under §685.205(b). The Department will provide a notice to a borrower to allow the borrower the opportunity to decline the forbearance if the borrower has not been adversely affected by a disaster. Collection of Defaulted Loans. The Department will stop collection activities for three months upon notification by the borrower, a member of the borrower’s family, or another reliable source that the borrower has been affected by a disaster. Collection activities will resume at the end of the 3-month period at the point at which they were discontinued. Satisfactory Repayment Arrangements (§685.102 ). During the time a borrower is affected by a disaster, the Department will not treat any payment the borrower fails to make as a missed payment in the stream of six consecutive, on-time voluntary full monthly payments required to re-establish his or her eligibility for assistance under Title IV of the HEA. When the borrower is no longer affected by the disaster, the required sequence of qualifying payments resumes at the point at which it was discontinued.

During the time a borrower is affected by a disaster, the Department will not treat any payment the borrower fails to make as a missed payment in the stream of three consecutive, on-time voluntary full monthly payments required to establish eligibility to consolidate a defaulted loan. When the borrower is no longer affected by the disaster, the required sequence of qualifying payments resumes at the point at which it was discontinued.

10

General Guidance for Disasters Page 10 Payments to Rehabilitate Defaulted Loans (§685.211(f)). During the time a borrower is affected by a disaster, the Department will not treat any payment the borrower fails to make as a missed payment in the stream of nine on-time monthly payments within ten months for purposes of rehabilitating the defaulted loan. When the borrower is no longer affected by the disaster, the required sequence of qualifying payments may resume at the point at which they were discontinued.

FFEL Program: Lenders and Guaranty Agencies and FFEL Purchased Loans held by the Department

Borrowers in In-School Loan Status (§682.209(a)) and In-School Deferment Status (§682.210). The loan holder should continue to report to NSLDS as "in-school" the loan status of each borrower who was in an "in-school" status on the date the borrower's attendance at the institution was interrupted due to a disaster. The loan holder should continue the borrower in that loan status until the institution reports the borrower as withdrawn, as specified above in “Reporting Student Enrollment Status (§682.610(c)).”

Borrowers in Repayment (§682.211). For a borrower who is in repayment and who is affected by a disaster, the FFEL loan holder is authorized to grant an administrative forbearance under §682.211(f) for a period of up to three months. The loan holder must provide a notice to the borrower to allow the borrower the opportunity to decline the forbearance. Collection of Defaulted Loans (§682.410). The guaranty agency is authorized to stop collection activities for three months upon notification by the borrower, a member of the borrower’s family, or another reliable source that the borrower has been affected by a disaster. Collection activities must resume at the end of the 3-month period at the point at which they were discontinued. The guaranty agency must document in the loan file why it suspended collection activities on the loan, and is not required to obtain evidence of the borrower’s status while collection activities have been suspended.

Satisfactory Repayment Arrangements (§682.200(b)). During the time a borrower is affected by a disaster, the FFEL loan holder should not treat any payment the borrower fails to make as a missed payment in the stream of six consecutive, on-time voluntary full monthly payments required to re-establish his or her eligibility for assistance under Title IV of the HEA. When the borrower is no longer affected by the disaster, the required sequence of qualifying payments may resume at the point at which it was discontinued.

During the time a borrower is affected by a disaster, the FFEL loan holder should not treat any payment the borrower fails to make as missed payment in the stream of three consecutive, on-time voluntary full monthly payments required to establish eligibility to consolidate a defaulted loan. When the borrower is no longer affected by the disaster, the required sequence of qualifying payments may resume at the point at which it was discontinued.

11

General Guidance for Disasters Page 11 Payments to Rehabilitate Defaulted Loans (§682.405). During the time a borrower is affected by a disaster, the FFEL loan holder should not treat any payment the borrower fails to make as an interruption in the nine on-time voluntary full monthly payments within ten months for purposes of rehabilitating the defaulted loan. When the borrower is no longer affected by the disaster, the required sequence of qualifying payments may resume at the point at which it was discontinued.

USA Funds University

Return of Title IV Funds: Credit HourWinter Webcast SeriesFeb. 16, 2012

Special Note

These materials are for the benefit of financial aid professionals and other campus administrators. They are intended to provide current facts and information and are not intended to be legal advice. These materialscontain information related to Federal Title IV student aid programs and have neither been reviewed nor approved by the U.S. Department of Education. You are encouraged to seek your own competent legal counsel in connection with the topics covered in these materials. USA Funds® disclaims all responsibility forany claim arising from reliance on the information provided.

© Copyright 2012 United Student Aid Funds, Inc. All Rights Reserved.

Questions regarding the content of this publication should be addressed to USA Funds University, P.O. Box 6028 Indianapolis, IN 46206-6028 or by calling (317) 806-0208.

Return of Title IV FundsCredit-Hour CalculationStudents are awarded Title IV aid with the assumption that they will complete the entire period for which assistance wasprovided. The Higher Education Act of 1965, as amended, requires students to earn Title IV funds on a pro rata basis.When students cease enrollment in all classes after the period begins, the U.S. Department of Education requires schoolsto determine if such students earned all the aid they received or if additional aid must be paid based on attendance.

When to Perform a Return CalculationA Return of Title IV Funds calculation must be performed when any student who received, or was eligible to receive, TitleIV aid ceases attendance in all classes prior to completing the payment period or period of enrollment. A returncalculation is not required if the student:

u Never began attendance at the school.

u Continues to attend at least one class.

u Is on an approved leave of absence.

u Did not receive, and is not eligible to receive, any Title IV aid.

u Has only received, or is eligible to only receive, Federal Work-Study funds.

Never Began Attendance34 CFR 668.21.

Students who never began attendance at an institution are not eligible for Title IV funds. If a disbursement was madeprior to determining that the student never began attendance, funds must be returned to ED. A Return of Title IV Fundscalculation, however, is not necessary.

Continuing Attendance34 CFR 685.303.34 CFR 690.80.

The school is not required to perform a return calculation if the student continues to attend at least one class in theperiod. For example, a student who drops from 15 hours to 3 hours is still considered in attendance and no returncalculation is required. Any appropriate aid adjustments due to a change in enrollment status, however, would benecessary.

Determining if a Student has Withdrawn34 CFR 668.22(a)(2).

Students are considered withdrawn from classes when they do not complete their scheduled enrollment. Beginning July1, 2011, regulations require the school to determine whether funds must be returned based on the number of daysactually completed versus the number of days the student was scheduled to complete within the period.

1

Leave of Absence34 CFR 668.22(d).

An approved leave of absence allows students to temporarily cease attendance, but still be considered enrolled. Onlyapproved LOAs would prevent a return calculation from being required. An approved LOA requires the following:

Schools may grant a “leave of absence” that does not meet the prior criteria, and is therefore not considered to be an“approved” LOA for Title IV aid purposes. For example, students who earned incompletes in some or all courses are notconsidered to be on an approved leave of absence, unless the prior criteria also are met. Students granted these“unofficial” leaves of absence are considered not to be in attendance for Title IV aid purposes, and a return calculationmay be required. Furthermore, a school may not consider an unapproved leave of absence as an unofficial withdrawal.For example, if a student submits an LOA in writing, which the school does not approve, the written notice is stillconsidered notification of the student's non-attendance, and thus, triggers a Return calculation.

2

The school: The student must:

u Must have a formal written policy for granting LOAs.

u Must publicize the LOA policy.

u Must have a reasonable expectation that the student will return from the LOA.

u Cannot assess any additional charges, process changes to the student’s financial needor increase federal aid eligibility.

u May disburse Pell Grant, Iraq and Afghanistan Service Grant, Federal SupplementalEducational Opportunity Grant, Perkins loan funds and Title IV credit balances tostudents on LOAs.

u Cannot disburse Stafford and PLUS loans to students on LOAs.

u Must explain potential consequences of failing to return from an approved LOA if aTitle IV loan recipient.

u Cannot grant more than 180 days of LOA in a 12-month period for a single student.

Sample Calendar of LOAs

u Submit an LOA request inwriting (signed and dated),including the reason forthe request.

u Follow the school’s LOApolicy.

u Resume the academicprogram at the same place.Except non-term credit hourschools.

Trainer’s Tidbit

2011-2012 Federal Student Aid Handbook, Vol. 5, Ch. 2, p. 5-41.

“Because of the criteria that must be met in order for an LOA to be an approved LOA, term-based schools can grantLOAs that meet the Department’s criteria for an approved LOA in a very limited number of cases. A term-based, credit-hour institution that wishes to explore the possibility of granting an LOA that meets the criteria specified in 34 CFR668.22(d), should call its School Participation Team for additional information.”

Jan. Feb. March April May June July Aug. Sept. Oct. Nov. Dec. Total LOAdays

10 28 30 17 2 16 10 9 122

31 28 31 30 31 29 180

Not a Title IV Aid Recipient34 CFR 668.22(a)(2).

A student is not subject to a Return of Title IV Funds calculation if there are no federal funds received. Students receivingonly non-federal aid, such as state grants, private loans or institutional scholarships, are not subject to the returncalculation. State, institutional or private refund rules may still apply.

FWS Recipient Only34 CFR 668.22(a)(2).

Calculations also are not required if a student has only received or is only eligible to receive Federal Work-Study funds,because wages are earned through work, not through attendance.

3

Case StudyThis case will be used throughout the material to complete a return calculation.

Violet Oliver (SSN: AAA-AA-AAAA) enrolled full-time at Everdeen College for the upcoming standard, credit-hourterm. Everdeen is not required to take attendance, and uses the last date in an academically-related activity todetermine a student’s last date of attendance if the student does not officially withdraw. The following are Violet’sacademic activities, charges and financial aid:

Dates and amounts are not intended to represent any specific year.

Charges assessed to student’s account for the term

July 15 Tuition $3,000

Fees $600

Financial aid awarded to student for the academic year

March 1 Pell Grant $3,000

FSEOG $2,000

Perkins Loan $2,000

Subsidized Stafford Loan $5,000

Financial aid disbursed for the term Aug. 30 Pell Grant $1,500

FSEOG $1,000

Subsidized Stafford LoanNet amount

$2,488

Term begins Sept. 10

Violet submits withdrawal for medical reasons Sept. 30

Withdrawal processed by school Oct. 5

Return calculation completed Oct. 10

Term ends Dec. 15

Total number of scheduled days 97

NOTES

Date the School Determined the Student Withdrew34 CFR 668.22(l)(3).

The date the school determined the student withdrew is the same date the school was notified or learns of the student’snon-attendance in all courses. This date may not necessarily be same as the student’s actual withdrawal date, but is usedto determine various deadlines associated with the Return of Title IV Funds process.

Payment Period and Period of Enrollment34 CFR 668.22(e)(5).

Return calculations are either done on a payment period or period of enrollment basis. The program type determineswhich measure is used for the calculation:

The period used for calculations also must be used for Title IV aid and institutional charges included in the returncalculation. Prorating may be necessary for all elements to correspond.

4

Program Period

Standard term, credit hour.Semesters, trimesters or quarters.

Must use the payment period, with the period defined asthe term.

Non-term or nonstandard term.Credit or clock hours.

May use payment period or period of enrollment. Must choose one and use for all students in the program.

Non-standard term, credit hour program with terms thatare not substantially equal in length.

Must use the payment period with the later ending date.Title IV grants and Perkins loan funds have different paymentperiods than Stafford loan funds.

Case Study (cont.)

Treatment Of Title IV Funds When A Student Withdraws From A Credit-Hour Program

Student’s Name Social Security Number

Date of school’s determination that student withdrew

Period used for calculation (check one) Payment period Period of enrollment

Date form completed / / / /

Step 1:

Student’s Title IV AidInformation34 CFR 668.22(a)(2).

Schools must determine the amount of aid disbursed orcould have been disbursed to the student. This amount willbe used to figure whether the student earned all the aidreceived or if a post withdrawal disbursement is required.

In the return calculation, include the total amount offunds for the period from the following Title IV programs:

u Federal Pell Grant.

u Iraq and Afghanistan Service Grant.

u Federal Supplemental Educational Opportunity Grant.*

u Academic Competitiveness Grant.**

u National SMART Grant.**

u TEACH Grant.

* FSEOG awards may contain both federal and nonfederalfunds. Schools that can determine the nonfederal sharemust exclude that portion from R2T4 calculation. If thefunds are deposited into a single fund, the entire awardamount is used in the R2T4 calculation.

** ACG and SMART grant funding expired June 30, 2011.

Include in the calculation the net amount disbursed for theperiod from the following Title IV programs:

u Subsidized Stafford loans.

u Unsubsidized Stafford loans.

u Federal Perkins loans.

u PLUS loans.

Funds not included in return calculations include:

u Federal Work-Study.

u Leveraging Educational Assistance Partnership Programs.

u Student Support Services Programs.

u Gaining Early Awareness and Readiness forUndergraduate Programs.

u Byrd Scholarship.

5

NOTES

Trainer’s Tidbit

2011-2012 Federal Student Aid Handbook, Vol. 5, Ch. 2,p. 5-56.

“Enter dollars and cents using standard rounding rulesto round to the nearest penny. Final repayment amountsthat the school and student are each responsible forreturning may be rounded to the nearest dollar.”

Title IV Aid Disbursed34 CFR 668.164(a)(1).2011-2012 Federal Student Aid Handbook, Vol. 5, Ch. 2.

Aid is considered disbursed to the student if it is paid directly to the student or parent or credits the student’s account topay school charges. The amount of aid disbursed is based on when the school determined the student withdrew, not thestudent’s actual withdrawal date.

Title IV Aid That Could Have Been Disbursed34 CFR 668.22(l)(1).34 CFR 668.164(g)(2).

Title IV aid is also included in the return calculation if the student met the conditions of a late disbursement beforeceasing attendance at the school. Prior to withdrawal, the following must exist:

* ACG and SMART grant funding expired June 30, 2011.

6

NOTES

Condition Applicable Aid Programs

Student must have a SAR/ISIR with an official EFC. All aid programs.

School made the award to the student. FSEOG, TEACH and Perkins loan programs.

School originated the award. Stafford and PLUS loan programs.

Student signed a Master Promissory Note before thereturn calculation was completed.

Stafford and PLUS loan programs.

Student met academic year and GPA requirements. ACG and National SMART grant programs.*

Late Arriving Funds2011-2012 Federal Student Aid Handbook, Vol. 5, Ch. 2.

Late disbursements may arrive in subsequent payment periods. If a student withdrew during a subsequent paymentperiod, and aid for a previous payment period is received, the funds are not included in the return calculation. The schoolmay disburse the funds to the student for the previous payment period provided the conditions for a late disbursementare met.

Example

Kelvin is attending Marathon College, which has a two payment period academic year outlined as follows:

Payment Period 1: Sept. 1-Dec. 10.

Payment Period 2: Jan. 7-May 20.

Kelvin attends the first payment period, and requests a loan on Dec. 7, just before he completes the period. He thenbegins attendance in the next payment period, but withdraws on Jan. 10. His loan from the first payment period arrives atthe school on Jan. 20.

If Kelvin meets the conditions for a late disbursement, the school may disburse the funds. The school, however, cannotinclude the loan funds as aid that could have been disbursed because the funds were intended for the prior paymentperiod.

Scenario 1:

Kelvin's loan was only for the fall payment period. When he withdraws, the loan funds are not considered in the returncalculation for PP2 because the funds were intended for the prior payment period.

Scenario 2:

Kelvin's loan was requested for the entire academic year, with half allocated for the fall and the other half to be disbursedin the spring. When he withdraws in the spring, the fall loan funds are not considered in the return calculation becausethe funds were intended for the prior payment period. The spring loan funds, however, are counted in the returncalculation.

7

NOTES

Enrollment ActivitySept. 1 Dec. 10 Jan. 7 May 20

Student completes PP1 Jan. 10Student withdraws from PP2

Financial Aid ActivitySept. 1 Dec. 10 Jan. 7 May 20

Dec. 7Requested loan

Jan. 20Rec’d loan disbursement from PP1

Inadvertent OverpaymentsDear Colleague Letter GEN-04-03 (Revised).

Schools are required to have administrative functions in place to prevent inadvertent overpayments, such as immediatenotification to the financial aid office when a student ceases attendance. Inadvertent overpayments occur, however,when a school disburses funds to a student who has already ceased attendance for the period. Funds in these casesshould be counted as aid that could have been disbursed. If the school later determines that the funds qualify as a latedisbursement, only the unearned portion must be returned. If the funds do not meet the criteria for a late disbursement,the entire inadvertent overpayment must be returned.

8

NOTES

Case Study (cont.)

Monetary amounts should be in dollars and cents (rounded to the nearest penny). When calculating percentages, round to three decimal places. (For example, .4486 = .449, or 44.9%)

STEP 1: Student’s Title IV Aid Information

Title IV Loan Programs7. Unsubsidized FFEL/Direct Stafford Loan8. Subsidized FFEL/Direct Stafford Loan9. Perkins Loan10. FFEL/Direct PLUS (Graduate Student)11. FFEL/Direct PLUS (Parent)

G. Total Title IV aid disbursed and that could have been disbursed for the period.

Net Amount DisbursedNet Amount that Could Have Been Disbursed

E. Total Title IV aid disbursed for the period.

$ .E.

Subtotal Subtotal

+A.B.

F. Total Title IV grant aid disbursed and that could have been disbursed for the period.

A.C.$ .F.

B. D.

+

C.D.$ .G.

+

A.B.

=

=

=

Amount Disbursed Amount that Could Have Been DisbursedTitle IV Grant Programs

1. Pell Grant2. Academic Competitiveness Grant3. National SMART Grant4. FSEOG5. TEACH Grant6. Iraq and Afghanistan Service Grant

Subtotal SubtotalA. C.

Step 2:

Withdrawal Date34 CFR 668.22(b)-(c).

The student’s withdrawal date is used to determine thepercentage of the period completed for Return of Title IVFunds purposes. Establishing the student’s withdrawal dateis different for schools that are required to take attendancethan for those not required to take attendance. Allinstitutions, however, must establish and publish an officialwithdrawal process. Schools must designate at least oneoffice where students may officially withdraw and providethat office’s name and location to potential, current orreturning students.

Schools Required to TakeAttendance34 CFR 668.22(b).

If an institution is required by an outside agency (forexample, an accrediting or licensing agency) to takeattendance, the student’s withdrawal date is the last datethe student attended classes according to the institution’sattendance records. Schools required to take attendancewill always use attendance records to determine thewithdrawal date, regardless of whether the student followsthe school’s official withdrawal policy, fails to return froman approved LOA or enters an unauthorized LOA.

Regulations effective July 1, 2011, change the definition ofschools "required to take attendance" and continue tostipulate that only academic attendance records are used todocument a student's last date of attendance. Schools thattake attendance, regardless of the reason, are required to usethose records in the following circumstances to determinethe student’s last date of attendance for return calculationpurposes:

* The Final Rule stipulates that attendance must be"academic attendance" or "attendance at anacademically-related activity".

** For that period of time or group of students only.*** Using attendance records is not required, but schools are

encouraged to use the best information available todetermine last date of attendance.

9

Trainer’s Tidbit

2011-2012 Federal Student Aid Handbook, Vol. 5, Ch. 2, p.5-78.

“The goal of the Return provisions is to identify the datethat most accurately reflects the point when a studentceases academic attendance, not the date that willmaximize Federal Student Aid to the institution or to thestudent.”

Trainer’s Tidbit

Dear Colleague Letter GEN-11-14.

According to the Department of Education, a schoolmust determine a student's withdrawal date "...no laterthan 14 days after the student’s last date of attendanceas determined by the institution from its attendancerecords."

Use Academic Attendance Records* toDetermine Withdrawal Date Yes No

School required to take attendance by anoutside entity.

School required to take attendance at theprogram, department and/or institution level.

Outside entity requirements met only bytaking attendance.

Attendance recorded for a specified period oftime.**

Attendance records required by an outsideentity for subset of students.**

Attendance recorded only on a certain date.

Individual faculty members elect to takeattendance.***

Student required to self-certify attendance toan outside entity.

Schools Not Required to Take Attendance34 CFR 668.22(c).Dear Colleague Letter GEN-04-03 (Revised).

Schools not required to take attendance must select a method to determine the student’s last day of attendance forwithdrawal purposes. The procedure may be for all students or on a student-by-student basis. In any circumstances,schools may document the student’s last date in an academically-related activity as the withdrawal date.

Adapted from 2011-2012 Federal Student Aid Handbook, Vol. 5, Ch. 2, p. 5-145.* The school must determine the withdrawal date no later than 30 days after the end of the earliest of the (1) payment period

or period of enrollment (as appropriate), (2) academic year, or (3) educational program.** Rescission must be provided to the school in writing.

10

WithdrawalType Circumstance Withdrawal Date Date School Determined

Student Withdrew

All All Documented last date in anacademically-related activity.

The date the school becomesaware that the student ceasedattendance.*

OfficialNotificationProvided

The student begins the school’swithdrawal process

OR

The student provides officialnotification to the school ofintent to withdraw.

The date the student begins theschool’s withdrawal process

OR

The date that the studentprovides notification.If both circumstances occur, usethe earlier date.

The student’s withdrawal date

OR

The date of notification.If both circumstances occur, usethe later date.

OfficialNotification notProvidedUnofficialWithdrawal

Circumstances beyond thestudent’s control.

The date that the schooldetermines is related to thecircumstance beyond thestudent’s control.

The date the school becomesaware that the student ceasedattendance.*

All other instances where noofficial notification provided. The midpoint of the payment

period or period of enrollmentas applicable.

Student does not earn at leastone passing grade during theperiod.

LOA Related

The student does not returnfrom an approved LOA

The date that the schooldeterminse that the studentbegan the LOA.

The end date of the approvedLOA

OR

The date the school receivesnotification that the student willnot return.If both circumstances occur, usethe earlier date.

The student takes anunapproved LOA.

The date the student began anunapproved LOA.

Withdrawal AfterRescission ofOfficialNotification

The student withdraws afterrescinding** a previous officialnotification of withdrawal.

The student’s originalwithdrawal date from theprevious official notification.

The date the school becomesaware that the student did not,or will not, complete the period.

Last Date in an Academically-Related Activity34 CFR 668.22(c)(3).34 CFR 668.22(l).

Schools that are not required to take attendance by an outside entity or do not elect to take attendance must select amethod to determine the student’s last day of attendance for withdrawal purposes. The procedure may be for all studentsor on a student-by-student basis. One method that may be used is determining the student’s last day of an academically-related activity.

The last activity must be documented by a school official and may include, but is not limited to:

u Class attendance.

u Turning in a class assignment.

u Taking an exam, tutorial or computer-assisted instruction.

u Attending a study group that is assigned by the institution.

u Participating in an online discussion about the course.

u Initiating contact with a faculty member regarding the course material.

Academically-related activities do not include:

u Living in institutional housing.

u Participating in a school’s meal plan.

u Logging in to a distance education course without any other active participation.

u Academic counseling or advising.

11

NOTES

Failure to Receive a Passing GradeWhen a student does not pass any classes during a period completed, the school must determine if the student ceasedattendance or attended through the end of the period and "earned" the failing grades. The Department providesguidance for determining when a student is considered unofficially withdrawn through the following Dear ColleagueLetter.

12

NOTES

Current GuidanceGEN-04-03 (Revised).

“An institution must have a procedure for determining whether a Title IV aid recipient who began attendance during aperiod completed the period or should be treated as a withdrawal. We do not require an institution to use a specificprocedure for making this determination.“

At least one passing grade “If a student earns a passing grade in at least one course offered over an entire period, the institution may make thepresumption that the student completed the course and, thus, completed the period.”

No passing grades “If a student who began attendance and has not officially withdrawn fails to earn a passing grade in at least one courseoffered over an entire period, the institution must assume, for Title IV purposes, that the student has unofficiallywithdrawn, unless the institution can document that the student completed the period.“

Case Study (cont.)

A school that is not required to take attendance may, for a student who withdraws without notification, enter 50% in Box H and proceed to Step 3. Or, the school may enter the last date of attendance at an academically related activity for the “withdrawal date,” and proceed with the calculation as instructed. For a student who officially withdraws, enter the withdrawal date.

STEP 2: Percentage of Title IV Aid Earned

Start date

Scheduled end date Date of withdrawal

/ / / / / /

Step 2 (cont):

Percentage of Title IV Aid Earned34 CFR 668.22(e)(2).

The number of days attended determines the amount of Title IV aid the student earned. Regulations effective July 1, 2011, require schools to calculate the percentage of completion by dividing the number of completed days by the number of days the student was scheduled to attend in the period.

Scheduled Breaks34 CFR 668.22(f)(2).

Schools should not include scheduled breaks of five or more consecutive days in the Return of Title IV Funds calculation.The first day of a scheduled break is the first day after the last day of class, and the last day of a scheduled break is the daybefore the next class is held. For example, when classes end on a Friday and do not resume until Monday with a one-weekbreak between, a school would exclude nine days from the calculation (Saturday through the following Sunday).

13

NOTES

Include in days completed: Include in scheduled days:

u All calendar days completed in the period.

u The day the student withdrew.

u All calendar days in the period that the student wasscheduled to complete prior to withdrawing.

Exclude from days completd: Exclude from scheduled say:

u Days the student was not scheduled to be enrolled.

u Scheduled breaks of at least five consecutive days whenstudent is not scheduled to attend a module or othercourse offered during that period of time.

u Approved leaves of absence.

u Days the student was not scheduled to be enrolled.

u Scheduled breaks of at least five consecutive days whenstudent is not scheduled to attend a module or othercourse offered during that period of time.

u Approved leaves of absence.

Days completed in the period= Percentage Completed

Days scheduled to complete in the period

NOTES

Percentage of Period Completed34 CFR 668.22(e)(2).34 CFR 668.22(f).

Withdrawal from all classes through and including the 60 percent point in each payment period or period of enrollmentrequires a Return of Title IV Funds calculation. Students withdrawing from all classes after the 60 percent point areconsidered to have earned 100 percent of the Title IV funds disbursed. All schools are required to determine if a post-withdrawal disbursement is necessary, regardless of the percentage of the period completed.

14

Trainer’s Tidbit


"The one exception to the rounding rule occurs in determining the percentage of Title IV program assistance earned.Students who with draw at any point after the 60% point in the payment period or period of enrollment have earned100% of their Title IV funds. If the standard rounding rules were used in this situation, a quotient of .6001 through .6004,which is greater than 60%, would be rounded down to .600 (60%), and the student would not have earned 100% of hisor her Federal Stu dent Aid. In order to recognize that students completing more than 60% of the period (by any amount)earn 100% of their Federal Student Aid, amounts of .6001 through .6004 are not rounded for the purpose ofdetermining whether a student has earned 100% of the Title IV funds for the term."

Case Study (cont.)

Step 2

Step 3:

Title IV Aid Earned by the Student34 CFR 668.22(e)(1).

Once schools determine the percentage of the period attended, they must establish the amount of funds the studentearned through attending classes during that period.

15

NOTES

Case Study (cont.)

NOTES

Step 4:

Title IV Aid to be Disbursed or Returned34 CFR 668.22(a)(4)-(6).

Schools must determine whether funds are owed to a student who stops attending all classes at any time during apayment period or period of enrollment. If the amount of aid earned is greater than the amount paid or disbursed, thestudent is entitled to a post-withdrawal disbursement. Conversely, if the student did not earn all the aid received, theexcess must be returned to ED.

16

Trainer’s Tidbit

Post-Withdrawal Disbursements


"If a Post-withdrawal disbursement is due, a school stops at STEP 4, Box J on the worksheet. A school may use the Post-withdrawal Disbursement Tracking Sheet to track the handling of the Post-withdrawal disbursement, or it may use a formdeveloped by someone other than ED. A school must maintain written records of its Post-withdrawal disbursements."

For additional information about post-withdrawal disbursements, see 34 CFR 668.22(a)(5)-(6) and the 2011-2012 FederalStudent Aid Handbook, Vol. 5, Ch. 2, p. 5-113 - 5-122.

17

NOTES

Case Study (cont.)

Step 5:

Amount of Unearned Title IV Aid Due from School34 CFR 668.22(g).

Title IV aid that the student did not "earn" must be returned to the appropriate aid programs. Funds may be returned byeither the school or the student. When schools return Title IV funds, the calculation looks at whether the student receivedthe benefit of the institutional charges assessed by the school through attending classes. As a result, the school mustreturn the lesser of:

u The amount of the student’s unearned Title IV aid.

u The amount of institutional charges assessed for the period multiplied by the percentage of unearned funds.

Institutional Charges34 CFR 668.22(g)(2).Dear Colleague Letter GEN-00-24.2011-2012 Federal Student Aid Handbook, Vol. 5, Ch. 2.

Institutional charges may include “educationally-related expenses assessed by the institution”, such as tuition, fees,institutionally-contracted room and board, books and supplies charged to the student's account or othernondiscretionary educational expenses the school assesses. Institutional charges do not affect what a student "earns" inTitle IV funds, but they can affect what the student is required to return.

Institutional charges are determined based on the student’s withdrawal date. There are circumstances, however, wherethe amount of institutional charges to include may be unclear:

* Inclusion of institutional charges applies even if adjustment is made retroactively.

18

Circumstance Institutional Charges Included in R2T4 Calculation

School adjusts charges after the student withdraws basedon institutional refund policy.* School must use the amount of charges on the student’s

account as of the withdrawal date.School adjusts charges based on a change in enrollmentstatus prior to complete withdrawal.

Student is never assessed institutional charges, such as awaiver.

No expenses were on the student’s account, so noinstitutional charges will be included in the calculation.

Student is assessed charges that will be paid by anothersource, such as a scholarship or assistantship.

School must include any institutional charges on thestudent’s account as of the withdrawal date even if theywere not paid by Title IV aid.

Student pays school account balance out of pocket beforeTitle IV aid is applied to account.

School provides Title IV aid to the student before payingappropriate school expenses.

Trainer’s Tidbit


“Because the Return provisions do not affect institutional refund policies, a school must provide a student withinformation on both the school’s refund policy and the federal Return requirements, and explain the interaction betweenthe two. The information should include a discussion of how a school might adjust a student’s charges to take intoaccount any Return of FSA funds the school might be required to make. Finally, a student or prospective student shouldbe informed that if he or she withdraws, school charges that were previously paid by FSA funds might become a debitthat the student will be responsible for paying.”

19

NOTES

Case Study (cont.)

Step 6:

Return of Funds by the School34 CFR 668.22(i).2011-2012 Federal Student Aid Handbook, Vol. 5, Ch. 2.

Schools must return funds in a specified order, based on what types of aid the student received. Each fund will bereturned in the following order until the total net amount to return is achieved:

20

Case Study (cont.)

Trainer’s Tidbit


"Using the electronic refund function in G5 is the preferred method whenever a school must return Pell, IASGrant, ACG, National SMART, or FSEOG funds.

Only in exceptional circumstances (and never for a current Pell , IAS Grant, ACG, National SMART, or FSEOG award) should a school return funds from a Return calculation by sending a check instead of using the electronic refund function in G5. "

u Unsubsidized Direct Stafford loans. u ACG.u Subsidized Direct Stafford loans. u National SMART Grants.u Federal Perkins loans. u FSEOG.u Direct Grad PLUS loans. u TEACH Grants.u Direct Parent PLUS loans. u IASG.u Federal Pell Grants.

Step 7:

Initial Amount of Unearned Title IV Aid Due fromStudent34 CFR 668.22(h).

In some cases, the school will return the entire amount due back to federal aid programs; in others, the student will berequired to repay aid. The calculation determines an "initial" amount of funds the student is responsible to repay, whichmay be reduced based on additional regulations designed to protect the student.

Step 8:

Repayment of the Student’s Loans34 CFR 668.22(h)(3)(i).

Borrowers must return loan funds in accordance with the terms of the loan. Therefore, borrowers can repay any unearnedloan funds in the same manner that they repay earned loan funds.

21

Case Study (cont.)

Case Study (cont.)

Step 9:

Grant Funds to be Returned34 CFR 668.22(h)(3)(ii).

Grant funds disbursed or that could have been disbursed are subject to a 50 percent reduction in the amount that mustbe repaid. The school must return the full amount owed to any Title IV program, except those amounts of less than onedollar. Grant funds to be returned to ED may turn into overpayments for students. If not resolved, students with grantrepayment obligations may no longer be eligible for other Title IV aid programs because the return of funds is consideredan overpayment.

22

Trainer’s Tidbit


"The grant protection always applies to the repayment of grant funds for which the student is responsible, regardlessof who actually returns the funds. If an institution chooses to return all or a portion of a grant overpayment that otherwisewould be the responsibility of the student to return, the grant protection still applies. If an institution returns a grantoverpayment for a student, the student would no longer be considered to have a Title IV grant overpayment and assuch no reporting to NSLDS is required and no referral to Debt Resolution Services for collection is allowed. This wouldbe true whether the institution simply returned the overpayment for the student or returned the overpayment andcreated a debit on the student’s school account."

Case Study (cont.)

Step 10:

Return of Grant Funds by Student34 CFR 668.22(h)(3)(ii)(B).34 CFR 668.22(i).2011-2012 Federal Student Aid Handbook, Vol. 5, Ch. 2.

Any amounts of $50 or less per program are not required to be returned. Each fund will be returned in the following orderuntil the total net amount to return is achieved:

u Federal Pell Grant.

u ACG.

u National SMART Grant.

u FSEOG.

u TEACH Grant.

u IASG.

23

NOTES

Case Study (cont.)

Deadlines2011-2012 Federal Student Aid Handbook, Vol. 5, Ch. 2.

Schools and students (or parents) have deadlines that must be met when completing the various requirements of aReturn of Title IV funds calculation. Some deadlines are triggered by other activities in the return calculation, whereasothers are not specified.

24

NOTES

School Deadlines

Adapted from 2011-2012 Federal Student Aid Handbook, Vol. 5, Ch. 2, p. 5-148.

25

Requirement Deadline Triggering Event Reference

Determining the withdrawal date fora student who unofficiallywithdraws.

30 days… After the end of the earlier of:

u Payment or enrollmentperiod.

u Academic year in which thestudent withdrew.

u Educational program fromwhich the studentwithdrew.

34 CFR 668.22(j)(2).

Return of unearned Title IV funds. As soon as possible,but no later than 45days…

After the date the schooldetermined the studentwithdrew.

34 CFR 668.22(j)(1).

Written notification providing thestudent (or parent) the opportunityto accept all or part of a post-withdrawal disbursement of Title IVloan funds to the student’s account.

Within 30 days… Of the date the schooldetermined the studentwithdrew.

34 CFR 668.22(a)(6)(iii)(A).

Post-withdrawal disbursement tothe student’s account for currentallowable and authorized prior-yeareducational charges.

As soon as possible,but no later than180 days…

Of the date the schooldetermined the studentwithdrew.

34 CFR 668.22(a)(6)(iii)(C).

Written notification of the student’seligibility for a post-withdrawaldisbursement of Title IV loan funds inexcess of outstanding currenteducational charges.


34 CFR 668.22(a)(6)(ii)(B).

Post-withdrawal disbursement forearned Title IV funds to the studentin excess of outstanding currenteducational charges.

Loans: As soon aspossible, but nolater than 180days…

From the date the schooldetermined the studentwithdrew.

34 CFR 668.22(a)(6)(iii)(C).

Grants: As soon aspossible, but nolater than 45 days...

From the date the schooldetermined the studentwithdrew.

34 CFR 668.22(a)(6)(ii)(B)(1).

Notification to student (or parent) ofoutcome of late request for a post-withdrawal disbursement to student(if school denies request).

Not specified, but assoon as possible.

Not applicable. 34 CFR 668.22(a)(6)(iii)(E).

Notification to student of grantoverpayment obligation.


34 CFR 668.22(g)(4)(ii).

Referral of student to Collections, ifstudent does not pay overpaymentin full, enter into a repaymentagreement or fails to meet terms ofrepayment agreement.

Not specified, but assoon as possible.

Not applicable. 34 CFR 668.22(h)(4)(iv).

Student (or Parent) Deadlines

Adapted from 2011-2012 Federal Student Aid Handbook, Vol. 5, Ch. 2, p. 5-148.

26

NOTES

Requirement Deadline Triggering Event Reference

Submit response instructing schoolto make post-withdrawaldisbursement.

School-specified.Must be the same forcrediting thestudents accountand making a directdisbursement to thestudent (or parent).

Not applicable. 34 CFR 668.22(a)(6)(iii)(B).

Return of unearned Title IV funds.

Loans: According tothe terms of theloan.

Not applicable. 34 CFR 668.22(h)(3)(i).

Grants: Within 45days…

Earlier of:

u Date school sentoverpayment notice, OR

u Date school was requiredto send overpaymentnotice.

34 CFR 668.22(g)(4)(iv).

Programs with Modules orCompressed Courses2011-2012 Federal Student Aid Handbook, Vol. 5, Ch. 2.

The period used to calculate a Return of Title IV Funds forstudents in term-based programs is the term, such as thesemester, trimester or quarter.

Modules, mini-sessions or compressed courses within aperiod have any of the following characteristics:

u Shorter in length than the term.

u Comprised of smaller blocks of time within a single term.

u Offered sequentially, rather than concurrently, thoughsome modules may overlap.

u Students may begin attendance in any module and/orskip modules.

u Students enroll upfront for any or all modules, but mayadd or drop courses in one or more later modules.

Treatment of IntersessionsDear Colleague Letter GEN-00-24.2011-2012 Federal Student Aid Handbook, Vol. 3, Ch. 1.

Schools may offer intersessions between standard terms.To continue processing aid as a term-based program, theseintersessions must be attached to a standard term, such asa semester, trimester or quarter. To calculate the number ofcompleted days in the period, the intersession would beincluded in the payment period or period of enrollment. Inthe Final Rule preamble, ED reminds schools, “Note that allthe courses in the…term are considered modules forpurposes of a Return of Title IV Funds calculation when theintersession is included in the payment period” (FederealRegister, Vol. 75, No. 29, p. 66897).

Example

Cherry College offers a winter intersession between the falland spring terms. The winter “mini-mester” is consideredpart of the fall term for financial aid purposes. The FinalRule mandates that the use of an intersession in thisfashion now defines the fall term as containing twomodules for return calculation purposes: One for thestandard term and the other for the winter mini-mester.

27

NOTES

Trainer’s Tidbit

2011-2012 Federal Student Aid Handbook, Vol. 3, Ch. 1,p. 3-4.

“If you choose not to combine a nonstandard term inthis manner, the program must be treated as a nontermprogram for DL, and a formula 3 program for Pell &TEACH. The fact that you did not combine the term doesnot negate the requirement that a student must beconsidered for FSA aid if enrolled and eligible in theterm.”

Academic Calendar

Fall Term Spring TermFall Term Spring Term

FallWinter

mini-mesterSpring

Module 1 Module 2

NOTES

Determining if a Student has Withdrawn34 CFR 668.22(a) and (l).Program Integrity Questions and Answers.

Regulations effective July 1, 2011, prevent students from enrolling in modules or compressed courses spanning theperiod, completing a portion of the period, and retaining all aid for the period. The regulations would change therequirements in determining if a student has withdrawn:

* The written confirmation must occur at the time that otherwise would have been a withdrawal and before the beginning ofthe subsequent module.

** Regardless of whether program is offered in modules.*** Except scheduled breaks of at least five consecutive days or approved leaves of absence.

28

ScenarioCredit-Hour Program

Term-Based Non-Standard Term Non-Term

Student does not completescheduled enrollment. Considered withdrawn.

Student withdraws fromcurrent module, butprovides writtenconfirmation that studentwill attend a later moduleduring the same period.*

Not consideredwithdrawn.

Not considered withdrawn only if the later module the studentplans to attend begins no later than 45 days after the end of themodule the student ceased attending.

Student withdraws andfails to return afterproviding writtenconfirmation.

Considered withdrawn based on original withdrawal date.

Student withdraws anddoes not provide writtenstatement, but returns...

During same period: Eligible for all funds, if enrollment statussupports funding.**

Within 180 days of withdrawal date: Eligible for any funds not disbursed attime of withdrawal.

After 180 days of withdrawal date: Must begin new period and determineaid eligibility accordingly.

School calculates thepercentage of completionby…

Dividing the number of completed days by the number of days the student was scheduledto attend in the period, regardless of whether the student completed a course less thanthe term length.***

Case Study: Delaney and Chelsea

Hairston College offers classes that span each standard term, as well as modules during each term. The school establisheda single payment period for the following sessions offered during the fall 2011 term:

Fall A: Sept. 1-Dec. 20.

Fall B: Sept. 1-Sept. 30.

Fall C: Oct. 7-Nov. 7.

Fall D: Nov. 21-Dec. 20.

Which sessions are considered modules?

Delaney enrolled in three hours during each session, for a total enrollment of 12 hours. She completes Fall B, butwithdraws on Oct. 10 from the remainder of her coursework.

Is a Return of Title IV Funds calculation required for Delaney? Why or why not?

Chelsea enrolled in three hours during Fall B, C and D, for a total enrollment of nine hours. She completes Fall B,withdraws from Fall C on Oct. 10, but is still enrolled for Fall D.

Is a Return of Title IV Funds calculation required for Chelsea? Why or why not?

29

NOTES

Academic Calendar Sept. 1 Sept. 30 Oct. 7 Nov. 7 Nov. 21 Dec. 20 Fall A

Fall B

Fall C

Fall D

Failing to Receive a Passing GradeThere continues to be an absence of regulations detailing how schools determine whether a student who failed toreceive at least one passing grade during the period has unofficially withdrawn. The Department provides additionalguidance for modules in the preamble of the Final Rule.

Example

Mary is a student at Stonebridge State University in a term-based program offered in modules. Mary enrolls in fourmodules during the fall 2011 term. She successfully completes modules 1, 2 and 3 but does not receive a passing grade inmodule 4. SSU must document Mary’s last date of attendance during the fall term for return calculation purposesbecause she did not successfully complete the final module during that term. If SSU is unable to document attendance inmodule 4, Mary’s last date of attendance would be the last scheduled day of module 3.

30

NOTES

Current GuidanceGEN-04-03 (Revised).

Additional Guidance for ModulesFederal Register, Vol. 75, No. 209, p. 66896.

“An institution must have a procedure for determiningwhether a Title IV aid recipient who began attendanceduring a period completed the period or should be treatedas a withdrawal. We do not require an institution to use aspecific procedure for making this determination.“

At least one passing grade “If a student earns a passing grade in at least one courseoffered over an entire period, the institution may make thepresumption that the student completed the course and,thus, completed the period.”

No passing grades “If a student who began attendance and has not officiallywithdrawn fails to earn a passing grade in at least onecourse offered over an entire period, the institution mustassume, for Title IV purposes, that the student hasunofficially withdrawn, unless the institution candocument that the student completed the period.“

“[An] institution may presume a student completed theperiod in a program offered in modules if the student didnot officially withdraw from the institution and received apassing grade in all courses the student was scheduled toattend during the period. If a student in a program offeredin modules does not receive a passing grade in the lastcourse or courses he or she was scheduled to attend, theinstitution must otherwise demonstrate that the studentcompleted the period…”

ED describes the following test that may be used to establish a student’s withdrawal status from courses offered inmodules:

Adapted from Federal Register, Vol. 75, No. 209, p. 66895-96.

31

NOTES

After beginning attendance in the paymentperiod or period of enrollment, did the studentcease to attend or fail to begin attendance in acourse he or she was scheduled to attend?

Student is not withdrawn.

Student is withdrawn.

When the student ceased to attend or failed tobegin attendance in a course he or she wasscheduled to attend, was the student stillattending any other courses?

Did the student confirm attendance in a coursein a module beginning later in the period?

Yes

Yes

No

No

No

Example






Jamal enrolled in three hours during each session, for a total enrollment of 12 hours. Below is a timeline of the academiccalendar and his enrollment activity.

The following indicates the number of hours and which classes Jamal is attending and completed:

32

NOTES

Attending Completed

Hours Module Hours Module

Sept. 1 6 A & B 0 N/A

Sept. 30 6 A & B 3 B

Oct. 7 6 A & C 3 B

Oct. 10 3 A 3 B

Nov. 7 3 A 3 B

Nov. 21 6 A & D 3 B

Nov. 25 3 D 3 B

Dec. 20 3 D 6 B & D


Fall B

Fall C

Fall D

Enrollment Activity Sept. 1 Classes begin

Sept.30 Completes Fall B

Oct. 7 Begins Fall C

Nov. 7 Nov. 21 Begins Fall D

Dec. 20 Completes Fall D

Classes end Oct. 10

Withdraws from Fall C Nov. 25

Withdraws from Fall A

Students Selected for Verification34 CFR 668.22(j) (Return deadlines).34 CFR 668.60 (Verification deadlines).Dear Colleague Letter GEN-04-03 (Revised).2011-2012 Federal Student Aid Handbook, AVG, Ch. 4.

Students who withdraw and are selected for verification have different requirements for the Return of Title IV Fundscalculation based on whether verification was complete before or after the return and verification deadlines. EDestablishes verification documentation deadlines annually in the Federal Register, which also apply to students who haveceased attendance. Students, therefore, that submit verification documents by the appropriate deadlines may still qualifyfor post-withdrawal disbursements.

Processing a Return Calculation for Students Selected for Verification

*Also applies when insufficient documents are submitted to complete verification by the return deadline.

33

NOTES

Student withdraws and school completes verification...

Before return and verification deadlines.

Include the following post-verificationamounts as aid that could have beendisbursed:

u Federal Pell Grants.

u ACG.

u National SMART Grants.

u FSEOG.

u TEACH Grants.

u IASG.

u Perkins loans.

u Subsidized Stafford loans.


u PLUS loans.

After return deadlines.*

Include the following as aid that couldhave been disbursed:


u PLUS loans.

After return calculation completed, butbefore school verification deadlines.

RecalculateR2T4 and...

Interim Disbursements34 CFR 668.58.Dear Colleague Letter GEN-04-03 (Revised).

Interim disbursements may not be made for students who are no longer attending the school. If a withdrawn studentdoes not establish eligibility for funds provided as an interim disbursement, those funds must be returned to ED. If theschool is unable to complete verification prior to the return deadline, any interim disbursements are not included in thereturn calculation as aid disbursed or could have been disbursed and all funds must be returned to ED.

Example

Clara received an interim disbursement of $2,000 in Pell Grant funds before classes started. She submitted all the requiredverification documents the week before she completely withdrew from classes. Her school was able to complete theverification process before the return deadline. After verification, Clara only qualifies for $500 in Pell Grant funds for theperiod. The school would be required to repay the $1,500 overpayment in addition to any funds that must be returnedafter her return calculation is complete.

34

NOTES

Trainer’s Tidbit

2011-2012 Federal Student Aid Handbook, AVG, Ch. 4, p. AVG 89.

“You can make an interim disbursement of some Title IV funds before verification is complete if you have no reason tobelieve the application information is inaccurate. … Your school is liable for an interim disbursement if verificationshows the student received an overpayment or if he fails to complete verification.”

Trainer’s ToolkitThe Trainer’s Toolkit is a listing of terms, web sites, andreference material directly related to Return of Title IVFunds: Credit Hour Calculation.

Terms, Acronyms andAbbreviationsAcademic Competitiveness GrantACG

Provides up to $750 for the first year of undergraduatestudy and up to $1,300 for the second year ofundergraduate study to students enrolled at least half timewho are eligible for a Federal Pell Grant and who havesuccessfully completed a rigorous high school program, asdetermined by the state or local education agency andrecognized by the U.S. Secretary of Education. Note: Thisprogram is scheduled to expire and will not be available foracademic years beginning July 1, 2011.

Academic YearAY

For the purposes of Title IV aid, a period that begins on thefirst day of classes and ends on the last day of classes orexaminations. For a course of study measured in credithours, an academic year consists of at least 30 weeks ofinstructional time during which a full-time, undergraduatestudent is expected to complete either of the following: Atleast 24 semester or trimester hours or 36 quarter hours.For a program measured in clock hours, an academic yearis a period of at least 26 weeks during which the student isexpected to complete at least 900 clock hours. The U.S.Department of Education may, at its option, reduce theminimum number of weeks in an academic year. For agraduate or professional program of study, an academicyear is a period of at least 30 weeks of instructional timeand the school determines the number of hours thatconstitute full-time status for each of its graduate-levelprograms.

Credit HourUnit of measure by which some schools and programs ofstudy at some schools assess academic progress.

DayA calendar day unless otherwise noted.

Dear Colleague Letters DCL

ED-distributed letters to schools, lenders, servicers andguarantors that provide interpretive policy guidance aboutthe federal student aid programs. Typically, ED issues theseletters to provide interim guidance after Congressreauthorizes the Higher Education Act or between releasesof final regulations.

Department of Education ED

The U.S. Department of Education is the governmentagency that administers federal student financial aidprograms, including the Federal Pell Grant, the TEACHGrant, the Federal Work-Study Program, the Federal PerkinsLoan and the Federal Direct Loan Programs.

DisbursementThe transfer of loan proceeds to a student or a student’sschool account. For a Consolidation loan, disbursement isthe transfer of loan proceeds to the current holder(s) of theloan(s) being consolidated.

Expected Family Contribution EFC

The Expected Family Contribution is a measure of howmuch a student and the student's spouse or family areexpected to contribute toward the student's Cost ofAttendance. The federal need-analysis methodology mustbe used to calculate the EFC. The EFC is not the amount ofmoney that a student or student's family must provide.Rather, the EFC is an index used to determine how muchfinancial aid a student will receive at a particular school.

Federal Pell Grant ProgramA Federal Pell Grant, unlike a loan, does not have to berepaid. It is awarded to undergraduate students who havedemonstrated need, and, in some instances, to thoseattending a post-baccalaureate teacher certificate programto help pay for postsecondary education.

Federal Perkins Loan ProgramA Federal Pell Grant, unlike a loan, does not have to berepaid. It is awarded to undergraduate students who havedemonstrated need, and, in some instances, to thoseattending a post-baccalaureate teacher certificate programto help pay for postsecondary education.

35

Federal PLUS Loan Non-need-based loan available to parents of dependentundergraduate students and to graduate or professionalstudents borrowing on their own behalf.

Federal Stafford LoanA loan, both subsidized (need-based) and unsubsidized(non-need based) available to students to fund education.

Federal Supplemental EducationalOpportunity Grant Program FSEOG

A need-based grant program for undergraduate studentsfunded by the federal government. These grants aredesigned to supplement Pell Grant awards to exceptionallyneedy students.

Federal Work-Study Program FWS

Provides part-time jobs to undergraduate and graduatestudents with financial need, allowing them to earn moneyto help pay education expenses.

FundsAny monies including checks, drafts or other instruments;any commitment to provide money.

Gaining Early Awareness andReadiness for UndergraduateProgramsGEAR UP

www.ed.gov/gearup.

GEAR UP is a federal program designed to better preparemiddle and high school students for college throughmentoring programs and scholarships, as well as newacademic preparation and awareness programs forstudents and parents.

Grade Point Average GPA

The GPA is an average of a student's grades, typicallyconverted to a 4.0 scale (4.0 is an A, 3.0 is a B, 2.0 is a C and1.0 is a D).

Higher Education Act of 1965, as AmendedHEA

Authorizes most of the programs and activities that assistand enable students to enter and succeed inpostsecondary education. The primary focus of the HEA isstudent aid, in the form of grants, loans and work-studyassistance.

Information for Financial AidProfessionals IFAP

www.ifap.ed.gov.

A website that provides school and financial partners withelectronic access to the many FSA publications that guidethe administration of the Title IV Student FinancialAssistance programs, such as Federal Registers, DearColleague Letters, electronic announcements and variousforms and publications.

Institutional Student Information RecordISIR

An electronic record provided to the school by the U.S.Department of Education’s Central Processing System. TheISIR includes information provided by student and parentson the FAFSA, such as the student’s Expected FamilyContribution and the results of federal database matches,including citizenship and Social Security number.

Interim DisbursementOccurs when funds are disbursed before final eligibility isdetermined.

36

Iraq and Afghanistan Service GrantIASG

A federal grant program available to Title IV-eligibleundergraduate students pursuing a first baccalaureatedegree who do not demonstrate financial need for PellGrants, but whose parents or guardians died as a result ofmilitary service in Iraq or Afghanistan after Sept. 11, 2001.To qualify, the students must have been either under 24years of age or enrolled in an institution of highereducation at the time of their parents' or guardians' death.

Financial need is not required and the grant award will notcount as part of the EFA. Award amounts will be based onthe maximum Pell Grant award for each year, includingadjustments for less than full-time enrollment, and cannotexceed the Cost of Attendance. Funding will be subject tothe federal appropriations process.

Late DisbursementA disbursement made by a school after the earlier of theend of the applicable loan period or the date on which thestudent ceased to be enrolled on at least a half-time basis.Late disbursements must be made no later than 180 daysafter the earlier of these dates and certain criteria must bemet to qualify a borrower for a late disbursement.

Leave of Absence LOA

A break in enrollment, not including a normal break, forwhich the student requests a leave and is approved by theschool based upon the school's published leave of absencepolicy. The total number of days of all approved leaves ofabsence never may exceed 180 days in any 12-monthperiod.

Leveraging Educational Assistance Partnership LEAP

The LEAP Program provides grants to states to assist themin providing need-based grants and community servicework-study assistance to eligible postsecondary students.

Loan PeriodAs defined by federal regulations, the period for which aStafford or PLUS loan is intended. The period of enrollmentmust coincide with a bona fide academic term establishedby the school for which the school's charges generally areassessed (semester, trimester, quarter, length of thestudent's program or the school's academic year). SeePeriod of Enrollment.

Master Promissory NoteMPN

A promissory note for Stafford or PLUS loans under whichthe borrower may receive one or more loans for either asingle period of enrollment or multiple periods ofenrollment. If used for attendance at a school eligible touse the multi-year feature, most borrowers sign the MPNonce and it is valid up to ten years.

National Science and MathematicsAccess to Retain Talent Grant SMART Grant

Provides up to $4,000 for each of the third and fourth yearsof undergraduate study to students enrolled at least halftime who are eligible for a Federal Pell Grant and who aremajoring in physical, life or computer sciences,mathematics, technology or engineering, or in a foreignlanguage determined critical to national security. Thisprogram is scheduled to expire and will not be available foracademic years beginning July 1, 2011. Note: This programis scheduled to expire and will not be available for academicyears beginning July 1, 2011.

National Student Loan Data System NSLDS

A database comprised of information from guarantors,schools, lenders and the U.S. Department of Education.NSLDS contains information on Title IV aid received bystudents.

Net AmountThe resulting amount after any applicable taxes or feeshave been deducted.

Nonstandard Term ProgramAny term that does not meet the generally accepteddefinition of semester, trimester or quarter, as it relates toweeks of instructional time and number of hourscompleted.

Non-Term ProgramA program is considered to be using a non-term calendarwhen courses overlap different terms or do not begin andend within a single term or within a set period of time.Programs may be measured in either credit hours or clockhours.

OverpaymentAny amount of financial aid paid to students in excess ofthe amount they were eligible to receive.

37

Payment PeriodThe basis on which a school must schedule and disburseTitle IV student assistance for a particular period ofenrollment. The payment period begins on the first day ofregularly scheduled classes and is determined based onthe structure of the school's academic program. At a schoolthat uses standard terms, the payment period is the term.At a school that does not use standard terms, a paymentperiod is measured in credit or clock hours completed bythe student in relation to the length of the student'sprogram of study.

Period of EnrollmentSee Loan Period.

Post-Withdrawal Disbursement PWD

A disbursement for which the student qualifies when thereturn of Title IV funds calculation demonstrates that thestudent is eligible to receive more Title IV aid than wasdisbursed prior to the student's withdrawal. A post-withdrawal disbursement must meet certain conditions forlate disbursement.

Return of Title IV FundsR2T4

The federally mandated process by which a schoolcalculates the amount of federal funds to be returned for aTitle IV aid recipient who withdraws or who ceasesattendance during a payment period or period ofenrollment. The calculations may result in a reduction ofthe student’s Title IV loan and grant aid to reflect thepercentage of the payment period or period of enrollmentthat the student attended, if he or she attended 60 percentor less of the period. Based on these calculations, theschool and the student may be required to returnunearned federal assistance.

Standard Academic TermsIncludes quarters, trimesters and semesters. The terms areapproximately the same length.

Student Aid Report SAR

A record provided to the student by the U.S. Department ofEducation’s Central Processing System. The SAR includesinformation provided by the student on the FAFSA. TheSAR also contains the student’s Expected FamilyContribution and the results of federal database matches(including citizenship and Social Security numbermatches).

Student Support Services SSS

A federal program that provides grants for projectsdesigned to support the success of low-income, first-generation college students and individuals withdisabilities.

Teacher Education Assistance forCollege and Higher Education Grant TEACH Grant

Awarded to qualified students who are willing to make acommitment to teach full time for at least four academicyears within eight years of completing their programs ofstudy. Recipients must teach at schools serving low-income students and must teach in high-need subjectareas for four years at a high-need school within eightyears of completing college.

Title IVA section of the Higher Education Act of 1965, as amended,that authorizes federal loan, work-study and granteducation financial assistance programs.

VerificationA school’s procedure for confirming the accuracy ofinformation reported by the student on the FAFSA.Verification may include requesting a copy of the taxreturns filed by the student and, if applicable, the student'sparents.

38

References, Resources and Web SitesU.S. Department of EducationElectronic Code of Federal Regulations

http://ecfr.gpoaccess.gov.

Program Integrity IssuesFinal Rule.75 Federal Register 66832.Oct. 29, 2010.www.gpo.gov/fdsys/pkg/FR-2010-10-29/pdf/2010-26531.pdf.

2011-2012 Federal Student Aid HandbookApplication and Verification Guide.

Ch. 4: Verification.Volume 3: Calculating Awards and Packaging.

Ch. 1: Academic Calendar, Payment Periods and Disbursements.Volume 5: Overawards, Overpayments, & Withdrawal Calculations.

Ch. 2: Withdrawals and the Return of Title IV Funds.www.ifap.ed.gov.

Dear Colleague Letter GEN-11-14Subject: Implementation of Program Integrity regulations.July 20, 2011.www.ifap.ed.gov.

Dear Colleague Letter GEN-04-03Subject: Return of Title IV Aid.Feb. 13, 2004; revised Nov. 17, 2004. www.ifap.ed.gov.

Dear Colleague Letter GEN-00-24Subject: Return of Title IV Aid — Volume #1.December 2000.www.ifap.ed.gov.

Program Integrity Questions and Answerswww.ed.gov/policy/highered/reg/hearulemaking/2009/integrity-qa.html.

Return of Title IV Funds Worksheethttp://ifap.ed.gov/ifap/titleiv.jsp.

Return of Title IV Funds on the WebFAA Access to CPS Online.https://fafsa.ed.gov/FOTWWebApp/faa/faa.jsp.

FSA AssessmentsReturn of Title IV Funds.http://ifap.ed.gov/qahome/qaassessments/returntivfunds.html.

USA FundsUSA Funds Ask PolicySM

USA Funds Ask PolicySM is a resource for schools and lenders who have questions about specific policies or other issuesrelated to the full range of Title IV federal student aid.http://support.usafunds.org/AskPolicy.

Current Integrated RegulationsCompiled by NCHELP, provided by USA Funds.www.usafunds.org/schools/Pages/Policy.aspx.

39

Appendices

Appendix AReturn of Title IV Funds Worksheet: Credit-Hour Programs

Appendix BReturn of Title IV Funds Requirements and Notification

Appendix CReturn of Title IV Funds Policies and Procedures

Appendix DCase Study Answers

Appendix ELate Disbursement vs. Post-Withdrawal Disbursement

41

Appendix AReturn of Title IV Funds Worksheet: Credit-Hour Programs

42





If this percentage is greater than 60%, enter 100% in Box H and proceed to Step 3.

If this percentage is less than or equal to 60%, enter that percentage in Box H, and proceed to Step 3.

Start date

. %H.

Multiply the percentage of Title IV aid earned (Box H) by the Total Title IV aid disbursed and that could have been disbursed for the period (Box G).

STEP 3: Amount of Title IV Aid Earned by the Student

Box H Box Gx = .% I. $

If the amount in Box I is greater than the amount in Box E, go to Item J (Post-withdrawal disbursement).

If the amount in Box I is less than the amount in Box E, go to Title IV aid to be returned (Item K).

If the amounts in Box I and Box E are equal, STOP. No further action is necessary.

STEP 4: Title IV Aid to be Disbursed or Returned

Box I Box E– = .$J.

J. Post-withdrawal disbursementFrom the Amount of Title IV aid earned by the student (Box I) subtract the Total Title IV aid disbursed for the period (Box E). This is the amount of the post- withdrawal disbursement.

p. 1 of 3


H. Percentage of payment period or period of enrollment completedDivide the calendar days completed in the period by the total calendar days in the period (excluding scheduled breaks of five days or more AND days that the student was on an approved leave of absence).

Step 4 continued

Completed days Total days

÷ = . %





/ / / / / /


Title IV Loan Programs7. Unsubsidized FFEL/Direct Stafford Loan8. Subsidized FFEL/Direct Stafford Loan9. Perkins Loan10. FFEL/Direct PLUS (Graduate Student)11. FFEL/Direct PLUS (Parent)




$ .E.

Subtotal Subtotal

+A.B.


A.C.$ .F.

B. D.

+

C.D.$ .G.

+

A.B.

=

=

=

You should use this form when the withdrawal date is on or after 7/1/2010



Subtotal SubtotalA. C.

Stop here, and enter the amount in “J” in Box 1 on Page 3 (Post-withdrawal disbursement tracking sheet).

43



p. 2 of 3

STEP 5: Amount of Unearned Title IV Aid Due from the School

.$L.

L. Institutional charges for the period

M. Percentage of unearned Title IV aid

Total Institutional Charges (Add all the charges together)

Box H

– = .% M.100%

Box M

x = .% $N.Box L

%N. Amount of unearned charges

Multiply institutional charges for the period (Box L) by the percentage of unearned Title IV aid (Box M).

.$O.

O. Amount for school to returnCompare the amount of Title IV aid to be returned (Box K) to amount of unearned charges (Box N), and enter the lesser amount.

TuitionRoomBoardOtherOtherOther

=

From the Net loans disbursed to the student (Box B) subtract the Total loans the school must return (Box P) to find the amount of Title IV loans the student is still responsible for repaying (Box R).These loans consist of loans the student has earned, or unearned loan funds the school is not responsible for repaying. They are repaid to the loan holders according to the terms of the borrower’s promissory note.

STEP 8: Repayment of the Student’s loans

If Box Q is less than or equal to Box R, STOP. The only action a school must take is to notify the holders of the loans of the student’s withdrawal date.

If Box Q is greater than Box R, proceed to Step 9.

Box B Box P– .$R.=

STEP 4: Aid to be Disbursed or Returned CONTINUEDK. Title IV aid to be returned

From the Total Title IV aid disbursed for the period (Box E) subtract the amount of Title IV aid earned by the student (Box I). This is the amount of Title IV aid that must be returned.

Box E Box I– = .$K.

Box K Box O– = .$Q.

STEP 7: Initial Amount of Unearned Title IV Aid Due from the Student

From the amount of Title IV aid to be returned (Box K) subtract the Amount for the school to return (Box O).

If Box Q is zero, STOP. If greater than zero, go to Step 8

S. Initial amount of Title IV grants for student to returnFrom the initial amount of unearned Title IV aid due from the student (Box Q) subtract the amount of loans to be repaid by the student (Box R) .

T. Amount of Title IV grant protectionMultiply the total of Title IV grant aid that was disbursed and that could have been disbursed for the period (Box F) by 50%.

U. Title IV grant funds for student to return From the Initial amount of Title IV grants for student to return (Box S) subtract the Amount of Title IV grant protection (Box T).

STEP 9: Grant Funds to be Returned

Box Q Box R

– $S. .=

Box Fx 50% $T. .=

Box S Box T– U. .=

If Box U is less than or equal to zero, STOP. If not, go to Step 10.

$


Amount To ReturnTitle IV Grant Programs1. Pell Grant2. Academic Competitiveness Grant3. National SMART Grant4. FSEOG5. TEACH Grant6. Iraq and Afghanistan Service

Except as noted below, the student must return the unearned grant funds for which he or she is responsible (Box U). The grant funds returned by the student are applied in order as indicated, up to the amount disbursed from that grant program minus any grant funds the school is responsible for returning to that program in Step 6.Note that the student is not responsible for returning funds to any program to which the student owes $50.00 or less.

STEP 10: Return of Grant Funds by the Student

The school must return the unearned aid for which the school is responsible (Box O) by repaying funds to the following sources, in order, up to the total net amount disbursed from each source.

STEP 6: Return of Funds by the School

Title IV Programs1. Unsubsidized FFEL/Direct Stafford Loan2. Subsidized FFEL/Direct Stafford Loan3. Perkins Loan4. FFEL/Direct PLUS (Graduate Student)5. FFEL/Direct PLUS (Parent)


Amount for School to Return

.$P.Total loans the school must return =

44

p. 3 of 3

Post-withdrawal DISBURSEMENT TRACKING SHEET


Date of school's determination that student withdrew / /

I. Amount of Post-withdrawal Disbursement (PWD)

Amount from “Box J” of the Treatment of Title IV Funds When a Student Withdraws worksheet Box 1 $ .

/ /

/ /

Post-withdrawal disbursement loan notification sent to student and/or parent on

V. Authorizations and Notifications

Response received from student and/or parent on Response not received

Deadline for student and/or parent to respond / /

School does not accept late response

/ / Date Direct Disbursement mailed or transferred

VI. Date Funds Sent

$ .

III. Post-withdrawal Disbursement Offered Directly to Student and/or Parent

From the total Post-withdrawal Disbursement due (Box 1), subtract the Post-withdrawal Disbursement to be credited to the student’s ac-count (Box 2) . This is the amount you must make to the student (grant) or offer to the student or parent (Loan) as a Direct Disbursement.

$ . $ . $ .– = Box 3Box 1 Box 2

II. Outstanding Charges For Educationally Related Expenses Remaining On Student’s Account

Total Outstanding Charges Scheduled to be Paid from PWD (Note: Prior-year charges cannot exceed $200.)

Box 2 $ .

IV. Allocation of Post-withdrawal Disbursement

Type of Aid Loan AmountSchool Seeks

to Credit toAccount

Loan AmountAuthorizedto Credit to

Account

Title IV Aid Credited

to Account

Loan Amount Offered

as DirectDisbursement

Unsubsidized FFEL / Direct

Subsidized FFEL / Direct

Perkins

FFEL / Direct Grad Plus

FFEL / Direct Parent Plus

Totals

Pell Grant

ACG

National SMART Grant

FSEOG TEACH Grant

Loan Amount Accepted as Direct

Disbursement

Title IV Aid Disbursed Directly toStudent

Grant Loan / / You should use this form when the withdrawal date is on or after 7/1/2010


Iraq and Afghanistan Svc.

N/AN/A

N/AN/A

N/AN/A

N/AN/A

N/AN/AN/AN/A

N/A

N/AN/AN/AN/A

N/A

N/AN/AN/AN/AN/A

N/A

Appendix BReturn of Title IV Funds Requirements for Notification

Provided from 2011-2012 Federal Student Aid Handbook, p. 5-149.

45

Return of Title IV Funds Requirements for Noti�cation

Party Responsible Noti�cation Requirements

No later than 45 days from the date student is noti�ed of overpayment.

Report of student to NSLDS if student does not pay overpayment in full, does not enter into repayment agreement, or fails to meet terms of repayment agreement.

School

Consumer Information.

School’s withdrawal policy.School’s refund policy.O�ce(s) designated to receive o�cial noti�cations of intent to withdraw.Requirements regarding return of Title IV funds.

School

Written notification of student’s eligibility for a direct Post-withdrawal disbursement of Title IV loan funds in excess of outstanding current (educationally related) charges.

Identify type and amount of the Title IV loan funds that will make up the Post-withdrawal disbursement not credited to student’s account.Explain that student or parent may accept all or part of the disbursement.Advise student or parent that no Post-withdrawal disbursement of Title IV loan funds will be made unless school receives response within the time-frame established by the school.

School

Outcome of request.Response (written or electronic) to late request for Post-withdrawal disbursement (that school chooses not to make).

School

Repayment Agreement.

Terms permitting student to repay overpayment while maintaining eligibility for Title IV funds.Repayment in full within 2 years of date school determined student withdrew.

School

Appendix CReturn of Title IV Funds Policies and Procedures

Include a copy of the school’s refund policy developed by the school or as mandated by the school’s accreditingagency or state agency.

Include procedures that students must follow to officially withdraw from the school.

Ensure that the refund policy addresses Title IV funds as required in 34 CFR 668.22.

u Regardless of whether your school is required to take attendance, identify how you establish the last date ofattendance for students who officially or unofficially withdraw from the school.

u If your school has a formal leave of absence policy, include a copy of this policy.

u Include process for post-withdrawal disbursements.

u Include process for calculation of the amount of Title IV assistance earned by the student.

u Include the school’s responsibility for returning unearned aid.

u Include the student’s responsibility for returning unearned aid.

u Include the order of Return of Title IV Funds.

u Include the timeframe for Return of Title IV Funds.

u Include the required Return of Title IV Funds consumer information outlined in 668.43(a)(2)-(4).

Indicate how the refund requirements are provided to the students in writing.

Include examples for students indicating how Title IV refunds and institutional refunds work.

For Direct Loans: Include procedures for the school to pay a portion of the student’s refund or Return of Title IV Fundsthat is allocable to a Direct Loan to the Secretary.

For Direct Loans: Include procedures to provide simultaneous written notice to the borrower if the school pays arefund or Return of Title IV, HEA program Funds to the Secretary on behalf of the borrower.

For Direct Loans: In determining the portion of a student’s refund or Return of Title IV Funds that is allocable to aDirect Loan, the school follows the procedures established in 34 CFR 668.22 for allocating and paying a refund orReturn of Title IV Funds that is due (this is related to #3 above).

Adapted from FSA Assessments, http://ifap.ed.gov/qahome/qaassessments/returntivfunds.html.

46

Appendix DCase Study Answers

Violet Oliver

Violet Oliver (SSN: AAA-AA-AAAA) enrolled full-time at Everdeen College for the upcoming standard, credit-hour term.Everdeen is not required to take attendance, and uses the last date in an academically-related activity to determine astudent’s last date of attendance if the student does not officially withdraw. The following are Violet’s academic activities,charges and financial aid:

Dates and amounts are not intended to represent any specific year.

47

Charges assessed to student’s account for the term

July 15 Tuition $3,000

Fees $600

Financial aid awarded to student for the academic year

March 1 Pell Grant $3,000

FSEOG $2,000

Perkins Loan $2,000

Subsidized Stafford Loan $5,000

Financial aid disbursed for the term Aug. 30 Pell Grant $1,500

FSEOG $1,000

Subsidized Stafford LoanNet amount

$2,488

Term begins Sept. 10

Violet submits withdrawal for medical reasons Sept. 30

Withdrawal processed by school Oct. 5

Return calculation completed Oct. 10

Term ends Dec. 15

Total number of scheduled days 97

49





If this percentage is greater than 60%, enter 100% in Box H and proceed to Step 3.

If this percentage is less than or equal to 60%, enter that percentage in Box H, and proceed to Step 3.

Start date

. %H.

Multiply the percentage of Title IV aid earned (Box H) by the Total Title IV aid disbursed and that could have been disbursed for the period (Box G).

STEP 3: Amount of Title IV Aid Earned by the Student

Box H Box G

x = .% I. $

If the amount in Box I is greater than the amount in Box E, go to Item J (Post-withdrawal disbursement).

If the amount in Box I is less than the amount in Box E, go to Title IV aid to be returned (Item K).

If the amounts in Box I and Box E are equal, STOP. No further action is necessary.

STEP 4: Title IV Aid to be Disbursed or Returned

Box I Box E

– = .J. $

J. Post-withdrawal disbursementFrom the Amount of Title IV aid earned by the student (Box I) subtract the Total Title IV aid disbursed for the period (Box E). This is the amount of the post- withdrawal disbursement.

p. 1 of 3


H. Percentage of payment period or period of enrollment completedDivide the calendar days completed in the period by the total calendar days in the period (excluding scheduled breaks of five days or more AND days that the student was on an approved leave of absence).

Step 4 continued

Completed days Total days

÷ = . %





/ / / / / /


Title IV Loan Programs

7. Unsubsidized FFEL/Direct Stafford Loan

8. Subsidized FFEL/Direct Stafford Loan

9. Perkins Loan

10. FFEL/Direct PLUS (Graduate Student)

11. FFEL/Direct PLUS (Parent)




$ .E.

Subtotal Subtotal

+A.B.


A.C.

$ .F.

B. D.

+

C.D.

$ .G.+

A.B.

=

=

=



1. Pell Grant

2. Academic Competitiveness Grant

3. National SMART Grant

4. FSEOG

5. TEACH Grant

6. Iraq Afghanistan Service Grant

Subtotal Subtotal

A. C.

Stop here, and enter the amount in “J” in Box 1 on Page 3 (Post-withdrawal disbursement tracking sheet).

Violet Oliver

1500.00

1000.00

2500.00 0

1000.00

2500.002488.00

1000.00

2488.00

2488.00

09 10 XX

21 97

12 15 XX 09 30 XX

AAA-AA-AAAA

10 10 XX 09 30 XX

4988.00

2500.00

2500.00

2500.002488.00

1000.00

5988.00

0

0

21.6

21.6 5988.00

21.6

1293.41

50



p. 2 of 3

STEP 5: Amount of Unearned Title IV Aid Due from the School

.$L.

L. Institutional charges for the period

M. Percentage of unearned Title IV aid

Total Institutional Charges (Add all the charges together)

Box H

– = .% M.100%

Box M

x = .% $N.Box L

%N. Amount of unearned charges

Multiply institutional charges for the period (Box L) by the percentage of unearned Title IV aid (Box M).

.$O.

O. Amount for school to returnCompare the amount of Title IV aid to be returned (Box K) to amount of unearned charges (Box N), and enter the lesser amount.

TuitionRoomBoardOtherOtherOther

=

From the Net loans disbursed to the student (Box B) subtract the Total loans the school must return (Box P) to find the amount of Title IV loans the student is still responsible for repaying (Box R).These loans consist of loans the student has earned, or unearned loan funds the school is not responsible for repaying. They are repaid to the loan holders according to the terms of the borrower’s promissory note.

STEP 8: Repayment of the Student’s loans

If Box Q is less than or equal to Box R, STOP. The only action a school must take is to notify the holders of the loans of the student’s withdrawal date.

If Box Q is greater than Box R, proceed to Step 9.

Box B Box P– .$R.=

STEP 4: Aid to be Disbursed or Returned CONTINUED

K. Title IV aid to be returnedFrom the Total Title IV aid disbursed for the period (Box E) subtract the amount of Title IV aid earned by the student (Box I). This is the amount of Title IV aid that must be returned.

Box E Box I

– = .$K.Box K Box O

– = .Q.

STEP 7: Initial Amount of Unearned Title IV Aid Due from the Student

From the amount of Title IV aid to be returned (Box K) subtract the Amount for the school to return (Box O).

If Box Q is zero, STOP. If greater than zero, go to Step 8

S. Initial amount of Title IV grants for student to returnFrom the initial amount of unearned Title IV aid due from the student (Box Q) subtract the amount of loans to be repaid by the student (Box R) .

T. Amount of Title IV grant protectionMultiply the total of Title IV grant aid that was disbursed and that could have been disbursed for the period (Box F) by 50%.

U. Title IV grant funds for student to return From the Initial amount of Title IV grants for student to return (Box S) subtract the Amount of Title IV grant protection (Box T).

STEP 9: Grant Funds to be Returned

Box Q Box R

– $S. .=

Box F

x 50% $T. .=

Box S Box T

– U. .=If Box U is less than or equal to zero, STOP. If not, go to Step 10.

$


Amount To ReturnTitle IV Grant Programs

1. Pell Grant2. Academic Competitiveness Grant


4. FSEOG

5. TEACH Grant


Except as noted below, the student must return the unearned grant funds for which he or she is responsible (Box U). The grant funds returned by the student are applied in order as indicated, up to the amount disbursed from that grant program minus any grant funds the school is responsible for returning to that program in Step 6.Note that the student is not responsible for returning funds to any program to which the student owes $50.00 or less.

STEP 10: Return of Grant Funds by the Student

The school must return the unearned aid for which the school is responsible (Box O) by repaying funds to the following sources, in order, up to the total net amount disbursed from each source.

STEP 6: Return of Funds by the School

Title IV Programs1. Unsubsidized FFEL/Direct Stafford Loan

2. Subsidized FFEL/Direct Stafford Loan

3. Perkins Loan

4. FFEL/Direct PLUS (Graduate Student)

5. FFEL/Direct PLUS (Parent)

6. Pell Grant

7. Academic Competitiveness Grant


9. FSEOG

10. TEACH Grant


Amount for School to Return

.$P.Total loans the

school must return =

4988.00 1293.41

Violet Oliver AAA-AA-AAAA

3694.59

3000.00

600.00

3600.00

21.6 78.4

3600.00 78.4 2822.40

2822.40

2488.00

2488.00

334.40

3694.59 2822.40 872.19

0.002488.002488.00

0.00872.19 872.19

1250.00872.19

2500.00 1250.00

– 377.81

Delaney and Chelsea






Which sessions are considered modules?

Delaney enrolled in three hours during each session, for a total enrollment of 12 hours. She completes Fall B, butwithdraws on Oct. 10 from the remainder of her coursework.

Is a Return of Title IV Funds calculation required for Delaney? Why or why not?

Chelsea enrolled in three hours during Fall B, C and D, for a total enrollment of nine hours. She completes Fall B,withdraws from Fall C on Oct. 10, but is still enrolled for Fall D.

Is a Return of Title IV Funds calculation required for Chelsea? Why or why not?

51

The Fall B, C and D sessions are considered modules because the sessions do not span the entire length ofthe payment period.

Yes, a return calculation is required because Delaney did not complete all of the hours in the payment periodshe was scheduled to attend.

No, a return calculation is not required as long as Hairston College obtains written confirmation fromChelsea that she intends to return for Fall D. If she does not return, Hairston must perform a returncalculation based on her Oct. 10 withdrawal date. If no written confirmation is provided, Hairston Collegemust consider Chelsea as withdrawn as of Oct. 10.


Fall B

Fall C

Fall D

Appendix ELate Disbursement vs Post-Withdrawal Disbursement

52

Can I deliver this late disbursement to the student?

Schools generally may not disburse Sta@ord or PLUS loans to a student who has ceased to be enrolled at least half time or to one whose loanperiod has ended. Under certain conditions, however, a student who has lost eligibility for loan funds still may be eligible for the disbursementof all or some portion of a Sta@ord or PLUS loan.

Use this worksheet to help you determine if you may make a late disbursement of loan funds to the student.

1. Insert the date on which the student was last enrolled at least half time during the loan period, or the last date ofthe loan period, whichever is earlier. ___ /___ /___

2. Was the Direct Loan originated before the date that you entered in Step 1?YES: Go to Step 3.NO: You may not disburse the loan funds.

3. Was the student’s ISIR/SAR (with an o9cial EFC) processed by the CPS before the date that you entered in Step 1?YES: Go to Step 4.NO: You may not disburse the loan funds.

4. Will the school disburse the loan funds within 180 days of the date that you entered in Step 1?YES: Go to Step 5.NO: You may not disburse the loan funds.

5. If the student is subject to delayed disbursement (a :rst-year undergraduate who is a :rst-time borrower), andthe late disbursement is a :rst disbursement of the loan, did the student complete the :rst 30 days of the programof study?YES: Skip to the Anal question.NOT APPLICABLE: Go to Step 6.NO: You may not disburse the loan funds.

6. If the late disbursement is the second or subsequent disbursement of the loan, did the student complete the entire applicable loan period?YES: Go to Step 7.NOT APPLICABLE: Go to Step 7.NO: You may not disburse the loan funds.

7. Will the loan funds be used only to pay for education costs incurred for the applicable loan period?YES: You may disburse the loan funds.NO: You may not disburse the loan funds.

Refer to the Common Manual, Subsections 8.2.E and 9.5.A, the Federal Student Aid Handbook (Vol. 4, Chapter 1), and the applicable regulations(668.164(g), 682.207(f), 685.303(d)) for more information about a school’s responsibilities in making late disbursements.

Late Disbursement Worksheet

4/11 FUNDS-254 © 2011 United Student Aid Funds, Inc. All rights reserved.

53

Can I make this post-withdrawal disbursement?

Schools generally may not disburse a Sta@ord or PLUS loan to a student who has ceased to be enrolled — the student no longer is eligible. In some circumstances, however, a student who has withdrawn from school may be eligible for a post-withdrawal disbursement of all or someportion of a Sta@ord or PLUS loan. A student may be eligible for a PWD if the school determines the student earned more aid than was disbursed for the period the student attended. Note, however, that if the student is eligible for a PWD, the school must use all available grantfunds prior to using any loan funds for that purpose.

Use this worksheet to help you determine if you may disburse a post-withdrawal disbursement of loan funds to the student.

1. Did the student withdraw from all classes?YES: Go to Step 2.NO: The student is not eligible for a PWD, but may be eligible for a late disbursement.

(Please see the reverse side of this document for the Late Disbursement Worksheet.)

2. Insert the date on which the student withdrew. ___ /___ /___

3. Was the loan originated before the date that you entered in Step 2?YES: Go to Step 4.NO: You may not disburse the loan funds.

4. Did the student earn more funds than were disbursed according to the Return of Title IV calculation?YES: Go to Step 5. NO: You may not disburse the loan funds.

5. Was the student’s ISIR/SAR (with an o9cial EFC) processed by the CPS before the date that you entered in Step 2? YES: Go to Step 6.NO: If the disbursement is for a parent PLUS loan, go to Step 6. Otherwise, you may not disburse the loan funds.

6. Did the borrower sign the MPN prior to the date the school completed the Return of Title IV Funds calculation? YES: Go to Step 7.NO: You may not disburse the loan funds.

7. Will the school disburse the loan funds within 180 days of the date that the school determined the student had withdrawn?YES: Go to Step 8.NO: You may not disburse the loan funds.

8. If the student is subject to delayed disbursement (:rst-year undergraduate/:rst-time borrower) and the PWD isthe :rst disbursement of the loan, did the student complete the :rst 30 days of the program of study? YES: Go to Step 9.NOT APPLICABLE: Go to Step 9.NO: You may not disburse the loan funds.

9. Will the loan funds be used only to pay for education costs incurred for the applicable loan period?YES: Go to Step 10.NO: You may not disburse the loan funds.

10. Did the school obtain the borrower’s con:rmation that he or she still wishes the loan funds to be disbursed?YES: You may disburse the loan funds.NO: You may not disburse the funds.

Refer to the Common Manual, Subsections 8.2.E and 9.5.A, the Federal Student Aid Handbook (Vol. 4, Chapter 1), and the applicable regulations(668.22(a)(4) and (5) and 682.207(f)) for more information about a school’s responsibilities in making post-withdrawal disbursements.

Post-Withdrawal Disbursement Worksheet

4/11 FUNDS-254 © 2011 United Student Aid Funds, Inc. All rights reserved.

SFA Return to Title IV Manual - The City University of New York

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Transcript of SFA Return to Title IV Manual - The City University of New York