self-evaluation guide 2015-16 part 1 section iv return of .... return of title iv...of title iv...
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Self-evaluation Guide for inStitutional ParticiPation in title iv and other federal ProGramS
the Self-evaluation Guide has been designed as an in-house tool to help institutions evaluate the efficiency and effectiveness of their administration of financial aid programs and compliance with federal laws and regulations.
2015–16 - THIRTY-FIRST EDITION
RETURN OF TITLE IV FUNDS
PART 1 – Institutional Responsibilities SECTION IV
i
© 2008–2015 by National Association of Student Financial Aid Administrators (NASFAA). All rights reserved. NASFAA has prepared this document for use only by personnel, licensees, and members. The information contained herein is protected by copyright. No part of this document may be reproduced, translated, or transmitted in any form or by any means, electronically or mechanically, without prior written permission from NASFAA. NASFAA SHALL NOT BE LIABLE FOR TECHNICAL OR EDITORIAL ERRORS OR OMISSIONS CONTAINED HEREIN; NOR FOR INCIDENTAL OR CONSEQUENTIAL DAMAGES RESULTING FROM THE FURNISHING, PERFORMANCE, OR USE OF THIS MATERIAL. This publication contains material related to the federal student aid programs under Title IV of the Higher Education Act. While we believe that the information contained herein is accurate and factual, this publication has not been reviewed or approved by the U.S. Department of Education or the Department of the Interior. NASFAA reserves the right to revise this document and/or change product features or specifications without advance notice. December 2015
NASFAA Self-Evaluation Guide Part 1 Section IV
© 2015 NASFAA
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IV. Return of Title IV Funds Prepared by _________________ Date ______ Reviewed by _________________ Date ______
Note: Periodically, exceptions to certain statutory and regulatory requirements are granted due to national emergencies and/or federally-declared disasters. Information regarding exceptions/waivers for the 2015–16 award year may be found in the Guide Instructions. Reference Question Responsible
Office Response
I. General Note: If institution does not have standard
term programs, skip to Question B.
668.22(e)(5)(i) A. For a standard term program, does the
institution use the payment period as the period applicable to return of Title IV funds considerations?
____________
____________
yes no
Note: If institution does not have nonterm or
nonstandard term programs, skip to Question C.
668.22(e)(5)(ii) 2015–16 FSA Handbook, p. 5-25
B. For a nonterm or nonstandard term program, does the institution have a consistently applied policy indicating whether it uses the payment period or the period of enrollment for all students in each of the following categories:
Transfer students; ____________
____________
yes no
Re-entry students; and ____________
____________
yes no
Other students in the program? ____________
____________
yes no
668.4(b)(1),(2) 668.22(e)(5)(iii)(A) (1)
C. For a credit-hour program with nonstandard terms that are not substantially equal in length, if Title IV aid was (or could have been) disbursed under both payment period definitions [one for Title IV grant and Federal Perkins Loan, and one for Federal Direct Student Loan (Direct Loan)], does the institution use the payment period that ends later in the return calculation?
____________
____________
yes no n/a
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Reference Question Responsible Office
Response
668.22(e)(5)(iii) (A)(2)
1. If Title IV aid was (or could have been) disbursed in a payment period that overlaps the payment period that ends later, is that aid attributed to the payment period that ends later?
____________
____________
yes no n/a
668.22(e)(5) Note: In the remaining questions applicable
to the return of Title IV funds, substitute “period of enrollment” for “payment period” in cases where the institution has exercised this option.
668.22(l)(6) GEN-11-14 2015–16 FSA Handbook, p. 5-62
D. Does the institution consider a student to be enrolled in a modular program if the student enrolls in a course that does not span the entire length of the payment period?
____________
____________
yes no n/a
668.22(a)(1) E. Does the institution have a process by
which it identifies students for whom a return of Title IV funds calculation must be performed?
____________
____________
yes no
668.22(a)(2)(i) 1. Is a student considered to have
withdrawn from a payment period or period of enrollment if:
____________
____________
yes no
668.22(a)(2)(i)(A) In the case of a credit-hour
program, the student does not complete all of the days in the payment period the student was scheduled to complete;
668.22(a)(2)(i)(B) In the case of a clock-hour
program, the student does not complete all of the clock hours and weeks of instructional time in the payment period the student was scheduled to complete; or
668.22(a)(2)(i)(C) For a nonterm or nonstandard-
term program, the student is not scheduled to begin another course within the payment period for more than 45 calendar days after the end of the module the student last attended unless the student is on an approved Title IV leave of absence?
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Reference Question Responsible Office
Response
2015–16 FSA Handbook, p. 5-4
2. Is a student considered to have withdrawn from a payment period if the student ceases attendance from all his or her Title IV-eligible courses in a payment period?
____________
____________
yes no
668.22(l)(6) Note: Questions 3, 4, and 5 apply only
to students enrolled in modular programs. Institutions that do not offer courses in modules should skip Questions 3, 4, and 5. Skip Question 3 if institution has nonterm or nonstandard term modular programs.
668.22(a)(2)(ii)(A) 2015–16 FSA Handbook, p. 5-66
3. For a student enrolled in a modular program that is not nonterm or nonstandard term, does the institution consider the student as still enrolled for Title IV purposes if the institution receives, at the time of withdrawal, the student’s written confirmation that he or she will attend a module that begins later in the same payment period?
____________
____________
yes no
668.22(a)(2)(ii)(B) (1)
a. Does the institution allow the student to change the date of return to the module that begins later in the same payment period if the student provides a written request for the change prior to the initial return date?
____________
____________
yes no
668.22(a)(2)(ii)(C)
b. Does the institution consider the student withdrawn if he or she does not return as scheduled?
____________
____________
yes no
c. If the student does not return,
does the institution consider the withdrawal date to be the date that would have applied had the student not provided written confirmation of an acceptable future date of attendance?
____________
____________
yes no
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Reference Question Responsible Office
Response
Note: If institution does not have nonterm or nonstandard term modular programs, skip Question 4.
668.22(a)(2)(ii)(C) 2015–16 FSA Handbook, p. 5-66
4. For a student enrolled in a modular program that is nonterm or nonstandard term, does the institution consider the student as enrolled for Title IV purposes if the institution receives, at the time of withdrawal, the student’s written confirmation that he or she will attend another module in the same payment period that begins no later than 45 calendar days after the end of the module the student ceased attending?
____________
____________
yes no
668.22(a)(2)(ii)(B) 2015–16 FSA Handbook, p. 5-66
a. Does the institution allow the student to change the date of return to the module that begins later in the same payment period if:
The student provides a
written request for the change prior to the initial return date; and
____________
____________
yes no
That module begins no later
than 45 calendar days after the end of the module the student ceased attending?
____________
____________
yes no
668.22(a)(2)(ii)(C) (1)
b. Does the institution consider the student withdrawn if he or she does not return as scheduled?
____________
____________
yes no
668.22(a)(2)(ii)(C) (2)
c. If the student does not return, does the institution consider the withdrawal date to be the date that would have applied had the student not provided written confirmation of an acceptable future date of attendance?
____________
____________
yes no
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Reference Question Responsible Office
Response
Note: If institution does not have term-based credit-hour modular programs, skip Question 5.
668.22(a)(2)(iii)(A) 5. Does the institution consider a
student, who withdraws from a modular term-based credit-hour program and later re-enters the same program prior to the end of the payment period, to be eligible to receive any Title IV funds for which he or she was eligible prior to withdrawal, including funds returned under the return of Title IV funds provisions, if the student’s enrollment status continues to support the full amount of the funds awarded?
____________
____________
yes no
Note: If institution does not have clock-
hour or nonterm credit-hour programs, skip Question 6.
668.4(f) 668.22(a)(2)(iii)(B)
6. Does the institution consider a student who withdraws from a clock-hour or nonterm credit-hour program and re-enters the same program within 180 calendar days to be eligible to receive any Title IV funds for which he or she was eligible prior to withdrawal, including funds that were returned under the return of Title IV funds provisions?
____________
____________
yes no
2015–16 FSA Handbook, p. 5-19
7. Does the institution halt all Title IV disbursements upon learning of the student’s withdrawal, until it calculates the amount of aid earned by the student?
____________
____________
yes no
2015–16 FSA Handbook, p. 5-15
8. Does the institution calculate earned aid under the return of Title IV funds formula for a student who began attendance even if it does not assess any charges?
____________
____________
yes no
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Reference Question Responsible Office
Response
2015–16 FSA Handbook, p. 5-7
9. Does the institution calculate earned aid under the return of Title IV funds formula for a student who began attendance if aid could have been disbursed, even if the aid had not yet been disbursed?
____________
____________
yes no
2015–16 FSA Handbook, p. 5-84
10. Does the institution perform a return of Title IV funds calculation if a student dies before completing the payment period?
____________
____________
yes no
2015–16 FSA Handbook, p. 5-84
a. When the return of Title IV funds calculation indicates the amount of Title IV funds the student received while enrolled during the period was greater than the amount earned, does the institution return only the funds for which it is responsible and not require the student’s estate to return any Title IV funds?
____________
____________
yes no
2015–16 FSA Handbook, p. 5-84
b. When the return of Title IV funds calculation indicates not all of the Title IV funds the student earned for the period had been disbursed, does the institution ensure no post-withdrawal disbursement is paid to the student’s account or estate?
____________
____________
yes no
2015–16 FSA Handbook, p. 5-84
c. If a Title IV credit balance created from funds disbursed before the student’s death exists after application of the return of Title IV funds calculation and the institution’s refund policy, does the institution eliminate the credit balance by:
Paying authorized
institutional charges (including previously paid charges that are unpaid due to the institution’s return of Title IV funds);
____________
____________
yes no
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Reference Question Responsible Office
Response
Paying any Title IV grant overpayment owed by the student for previous withdrawals from the institution;
____________
____________
yes no
Providing documentation to
the Department of Education’s (ED’s) Debt Resolution Services so the overpayment can be deleted from the student’s records, if applicable; and
____________
____________ yes no
Returning any remaining
credit balance to the appropriate Title IV program(s)?
____________
____________
yes no
2015–16 FSA Handbook, p. 2-28
F. Do all consortium agreements entered into by the institution ensure the institution that disburses Title IV funds also returns Title IV funds, if required, in the event the student withdraws before completing the payment period?
____________
____________
yes no n/a
II. Withdrawal from Institutions Required to Take Attendance Note: If the institution is not required to take
attendance, it should skip the questions in Section II and proceed to Section III.
668.22(b)(3)(iv) 2015–16 FSA Handbook, p. 5-50
A. Does the institution understand it is not required to take attendance if it takes, or an outside entity requires it to take, attendance on only one specific day to meet a census reporting requirement?
____________
____________
yes no n/a
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Reference Question Responsible Office
Response
668.22(b)(1),(3) 668.22(d) 2015–16 FSA Handbook, p. 5-50
B. If the institution is required to take attendance by an outside entity, requires its instructors to take attendance, or must adhere to requirements that can only be met by taking attendance or a comparable process, does the institution use the student’s last date of academic attendance (as determined from the institution’s attendance records) as the withdrawal date for all students including students who:
____________
____________
yes no
2015–16 FSA Handbook, p. 5-14
Do not return from a Title IV-approved leave of absence (LOA); or
2015–16 FSA Handbook, p. 5-15
Take an unapproved LOA?
668.22(b)(3)(ii) 2015–16 FSA Handbook, p. 5-50
1. If the requirement to take attendance applies only to certain students, does the institution use the student’s last date of academic attendance (as determined from the institution’s attendance records) as the withdrawal date for those students?
____________
____________
yes no n/a
668.22(b)(3)(iii)(B) 2. Does the institution treat a student
who was in attendance the last time attendance was required to be taken for a limited period and subsequently stopped attending the payment period as a student for whom the institution is not required to take attendance?
____________
____________
yes no n/a
2015–16 FSA Handbook, p. 5-22
C. Does the institution have procedures for routinely monitoring attendance records to determine in a timely manner when a student withdraws?
____________
____________
yes no
2015–16 FSA Handbook, p. 5-22
1. Except in unusual instances, is the date of the institution’s determination that the student withdrew no later than 14 days after the student’s last date of attendance as determined by the institution from its attendance records?
____________
____________
yes no
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Reference Question Responsible Office
Response
2015–16 FSA Handbook, p. 5-23
2. If the institution has a policy that states when absences will be treated as withdrawals, is the date of determination no later than the date specified in the institution’s policy, as long as that date is not later than 14 days after the student’s last date of attendance?
____________
____________
yes no n/a
668.22(b)(2) 668.22(l)(3)
D. Does the institution maintain documentation of the student’s withdrawal date as of the date of its determination the student withdrew (as defined in the Title IV regulations)?
____________
____________
yes no
III. Withdrawal from Institutions Not Required to Take Attendance Note: If the institution is required to take
attendance, it should skip the questions in Section III and proceed to Section IV, Calculation.
2015–16 FSA Handbook, p. 5-52
A. Has the institution defined the beginning of its withdrawal process and made that definition known to its students?
____________
____________
yes no
668.22(c)(1)(i) 2015–16 FSA Handbook, p. 5-52
B. For students who withdraw officially, does the institution treat the date the student began the prescribed withdrawal process as the withdrawal date?
____________
____________
yes no
668.22(c)(2)(ii) 2015–16 FSA Handbook, p. 5-53
1. When a student provides official notification of his or her intent to withdraw before beginning the prescribed withdrawal process, does the institution treat the date the student provided the notification as the withdrawal date?
____________
____________
yes no
668.22(c)(1)(ii) 2015–16 FSA Handbook, p. 5-53
2. Does the institution accept official notification of withdrawal either in writing or orally?
____________
____________
yes no
668.22(c)(5)(ii) 2015–16 FSA Handbook, p. 5-53
C. Has the institution designated at least one office a student may readily contact to provide official notification of withdrawal?
____________
____________
yes no
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Reference Question Responsible Office
Response
668.22(c)(5)(i) 2015–16 FSA Handbook, p. 5-53
1. Does the institution recognize a student’s notice to the designated office of his or her intent to withdraw as “official notification?”
____________
____________
yes no
Note: If institution does not allow a student
to rescind official notification of withdrawal, skip Question D.
668.22(c)(2)(i)(A) 668.22(l)(7) 2015–16 FSA Handbook, p. 5-58
D. If the institution allows a student to rescind his or her official notification of withdrawal, does the institution require the student to provide a written statement that he or she is participating in academically-related activities and intends to complete the payment period?
____________
____________
yes no
668.22(c)(2)(i)(B), (c)(3) 668.22(l)(7)(i)
1. If the student subsequently withdraws before completing the payment period, does the institution use the date of the original withdrawal notification to calculate the return of Title IV funds unless the institution is able to document a later last date of participation in an academically-related activity?
____________
____________
yes no
2015–16 FSA Handbook, p. 5-55
E. When the institution expels, suspends, or otherwise withdraws a student, does the institution treat the date the institution terminated the student’s enrollment as the latest possible withdrawal date for that student?
____________
____________
yes no
2015–16 FSA Handbook, p. 5-55
1. If the institution administratively withdraws a student who began attendance because the student is no longer enrolled as of a census date, does the institution regard the census date as the latest possible withdrawal date for that student?
____________
____________
yes no n/a
668.22(c)(1)(iii),(3) 668.22(l)(7)(i)
F. For students who withdraw unofficially, does the institution treat the midpoint of the payment period as the withdrawal date unless the institution chooses to use the last date of the student’s documented attendance at an academically-related activity?
____________
____________
yes no
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Reference Question Responsible Office
Response
2015–16 FSA Handbook, p. 5-56
G. Does the institution have a procedure for determining whether a Title IV recipient who began attendance during a payment period completed the period or should be treated as a withdrawal?
____________
____________
yes no
2015–16 FSA Handbook, pp. 5-56 to 5-57
1. For a student who fails to earn a passing grade in at least one course for the payment period, does the institution treat the student as unofficially withdrawn unless the institution documents the student completed the payment period?
____________
____________
yes no
668.22(c)(1)(v) 668.22(d) 2015–16 FSA Handbook, p. 5-14
H. For students who do not return from a Title IV-approved LOA, does the institution treat the date the student began the leave as the withdrawal date?
____________
____________
yes no
668.22(c)(1)(vi) 668.22(d) 2015–16 FSA Handbook, p. 5-15
I. For students who take an unapproved LOA (that is not a Title IV-approved leave of absence), does the institution treat the date the student began the LOA as the withdrawal date?
____________
____________
yes no
668.22(c)(1)(iv) J. When the institution determines a
student was unable to withdraw officially (including notice provided by an individual acting on the student’s behalf) because of illness, an accident, grievous personal loss, or other circumstances beyond the student’s control, does the institution determine a withdrawal date related to that circumstance?
____________
____________
yes no
668.22(c)(3) 668.22(l)(7)(ii) 2015–16 FSA Handbook, p. 5-58
K. If the institution opts to use a last date of academically-related activity as an alternative to any other definition of withdrawal date, does it document the student’s attendance at that activity?
____________
____________
yes no n/a
668.22(c)(3) 668.22(l)(7)(i) 2015–16 FSA Handbook, pp. 5-59 to 5-60
1. Does the institution have a method for documenting a student’s attendance in an academically-related activity?
____________
____________
yes no
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Reference Question Responsible Office
Response
668.22(l)(7)(i)(A) 2015–16 FSA Handbook, p. 5-59
a. Does the institution include (as applicable) physically attending a class with an opportunity for direct interaction between instructor and student; participating in an online discussion about academic matters; taking an exam, interactive tutorial, or computer-assisted instruction; initiating contact with a faculty member to ask a question about the academic subject studied in the course; and submitting academic assignments in its definition of academically-related activities?
____________
____________
yes no
668.22(l)(7)(i)(A)(4) 2015–16 FSA Handbook, p. 5-59
b. Does the definition of academically-related activities include attendance in a study group only if the study group is assigned by the institution?
____________
____________
yes no
668.22(l)(7)(i)(B)(4)2015–16 FSA Handbook, p. 5-59
c. Does the definition of academically-related activities exclude academic counseling and advising?
____________
____________
yes no
668.22(c)(4) 668.22(l)(3)
L. Does the institution maintain documentation of the student’s withdrawal date as of the date of its determination that the student withdrew (as defined in the Title IV regulations)?
____________
____________
yes no
668.22(l)(3)(i) 2015–16 FSA Handbook, p. 5-22
1. For students who officially withdraw, does the institution use as the date of its determination the student withdrew, the later of the date the student:
____________
____________
yes no
Begins the official withdrawal
process; or
Notifies the school of his or her
intention to withdraw?
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Reference Question Responsible Office
Response
668.22(l)(3)(iii) 2. For a student who does not return from a Title IV-approved LOA, does the institution use as the date of its determination the student withdrew the earlier of the:
____________
____________
yes no n/a
End of the leave; or Date the student notifies the
institution he or she will not be returning?
668.22(l)(3)(v) 2015–16 FSA Handbook, p. 5-14
3. For a student who takes an unapproved LOA, does the institution use as the date of its determination the student withdrew the date the student began the leave of absence?
____________
____________
yes no
668.22(l)(3)(iv) 4. For a student who withdraws after
rescinding a previous official withdrawal notification, does the institution use as the date of its determination the student withdrew the date the institution becomes aware the student did not, or will not, complete the payment period?
____________
____________
yes no
668.22(l)(3)(ii) 2015–16 FSA Handbook, p. 5-22
5. For students who unofficially withdraw, does the institution use as the date of its determination the student withdrew the date the institution becomes aware the student ceased attendance?
____________
____________
yes no
668.22(j)(2) 2015–16 FSA Handbook, p. 5-22
6. Does the institution determine the withdrawal date of a student who unofficially withdrew no later than 30 days after the end of the earlier of the:
____________
____________
yes no
Payment period; Academic year; or Student’s educational program?
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Reference Question Responsible Office
Response
IV. Calculation 668.22(e),(f) A. Does the institution follow the formula
defined in Title IV regulations when performing a return of Title IV funds calculation?
____________
____________
yes no
Note: If institution does not have credit-hour
programs, skip Question B.
668.22(f)(2) 2015–16 FSA Handbook, pp. 5-74 to 5-76
B. When determining the percentage of the payment period completed for credit-hour programs, does the institution count all calendar days the student was scheduled to complete except scheduled breaks of at least five consecutive days and Title IV-approved leaves of absence?
____________
____________
yes no
2015–16 FSA Handbook, p. 5-76
C. Does the institution school contact its School Participation Team to discuss the effects of a temporary interruption and the impact a temporary closure will have on the school’s students due to weather, natural disaster, or other event outside the control of the institution?
____________
____________
yes no
Note: If institution does not have self-paced
nonterm credit-hour programs, skip Question C.
2015–16 FSA Handbook, pp. 5-77 to 5-80
D. For a student who withdraws from a self-paced nonterm credit-hour program, does the institution:
Determine the number of days in the
payment period by projecting the end or completion of the payment period based on the student’s progress at the time of withdrawal; and
____________
____________
yes no
Have a reasonable procedure for
projecting the completion date based on the student’s progress before his or her withdrawal date if the student does not earn credits or complete lessons as he or she progresses through the program?
____________
____________
yes no
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Reference Question Responsible Office
Response
2015–16 FSA Handbook, pp. 5-77 and 5-80
1. When projecting the end or completion of the payment period, does the institution take into consideration any credits a student had attempted but did not successfully complete (i.e., failed) before withdrawing by extending the number of days in the payment period by the number of days necessary to take the course?
____________
____________
yes no
Note: If institution does not have clock-hour
programs, skip Question D.
668.22(f)(1)(ii) E. When determining the percentage of the
payment period completed for clock-hour programs, does the institution use the clock hours scheduled to be completed as of the student’s withdrawal date?
____________
____________
yes no
668.22(f)(1)(ii) 2015–16 FSA Handbook, p. 5-81
1. Except when the scheduled hours are modified prior to the student’s withdrawal, does the institution use a student’s scheduled hours that:
Were established in accordance
with applicable accrediting agency and state licensing requirements prior to the start of the payment period; and
____________
____________
yes no
Are consistent with the
institution’s published materials describing the institution’s programs?
____________
____________
yes no
668.22(f)(1)(ii) 2015–16 FSA Handbook, p. 5-81
2. If the institution modified the scheduled hours in a student’s program after the start of the payment period but before the student withdrew:
Was the modification in
accordance with applicable accrediting agency and state licensing requirements; and
____________
____________
yes no
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Reference Question Responsible Office
Response
Did the institution use the modified scheduled hours when determining the percentage of the payment period completed?
____________
____________
yes no
668.22(e)(2)(ii),(f) 2015–16 FSA Handbook, pp. 5-76 and 5-81
F. Does the institution consider 100 percent of the student’s aid earned when the withdrawal date occurred after completion of 60 percent of the payment period as measured in:
____________
____________
yes no
Calendar days for credit-hour
programs; or
The scheduled clock hours of the
payment period for clock-hour programs?
2015–16 FSA Handbook, p. 5-3
1. If a student for whom some Title IV funds remain undisbursed completed 60 percent of the payment period, does the institution perform a return of Title IV funds calculation to determine if the student is due a post-withdrawal disbursement?
____________
____________
yes no
668.22(e)(2)(i),(f) G. Does the institution consider the
percentage of aid earned to be equal to the percentage of the payment period completed when a student’s withdrawal date occurred on or before completion of 60 percent of the:
____________
____________
yes no
Calendar days in the payment period
for credit-hour programs; or
Scheduled clock hours in the
payment period for clock-hour programs?
668.22(e)(1)(ii) 2015–16 FSA Handbook, pp. 5-41 to 5-42
H. When applying the earned percentage to disbursed aid to determine earned Title IV aid, does the institution include Title IV funds that could have been disbursed (in accordance with the late disbursement provisions of the Title IV cash management rules) as well as funds disbursed as of the student’s withdrawal date?
____________
____________
yes no
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Reference Question Responsible Office
Response
668.22(e)(1)(ii),(l)(1) 668.164(g)(2) 2015–16 FSA Handbook, pp. 5-41 to 5-42
1. Does the institution treat as Title IV aid that could have been disbursed any aid for which the student (and/or the parent in the case of a parent PLUS) has met the following conditions for a late disbursement:
For all Title IV programs, ED
processed an Institutional Student Information Record (ISIR) or Student Aid Report (SAR) with an official expected family contribution (EFC) before the date the student withdrew;
____________
____________
yes no
For a Direct Loan, the institution
originated the loan before the date the student withdrew and the Master Promissory Note (MPN) is signed before the school performs the return of Title IV funds calculation;
____________
____________
yes no n/a
For a Federal Perkins Loan, the
institution awarded the loan before the date the student withdrew and the MPN is signed before the school performs the return of Title IV funds calculation;
____________
____________
yes no n/a
For a Federal Supplemental
Educational Opportunity Grant (FSEOG), the institution awarded the FSEOG before the date the student withdrew; and
____________
____________
yes no n/a
For a Teacher Education
Assistance for College and Higher Education (TEACH) Grant, the institution originated the TEACH Grant before the date the student withdrew?
____________
____________
yes no n/a
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Reference Question Responsible Office
Response
668.164(g)(4) 2015–16 FSA Handbook, pp. 5-42 to 5-43
2. If the student meets the conditions for a late disbursement, does the institution include the following as aid that could have been disbursed, even though the law and/or regulations prohibit the institution from disbursing the aid as a post-withdrawal disbursement:
Federal Pell Grant, Iraq and
Afghanistan Service Grant (IASG), or TEACH Grant disbursement to a student for whom the institution did not receive a valid SAR or a valid ISIR by the deadline date;
____________
____________
yes no n/a
Federal Pell Grant, IASG, or
TEACH Grant disbursement for a subsequent payment period to a student who withdrew from a clock-hour or nonterm credit-hour program before completing the earlier payment period for which the student already was paid;
____________
____________
yes no n/a
Second or subsequent Direct
Loan disbursement; ____________
____________
yes no n/a
Disbursement of Direct Loan or
Federal Perkins Loan for which the borrower has not signed a promissory note;
____________
____________
yes no n/a
A Direct Loan disbursement
subject to the 30-day delayed disbursement requirement to a student who withdrew prior to the 30th day of the program;
____________
____________
yes no n/a
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Reference Question Responsible Office
Response
Second disbursement of a Direct Loan to a student who withdrew from a nonstandard term credit-hour program with terms that are not substantially equal in length, a credit-hour nonterm program, or a clock-hour program, where the student did not reached the later of the calendar midpoint of the loan period or the date of completion of half the academic coursework or clock hours; and
____________
____________
yes no n/a
A first disbursement of a Direct
Loan for a loan period to a student enrolled in a modular program who withdrew before beginning attendance in enough classes to establish half-time enrollment?
____________
____________
yes no n/a
2015–16 FSA Handbook, p. 5-41
H. Does the institution treat as Title IV aid that could have been disbursed any inadvertent late Title IV disbursement made before discovering the student has withdrawn?
____________
____________
yes no
2015–16 FSA Handbook, p. 5-42
I. When a PLUS is included as aid that could have been disbursed but the loan is later denied by the Direct Loan servicer, does the institution perform a new return of Title IV funds calculation excluding the PLUS?
____________
____________
yes no n/a
668.22(a)(1),(3) J. When determining the amount of earned
Title IV aid, does the institution include aid from only the following programs:
Federal Perkins Loan; ____________
____________
yes no n/a
Direct Loan; ____________
____________
yes no n/a
Federal Pell Grant; ____________
____________
yes no n/a
TEACH Grant; and ____________
____________
yes no n/a
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Reference Question Responsible Office
Response
FSEOG. ____________
____________
yes no n/a
668.22(a)(3) 1. If the institution meets its FSEOG
matching share by the individual recipient method or aggregate method, does the institution exclude the nonfederal share of FSEOG when determining the amount of earned Title IV aid?
____________
____________
yes no n/a
V. Unearned Aid 668.22(e)(4) A. When the amount of earned aid under
the return of Title IV funds provisions is less than the amount of Title IV funds already disbursed to the student, does the institution consider the difference to be unearned aid that must be returned?
____________
____________
yes no
2015–16 FSA Handbook, pp. 5-15, 5-94
B. When determining the institutional share of unearned aid, does the institution use the amount of institutional charges originally assessed the student, unless that amount had been reassessed prior to the student’s withdrawal due to a change in enrollment status (i.e., courses dropped or added while still in attendance)?
____________
____________
yes no
Federal Register, 9/27/12, pp. 59311 to 59312 Federal Register, 12/26/07, p. 72947 Federal Register, 12/12/03, pp. 69312, 69314
1. Prior to 9/27/12, did the institution exclude from the student’s institutional charges any charges the institution was required to cover, and had covered, with non-Title IV funds if the student was an affected individual under the Higher Education Relief Opportunities Act of 2003 (HEROES Act) and:
____________
____________
yes no
Was serving on active duty
during a war or other military operation or national emergency;
Was performing qualifying
National Guard duty during a war or other military operation or national emergency;
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Reference Question Responsible Office
Response
Resided or was employed in an area declared a disaster area by any federal, state, or local official in connection with a national emergency; or
Suffered direct economic
hardship (as determined by ED) as a direct result of a war or other military operation or national emergency?
Federal Register, 12/12/03, p. 69313
a. Did the institution document the student’s file each time it made this exclusion of institutional charges?
____________
____________
yes no
Federal Register, 12/12/03, p. 69313
b. Is the institution prepared to report, upon request, the effect of the exclusion of institutional charges to ED?
____________
____________
yes no
Federal Register, 9/27/12, pp. 59311, 59312
c. On or after 9/27/12, does the institution include in the student’s institutional charges any charges the institution was required to cover, and has covered, with non-Title IV funds?
____________
____________ yes no
2015–16 FSA Handbook, p. 5-16
2. Does the institution include waived tuition and fees as institutional charges if it treated the waiver as payment of actual charges (i.e., the charges were included in the cost of attendance and the waiver was considered estimated financial assistance)?
____________
____________
yes no
668.22(i) 2015–16 FSA Handbook, p. 5-96
C. Does the institution attribute its share of unearned funds to the Title IV programs from which the student received aid in the order specified by Title IV regulations?
____________
____________
yes no
668.22(j)(1) 2015–16 FSA Handbook, p. 5-96
D. Does the institution return its share of unearned aid no later than 45 days from the date of its determination that the student withdrew?
____________
____________
yes no
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Reference Question Responsible Office
Response
668.22(i) E. Does the institution attribute the student’s share of unearned funds to the Title IV programs from which the student received aid in the order specified by the return of Title IV funds provisions?
____________
____________
yes no
668.22(h)(3)(i) 2015–16 FSA Handbook, p. 5-99
F. Does the institution require Title IV loans for which the student (or parent in the case of a parent PLUS) is responsible for returning to be repaid under the terms and conditions of the promissory note?
____________
____________
yes no n/a
668.22(h)(3)(ii)(A) 2015–16 FSA Handbook, p. 5-99
G. Does the institution limit the amount of Title IV grant funds the student is responsible for repaying to the amount that exceeds 50 percent of the total grant funds disbursed and could have been disbursed?
____________
____________
yes no n/a
668.22(h)(3)(ii)(B) 2015–16 FSA Handbook, p. 5-100
1. Does the institution treat a student as not owing a Title IV grant overpayment due to withdrawing if, for any Title IV grant program, the amount the student is responsible for repaying is $50 or less and is not a remaining balance?
____________
____________
yes no n/a
Federal Register, 9/27/12, p. 59313
H. Does the institution apply waivers of the regulatory and statutory provisions requiring (1) the student’s payment of a Title IV grant overpayment resulting from the student’s withdrawal, (2) notification of the Title IV grant overpayment, (3) the student’s loss of Title IV eligibility for failure to resolve the overpayment, and (4) referral of the overpayment to ED if the withdrawn student is an affected individual under the HEROES Act and:
____________
____________
yes no
Is serving on active duty during a
war or other military operation or national emergency;
Is performing qualifying National
Guard duty during a war or other military operation or national emergency;
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Reference Question Responsible Office
Response
Resides or is employed in an area declared a disaster area by any federal, state, or local official in connection with a national emergency; or
Suffered direct economic hardship
(as determined by ED) as a direct result of a war or other military operation or national emergency?
668.22(h)(4)(ii) 2015–16 FSA Handbook, p. 5-100
I. Does the institution send the student a notice of any grant overpayment he or she owes within 30 days of the date of its determination that the student withdrew (as defined by Title IV regulations)?
____________
____________
yes no
668.22(h)(4)(i) 2015–16 FSA Handbook, p. 5-100
1. Does the notification allow the student 45 days from the date it was sent (or the date by which it should have been sent) to repay the grant overpayment, enter into a repayment agreement with the institution, or sign a repayment agreement with ED?
____________
____________
yes no
Note: If institution does not allow
repayment agreements, skip Question 2.
2015–16 FSA Handbook, p. 5-109
2. If the student enters into a repayment agreement with the institution, does the institution immediately report it using the online National Student Loan Data System (NSLDS) Professional Access website?
____________
____________
yes no
668.22(h)(4)(iii)(B) 2015–16 FSA Handbook, p. 5-107
a. Does any repayment agreement offered by the institution require full repayment within two years of the date of the institution’s determination that the student withdrew?
____________
____________
yes no
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Reference Question Responsible Office
Response
668.22(h)(4)(i)(B) 2015–16 FSA Handbook, p. 5-109
b. Does the institution consider the student eligible for further Title IV funds during the terms of the institution’s repayment agreement?
____________
____________
yes no
668.22(h)(4)(iv)(B) 2015–16 FSA Handbook, pp. 5-108 to 5-109
c. Does the institution refer the overpayment to ED’s Debt Resolution Services and report it to NSLDS if the student does not satisfy the requirements of the agreement or fails to repay the overpayment within two years of the institution’s date of determination that the student withdrew?
____________
____________
yes no
668.22(h)(4)(iv)(A) 2015–16 FSA Handbook, pp. 5-107 to 5-109
3. Does the institution refer the overpayment to ED and report it to NSLDS if, within the 45-day period, the student does not:
____________
____________
yes no
Repay the overpayment; or Enter into a repayment
agreement?
VI. Post-Withdrawal Disbursements 668.22(a)(5) A. When the amount of earned aid
calculated under the return of Title IV funds formula is greater than the amount of aid already disbursed to, or on behalf of, the student, does the institution treat the difference as a post-withdrawal disbursement?
____________
____________
yes no
668.22(a)(6)(i) 2015–16 FSA Handbook, p. 5-86
B. Does the institution make the post-withdrawal disbursement from available Title IV grant funds before Title IV loan funds?
____________
____________
yes no
Note: If institution does not credit post-
withdrawal disbursements of Title IV loan funds to outstanding institutional charges that remain after refund policy, skip Question C.
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Reference Question Responsible Office
Response
668.22(a)(6)(ii)(A) (2) 2015–16 FSA Handbook, p. 5-86
C. If the institution chooses to credit a post-withdrawal disbursement of Title IV loan funds to outstanding institutional charges that remain after applying its refund policy, does it:
Follow all authorization requirements
under the cash management rules; and
____________
____________
yes no
Obtain the student’s (or parent’s in
the case of a parent PLUS) confirmation that the borrower still wants the Title IV loan funds credited to the student’s account?
____________
____________
yes no
668.22(a)(6)(iii)(A) 2015–16 FSA Handbook, p. 5-88
1. Within 30 days of the date of the institution’s determination that the student withdrew, does the institution send the borrower a written notification requesting the borrower’s confirmation?
____________
____________
yes no
668.22(a)(6)(iii)(A) 2. Does the request for confirmation
identify the type(s) and amount(s) of Title IV loan funds to be credited and explain:
The borrower may accept or
decline all or some of the Title IV loan funds;
____________
____________
yes no
If the borrower does not confirm
that the post-withdrawal disbursement may be credited to the student’s account, the borrower may not receive the Title IV loan funds as a direct disbursement unless the institution concurs;
____________
____________
yes no
The borrower’s obligation to
repay any Title IV loan funds credited to the student’s account;
____________
____________
yes no
The deadline by which the
borrower must respond to the request for confirmation; and
____________
____________
yes no
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Reference Question Responsible Office
Response
The consequences of not responding to the confirmation request and of responding after the deadline?
____________
____________
yes no
668.22(a)(6)(iii) (A)(5) 2015–16 FSA Handbook, p. 5-90
3. Is the institution’s deadline for responding to a confirmation request at least 14 days after the date the institution sent the confirmation request?
____________
____________
yes no
Federal Register, 9/27/12, p. 59314
4. Does the institution’s written notification provide a 45-day deadline from the date the notice is sent for borrower to respond if the borrower:
____________
____________
yes no
Is serving on active duty during a
war or other military operation or national emergency;
Is performing qualifying National
Guard duty during a war or other military operation or national emergency; or
Resides or is employed in an
area declared a disaster area by any federal, state, or local official in connection with a national emergency?
668.22(a)(6)(ii) (B)(1)
D. Does the institution, no later than 45 days after the institution’s determination that the student withdrew, disburse directly to the student any amount of a post-withdrawal disbursement of grant funds not credited to the student’s account?
____________
____________
yes no n/a
Note: If institution does not participate in
Title IV loan programs, skip Questions E through J.
668.22(a)(6)(ii) (B)(2)
E. Does the institution offer, in writing, to directly disburse to the student (or to the parent in the case of a parent PLUS) any amount of a post-withdrawal disbursement of Title IV loan funds not credited to the student’s account?
____________
____________
yes no
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Reference Question Responsible Office
Response
668.22(a)(6)(iii)(A) 2015–16 FSA Handbook, p. 5-91
1. Does the institution make the offer within 30 days of the date of the institution’s determination that the student withdrew?
____________
____________
yes no
668.22(a)(6)(iii) (A)(2)
2. Does the offer request the student or parent to confirm he or she still wants to receive the funds?
____________
____________
yes no
668.22(a)(6)(iii) 3. Does the request for confirmation
identify the type(s) and amount(s) of funds to be directly disbursed and explain the:
Student or parent may accept or
decline all or some of the funds; ____________
____________
yes no
Borrower’s responsibilities to
repay the Title IV loan funds; ____________
____________
yes no
Deadline by which the student or
parent must respond to the request for confirmation; and
____________
____________
yes no
Consequences of not responding
to the confirmation request and of responding after the deadline?
____________
____________
yes no
668.22(a)(6)(iii) (A)(5)
a. Is the institution’s deadline for responding to a confirmation request at least 14 days after the date the institution sent the confirmation request?
____________
____________
yes no
668.22(a)(6)(iii)(B) b. Is the institution’s deadline to
accept a post-withdrawal disbursement the same for both a confirmation of a direct disbursement and a confirmation of a post-withdrawal disbursement of Title IV loan funds to be credited to the student’s account?
____________
____________
yes no
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Reference Question Responsible Office
Response
Federal Register, 9/27/12, p. 59314
4. Does the institution’s written notice provide a 45-day deadline from the date the notification is sent for the borrower to respond if the borrower:
____________
____________
yes no
Is serving on active duty during a
war or other military operation or national emergency;
Is performing qualifying National
Guard duty during a war or other military operation or national emergency; or
Resides or is employed in an
area declared a disaster area by any federal, state, or local official in connection with a national emergency?
668.22(a)(6)(iii)(C) 2015–16 FSA Handbook, p. 5-91
F. Does the institution make a post-withdrawal disbursement of Title IV loan funds no later than180 days of the date of its determination that the student withdrew if the student or parent PLUS borrower confirms by the deadline that he or she wants to receive:
____________
____________
yes no
A post-withdrawal disbursement of
Title IV loan funds as a credit to the student’s account; or
All or a portion of the Title IV loan
funds as a direct disbursement?
668.22(a)(6)(iii)(D) 668.164(g)(4)(i)
G. If the institution chooses to honor a late response to its confirmation deadline, does it make the post-withdrawal disbursement no later than 180 days of the date of its determination that the student withdrew if the borrower confirms that he or she wants to receive:
____________
____________
yes no n/a
A post-withdrawal disbursement of
Title IV loan funds as a credit to the student’s account; or
All or a portion of the Title IV loan
funds as a direct disbursement?
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Reference Question Responsible Office
Response
668.22(a)(6)(iii)(E) 2015–16 FSA Handbook, p. 5-91
H. If the borrower’s response to a confirmation request for a post-withdrawal disbursement is received after the deadline and the institution chooses not to make the disbursement, does the institution inform the borrower, in writing, of its decision?
____________
____________
yes no n/a
668.22(a)(6)(iii)(F) 2015–16 FSA Handbook, p. 5-91
I. If the borrower does not respond to the institution’s request for confirmation for a post-withdrawal disbursement of Title IV loan funds, does the institution refrain from making a post-withdrawal disbursement of the loan funds?
____________
____________
yes no n/a
668.22(a)(6)(iv) J. Does the institution document in the
student’s file the result of any confirmation request regarding the post-withdrawal disbursement of Title IV loan funds and the final determination made concerning the disbursement?
____________
____________
yes no n/a
VII. Title IV Credit Balances 2015–16 FSA Handbook, p. 5-19
A. Does the institution hold any Title IV credit balance until after it has performed the return of Title IV funds calculation and has applied any applicable refund policy (i.e., institutional, state, or accrediting agency)?
____________
____________
yes no
2015–16 FSA Handbook, p. 5-19
1. Does the institution perform the return of Title IV funds calculation before applying any applicable refund policy?
____________
____________
yes no
2015–16 FSA Handbook, p. 5-19
2. Does the institution exclude from the return of Title IV funds calculation any portion of a Title IV credit balance from a prior payment period?
____________
____________
yes no
2015–16 FSA Handbook, p. 5-19
B. Does the institution resolve any remaining credit balance within 14 days of the date it performed the return of Title IV funds calculation?
____________
____________
yes no
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Reference Question Responsible Office
Response
2015–16 FSA Handbook, p. 5-19
1. Does the institution apply any applicable refund policy (e.g., institutional, state, accrediting agency) before allocating any resulting Title IV credit balance?
____________
____________
yes no
2015–16 FSA Handbook, p. 5-19
2. Does the institution first allocate the credit balance to repay any grant overpayment owed by the student?
____________
____________
yes no
2015–16 FSA Handbook, pp. 5-19 to 5-20
3. After satisfying any Title IV grant overpayment owed by the student, does the institution eliminate the remaining Title IV credit balance by:
____________
____________
yes no
Paying authorized institutional
charges (including previously paid charges that are unpaid due to the return of Title IV funds calculation) in accordance with Title IV cash management regulations;
Reducing, with the student’s
authorization, the student’s Title IV loan debt;
Paying the student’s parent if a
parent PLUS credit balance; or
Paying the student? 2015–16 FSA Handbook, p. 5-20
a. If the institution cannot locate the student or parent, does the institution return the funds to the Title IV program(s)?
____________
____________
yes no
Federal Register, 9/27/12, p. 59314
4. If the institution attempts to contact the borrower for permission to use the credit balance to reduce his or her Title IV loan debt, does it allow a 45-day response time if the borrower:
____________
____________
yes no
Is serving on active duty during a
war or other military operation or national emergency;
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Reference Question Responsible Office
Response
Is performing qualifying National Guard duty during a war or other military operation or national emergency; or
Resides or is employed in an
area declared a disaster area by any federal, state, or local official in connection with a national emergency?
Federal Register, 9/27/12, p. 59314
a. If the borrower does not respond within 45 days, does the institution promptly pay the credit balance to the borrower?
____________
____________
yes no
Federal Register, 9/27/12, p. 59314
b. If the institution cannot locate the borrower, does the institution return the funds to the Title IV program(s)?
____________
____________
yes no
VIII. Verification Not Completed at the Time of Withdrawal 2015–16 FSA Handbook, p. 5-7
A. Does the institution refrain from making interim disbursements to students who have completely withdrawn?
____________
____________
yes no
2015–16 FSA Handbook, p. 5-8
B. For a student undergoing verification at the time of withdrawal, does the institution return all unearned Title IV aid for which it is responsible within 45 days of the date the institution determined the student withdrew?
____________
____________
yes no
2015–16 FSA Handbook, p. 5-8
1. Does the institution include in the return of Title IV funds calculation only funds not subject to verification?
____________
____________
yes no
2015–16 FSA Handbook, p. 5-8
2. Does the institution disburse any Title IV grant funds a student is due as part of a post-withdrawal disbursement within 45 days of the date the school determined the student withdrew?
____________
____________
yes no
2015–16 FSA Handbook, p. 5-8
3. Does the institution offer any post-withdrawal disbursement of loan funds due within 30 days of the date of its determination that the student withdrew?
____________
____________
yes no
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Reference Question Responsible Office
Response
Note: If institution does not make interim disbursement of Title IV funds prior to completion of verification, skip Question C.
2015–16 FSA Handbook, p. 5-9
C. If a student has not completed the verification process at the time of withdrawal, does the institution:
Return any interim disbursement of
Title IV funds made to the student within 45 days of the date of its determination the student withdrew; and
____________
____________
yes no
Exclude those funds as aid that was
or could have been disbursed in the return of Title IV funds calculation?
____________
____________
yes no
2015–16 FSA Handbook, p. 5-9
D. If the student provides all required verification documents before the verification deadline but after the institution has performed the return of Title IV funds calculation, does the institution:
Complete verification; ____________
____________
yes no
Adjust the student’s award as
needed based on the verification results; and
____________
____________
yes no
Perform a new return of Title IV
funds calculation? ____________
____________
yes no
2015–16 FSA Handbook, p. 5-9
1. Does the new return of Title IV funds calculation include as aid that could have been disbursed only Title IV aid for which the student established eligibility as the result of verification and for which the conditions for a late disbursement are met?
____________
____________
yes no
668.164(g)(4) 2015–16 FSA Handbook, p. 5-9
2. Does the institution make any post-withdrawal disbursement that results from the new return calculation as soon as possible but no later than the applicable 180-day late disbursement deadline?
____________
____________
yes no
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Reference Question Responsible Office
Response
2015–16 FSA Handbook, p. 5-9
a. Does the institution offer the student or parent PLUS borrower a post-withdrawal disbursement of loan funds and provide the borrower with the minimum 14-day response period, if possible?
____________
____________
yes no n/a
Federal Register, 9/27/12, p. 59314
3. Does the institution provide the borrower a 45-day response period, if possible, if the student:
____________
____________
yes no
Is serving on active duty during a
war or other military operation or national emergency;
Is performing qualifying National
Guard duty during a war or other military operation or national emergency; or
Resides or is employed in an
area declared a disaster area by any federal, state, or local official in connection with a national emergency?
IX. Leave of Absence Note: If the institution does not have a Title
IV-approved leave of absence (LOA) policy, skip Section IX.
668.22(d)(3)(iii) 2015–16 FSA Handbook, p. 5-10
A. Is the institution’s Title IV-approved LOA policy in writing and publicized to all students?
____________
____________
yes no
668.22(d) 2015–16 FSA Handbook, pp. 5-10 to 5-14
B. Does the institution ensure: The student follows the institution’s
policy when requesting the LOA;
____________
____________
yes no
It receives a written, signed, and
dated request, including the reason for the request, from the student prior to the leave;
____________
____________
yes no
There is a reasonable expectation
the student will return; ____________
____________
yes no
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Reference Question Responsible Office
Response
LOA requests are approved in accordance with the institution’s policy;
____________
____________
yes no
If the student is enrolled in a term-
based credit-hour program, the student is permitted to complete the coursework he or she began prior to the LOA upon his or her return;
____________
____________
yes no n/a
No additional charges are assessed; ____________
____________
yes no
The number of days in the LOA
when added to the number of days in all LOAs for any 12-month period does not exceed 180 days;
____________
____________
yes no
If the student is a Title IV loan
recipient the institution, prior to granting the LOA, explains to the student the effects of the student’s failure to return on the loan repayment terms and grace period; and
____________
____________
yes no n/a
If unforeseen circumstances prevent
a prior request, the institution documents its decision to grant the LOA and collects the written LOA request at a later date?
____________
____________
yes no
Federal Register, 9/27/12, p. 59314
C. Does the institution waive the student’s written request for a LOA and document its reason for the waiver if the student is having difficulty providing the written request and:
____________
____________
yes no
Is directly affected by a federally-
declared disaster;
Is serving on active duty during a
war or other military operation or national emergency;
Is performing qualifying National
Guard duty during a war or other military operation or national emergency; or
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Reference Question Responsible Office
Response
Resides or is employed in an area declared a disaster area by any federal, state, or local official in connection with a national emergency?
2015–16 FSA Handbook, p. 5-10
D. Does the institution ensure it does not make a disbursement of the proceeds of a Direct Loan to a student on a LOA?
____________
____________
yes no n/a
2015–16 FSA Handbook, p. 5-10
E. Does the institution pay any funds that are part of a Title IV credit balance to a student on a LOA?
____________
____________
yes no
See also the Recommended Good Practices section (Part 1, Section VIII) of the Self-Evaluation Guide. Comments on Return of Title IV Funds
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aid administrators; advocates for public policies that increase
student access and success;serves as a forum on student financial aid issues, and is
committed to diversitythroughout all activities.
© 2015 National Association of Student Financial Aid Administrators
.