Certification Procedure

HESC places all students approved for an award on a payment roster. The school must then determine their eligibility. Once the school decides whether a student is eligible, the student's award status for the term will be one of the following: 

a. Certified 
The school has determined that the student satisfies the eligibility criteria for the award for that term. 

b. Decertified 
The school has determined that the student does not satisfy the eligibility criteria for the award for that term. 

c. Pending 
The school is temporarily unable to determine the student's eligibility for an award for that term. The school will not certify that student until the eligibility uncertainty is resolved.

The school cannot certify a student for a particular term until the certification status date, the date the student would have incurred full tuition liability for the term. 

When students are enrolled in a program of study that the State Education Department has formally approved to operate on a "simulated semester" basis, students must register for and incur tuition liability for enough credits for full-time study at the outset of the term. However, students cannot be certified for awards until they have begun study for the second module of the simulated term. 

The school uses a series of numeric codes, to be entered on the term payment roster, to certify or decertify students for awards for that term. Following is a list and explanation of each of the certification codes:

• Codes 1 through 3 are certification codes schools use to indicate that the student is eligible to receive an award.
• Codes 4 through 9 are decertification codes schools use to indicate that a student is not eligible to receive an award. If more than one decertification code applies, enter the most relevant code.

Students must meet citizenship, residency, high school graduation and good academic standing requirements as of the first day of classes for a particular term to be certified as eligible for an award for that term. 

Students must meet matriculation requirements, approved program requirements, full-time study requirements and tuition liability requirements some time between the first day of classes and the certification status date for a particular term to be certified for an award for that term. 

Students enrolled in a "simulated semester" must register for sufficient credits for full-time study at the outset of the term. 

a. Description
By law, students are limited as to the number of payments they can receive through each of the state's grant and scholarship programs. HESC uses a payment point system to monitor the number of payments students have received. 
Points are charged to students' records for each term payment received as follows:

 

Students who have received state awards for an entire academic year will accrue a total of 12 payment points. At a semester-based institution, students would accrue six points per term for each of two terms - fall and spring. At a trimester-based institution students would accrue four points per term for each of three terms - fall, winter, and spring. 

b. Reporting Point Consumption 
Unless otherwise noted (see Chapter 1), students can normally receive state grants and scholarships for up to four years of study. Most undergraduate award programs allow students to receive payment for a fifth year of study if enrolled in an approved five-year baccalaureate program or an approved educational opportunity program. 

Students can receive a total of eight years of TAP payment for undergraduate and graduate study. Normally students will accumulate 48 payment points for four years of undergraduate study. Students could then accumulate an additional 48 payment points for up to four years of TAP payment for graduate study. However, students who receive five years of TAP payment as an undergraduate (60 points) can receive a maximum of three years of TAP payment (36 points) for graduate study. 

HESC reports payment point information on the payment roster. This information includes points associated with the current term. For example, a student being approved for a first award at a semester school will show six points for that term. Payment point information on the roster also includes any previously certified or pending terms. Pending terms for the same academic year are on the roster in the "Pend" field and are S=summer, F=fall and W=winter. 

Additional information on payment point consumption is in item 5.08b, "Point Summaries." 

c. Partial Consumption
When students have received less than a full term award (half-time award for accelerated study, an APTS award, etc.), HESC prorates payment points accordingly: three points-semester institution, two points-trimester institution. 

d. $100 Statutory Reduction
By law, undergraduate students' TAP awards are subject to a $100 annual reduction after students have received the equivalent of two full years of TAP (or TAP & STAP) assistance. HESC reduces the award on a term basis. The reduction takes effect during the term the student will have accumulated more than 24 payment points. The amount of the reduction per term is as follows:

 

e. Using Payment Points

• HESC Use- HESC uses payment points to track the number of payments it gives students. This enables HESC to make the $100 statutory reduction for TAP awards at the appropriate time and to deny further state grant or scholarship awards when the student has exhausted award eligibility.
• Institutional Use- Institutions use the number of payment points a student has received to evaluate good academic standing. By dividing the student's total number of payment points by the number of points assigned the student per term (four or six), institutions can determine the number of payments the student has received. NOTE: If, because the student received partial payments, the total points do not divide into an even number of payments, round the points down to the nearest number of full payments to evaluate good academic standing. 

Additional information on using payment points is in item 5.08b under "Points Summaries".
 

a. Description
The Payment Roster is produced periodically for each school code. It contains the names of all students who, at the time of production, have been approved for a state grant or scholarship for a particular term and have not previously appeared on a roster for that term. 

b. Production Schedule
HESC produces payment rosters based on application processing volume and the school's term structure-trimester or semester. HESC generally produces rosters by the start of each term and periodically thereafter. 

HESC formats the Payment Roster with three distinct sections: a heading at the top of the page, a student data section on the left side of the page, and a certification data section on the right side of the page. A description of the items in each section follows: 

a. Heading 
This section contains basic school identification information.

• College Name. Name of the school for which HESC produced the roster.
• College Code. The school's assigned four-digit institutional identification code.
• Term/Year. The academic term (summer, fall, winter and spring) and the academic year (2011-12, etc.) for which the roster was produced. This may also be expressed as a five-digit entry (for example, 12011 for summer of 2011-12 and 22011 for fall, etc.).
• Roster No. The three-digit sequential number assigned to the roster (001, 002, etc.)
• Payment Type. The payment option the school has selected-prepayment or non-prepayment. HESC will also show a prepay percentage if the school has selected a prepay option.
• Term Type. Reflects the term structure the school uses-semester or trimester.

b. Student Data Section
This section contains, for each student, information derived from the student's payment application and from HESC's master file. The specific items in this section are:

• Name, Date of Birth. The student's name and date of birth. The school cannot change this information. If there are errors in either field, but the school can otherwise identify the student with certainty, proceed with certification and advise the student to make corrections on a student change form. Do not make corrections on the roster. If the student's identification is uncertain, leave the student in pending status until discrepancies can be resolved. If the discrepancy is resolved, decertify the student using certification Code 9.
• TAP Award. The amount of assistance HESC will grant the student for the term through the Tuition Assistance Program.
• Other Award. The amount of assistance HESC will grant the student for the term for other grant and scholarship programs excluding TAP.
• Total Award. The total amount of assistance HESC will grant the student for the term, including all award programs for which the student has been approved.
• Year Schedule. This information appears directly below the student's last name. The two-digit numeric designation indicates the first academic year, in which the student received any state grant or scholarship. The alpha designation refers to the payment schedule on which HESC calculates the student's TAP award. RED, or reduced, will follow the alpha character to indicate that the student's TAP award for that term is subject to the statutory reduction that is mandated after the student has received the equivalent of four or more semesters of TAP.
• Award Prog. Codes. HESC uses the following alpha codes to indicate programs through which the student may receive assistance. If HESC has approved the student for an award for the term indicated on the roster, an asterisk will appear to the right of the alpha designation. 

TU- TAP Undergraduate

TG- TAP Graduate 

ST- Supplemental Tuition Assistance Program 

SC- Undergraduate or Graduate scholarship programs 

FE- Veterans Tuition Award (Graduate) 

CV- Regents Award for Children of Deceased or Disabled Veterans, or the Memorial Scholarships for Families of Deceased Firefighters, Volunteer Firefighters, Police Officers, Peace Officers and Emergency Medical Service Workers. 

VA- Veteran Tuition Award (Undergraduate) 

PT- Aid for Part-Time Study 

Pend. This field indicates if a student is in pending status (on a roster but not yet certified or decertified) for a prior term of the same academic year. The following alpha codes designate which prior term: S=summer, F=fall, W=winter. No code in this field indicates the student is not in pending status for any prior term of the academic year. 

Point Summaries. Directly beneath each of the award program codes on the roster will be a summary of the total payment points (including pending terms) the student has accumulated for that award program. Point totals for different programs may vary. 

Note on Point Summaries
Before the 1989-90 academic year, students who received any state grant or scholarship payment accrued TAP eligibility. Accordingly, points would be accumulated under the TAP award program code even if the student only received a scholarship. However, as a result of legislative action effective for the 1989-90 academic year, students who received other state grants or scholarships (except for Aid for Part-Time Study) no longer accrued TAP eligibility. Accordingly, effective with the 1989-90 academic year, TAP points are only accumulated when the student receives or is pending receipt of a TAP award. Similarly, if the student receives a scholarship only, points will only be accumulated under the appropriate scholarship program code. 

In reviewing point summaries to determine good academic standing, always use the highest point total regardless of to which program code it applies. In a relatively small number of instances, the school may have to add points accumulated under two or more award program codes to determine the number of payments a student has received. Primarily, this situation could occur if a student received TAP only for a particular term and received payment of a scholarship only for another term. Another instance when the school would have to add points is when scholarship points are equal to or greater than TAP points and there are points indicated under the part-time (APTS) program code. Since APTS points are not accumulated under the scholarship program codes, they would have to be added to the scholarship total to determine a student's total number of points. This should be relatively rare. However, schools that are uncertain about how many state awards a student has received should use one of the HESC inquiry services for specific payment information. 

c. Certification Data Section
This section contains information used to certify each student's eligibility for an award. Schools may make changes to all fields in this section except to the student's Social Security number. The specific fields contained in this section are:

• Cert. Code. To certify or decertify a student, the school enters one of the numeric certification codes in this field.
• SSN & CD. This field is for the student's Social Security number, followed by a single check digit (CD), which HESC uses for internal purposes. In case of error, only the student can change the Social Security number. The check digit, assigned by HESC, should never be changed. Schools can certify students with incorrect Social Security numbers if they can otherwise be identified with certainty. If discrepancies in the Social Security number cannot be resolved, schools should decertify the student using Code 9. NOTE: To correct errors in the Social Security number, advise student to submit a student change form with the correct number and a photocopy of the Social Security card.
• Five Yr. This field is used to certify students who are enrolled in an approved five-year baccalaureate program or an approved program of remedial study (EOP, HEOP, CD, SEEK) for a fifth year of award payment.

When applying for an award, students who have previously received eight semesters of payment and who either indicate enrollment in a five-year baccalaureate program or an approved remedial program will be placed on a roster if their institution has been approved for such a program. HESC will preprint a "5" in this field.

NOTE: If the school has not been approved for a five-year baccalaureate program or a remedial program, HESC will deny the student an award, and the student will not appear on a roster. 

To certify a student for a fifth year of payment, use certification Code 1, and enter a "5" in the five-year field. If the student is otherwise eligible for an award but is not enrolled in an approved five-year baccalaureate or remedial program, use certification Code 1, and enter the letter "N" in the five-year field. If the student is ineligible for an award for other reasons, ignore this field and use the appropriate code (Code 4 through Code 9) to decertify the student. 

STAP Certification
The school uses the five-year field to certify a student for an award through the Supplemental Tuition Assistance Program. If a student is eligible to receive a STAP award for a summer term, use certification Code 1, and enter the letter "R" in this field. NOTE: The school can only certify students for a STAP award during the summer terms preceding and following the initial year of college study. The school also uses this field to certify certain students in two-year programs.

• Waiver. This field indicates whether a student has used the one-time waiver of good academic standing, as provided in the Commissioner's guidelines (see Appendix C). If the student has previously used the waiver, a "W" will be preprinted. If a "W" is not preprinted in this field and the school has a sound basis for certifying the student with a waiver, enter the appropriate certification code (Code 1 through Code 3) and a W in this field. NOTE: Only students who first received a state grant or scholarship in the 1981-82 academic year or thereafter can use this waiver.
• Stat. This field indicates the student's enrollment status as either a full-time or part-time student for the term. Generally the code FT (full time) will be indicated. However, for institutions offering an accelerated summer term, the code HT (half time) may be indicated.
• Tuition. HESC preprints the term tuition charge, as reported to HESC on the payment survey, in this field. If the student's actual tuition liability differs from the preprinted amount, enter the actual tuition liability.
• Other Educational Benefits. Receiving certain types of financial assistance from sources other than HESC may affect students' eligibility to receive state grants or scholarships. Possible sources of other educational assistance include the Federal Government, other state agencies, school districts, fraternal organizations, businesses and foundations. Other benefits will affect students' eligibility for state awards if the New York State Commissioner of Education has determined that they constitute either a duplicative or a concurrent benefit.
• Duplicative Benefits. Duplicative benefits are those that duplicate the purpose of a TAP, STAP or Veteran Tuition Award (VTA). Generally, this refers to funds that are specifically intended to cover tuition charges. The total of a TAP, STAP or VTA and the duplicative benefit cannot exceed students' actual tuition liability. The TAP, STAP or VTA would be reduced accordingly.

Benefits that HESC determines to be duplicative in nature affect only the TAP, STAP and VTA programs. They have no effect on any other state programs.

Examples of Duplicative Benefits:

Federal
Any educational grant or scholarship that provides assistance to cover tuition charges. ROTC scholarships are a fairly common type of duplicative federal benefit. When awarding tuition benefits, Chapter 31 Veterans Vocational Rehabilitation is considered duplicative. The Chapter 33 Post 9-11 tuition portion of the award is duplicative, but the Montgomery GI Bill is not considered duplicative as it is not tuition specific.

State
Grants administered by other state agencies, such as the Office of Vocational Rehabilitation, that provide assistance to cover tuition charges are duplicative. However, grants that are limited to the difference between tuition and the TAP award are not duplicative.

Institutional Aid
Any college-awarded grant or scholarship that is based on a general competition and that, when combined with other aid, would exceed the student's cost of attendance is duplicative. Tuition remission or tuition waivers that are not based on need are also duplicative. Typically this could include remission or waivers granted for status as a faculty dependent or service as a graduate assistant. 

Other Private Aid
Any grant or scholarship awarded through other or private sources that, when combined with other aid, would exceed the student's cost of attendance is duplicative. 

The above list includes the types of other benefits that are duplicative. It is not a definitive list. The institution should contact HESC's Office of Field Services with questions on the duplicative nature of other benefits students receive.

• Concurrent Benefits. Students cannot receive benefits concurrently with a state-sponsored academic performance award or scholarship. If students elect to receive a benefit that cannot be held concurrently with a state-sponsored academic performance award, HESC will not revoke the award, but the student cannot receive payment. The student can receive payment if the concurrent aid later becomes unavailable to the student.

Benefits HESC determines to be concurrent do not affect TAP and other general awards.

Examples of Concurrent Benefits:

Federal
Generally educational grants or scholarships from the armed forces or other federal agencies that provide tuition support are held to be concurrent benefits. Those providing only subsistence or maintenance are not concurrent. 

State
Students cannot hold two academic performance awards concurrently. 

Institutional/Private Aid
Generally HESC does not consider aid from institutional or private sources to be a concurrent benefit. 

The above list includes the types of assistance that may be concurrent. It is not a definitive list. The institution should contact HESC's Office of Field Services with questions on the concurrent nature of other benefits students receive. 

Benefits With No Effect:

The following types of assistance are not considered to be either duplicative or concurrent:

• loans of any type
• non-service institutional grants, waivers or tuition remission that is based on need
• salary (or tuition credit in lieu of salary) for services performed
• academic, athletic or other prizes, except that portion exceeding the cost of maintenance
• New York State Native American Indian aid
• Montgomery G.I. Bill benefits
• U.S. War Orphan benefits
• Social Security benefits
• subsistence allowance for ROTC students
• federally sponsored Pell Grants, SEOG Grants and awards through the College Work-Study Program
• grants made through a New York State-sponsored opportunity program (EOP, HEOP, CD, SEEK)
• New York City Mayor's Scholarship Program

If the student will receive duplicative benefits, the school should enter the amount of these benefits in this field when certifying the roster. This will result in an award recalculation when HESC processes the roster and may adjust the amount of a student's award.

Educational Expenses. The cost of attendance for the term, as reported to HESC on the Payment Survey, is indicated for students who have been approved for various state-sponsored scholarship or fellowship programs. The institution must verify this amount and correct it if necessary.

As of the 1995-96 academic year, students enrolled in two-year programs are limited to receiving no more than three years of state-funded student aid, such as TAP, scholarships, etc. 

a. Students Attending Two-year Schools
HESC will not approve an award for students who have accumulated three years of payment, or 36 payment points, and have not indicated enrollment in an approved opportunity program (EOP, HEOP, SEEK, and CD) on their application. Accordingly, no certification action will be necessary. 

Students who have accumulated three years of payment and have indicated enrollment in an approved opportunity program on their application will appear on a roster with a "5" preprinted in the five-year field. If the student is enrolled in an opportunity program, enter a "5" in the five-year field. This will permit the student to be certified, since opportunity students can receive more than three years of payment in a two-year program. If the student is not enrolled in an opportunity program, enter an "N" in the five-year field. This will, in effect, decertify the student for an award. 

b. Students Enrolled in Two-year Programs at Four-year Schools
Students who have accumulated three years of payment, and have not indicated enrollment in an opportunity program on their application will appear on a roster with no entries preprinted in the five-year field. Certify these students using the appropriate certification code, and enter a "2" in the five-year field. This, in effect, will decertify the student for an award. 

Students who have accumulated three years of payment and have indicated enrollment in an opportunity program on their application will appear on the roster with a "5" preprinted in the five-year field. When certifying these students, use the appropriate certification code. If the student is not enrolled in an opportunity program, enter a "2" in the five-year field. This will, in effect, decertify the student for an award. If the student is enrolled in an opportunity program, enter a "5" in the five-year field. This will permit the student to be certified for an award. 
 

a. Certification of Medical-Health Waivers
Students who are precluded from meeting the full-time study requirement for TAP and other state awards because of health or medical reasons can be certified for work completed over two or more terms of part-time study. The following procedures are applicable when certifying students on this basis:

• A physician's statement must document each term of less than full-time attendance.
• A student payment application must be submitted for each academic year in which the student seeks to be credited with a term of less than full-time study.
• The student must meet all other eligibility criteria during any term of less than full-time study.
• Schools must decertify (using Code 5- not full time) for any term of less than full-time study until the student has accumulated enough credit hours for full-time study.
• The school may certify a student for an award in the term when the student has finally accumulated enough credit hours for full-time study.
• When the school certifies the student, the school must enter on the payment roster the actual tuition liability incurred over all terms of less than full-time study. HESC will base the term TAP award on this combined tuition liability.

b. Students with Disabilities
Students who are disabled as defined by the American with Disabilities Act (ADA) and are attending part-time (at least three credits per semester or the equivalent) can be certified for a Part-time TAP award for any approved term.

• Schools should be aware that the certification code used for an eligible student with disabilities should be Code 1; Eligible. Code 5, defined as "Not full-time," is a decertification code that HESC uses to indicate a "not eligible" status.
• HESC preprints the term tuition charge, as reported to HESC on the prepayment survey, in the tuition field. If the student's actual tuition liability differs from the preprinted amount, enter the actual tuition liability.
• ADA students can only be certified on HESC's Website. The HescWeb screens for “STUDENT RECORD MAINTENANCE,” “VIEW/SUBMIT PENDING CERTIFICATION,” and “VIEW/CORRECT STUDENT CERTIFICATION” allow schools to indicate the student meets the Americans With Disabilities Act of 1990 guidelines, and to allow the reporting of credits being taken in the Enrollment Status drop down list.
• Consistent with Part-time TAP, any semester, quarter or term of attendance during which a student receives an ADA TAP award shall be counted as the enrollment factor percent of a semester, quarter or term toward the maximum term of eligibility for TAP awards. The total period of study for which payment may be made shall not exceed the equivalent of the maximum period authorized for that award.
• HESC will calculate the TAP award amount for part-time ADA students in the following manner:

Part-time Credits

Semester Schools
ADA payment will be made for students taking 3-11 credits as shown below:

Trimester Schools

ADA payment will be made for students taking 3-7 credits as shown below:

Note: ADA recipients who meet all other certification requirements, but are taking only two credits in a term at a trimester-based school, will require special processing.

Contact HESC at (888) 697-4372 option 2 or e-mail [email protected] for instructions regarding the certification of these students.

a. Payment Rosters
Schools must certify no later than 60 days from the date the roster was issued or 30 days from the end of the term, whichever is later. 

b. Student Certification Changes
HESC will accept at any time changes that will result in a student being decertified or in an award being reduced. Schools must submit to HESC other changes being made on this form within 90 days of the issuance of the Remittance Advice on which the student appears or by May 1 of the academic year, whichever is later. 

HESC has modified its payment programs to identify various types of extraordinary certification activity that the school must review. HESC has developed the following reports to assist schools in reviewing these certifications. 

a. TAP Recipients for PT Summer Study with No Prior Spring Full-time Certification-HE8263
This report identifies students who are certified for a TAP award for half-time summer study, who were not certified for a full-time award for the prior spring term at your school, and must meet additional accelerated study requirements (see Chapter 2.07d) to receive payment. The report, which is informational and does not have to be returned to HESC, will be included with the Remittance Advice. It is intended to help schools identify students who may not be eligible for a TAP award for part-time summer study and may have to be decertified. 

b. Eligibility Confirmation List-TAP Recipients for PT Summer Study with No Prior Spring Full-time Certification-HE8261
This report, forwarded to the school at the end of the school year, identifies students certified for a TAP award for part-time summer study who were not certified for an award for the prior spring term. This report is a certification document and, as such, the Certifying Officer must sign the affirmation at the bottom. The report allows the school to certify that, although students did not receive TAP, they were enrolled full-time and were matriculated in an approved program in New York State in the prior spring term and meet the additional accelerated study requirements (see Chapter 2.07d) and are therefore eligible for the summer part-time award. Schools should decertify students who are ineligible using this form. 

c. Student Previously Certified as Withdrawn with Tuition Liability-HE8258
The Commissioner of Education has established regulations on good academic standing for state student financial aid purposes. The Certifying Officer at the institution is responsible for the reporting of good academic standing as it applies to TAP eligibility. However, there is one situation in which HESC can make a reliable determination on a student's eligibility. If a student withdrew from all courses and was certified as such, (certification Code 3) the student would be ineligible for later financial aid until good academic standing was restored. A student can regain eligibility for TAP by making up past academic deficiencies by successfully completing one or more terms of study without TAP or other state awards; being readmitted to school after an absence of at least one year; or transferring to another institution. 

HESC will no longer process a term award certified without a waiver after a term in which the student was certified as "withdrawn with tuition liability," as indicated by a certification Code 3. HESC will list the certification data and information concerning the term in which the student withdrew on form HE8258, "Students Previously Certified as Withdrawn with Tuition Liability." HESC will forward the list to the school with the Remittance Advice. This form will allow the school to decertify the student; certify the student using a waiver; or change the certification for the term in which the student withdrew. The report is a certification document, and as such, the certifying officer must sign the affirmation at the bottom. 

NOTE: Although HESC produces these reports on a routine basis, schools will receive these reports infrequently, if at all. Schools can gauge the number of reports they will receive in the future by the number of post-audit reports received in the past. 

HESC will include transmittal memos with detailed explanations and instructions with the reports when they are issued.