Chapter 5: Roster of Recipients List and Certification Procedures

Once the Initial APTS Recipients List is transmitted to HESC for processing, each record is edited for errors, invalid social security numbers, loan default, previous record of a Waiver of Good Academic Standing, payment points, etc, to determine students’ eligibility or ineligibility. HESC generates the online Roster of Recipients List of eligible students for schools to certify or decertify. Students flagged for a loan default will not appear on the Roster of Recipients, but will be listed on the HE8289 APTS List of Students Currently in Loan Default (see Chapter 2.5).

5.1 Roster of Recipients

The HE8076 Institutional Roster of Recipients standard report is located in Transaction Processing, Reports tab. It is a reflection of the transmission submitted by the school and is separated into three groups:
Group 1 – Roster of Award Recipients

  • Eligible students.
  • Eligible students submitted as a replacement. An “A” will be displayed, indicating the student was added to the Initial Recipient List.
  • Group 2 – Ineligible Students

    • Ineligible students, who exhausted TAP eligibility, were previously certified for a TAP award for the same term, or whose income exceeds the maximum.
    • Students deleted by the school.

    Group 3 – Errors

    • Students with errors, e.g. awards equal to zero, invalid alpha/numeric data, term award greater than $1000 per semester ($666.66 per trimester), total annual award exceeds $2000, and college code not approved.
    • Replacement students with errors.


    Students listed in Group 3 – Errors may be certified, provided the error is corrected and the student is otherwise eligible. Schools are responsible for reviewing the Roster of Recipients for accuracy. 

    A description of the field entries can be found on the layout HE9076 Aid for Part-Time Study (APTS) Roster of Recipients (Outgoing), available on HescWeb’s Forms for Professionals, TAP EFAN School Layouts.

    5.2 Revised Roster of Recipients

    HE8076 Institutional Roster of Recipients may be updated and is cumulative throughout the term. It should be reviewed by the school prior to certifying each term. 
    Students clearing their loan default status before June 30 will appear on a revised HE8076 Institutional Roster of Recipients List.

    A Replacement/Deletion List, submitted after the processing of the Initial Recipient List, also generates a new Roster of Recipients List. Schools are responsible for reviewing the new Institutional Roster of Recipients and verifying new information against the latest transactions sent to HESC. 

    5.3 Cumulative Passing Average

    Schools are responsible for indicating, to HESC, students who have achieved a Cumulative Passing Average (CPA) for each term in which an award is received. A CPA is based on the school’s minimum passing course grade for the semester. E.g. A school utilizing a grading system which assigns a 1.0 to a grade of D, and D is the minimum passing grade, cannot certify a student with a CPA if the student has a grade lower than a 1.0.

    5.4 View/Update APTS Transactions/Roster of Recipients List

    To view and/or certify the Roster of Recipients List, click on the View/Update APTS Transactions function and enter the College Code, Academic Year, Term, and select Roster of Recipients from the drop down box for the List Type. After entering the search criteria, click the View button. A message indicating the total transactions returned will be displayed. 

    Click on the Details link next to the student you wish to certify or decertify. 

    5.5 Certification/Decertification/Update APTS Roster of Recipients Transaction Details

    The Update APTS Roster of Recipients Transaction Details for the requested student will be displayed after selecting the Details link. Review and update the information and enter the appropriate Certification Processing Code and click the Submit button. The student’s Transaction Status will change to “Pending Cert” until HESC processes the certification. 

    Schools must certify or decertify eligible students by entering one of the following valid processing codes: 

    1 - CERTIFY WITH C.P.A. - to certify a student with a cumulative passing average for the term 
    2 - CERTIFY WITH C.P.A - 5TH YEAR - to certify a student enrolled in a five-year program with a cumulative passing average. 
    3 - CERTIFY WITH C.P.A-USING WAIVER - to certify a student with a cumulative passing average using a one-time waiver of good academic standing.
    4 - CERTIFY NON C.P.A - to indicate a student failed to achieve a cumulative passing average for the term. Students certified with a “4” must receive the full amount of the award.
    5 - DECERTIFY NOT IN GOOD ACADEMIC STANDING - to decertify a student not in good academic standing for the previous term
    6 - DECERTIFY MISC. REASON - to decertify a student for other reasons (i.e. did not meet eligibility requirements, not a US citizen, not a NYS resident etc.) 

    5.6 Correcting APTS Student Social Security Numbers (SSN)

    On the Change APTS Student SSN Web page the user has the capability to correct a student's SSN and submit the certification at the same time. This transaction can only be submitted after the student has appeared on the APTS Roster of Recipients. On the Change APTS Student SSN input page, the user must enter the College Code, Academic Year, Term and Student SSN you wish to view. After entering the search criteria, click the View button. The user will be presented with the Updated APTS Student Datapage where the Certification Processing Code and correct SSN can be entered. To change the Student SSN and to certify the student, enter the new SSN in the New Student SSN field, select a Certification Processing Code and then click the Submit button. 

    5.7 Deadline for Roster of Recipients Certification Transmission

    The school is required to certify the Roster of Recipients within 45 days of the end of the term, indicating which students have achieved a cumulative passing average and which students have failed to achieve a cumulative passing average for the term. 

    5.8 Roster of Recipients List Processing

    HESC will process the school’s certified Roster of Recipients List and create a Payment Reconciliation Report. Schools will be reimbursed for full value of the term award amount to eligible students who have a cumulative passing average. Reimbursement for up to 10% of the value of all awards (CPA and Non-CPA) will also be provided for the term for students who failed to achieve a cumulative passing average.