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Your completed FISAP

must be transmitted via the Student Aid Internet Gateway by: October 1, 2000

Fiscal Operations Report for 1999-2000


and
Application to Participate for 2001-2002
(FISAP)
in the Federal Perkins Loan
Federal Supplemental Educational Opportunity Grant (FSEOG)
and Federal Work-Study (FWS) Programs

Department of Education
Student Financial Assistance
Contents
What you will find in this package: Page:

Information about the FISAP...........................................................................- 3

PART I Identifying Information, Certifications, and Warning


Instructions........................................................................................................- 6

PART II Application to Participate


Instructions........................................................................................................- 8

PART III Federal Perkins Loan Program Report


Instructions........................................................................................................ - 15

PART IV FSEOG Program Report


Instructions........................................................................................................ - 28

PART V FWS Program Report


Instructions.........................................................................................................- 32

PART VI Program Summary


Instructions.........................................................................................................- 38

APPENDIX Sample Form Pages...................................................................................... A1 - A12

1
The Legal Reason Why You Must Disclosure of Estimated Burden
Complete the Application
According to the Paperwork Reduction Act of
The law states that if we do not receive a 1996, no persons are required to respond to a
completed application by October 1, you cannot be collection of information unless it displays a valid
assured that your institution will be allocated funds OMB control number. The valid OMB control
for any of the Campus-Based Programs. (If you number for this information collection is 1845-
want to request a level of expenditure for the 0030. The time required to complete this
Federal Perkins Loan Program, even if you need information collection is estimated to average 6.25
no new Federal funds, you must submit an hours per response, including the time to review
application.) The regulatory and statutory instructions, search existing data resources, gather
citations are as follows: Federal Perkins Loan (34 the data needed, and complete and review the
CFR 673.3) (20 U.S.C. 1087bb), FWS (34 CFR information collection. If you have any
673.3) (42 U.S.C. 2752), FSEOG (34 CFR 673.3) comments concerning the accuracy of the time
(20 U.S.C. 1070b-3). estimate or suggestions for improving this
form, please write to: U.S. Department of
The Legal Reason Why You Must Complete Education (ED), Washington, D.C. 20202-4651. If
the Fiscal Operations Report (FISCOP) you have comments or concerns regarding the
status of your individual submission of this
Federal regulations state that if you spent funds in form, write directly to: U. S. Department of
1999-2000 or have a Federal Perkins Loan Fund, Education, Campus-Based Operations, Portals
you must submit a Fiscal Operations Report. The Building, Room 600 D, 1250 Maryland Avenue,
regulatory and statutory citations are as follows: SW, Washington, D.C. 20202-5452.
Federal Perkins Loan (34 CFR 674.19), FWS (34
CFR 675.19), FSEOG (34 CFR 676.19), (20
U.S.C. 1094).

OMB 1845-0030
Expires 03/31/2001

2
Fiscal Operations Report and Application
to Participate
(The FISAP)

What is this package? need not establish its eligibility first in order to
file this application by the deadline of October
The Electronic FISAP program is a software 1, 2000.
package containing the Application to Participate
in the three Campus-Based Programs (Federal Will I need to complete the entire FISAP?
Perkins Loan, Federal Supplemental Educational
Opportunity Grant (FSEOG), and Federal Work- Maybe not. To decide what parts must be
Study (FWS)) for the award year July 1, 2001 completed, you must know what your institution
through June 30, 2002, and the Fiscal Operations did last year and what it plans to do next year.
Report for program participation during the award This package contains data cells for two separate
year July 1, 1999 through June 30, 2000. award years: an Application for funds for 2001-
2002 and the Fiscal Operations Report for 1999-
What do these programs provide? 2000.

The Federal Perkins Loan Program provides low- The FISAP package is divided into three main
interest loans to students with financial need who parts: Identifying Information, Certifications and
are attending institutions of higher education to Warning; the Application to Participate; and the
help pay the costs of their postsecondary education Fiscal Operations Report. The table of contents is
(CFDA #84.038). your guide to instructions for each part of this
FISAP package.
Note: CFDA is the acronym for the Catalog of
Federal Domestic Assistance, which describes all Use the following table to determine what parts
Federal programs. need to be completed:

The FSEOG Program provides grants to students For this situation Complete these Parts
with financial need who are attending institutions
of higher education to help pay the costs of their You are requesting FISAP, Part I:
postsecondary education (CFDA #84.007). funds for 2001-2002 Identifying Information,
Certifications, and
The FWS Program provides part-time employment warning
to students attending institutions of higher
education who need the earnings to help pay the FISAP, Part II:
costs of their postsecondary education (CFDA Application to
#84.033). Participate

What should new applicants do to You received funds FISAP, Part I:


participate? for 1999-2000 Identifying Information,
Certifications, and
If you are a first time participant in the Campus- Warning
Based Programs, or you do not possess a current
Program Participation Agreement for the Title IV FISAP, Parts III, IV, V,
Programs, you must apply for participation from Fiscal Operations Report
the Department of Education's Case Management as applicable, and
and Oversight (CMO). Institutions seeking to
participate in the Federal student aid programs
must use the on-line application that is available FISAP, Part VI, Program
through the Internet at Summary
http://www.eligcert.ed.gov. Your institution In addition:

3
is covered by this application. You must also be
• If your institution is liquidating its Federal able to provide this data separately for each
Perkins Loan Fund, or if your institution did location, if required to do so by an audit or
not receive a federal capital contribution for program review.
the 1999-2000 award year but did make loans
from the Federal Perkins Loan Fund, you must On page 2 of the Identifying Information screen,
complete the Identifying Information, you will be asked if you are listing any other
Certifications and Warning, and the Perkins separately eligible locations that are included in the
Loan Program pages of the Fiscal Operations application. If you answer yes, you may enter all
Report. locations on that screen.

My institution has additional locations. Can How may I submit my FISAP data?
I complete one application to cover funding
for all locations? The Department of Education’s Student Aid
Internet Gateway (SAIG) enables you to transmit,
Yes, you may always submit one application; in receive, and report FISAP information
fact, an institution MUST submit just one electronically through your PC or mainframe. If
application if the following conditions are true: you would like to participate in the FISAP, you
must submit an enrollment document to Student
• The institution has one eligibility letter from Aid Internet Gateway Customer Service at the
the Department of Education’s Case following address:
Management and Oversight that covers the
institution's locations and those locations are Student Aid Internet Gateway
not separately eligible, P.O. Box 30
Iowa City, IA 52244
and or
Telephone: 1-800-615-1189
those locations have students who are eligible
for assistance under these programs. Where do I send the FISAP?

You must include data for all eligible locations and You can use the EDConnect software or your
make funds reasonably available to all eligible mainframe to send your FISAP information
students. through the Student Aid Internet Gateway to the
campus-based contractor. The contractor will
Students attending locations not included in the process the data and return the information to your
Eligibility Certification and Approval Report mailbox. You must submit your FISAP data via
(ECAR) are considered by the Department to be the Student Aid Internet Gateway in order to be
attending a non-eligible site. Therefore, these processed by the Campus-Based system.
students can neither be included in this application,
nor receive aid under these programs. Where do I send the signature page and
certification forms?
Institutions with separate eligibility letters from
CMO, but under the same administrative control or Mail the original copy of your FISAP signature
ownership, have the following options: page and your combined Drug-Free Workplace,
Anti-Lobbying, and Debarment certifications for
OPTION A: Each institution may complete a the 2001-2002 award year to the following
separate application. (Any data that you enter in address:
an institution's application must not be duplicated
in any other institution's application); or Electronic FISAP Administrator
c/o Universal Automation Labs (UAL)
OPTION B: These institutions may combine to
8300 Colesville Road
complete one application. You must include in Suite 500
your FISAP the name, address, and OPEID# of Silver Spring, Maryland 20910-3289
each separately eligible institutional location that
4
NOTE: The FISAP signature page and the If we ask for a dollar amount, use whole dollars
compliance certifications MUST HAVE only. Do not report cents. The electronic FISAP
ORIGINAL SIGNATURES. It is important that system will not accept the submission of cents.
you print your signature page and each certification Round to the nearest dollar. For example, report
document as one page from your electronic FISAP $175 if the actual amount in your records is
software. You must print the signature page $175.49. Report $176 if the actual amount in your
and certifications from your electronic FISAP records is $175.50.
software.
The electronic FISAP software will accept only
What does the Department of Education do positive amounts. Most calculations are performed
with the information that I submit? for you automatically in the electronic FISAP
process. Complete only those items that pertain to
your institution.
The Department of Education uses the information
that you provide in the Application to Participate
and in the Fiscal Operations Report to determine
the amount of funds you will receive for each
program. You must provide accurate data. If you
do not provide us accurate data, you may not get
all of the funds that you are entitled to receive.
You must retain auditable and verifiable records
for program review and audit purposes.

The Department of Education also uses your


Fiscal Operations Report data to manage the
Perkins Loan Fund portfolio, and to monitor
expenditures in the Campus-Based Programs.

When is the FISAP due?

The electronic data submission must be transmitted


before midnight EST on October 1, 2000.

When will I hear from the Department of


Education?

The Department will send you an electronic Edit


Report via Student Aid Internet Gateway within 5
days of the receipt of your FISAP transmission.
Your Edit Report will confirm the exact data we
have entered into our database from your FISAP.
Also, we will let you know your tentative 2001-
2002 award amount(s) by February 1, 2001, and
your final award amount(s) by April 1, 2001.

What general instructions should I follow


when I complete the FISAP?

Read all of the instructions in this package


carefully BEFORE you begin completing the
electronic FISAP software.

Use actual figures, except for the items for which


we specifically ask you to use estimates.

5
Instructions for Part I:
Identifying Information, Certifications,
and Warning
new applicant for 2001-2002, but its
Who must complete Part I? students were included in the 2000-2001
application filed last year by another
All institutions must complete Part I. institution or location, identify that
institution's name and address on the
Field-by-field instructions for Part I FISAP additional information screen, and
enter a brief explanation.
Section A. Identifying Information
1b Mailing address
You are required to send a completed paper
If your institution is a current participant in
FISAP signature page containing Part I information
the Campus-Based Programs, the
and original signatures to the contractor address
electronic FISAP program provides the
listed on page 5 of this document. You must print
name and mailing address of your
out the Identifying Information, Certifications, and
institution as it is listed in our files. You
Warning signature page directly from your
will need to verify this data for accuracy
computer by selecting File/Print from the Menu
and make any corrections necessary.
bar.
If your institution is a new applicant, you
Field
will need to enter your mailing address if it
1a Name and address of institution
is different from the address given in field
1a. You may enter a P.O. Box or an
If your institution is a current participant in
administrative entity location. However, if
the Campus-Based Programs, the
your institution uses the services of a
electronic FISAP program provides the
private firm in the administration of these
name and address of your institution as it
programs and reports that fact in field 8,
is listed in our files. You will need to
do not report them here.
verify this data for accuracy and make any
corrections necessary.
2a & Department of Education Identifiers
2b (Serial & OPEID Numbers)
If your institution is a new applicant, you
will need to enter your correct name and
If your institution is a current participant in
address. The name and address entered in
the Campus-Based Programs, the
field 1a must be that of an institution of
electronic FISAP program will
postsecondary education. The address
automatically provide these identifying
must be the actual street address of the
numbers.
institution. Do not enter the P.O. Box, an
administrative entity location, or the
If you are a new participant, the
address of the corporation that controls the
identifying numbers will be provided when
institution.
your eligibility is approved.
If you are a new applicant applying for
3 Type of institution
eligibility, follow the instructions provided
on page 3. If you are a current
If your institution is a current participant in
participant, you may update institutional
the Campus-Based Programs, the
changes by using the Internet at
electronic FISAP program provides the
http://www.eligcert.ed.gov. Case
type of institution that is listed in our files.
Management and Oversight (CMO) will You will need to verify this data for
process these actions. accuracy and make any corrections
necessary.
If the institution entered in field 1.a is a
6
information screen, and enter a brief
If your institution is applying for Campus- explanation.
Based funds for the first time, select the
number that best describes your type of Section B. Certifications and Warning
institution and enter it in the field
provided. Proprietary institutions only 6,7 You must complete all appropriate fields
must also enter a number in the &8 in this section. The certifying officials
appropriate subtype. must be aware that the information in this
FISAP is subject to audit and program
4 Length/type of longest program review. Providing false or misleading
information may result in criminal
If your institution is a current participant in penalties.
the Campus-Based Programs, the
electronic FISAP program file will When you submit Part I, the Identifying
automatically provide the length and type Information, Certifications and Warning
of program. You will need to verify this page, YOU MUST HAVE THE NAMES,
data for accuracy and make any SIGNATURE DATES, TELEPHONE
corrections necessary. NUMBERS, FAX NUMBERS, AND
ORIGINAL SIGNATURES of the
If your institution is a new applicant, select institution's officials. We are also
the number that best describes requesting that you provide the e-mail
your type of institution, and enter it in the address of the Chief Fiscal Officer or Chief
field provided. Executive Officer, and Financial Aid
Administrator (FAA).
For fields 3 and 4, if you are preparing this
FISAP on behalf of two or more
institutions of different type or length of
program, enter the number that represents
the highest percentage of the enrolled
students entered in Part II, Section F.

5 Additional locations

If your institution is a current participant in


the Campus-Based Programs, the
electronic FISAP program provides the
name and address of your additional
locations as they are listed in our files.
You will need to verify this data for
accuracy and make any corrections
necessary.

An institution which included students at


other separately eligible institutions must
list the name, address, and OPEID# for
each of these institutions in the additional
location section.

If the institution entered in field 1a is a


new applicant for 2001-2002, but its
students were included in the 2000-2001
application filed last year by another
institution, identify that institution's name,
address, and Department of Education
identifiers on the FISAP additional

7
Instructions for Part II:
Application to Participate
Who must complete Part II? Institutions planning to expend loan fund cash
on hand in 2001-2002, but not requesting any
If you want to request Campus-Based funds for new Federal Capital Contribution, must
your institution for the 2001-2002 award year, you complete field 1.
must complete Part II.
An institution which will be making no loans
Section A: The amount of funds received by your in 2001-2002, but anticipates charging
institution is computed by formulas contained in allowable collection costs to its loan fund cash,
the effective legislation and regulations using the must request an LOE in field 1.
information that you provide in this part of the
FISAP. The amounts that you request in Section 2 Federal Perkins Loan Federal Capital
A serve as an upper limit to the amounts you Contribution (FCC)
receive.
If your institution currently participates in the
Section B: An institution may decide to withdraw Federal Perkins Loan Program, enter the
from the Federal Perkins Loan Program by amount of Federal funds you need to support
indicating the desire to do so and following the your LOE request.
approved liquidation procedures.
It is suggested that you determine your need
Section C: An institution may request a waiver of for FCC as follows: LOE request in field 1
the penalty for the underuse of 1999-2000 award minus the sum of 2001-2002 projected
year funds. repayments from borrowers, anticipated cash
on hand as of June 30, 2001, and your
Field-by-field instructions for Part II projected Institutional Capital Contribution
(ICC). If the result of this calculation is zero
Section A. Request for Funds for the 2001- or negative, your institution may need to
2002 Award Year request no additional FCC. If your institution
is requesting Federal Perkins Loan funds for
Enter in field 1 your Federal Perkins Loan Level the first time, multiply field 1 by .75 and enter
Of Expenditure (LOE) request, and in fields 2 that amount in field 2. If you leave field 2
through 4 the amount of authorization your blank, you will receive no Federal funds. Field
institution wants to receive for each program. If 2 must always be less than field 1.
you do not enter an amount in a field, your
institution will not get any funds in that category. 3 FSEOG Federal funds
The amount that you request should represent the
maximum amount that your institution will accept. Enter the amount of Federal dollars your
Do not request more Federal funds for a program institution wants for awards to students and
than you expect to use. Unexpended balances administrative costs.
from the previous year are an indicator that
requests were over-estimated and should be 4 FWS Federal funds
reduced.
Enter the amount of Federal dollars your
Field institution wants for awards to students,
1 Federal Perkins Loan level of expenditures expenditures for the Job Location and
(LOE) Development Program (JLD), and
administrative costs.
Enter the amount your institution wants to
expend from its loan fund to make loans to Section B. Federal Perkins Loan Program
students and to pay administrative and Liquidation Request
collection costs.
If your institution no longer wishes to participate in
8
the Federal Perkins Loan Program, you must notify If your institution has a traditional calendar,
the Department of your intention to liquidate your select the “yes” box and report enrollment in
portfolio by selecting the “Yes” box and following field 7 or field 8.
the liquidation procedures. For detailed
information on liquidating your Perkins Loan fund, Traditional calendar means that your institution
refer to Dear Colleague letter CB-98-11 (LD) on has academic terms that are quarters,
our http://ifap.ed.gov website. The Federal share trimesters or semesters, and that the
of cash on hand in the portfolio must be returned institution has only one admission period
to the Department. during each academic term. To clarify this
requirement the following information is
5. Request to liquidate Perkins provided:

If your institution wishes to discontinue Field 7 or field 8 must include all students
participation in the Federal Perkins Loan enrolled in an undergraduate or
Program select the “Yes” box. graduate/professional class. This includes all
students who took at least one class of a course
Section C. Waiver Request for the Underuse of that was:
Funds
a) creditable toward a degree or
If your institution has underused more than 10 certificate; or
percent of its Federal Perkins Loan , FSEOG,
or FWS allocation for the 1999-2000 award b) listed as an undergraduate or
year, your institution will automatically receive graduate/professional course in the
a reduction of the 2001-2002 allocation for institution's catalog; or
that program in the amount of the 1999-2000
funds that were underused. c) offered as an elective or required
course as part of the undergraduate or
Institutions may request a waiver of the graduate/professional curriculum; or
underuse penalty by selecting the "Yes" box in
Part II, Section C and providing a written d) a remedial course required as part of
explanation of the circumstances that caused the student’s program; or
the underuse of their allocation on the
electronic FISAP "Additional Information" e) otherwise considered to be an
screen. undergraduate or
graduate/professional course by the
If you need to send additional documentation institution.
to support your written explanation, you must
include it when you submit your signature If your institution has a non-traditional calendar,
page and certification forms. select the “no” box and report enrollment in fields
9 and 10.
Each waiver request will be considered by a
review panel. Institutions will receive the Non-traditional calendar means that your
approval or denial decision of their request by institution admits a new group of students monthly
November 18, 2000. or more frequently into a majority of its eligible
programs, even if they attend classes on a quarter,
6. Request waiver for underuse of funds trimester, or semester basis. If the students enroll
on a quarter, trimester, or semester basis, but the
Indicate that your institution wishes to institution admits a new group of students in a
request a waiver of the underuse of funds program monthly, bi-monthly, etc., we consider
penalty by selecting the “Yes” box. such a calendar to be non-traditional, and you must
complete fields 9 thru 10, instead of field 7 or field
Section D. Information on Enrollment 8.

Traditional or non-traditional calendar Classify a student as an undergraduate or graduate


student according to the instructions for Section F.
9
If a student was enrolled as an undergraduate 10 (b).
student during an earlier term in 1999-2000 and a
graduate student in a subsequent term in 1999- Include only students who were enrolled in
2000, report the student as a graduate student in Campus-Based ELIGIBLE educational or
Section D. instructional programs during any month
from July 1, 1999 through June 1, 2000. In
column (a) put the number of students who
7 Information on enrollment for an were enrolled the previous month and were
& 8 institution with a traditional calendar still enrolled on the first day of the month
listed. In column (b) put the number of new
Applicant institutions that operate on a starts.
traditional academic calendar, or have a
majority of their eligible programs operating New starts are students who start at any time
on a traditional calendar, must enter an during the month and include students who
unduplicated number of all students enrolled were enrolled in the previous year and are re-
(full-time and less than full-time) for the 12- enrolling at the institution after a break in
month period ending June 30, 2000. enrollment. Once a student is reported in
either field 9(a) (July) or fields 9(b) (July)
• Do not include students who were thru May, the student is reported in fields
exclusively auditing a class or classes. August through June for any succeeding
months through June 30, 2000 during which
• The tuition and fees revenue for entry in he or she was enrolled at the institution.
Section E, field 11, must be for those
students reported in Section D only. In each column, field 10 is the sum of
monthly fields. The electronic FISAP process
Column a. Report the number of students automatically calculates the sum of each
enrolled in undergraduate classes. column. Note that the total you obtain in field
10 column (a) plus field 10 column (b) will
Column b. Report the number of students be total student-months rather than total
enrolled in graduate/professional classes. number of students.

7 Total number of students, 1999-2000 An institution with a non-traditional calendar


that completes fields 9 and 10 must use only
Report the unduplicated number of students the undergraduate columns in Sections E and
your institution enrolled at any time during F.
the 12-month period July 1, 1999 through
June 30, 2000. Count each student only once. The tuition and fees revenue for entry in
Section E, field 11, must be for those students
8 Estimated number of students, 2000- reported in Section D only.
2001
Section E. Assessments and Expenditures
If your institution has a traditional calendar,
and had no enrollment in 1999-2000, but will 11 Total tuition and fees for award year
have enrollment in 2000-2001, report the July 1, 1999 through June 30, 2000
estimated unduplicated numbers expected to NOTE: You must report the tuition and
enroll at any time during this 12-month fee revenue for all enrolled students as
period. categorized in Section D. Do not include
tuition and fee revenue collected from any
9& Information on enrollment for an individuals not meeting the definition of
10 institution with a non-traditional calendar enrolled student for Section D.

The FISAP software provides a worksheet of If the student was enrolled as an


the complete grid that may be used to undergraduate student during an earlier
determine the total number of continuing term in 1999-2000 and a graduate student
students and new starts for fields 10 (a) and in a subsequent term in 1999-2000, divide
10
the tuition and fees revenue between 12 Total Federal Pell Grant expenditures
Columns (a) (undergraduate) and (b) for the 1999-2000 award year
(graduate) in proportion to the time spent
in each type of class. Report the total amount expended against
your Federal Pell Grant authorization for
To complete these fields, you will need to the period July 1, 1999 through June 30,
determine the amount of tuition and fees 2000. This amount should agree with the
assessed and subtract from it the amount final cumulative expenditures through June
refunded to students. 30, 2000 as entered in the Grants
Administration Payment System (GAPS).
“Tuition and fees assessed” means:
Any adjustments that you make in GAPS
• amounts you charged and collected, after filing this FISAP should be made to
the entry for field 12 in your edit report
• amounts you charged but did not corrections that you will return later this
collect, year.

• remissions or waivers of costs, even 13 Total expended for State grants and
though you did not collect them, scholarships made to undergraduates
for the Award Year July 1, 1999 to June
• the types of fees included in the cost of 30, 2000
attendance as allowed under Part F,
Section 472(1) of the Higher Report the amount of State grants and
Education Act of 1965, as amended, scholarships expended for the award year
and July 1, 1999 through June 30, 2000 even if
your institution received the funds after
• if you charged a total fee for tuition June 30, 2000.
and room and board, do not count the
cost of room and board. Allot a Include the following need-based and non-
reasonable amount to “tuition”. need-based expenditures:

What to exclude: Exclude any fees that • state grants


you assess to all students, but which all
students are not necessarily required to pay • state scholarships
(example: life and medical insurance for
students). • tuition equalization

What to do with terms/programs that A non-need-based grant exclusively


cross award years: If an academic term for private colleges, paid by a state to
extended beyond June 30, 2000 but the a student to offset their high tuition.
majority of the term took place in award
year 1999-2000, include the tuition and • competitive awards
fees assessment for that term in field 11.
• instructional grant awards
If a student paid for a complete program
of study and that program occurred in two A grant paid by a state to students who
award years, prorate, if possible, the are working and taking courses in
tuition and fees which apply to the award related areas.
year 1999-2000. If this is not possible, you
may include the total tuition and fees • LEAP awards (previously SSIG;
assessed in field 11, but you must enter the Federal share plus match)
total tuition and fees assessed in the
application for each succeeding year to Include awards that are from the state
assure consistency. where your institution is located and
awards from other states.
11
undergraduate course of study, which usually does
For reporting LEAP awards, the source of not exceed four academic years, at an institution of
the match is immaterial. Total LEAP’s higher education. This includes students who are
always should be reported. enrolled in a four to five year academic program
designed to lead to a first degree. A student
Do not include: enrolled in a program of any other length is
considered an undergraduate student for only the
• Robert C. Byrd Honors Scholarships first four academic years of that program.

• Paul Douglas Teacher Scholarships Undergraduate student with a baccalaureate or first


professional degree. This is a regular student who
Do not include state awards if your has already received a baccalaureate degree or its
institution has final decision on which equivalent or a first professional degree but who is
students get the funds, unless such funds enrolled in an undergraduate course of study at an
are used as a source of match for the institution of higher education and meets the
LEAP Program. criteria specified above.

Section F. Information on Eligible Aid Graduate/Professional student. This is a regular


Applicants for Award Year 1999- student who:
2000
is enrolled in a program or course of study
Report the number of eligible aid applicants above the baccalaureate level at an institution
enrolled at your institution in award year 1999- of higher education or is enrolled in a
2000 who applied for financial aid for that year. program leading to a first professional degree;
Use the following definitions when completing
Section F: • has completed the equivalent of a least
three years of full-time study at an
Regular student. This is a person who was institution of higher education either prior
enrolled at an institution of higher education in to entrance into the program or as part of
1999-2000 for the purpose of obtaining a degree, the program; and
certificate, or other recognized educational
credential. is not receiving Title IV aid as an
undergraduate student for the same period of
Enrolled student. This is a person who meets all of
enrollment.
the criteria in the instructions for Section D, fields
Eligible aid applicant. This is a regular student
7 and 8 or fields 9 and 10. A person is not
who:
enrolled if he or she did not begin attending a class.
was enrolled in an academic or training
Independent student. This is a student who:
1. was born before January 1, 1976; program eligible for the Campus-Based
2. is an orphan or ward of the court; Programs during award year 1999-2000;
3. is a veteran of the Armed Forces of the
United States; met citizenship or residency requirements for
4. is a graduate or professional student; award year 1999-2000;
5. is a married individual;
6. has legal dependents other than a spouse; or applied for financial aid for award year 1999-
7. is a student for whom a financial aid 2000, and has an “official” Expected Family
administrator makes a documented Contribution (EFC), calculated by the Central
determination of independence by reason of Processing System, and
other unusual circumstances.
Any student meeting the above criteria, regardless
Undergraduate student without a baccalaureate or of the family's ability to contribute to the cost of
first professional degree. This is a regular student attendance, is to be included in the grid as an
who has never earned a baccalaureate degree or eligible aid applicant. You must include students
first professional degree but who is enrolled in an for whom you have no funds to award and students

12
whom you determined did not need funds.
In field 14, count only those students whose output
Please Note: If a student was an undergraduate documents show a "Y" for the automatic zero
during an earlier term in 1999-2000 and a graduate calculation.
student in a subsequent term in 1999-2000, report
the student as a graduate student in Sections D and Fields 15-28
F, but in Section E, field 11, divide the tuition and
fees revenue between columns a (undergraduate) The determining factor for entry of data on an
and b (graduate) in proportion to the time spent in eligible aid applicant in the proper income cell is
each type of class. the income that was used to calculate an EFC for
1999-2000 which was, or would have been, the
If during 1999-2000 a student was an basis for awards to that applicant under the
undergraduate during an earlier term, later Campus-Based Programs.
received a baccalaureate degree, and was
subsequently enrolled in an undergraduate course Because the Federal Needs Analysis Methodology
of study, that student must be reflected in column considers the dependent student's base year
b if he or she was dependent or column d if he or income, the financial aid administrator must use
she was independent. both the student's and parent's base year income in
determining "grid" placement. Income information
Categorizing 1999-2000 Eligible Aid Applicants for the dependent student must have come from a
for Data Entry in Part II, Section F document signed by at least one parent of the
student.
Field 14-29
Use the FTI, one of the intermediate computed
In each field 14 through 28, column a through e, values on the SAR or on the ISIR, to determine
enter all eligible aid applicants. In each column, proper "grid" placement. For dependent students,
field 29 is the sum of fields 14 through 28. the FTI is the sum of TI and STI. For independent
However, students reported in field 14 must not be students, the FTI will be equal to the T I.
included in the entries for fields 15 through 28.
Because the institution may need to correct or
Field 14 adjust the students information and recalculate the
Students with an Automatic Zero EFC, the institution needs to reflect the updated
Expected Family Contribution (EFC) information used in the recalculation in completing
the grid.
An applicant who meets certain tax filing and
income criteria will qualify automatically for an Field 29
expected family contribution figure of "0". When
these criteria are met, the CPS assigns a "0" EFC In each column, field 29 is the sum of fields 14
and does not perform a calculation except for Total through 28.
Income (TI), Student's Total Income (STI), and
FISAP Total Income (FTI). Only these three
intermediate values will appear in the FAA
information section the Student Aid Report (SAR)
or on the Institutional Student Information Record
(ISIR).

Not every student with a zero EFC has received an


automatic zero EFC. To determine which students
have received an automatic zero EFC, check the
SAR or ISIR containing the official EFC and data
processed by the Central Processing System (CPS).
The automatic zero flag will be set to "Y" if the
student met the automatic zero EFC criteria. This
field will be blank if the student did not meet the
automatic zero EFC criteria.

13
Instructions for Part III:
Federal Perkins Loan Program
Fiscal Operations Report
Field-by-field instructions for Part III
Who must complete Part III?
If your institution is liquidating its Fund, or if
You must complete Part III if your institution did not receive Federal capital
contribution for the 1999-2000 award year but
your institution is a continuing participant did make loans from its Fund, you must complete
in the Federal Perkins Loan Program; the Identifying Information, Certifications and
Warning and the Federal Perkins Loan Program
or sections of the Fiscal Operations Report.

your institution is liquidating its Federal FUND REPAYMENTS ARE DUE IF THERE
Perkins Loan Fund (hereafter known as IS AN ACCUMULATION OF EXCESS
the "Fund") until the process has been LIQUID CAPITAL IN THE FUND OR IF
completed; YOUR INSTITUTION IS PRESENTLY IN THE
PROCESS OF LIQUIDATING THE FUND.
or
An institution has excess liquid capital in its Loan
your institution did not receive Federal Fund if projected funds available for the 2000-
capital contribution for the award year 2001 award year (6/30/2000 cash-on-hand, plus
1999-2000, but did make loans from its projected collections, plus Federal and
Fund. institutional capital contributions, plus other
income), significantly exceed projected 2000-
2001 expenditures from the Loan Fund.
What will I need to complete Part III?
The return of excess liquid capital in the Fund
You will need your Federal Perkins Loan
requires institutions to send payments of
Program Account Ledgers.
$100,000 or more to the National Finance Center
(NFC) via Treasury's Financial Communications
Part III, Section A, requests cumulative data.
System (TFCS), Deposit Message Retrieval
(The account numbers in the Department’s
System (DMRS), commonly known as FED
accounting reference manual, “ The Blue Book,”
WIRE. For amounts that are less than $100,000,
are structured to the elements of your balance
an institution may either use FEDWIRE or send
sheet instead of the field numbers in Section A.)
a check to the National Finance Center's
Section B requests the annual fund activity,
lockbox. Procedures for the use of this system
Section C requests the cumulative repayment
are contained in "The Blue Book."
information, and Section D contains cohort
default rate data. The following information
Prior year recoveries
must also be reported in Part III, as applicable:
If the institution took its entire Federal Perkins
Amounts received under the Department of
Loan administrative cost allowance entitlement,
Defense Educational Loan Repayment
or a portion of its entitlement, from an FSEOG
Program (10 U.S.C. 2172).
or FWS allocation in a prior year, and the
institution recovered Federal Perkins Loan funds
Amounts received from the consolidation of
in 1999-2000 that were issued to students in a
a Federal Perkins Loan.
prior year, it must also reduce its Federal Perkins
Loan administrative cost allowance for that prior
year. The institution may follow one of two
Amounts received under subtitle D of Title
options:
I of the National Community Service Act of
1990, Subpart D.
a) Follow FSEOG/FWS procedures; or

14
a negative.
b) Make no adjustments to FSEOG or FWS
prior year expenditures. Instead the Expenditures that exceed the amount of
institution may reduce the base amount on cash on hand in the Loan Fund must be
which the 1999-2000 Federal Perkins Loan charged as an institutional capital
administrative cost allowance is calculated. contribution deposited into the Fund as of
For example, if the institution lent $30,000 October 31, 2000.
in 1999-2000 and received $1,000 in
Federal Perkins Loan student refunds in 2 Funds receivable from Federal
1999-2000 on loans in a prior year, the Government
institution may enter $29,000 in Part VI,
Section B, field 2, and calculate its 1999- Column c. Report any portion of the
2000 administrative cost allowance on the allocation for the 1999-2000 award year
basis of the lower amount. This results in a that you requested from ED’s Grants
simpler method of reimbursing the Federal Administration Payment System (GAPS) on
Government for an administrative cost or before June 30, 2000, but did not deposit
allowance to which the institution was not into the Fund by that date. Do not report
entitled in a prior year. this figure as a negative amount.

Because the electronic FISAP software will 3 Funds receivable from institution
automatically enter $30,000 in Part VI for
the example shown above, you will need to Column c. Report the amount of the
do this calculation separately. You may institutional capital contribution to maintain
print a copy of Part VI as the software has the minimum required cumulative matching
calculated it and correct the required figures ratio in the Fund as the result of any entry in
to keep for your records. field 2, column c. Do not report this figure
as a negative amount. Do not report
Section A. Fiscal Report (Cumulative) as of amounts “temporarily lent” to the Fund by
June 30, 2000 your institution. (See the instruction for
field 21 of Section A for further
Field information.)

1.1 Cash on hand and in depository 4 Funds advanced to students

Column c. Report the total cash you had on Column b. Report the unduplicated
hand and in depository on June 30, 2000. CUMULATIVE number of borrowers who
Include reimbursements made by the received their loans on or before June 30,
institution to the Fund of interest and 2000.
principal not paid by the borrower as a
result of a repayment incentive discount. Column c. Report the CUMULATIVE net
You may never report this figure as a amount of the loans paid to borrowers plus
negative. Expenditures that exceed the any assessed late charges added to the
amount of cash on hand in the Loan Fund principal through June 30, 2000.
must be charged to an institutional capital
contribution deposited into the Fund as of NOTE: Any penalty or late charges that
June 30, 2000. were assessed and added to the principal are
thereby capitalized and CANNOT be
1.2 COMPLETION OF THIS FIELD IS subsequently waived, compromised or
APPLICABLE DURING THE negotiated. For Part III reporting purposes,
ELECTRONIC FISAP EDIT/ once the charges have been added to the
VERIFICATION PROCESS ONLY. principal they cease to exist as separate
When you are verifying Part III, Section A, charges.
of your Edit, report the total cash you had
on hand and in depository as of October 31, 5 Loan principal collected
2000. You may never report this figure as
15
Column b. Report the unduplicated time teacher of mathematics, science,
CUMULATIVE number of borrowers who foreign languages, bilingual education, or
made payments on their loans through June any other field of expertise that is
30, 2000. determined by the state education agency to
have a shortage of qualified teachers on
Column d. Report the CUMULATIVE loan loans made on or after July 23, 1992. Also
principal amount collected from all sources report previously ineligible borrowers who
through June 30, 2000. received cancellation for teaching service
performed on or after October 7, 1998, on
6 Loan principal assigned to and accepted any outstanding balance remaining on loans
by the United States made prior to July 23, 1992.

Column b. Report the unduplicated Column d. Report the CUMULATIVE loan


CUMULATIVE number of borrowers principal canceled.
whose loans were assigned to the
Department of Education and officially 9 Loan principal canceled for all other
accepted not later than June 30, 2000. For authorized teaching service
institutions in liquidation status, report
borrowers whose assigned loans were NOT Column b. Report the unduplicated
in default as well as those whose loans were CUMULATIVE number of borrowers
in default. receiving cancellations for all other
authorized teaching service on loans made
Column d. Report the CUMULATIVE July 1, 1972, and after. This category
amount of loan principal outstanding that includes cancellations for borrowers
was assigned to the Department of providing full-time teaching service in low
Education and officially accepted not later income schools as designated by the
than June 30, 2000. This amount must Department of Education, BIA schools,
agree with Section C, Field 2, column d. Head Start, special education provided on
Do not enter in Sections A and C any or after July 23, 1992, and handicapped
unpaid penalty/late charges or collection teaching services provided before July 23,
costs assessed to the borrower on any loans 1992. Also report previously ineligible
assigned to the Department of Education. borrowers who received cancellation for
special education and handicapped teaching
7 Loan principal canceled on loans made service performed on or after October 7,
prior to July 1, 1972 for 1998 on any outstanding balance remaining
Teaching/Military Service on loans made prior to July 23, 1992.

Column b. Report the unduplicated Column d. Report the CUMULATIVE loan


CUMULATIVE number of borrowers with principal canceled on these loans.
cancellations for teaching and military
service on loans made prior to July 1, 1972.
10 Loan principal canceled for military
Column d. Report the CUMULATIVE loan service on loans made July 1, 1972, and
principal canceled on loans made prior to after
July 1, 1972 for teaching and military
service. Column b. Report the unduplicated
CUMULATIVE number of borrowers
8 Loan principal canceled for certain receiving this cancellation.
subject matter teaching service (math,
science, foreign languages, bilingual Column d. Report the CUMULATIVE loan
education) principal canceled for military service at the
12.5% rate. Defense/Direct/Perkins Loan
Column b. Report the unduplicated borrowers are entitled to cancellation of a
CUMULATIVE number of borrowers minimum of 12.5% of their loan up to a
receiving cancellations for service as a full- maximum of 50% of their loan for service
16
in the U.S. Armed Forces in an area of borrowers who received cancellation for
hostilities or area of imminent danger, that child, family, and early intervention service
qualifies for special pay under Section 310 performed on or after October 7, 1998 on
of Title 37 of the United States Code. To any outstanding balance remaining on loans
qualify for this cancellation benefit, the made prior to July 23, 1992.
borrower must have served in the
designated area for a complete year. Column d. Report the CUMULATIVE loan
principal canceled.
11 Loan principal canceled for volunteer
service 14 Loan principal canceled for nurse and
medical technician service
Column b. Report the unduplicated
CUMULATIVE number of borrowers Column b. Report the unduplicated
whose loans were canceled for service CUMULATIVE number of borrowers
under the Peace Corps Act or the Domestic receiving cancellations for service as a full-
Volunteer Service Act of 1973. Also report time nurse or medical technician on loans
previously ineligible NDSL and Defense made on or after July 23, 1992. Also
borrowers who received cancellation for report previously ineligible borrowers who
volunteer service performed on or after received cancellation for nurse/medical
October 7, 1998. technician service performed on or after
October 7, 1998 on any outstanding balance
Column d. Report the CUMULATIVE loan remaining on loans made prior to July 23,
principal canceled for volunteer service. 1992.

12 Loan principal canceled for law Column d. Report the CUMULATIVE loan
enforcement and corrections officer principal canceled.
service
15 Loan principal canceled - death/disability
Column b. Report the unduplicated
CUMULATIVE number of borrowers Column b. Report the unduplicated
receiving this cancellation. Also report CUMULATIVE number of borrowers
previously ineligible borrowers who whose loans were canceled due to death or
received cancellation for law enforcement permanent and total disability.
and corrections officer service performed
on or after October 7, 1998 on any Column d. Report the CUMULATIVE loan
outstanding balance remaining on loans principal canceled due to death or
made prior to November 29, 1990. permanent and total disability.

Column d. Report the CUMULATIVE loan 16 Loan principal canceled - bankruptcy


principal canceled for law enforcement and
corrections officer service. Column b. Report the unduplicated
CUMULATIVE number of borrowers
13 Loan principal canceled for child, family, whose loans were canceled for legal
and early intervention service discharge in bankruptcy.

Column b. Report the unduplicated Column d. Report the CUMULATIVE loan


CUMULATIVE number of borrowers principal canceled for bankruptcy. If only a
receiving cancellation for service as full- portion of the debt has been discharged in
time employees of public or private bankruptcy, include the portion of the debt
nonprofit child or family service agencies or that has been discharged by the court.
full-time qualified professional providers of
early intervention services in public or other 17 Loan principal canceled for loans
nonprofit programs under public discharged due to closed schools
supervision on loans made on or after July
23, 1992. Also report previously ineligible Column b. Report the unduplicated number
17
of borrowers whose loans were canceled
because the borrower was unable to Column d. Report the CUMULATIVE
complete a program he or she was enrolled institutional capital contributions deposited
in due to closure of the institution, or one of into your Fund through June 30, 2000.
its branches. Include the institutional share of funds for
any Federal funds requested by June 30,
Column d. Report the CUMULATIVE loan 2000, but not received by June 30, 2000.
principal canceled.
Also include the amount of any short-term
18 Loan principal adjustments - other loan your institution made to the Loan
Fund. Section 674.8(a)(7) of the regulations
Column b. Report the unduplicated permits an institution to deposit “the
CUMULATIVE number of borrowers with proceeds of short-term no interest loans
loan principal adjustments for reasons that made to the Fund in anticipation of
are not reported in fields 7 through 17; e.g., collections or receipt of FCC”. These funds
compromise, write-off (including write-offs should be considered as additional ICC and
of principal, late charges and collections) reported here.
incentive repayment discounts or other
costs not specified in this report. The amount reported in this field MUST
ALWAYS equal or exceed the amount
Column d. Report the CUMULATIVE reported for this field on last year's FISAP,
amount of loan principal adjustments. unless last year's entry was incorrect.

19 Federal Capital Contributions 22 Repayments of fund capital to institution

Column d. Report the CUMULATIVE Column c. Report the CUMULATIVE


Federal capital contributions deposited into amount that the institution repaid to itself as
your Fund through June 30, 2000. Add distribution of excess or liquidated fund
any portion of your 1999-2000 award year capital or as repayment for a short-term no-
allocation that you requested by June 30, interest loan to the Fund (Section 674.8
2000, but did not receive from GAPS by (b)(6)) through June 30, 2000. DO NOT
June 30, 2000. Do not include any FCC reduce field 21 by this amount.
transferred to either the FWS or FSEOG
programs. Do not include:

The amount reported in this field MUST • authorized administrative cost allowance
ALWAYS equal or exceed the amount withdrawals, and/or
reported for this field on last year's FISAP,
unless last year's entry was incorrect. • Defense Loan teaching/military cancellation
reimbursements.
20 Repayments of fund capital to Federal
government 23 Interest income on loans

Column c. Report the CUMULATIVE Column d. Report the CUMULATIVE


amount (Federal share) repaid to the interest earned on loans through June 30,
Federal government as distribution of 2000.
excess or liquidated fund capital through
June 30, 2000. DO NOT reduce field 19 by This includes:
this amount.
• interest collected;
Do not include authorized administrative
cost allowance withdrawals or your • interest not collected because the interest was
institutional share. canceled;

21 Institutional capital contributions • interest not collected because of an


18
incentive repayment discount Column a. Report the CUMULATIVE
amount withdrawn from the Fund for
• total amount of loan interest assigned to and administrative cost allowance.
accepted by the Department of Education in
the Assignment Form ED 553, for which the 26.2 Collection costs
institution has acceptance notices from the
Department of Education dated prior to July Column a. Report the CUMULATIVE
1, 2000; and collection costs allowed by regulation which
are not included in field 26.1, e.g., address
interest not collected because the account search, credit bureau, attorneys' fees, court
was written off, compromised, etc. costs, etc. DO NOT report any costs paid
by the borrower.
24 Other income
26.3 Administrative cost allowance and
Column d. Report the CUMULATIVE collection costs (control)
income deposited into your Fund from all
sources other than interest income on loans. Column c. The sum of fields 26.1(a) +
You must include any other earnings on 26.2(a).
assets of the Fund, including interest
earnings on Fund assets deposited in NOTE ABOUT CANCELLATIONS:
interest-bearing accounts which are net of FOR LOANS MADE ON OR AFTER
bank charges, or deposits of certain late 7/1/1993, NO INTEREST ACCRUES
charges revenue. Also, enter any penalty or DURING THE QUALIFYING PERIOD OF
late charges added to principal that were DEFERMENT. THEREFORE, THERE IS
included in field 4. NO INTEREST TO CANCEL ONCE THE
BORROWER COMPLETES THE
If a borrower has overpaid the amount due QUALIFYING SERVICE.
and this amount is in the Fund as of
6/30/2000, include the amount of the 27 Cost of loan principal and interest
overpayment. canceled for teaching/military service on
loans made prior to July 1, 1972
25 Reimbursements to the Fund of amounts
canceled on loans made July 1, 1972, and Column c. Report the CUMULATIVE loan
after principal and interest canceled for all
teaching/military service on loans made
Column d. Report the CUMULATIVE prior to July 1, 1972. The principal on this
reimbursements of canceled principal and field is an offset for field 7 and the interest
interest paid to your institution by the is a partial offset for field 23.
Department of Education on loans made on
July 1, 1972, and after. 28 Cost of loan principal and interest
canceled for certain subject matter
This amount must be deposited into the teaching service (Math, Science, Foreign
institution's Fund. Languages, Bilingual Education)

Beginning with the 1993-94 award year, Column c. Report the CUMULATIVE cost
institutions eligible for reimbursements for of loan principal and interest canceled for
loans made on or after July 1, 1972, no certain subject matter teaching service
longer received paper checks issued by the (math, science, foreign languages, bilingual
U.S. Treasury Department. All payments education, or other fields of expertise where
are made by electronic fund transfer and are the state educational agency determines
deposited directly into the bank account that there is a shortage of qualified teachers) on
your institution designated. loans made on or after July 23, 1992. Also
report cumulative cost of loan principal and
26.1 Administrative cost allowance interest canceled for borrowers who
performed subject matter teacher service on
19
or after October 7, 1998 on any outstanding in this field is an offset for field 11 and the
balance remaining on loans made prior to interest is a partial offset for field 23.
July 23, 1992.
The principal in this field is an offset for 32 Cost of loan principal and interest
field 8, and the interest is a partial offset for canceled for law enforcement and
field 23. corrections officer service

29 Cost of loan principal and interest Column c. Report the CUMULATIVE loan
canceled for all other authorized principal and interest canceled for law
teaching service enforcement or corrections officer service
on loans made on after November 29, 1990.
Column c. Report the CUMULATIVE loan Also report the cumulative cost of loan
principal and interest canceled for all other principal and interest canceled for
authorized teaching service on loans made previously ineligible borrowers for law
July 1, 1972, and after. This category enforcement or corrections officer service
includes cancellations for borrowers performed on or after October 7, 1998. The
providing full-time teaching service in low principal in this field is an offset for field 12
income schools as designated by the and the interest is a partial offset for field
Department of Education, BIA schools, 23.
Head Start special education provided on or
after July 23, 1992, and handicapped 33 Cost of loan principal and interest
teaching services provided before July 23, canceled for child/family and early
1992. Also report previously ineligible intervention service
borrowers who received cancellation for
special education and handicapped teaching Column c. Report the CUMULATIVE cost
service performed on or after October 7, of loan principal and interest canceled for
1998 on any outstanding balance remaining child/family and early intervention service
on loans made prior to July 23, 1992. The on loans made on or after July 23, 1992.
principal in this field is an offset for field 9, Also report cumulative cost of loan
and the interest is a partial offset for field principal canceled for borrowers who
23. performed child/family and early
intervention service on or after October 7,
30 Cost of loan principal and interest 1998 on any outstanding balance remaining
canceled for military service loans made on loans made prior to July 23, 1992. The
July 1, 1972, and after principal in this field is an offset for field 13,
and the interest is a partial offset for field
Column c. Report the CUMULATIVE loan 23.
principal and interest canceled for military
service on loans made July 1, 1972, and 34 Cost of loan principal and interest
after. The principal in this field is an offset canceled for nurse and medical
for field 10 and the interest is a partial offset technician service
for field 23.
Column c. Report the CUMULATIVE cost
31 Cost of loan principal and interest of the loan principal and interest canceled
canceled because of volunteer service in for nurse and medical technician service on
the Peace Corps or under the Domestic loans made on or after July 23, 1992. Also
Volunteer Service Act of 1973 report the cumulative cost of loan principal
and interest canceled for borrowers who
Column c. Report the CUMULATIVE loan performed nurse and medical technician
principal and interest canceled for volunteer service on or after October 7, 1998 on any
service. Also report the cumulative cost of outstanding balance remaining on loans
loan principal and interest cancelled for made prior to July 23, 1992. The principal
previously ineligible NDSL and Defense in this field is an offset for field 14, and the
borrowers for volunteer service performed interest is a partial offset for field 23.
on or after October 7, 1998. The principal
20
35 Cost of loan principal and interest 40 Total debits and credits
canceled because of death/disability
Column c is the sum of all of the entries in
Column c. Report the CUMULATIVE loan column c, fields 1 through 39.
principal and interest canceled because of
death or permanent and total disability. The Column d is the sum of all of the entries in
principal in this field is an offset for field 15 column d, fields 5 through 25.
and interest is a partial offset for field 23.
Total debits must equal total credits.
36 Cost for loan principal and interest
canceled because of bankruptcy Section B. Fund Activity (Annual) During the
1999-2000 Award Year
Column c. Report the CUMULATIVE loan
principal and interest canceled because of Field
bankruptcy. If only a portion of the debt has 1 Final adjusted Federal capital
been discharged in bankruptcy, include the contribution authorization
portion of the debt that has been discharged
by the court. The principal in this field is an Report your original Federal capital
offset for field 16 and the interest is a partial contribution (authorized in your first
offset for field 23. allocation letter for the 1999-2000 award
year), plus any supplemental award for this
37 Cost of loan principal and interest period, minus any Federal Perkins Loan
assigned to and accepted by the United allocated funds for the 1999-2000 award
States year that you returned to the Federal
Government prior to September 30, 2000.
Column c. Report the CUMULATIVE
amount of loan principal and interest 2 FCC transferred to FSEOG AND FWS
outstanding that was assigned to the
Department of Education and officially Report the Federal capital contribution
accepted not later than June 30, 2000. For amount that was transferred to and spent in
institutions in liquidation status, report FSEOG (field 2a) and FWS (field 2b). The
borrowers whose assigned loans were NOT amount in field 2a must be the same as the
in default as well as those loans that were in entry in field 3 of Part IV and the amount in
default. The principal in this field is an field 2b must be the same as the entry in
offset for field 6 and the interest is a partial field 2 of Part V. The sum of field 2a plus
offset for field 23. field 2b may not exceed 25% of your
original plus any supplemental FCC
38 Cost of loan principal and interest allocations for 1999-2000.
canceled for loans discharged due to
closed schools NOTE: Any Federal Perkins FCC
transferred to FSEOG or FWS must be
Column c. Report the cumulative cost of entered in GAPS as an expenditure against
loan principal and interest canceled for the program authorization from which the
borrowers whose loans were discharged due funds were taken (Perkins), not the
to the closure of an institution. authorization for the program into which the
funds were transferred and used.
39 Other costs or losses
3 Amount of final adjusted Federal capital
Column c. Report all other CUMULATIVE contribution for 1999-2000 not requested
costs or losses of principal and interest not from GAPS by June 30, 2000
covered in fields 26.3 through 38; e.g.,
compromise, write-off, etc. The principal in Report the amount of your final adjusted
this field is an offset for field 18 and the Federal capital contribution for the 1999-
interest is a partial offset for field 23. 2000 award year that you did not request
21
from GAPS on or before June 30, 2000.
You may not request 1999-2000 Federal Report the amount withdrawn from the
Perkins Loan Federal funds from GAPS Fund for an administrative cost allowance.
after June 30, 2000. DO NOT report any This amount must be the same as the
FCC for the 1999-2000 award year that you amount in Part VI, Section B, field 23a.
returned to the Federal Government prior to This amount could include funds claimed
September 30, 2000. for any or all of these three programs.

ED will deduct the amount entered in 7 Total principal and interest repaid by the
this field from the funds available in your borrowers from all sources during the
grantee account. 1999-2000 award year

NOTE: A penalty will be assessed against Column a. Count the unduplicated number
your institution's 2001-2002 Federal Perkins of borrowers who made payments on their
Loan allocation if the amount entered here loans in the 1999-2000 award year.
plus any other amounts you previously
returned to the Department for 1999-2000 Column b. Report the amount of principal
are more than 10% of your combined 1999- and interest repaid by borrowers during the
2000 initial plus supplemental allocations. 1999-2000 award year. Include any portion
The penalty consists of a reduction in your of the repayment that any collection firm(s)
2001-2002 Federal Perkins allocation by an kept. Also include any penalty charges
amount equal to the total amount that you collected or late charges which were
did not spend in 1999-2000. deposited into the Fund. Be sure to include
amounts received as student repayments
4 ICC deposited into the loan Fund from ALL sources.

Report the amount of institutional capital Do not include:


contribution deposited into the Fund
between July 1, 1999, and June 30, 2000. collection firm charges over and above
the principal and interest due as
The ICC must be at least one third of the net collection cost
FCC (after any transfers to FSEOG and
FWS), and must be deposited into the Fund or
between July 1, 1999, and June 30, 2000.
This amount must be deposited into the interest received from any investments.
Loan Fund during every award year
regardless of any overmatch situation that Section C. Cumulative Repayment
an institution may have been in during a Information as of June 30, 2000
prior award year.
This section is an analysis of the repayment status
5 Loans advanced to students from the for all past and current National Defense/Direct
loan Fund during the 1999-2000 award Student Loan and Federal Perkins Loan
year borrowers as of June 30, 2000 at your institution.
Count the number of borrowers, not the number
Report the net amount of the loans paid to of loans made. In fields 1 through 5.4, each
borrowers from the Fund. This figure is the borrower should be counted only once.
total amount of loans paid to borrowers
minus any refunds or adjustments (the When a borrower has more than one loan and
borrower dropped out of school and falls into more than one category in Section C,
received a refund or made a pre-payment) the dollars should be reported in the appropriate
to 1999-2000 loans. Refunds on prior year fields. However, the borrower should be
notes should not be reported here. reported only once in column b of the field for
the loan where the borrower's principal amount
6 Administrative cost allowance claimed outstanding is the greatest. (In column b the sum
for the 1999-2000 award year of fields 1, 2, 3, 4, 5.1, 5.2, 5.3, and 5.4 equals
22
field 4, column b of Part III, Section A of the purchased by the institution. The
Fiscal Operations Report.) information reported here will permit ED to
make this determination. The Perkins
Instructions for column entries in all Liquidation Procedures can be found in
applicable fields are as follows: Dear Colleague letter CB-98-11.

Column b. Report the unduplicated 2 Borrowers whose loans were assigned to


borrowers for each field as of June 30, and officially accepted by the
2000. Department of Education as of June 30,
2000.
Column c. Report the total amount lent to
borrowers in column b. Column b. Report the unduplicated
CUMULATIVE number of borrowers
Column d. Report the principal amount whose loans were assigned to the
outstanding on all loans as of June 30, 2000. Department of Education and officially
This is that portion of the amount lent that accepted by June 30, 2000. For institutions
was not repaid or canceled as of June 30, in liquidation status, report borrowers
2000. whose assigned loans were NOT in default
as well as those whose loans were in
Field default.
1.1 Borrowers whose loans are fully retired
This entry must agree with field 6, column
Column b. Report all past borrowers who b, of Part III, Section A, Fiscal Operations
have completely repaid or canceled their Report.
loans as of June 30, 2000, including any
defaulted loans with balances less than $5 Column c. Report the total amount lent to
retired after being written off. Also include those same borrowers.
any loans discharged because the borrower
was unable to complete a program he or she Column d. Report the total principal
was enrolled in due to closure of the amount outstanding when the loans were
institution. Include any borrowers whose assigned to and accepted by the Department
loans your institution purchased because of Education. This entry must agree with
they were deemed unenforceable by the field 6, column d, of Part III, Section A,
Department of Education and rejected for Fiscal Operations Report. Do NOT include
assignment. any penalty/late charges assigned to the
Department. Any payment your institution
Column c. Report the total dollar amount might have received from these borrowers
lent to those same borrowers. subsequent to the Department s acceptance
of the borrower s assigned loan is not to be
1.2 Loans that have been purchased. reflected in this report. Such payments
must be sent directly to:
Column a. Of the loans included in 1.1 as
fully retired, report in column a the National Payment Center
outstanding principal balance, all interest P.O. Box 4169-Perkins Loan (NDSL)
due, and any collection fees due on all loans Greenville, Texas 75403-4169
you submitted for assignment that were not
accepted, and for which your institution 3 Total borrowers not in repayment status
reimbursed the Fund. This entry will be
used for liquidation purposes. Column b. Report the borrowers attending
institutions of postsecondary education at
Before an institution can be considered as least half-time. This includes those students
having a fully liquidated Perkins Loan attending your institution and those who
portfolio, all loans with a principal amount have filed for student deferments from other
outstanding remaining at the institution must institutions. It includes those whose grace
either be assigned to the Department or periods have expired as well as those who
23
have not used their first grace period. Column b. Report the borrowers whose
loans are in default less than 240 days if
Report the borrowers who were in their first paying monthly installments and less than
grace period. This first grace period is in 270 days if paying less frequently than
three categories: monthly installments.

for loans made before October 1, 1980, Column c. Report the principal amount lent
a grace period of 9 consecutive months, to those borrowers.
starting from the date the borrower
ceased to be at least a half-time student Column d. Report the principal amount
at an institution of postsecondary outstanding on those loans.
education.
5.2 IN DEFAULT 240 days or more
for loans made on or after October 1, (monthly installments) or 270 days or
1980 but before July 1, 1987, a grace more (other installments), up to 2 years
period of 6 consecutive months,
starting from the date the borrower Column b. Report the borrowers whose
ceased to be at least a half-time student loans are in default 240 days, up to 2 years,
at an institution of postsecondary if paying monthly installments and 270 days,
education. up to 2 years, if paying less frequently than
monthly installments.
for loans made on or after July 1, 1987,
a grace period of 9 consecutive months, Column c. Report the principal amount lent
starting from the date the borrower to those borrowers.
ceased to be at least a half-time student
at an institution of postsecondary Column d. Report the principal amount
education. Review Section 674.32 of outstanding on those loans.
the regulations for terms relevant to less
than half-time borrowers. 5.3 IN DEFAULT more than 2 years, up to 5
years
For borrowers in deferment and other grace
periods, report those who attained Column b. Report the borrowers whose
deferment in accordance with the governing loans are in default more than 2 years, up to
regulations. For loans made on or after 5 years.
October 1, 1980, a second grace period of
6 consecutive months follows the Column c. Report the principal amount lent
completion of a deferment period for study, to these borrowers.
service, or disability.
Column d. Report the principal amount
Column d. Report the principal amount outstanding on those loans.
outstanding on these loans.
5.4 IN DEFAULT more than 5 years
4 Borrowers on schedule in repayment
status Column b. Report the borrowers whose
loans are in default more than 5 years.
Column b. Report the borrowers making
loan repayments on schedule. Column c. Report the principal amount lent
to these borrowers.
Column d. Report the total principal
amount outstanding on these loans. Column d. Report the principal amount
outstanding on those loans.
5.1 IN DEFAULT less than 240 days
(monthly installments) or 270 days (other Please note: All assigned notes that have been
installments) rejected by the Department of Education and
returned to you, or for which you received an
24
acceptance letter from the Department of Section D. Institutions with 30 or More
Education dated after June 30, 2000, must be Borrowers
counted in the appropriate default category,
according to the oldest payment in default, and If your institution had 30 or more borrowers who
may not be included in either field 2 of this entered repayment in the 1998-1999 award year,
Section, or in Section A, field 6. mark the "NO" box and complete fields 1.1
through 1.3.
Cohort Default Rate
1.1 Enter the number of borrowers who entered
For the purpose of calculating the cohort default repayment anytime from July 1, 1998 to
rate: June 30, 1999.

A borrower has entered repayment the day 1.2 Of the number of borrowers who entered
after the borrower's initial grace period repayment in 1998-1999, enter the number
ended or the day the borrower waived the with loans in default by June 30, 2000.
initial grace period. This date does not
change if a deferment or a cancellation is 1.3 Divide the number of borrowers in field 1.2
granted after the borrower has entered by the number of borrowers in field 1.1 and
repayment. multiply by 100 to calculate your cohort
default rate.
A loan is in default if the borrower failed to
make an installment payment when it is due Section E. Institutions with Less than 30
or to comply with the other terms of the Borrowers
promissory note, and this situation had
existed for at least 240 days for loans with
monthly installments or at least 270 days for
other loans.
If your institution had less than 30 borrowers
A loan is still considered to be in default if a who entered repayment in the 1998-1999 award
payment is made by the institution, its owner, year, mark the "YES" box and complete fields
agency, contractor, employee, or any other 2.1 through 2.5.
entity or individual affiliated with the
institution, in order to avoid default by the 2.1(a) Enter the number of borrowers who
borrower. entered repayment anytime from July 1,
1996 to June 30, 1997.

A loan is not considered to be in default only 2.1(b) Enter the number of borrowers who
if the borrower has made six voluntary entered repayment anytime from July 1,
consecutive payments, has voluntarily made 1997 to June 30, 1998.
all payments currently due, repaid the loan in
full, rehabilitated or canceled the loan, 2.1( c) Enter the number of borrowers who
received a deferment or forbearance on the entered repayment anytime from July 1,
loan based on a condition that began prior to 1998 to June 30, 1999.
the loan becoming 240 days past due,
received a discharge due to death or 2.2(a) Of the total number of borrowers in field
permanent and total disability, received a 2.1(a), enter the number in default by
discharge in bankruptcy, received a June 30, 1998.
discharge due to a closed school or repaid in
full in accordance with Section 674.33(a) or 2.2(b) Of the total number of borrowers in field
Section 674.47(h). 2.1(b), enter the number in default by
June 30, 1999.
A loan that has been assigned to the
Department of Education is still considered 2.2( c) Of the total number of borrowers in field
as part of the cohort default rate calculation. 2.1( c), enter the number in default by
June 30, 2000.
25
1999, and June 30, 2000 (sum of items
2.3 Enter the total number of borrowers who 2.2(a) + 2.2(b) + 2.2(c)).
entered repayment during the 1996-1997,
1997-1998, and 1998-1999 award years 2.5 Divide the number of borrowers in field 2.4
(sum of items 2.1(a) + 2.1(b) +2.1(c)). by the total number of borrowers in field 2.3
and multiply by 100 to calculate your cohort
2.4 Enter the total number of borrowers with default rate.
loans in default by June 30, 1998, June 30,

26
Instructions for Part IV:
Federal Supplemental Educational
Opportunity Grant Program (FSEOG)

Who must complete Part IV? and spent in FSEOG

You must complete Part IV if your institution If you transferred funds from your Federal
received FSEOG Federal funds for 1999-2000. Perkins FCC allocation to your FSEOG
Program, enter the amount that you
Field-by-field instructions for Part IV transferred. You must have spent the amount
in the FSEOG Program. Any amount you
Section A. Federal Funds Authorized for transferred from your Federal Perkins FCC
FSEOG and did not spend in FSEOG, you must return
to the Federal Perkins Loan Program. The
Use this section to report your authorization and total amount transferred to the FSEOG and/or
any changes. the FWS Programs may not exceed 25% of
the sum of your 1999-2000 Federal Perkins
Field original, and supplemental FCC allocations.
1 Final adjusted FSEOG authorization The amount in this field must be the same as
the entry on field 2(a) of Part III, Section B.
Report the amount of your original
authorization (your first allocation letter for 4 2000-2001 funds carried back and spent in
Award Year July 1, 1999 through June 30, 1999-2000
2000), plus any supplemental authorization
you receive for the FSEOG Program, minus Report any amount of your 2000-2001
any FSEOG funds you returned to the Federal FSEOG allocation that was carried back and
government from your 1999-2000 award year spent in award year 1999-2000. The
allocation prior to September 30, 2000. maximum amount you may carry back is
10% of the sum of your 2000-2001 original
Section B. Federal Funds Available for and supplemental FSEOG allocations.
FSEOG Expenditures
5 Additional 2000-2001 FSEOG funds
Use this section to calculate the Federal funds that carried back and spent for 2000 summer
you had available for FSEOG expenditures. enrollment

If you report in field 4 the maximum 10%


2 FWS funds transferred to and spent in
carry-back amount, report any additional
FSEOG
amount of your 2000-2001 FSEOG allocation
that was carried back and spent for summer
If you transferred funds from your FWS
enrollment through June 30, 2000.
allocation to your FSEOG Program, enter the
amount that you transferred. You must have
spent the amount in the FSEOG Program. 6 1998-1999 funds carried forward and spent
in 1999-2000
Any amount you transferred from FWS and
did not spend in FSEOG, you must return Report any amount of your 1998-1999
to FWS. The maximum amount you may FSEOG allocation that was carried forward to
transfer from FWS to FSEOG is 25% of the spend in award year 1999-2000. The
sum of your 1999-2000 FWS original and maximum amount you may carry forward is
supplemental allocations. The amount in this 10% of the sum of your 1998-1999 original
field must be the same as the entry on field 3 and supplemental FSEOG allocations.
of Part V.
If this entry is different from the one in field 6
3 Federal Perkins FCC funds transferred to of your 1998-1999 FSEOG Report, you must
27
also send to us a revised 1998-1999 FSEOG Section C. Funds to FSEOG Recipients
Report.
Do not include in either field 11 or 12 any non-
7. 1999-2000 funds carried forward to be Federal funds in excess of the required 25% non-
spent in 2000-2001 Federal share.

Report any amount of your 1999-2000 11 Total funds to FSEOG recipients


FSEOG allocation that was carried forward to
spend in award year 2000-2001. The The amount reported must consist of the
maximum amount you may carry forward is required 25% non-Federal and the 75%
10% of the sum of your 1999-2000 original Federal share unless the institution has been
and supplemental FSEOG allocations. granted a waiver.

8. 1999-2000 funds carried back and spent in Field 11 equals the sum of field 12 plus field
1998-1999 13.

Report any amount of your 1999-2000 12 Non-Federal share of funds to FSEOG


FSEOG allocation that was carried back and recipients
spent in award year 1998-1999. The
maximum amount you may carry back is 10% In order for the non-Federal funds to be
of the sum of your 1999-2000 original and reported in this field, the recipients of these
supplemental FSEOG allocations. monies must have also received some Federal
funds from the FSEOG Program in the 1999-
If this entry is different from the one in field 4 2000 award year. Field 12 must be 25% of
of your 1998-1999 FSEOG Report, you must field 11, unless the institution had an
also send us a revised 1998-1999 FSEOG approved waiver for 1999-2000. Do not
Report. enter any institutional expenditure in excess of
the 25% requirement.
9. Additional 1999-2000 funds carried back
and spent for 1999 summer enrollment The institution is required to provide the non-
Federal share from its own resources which
If you report in field 8 the maximum 10% may include institutional grants and
carry-back amount, report any additional scholarships, tuition or fee waivers, state
amount of your 1999-2000 FSEOG allocation scholarships, or foundation or other charitable
that was carried back and spent for summer organization funds. A full discussion of the
enrollment through June 30, 1999. three methods of making the non-Federal
share appears in the Campus-Based Programs
If this entry is different from the one in field 5 Reference module of the 1999-2000 Federal
of your 1998-1999 FSEOG Report, you must Student Financial Aid Handbook.
also send us a revised 1998-1999 FSEOG
Report. a. If some or all of your non-Federal share
consisted of a cash outlay by your
NOTE: Any FSEOG funds carried forward or institution, enter the amount contributed.
carried back between awards years must be
entered in GAPS as an expenditure against b. If some or all of your non-Federal share
the FSEOG authorization from which the consisted of one of the other types of
funds were taken not the authorization for the institutional resources listed above, enter
award year in which funds were used. the amount designated.

10. Federal funds available for FSEOG Field 12 equals field 12a plus field 12b.

Field 10 equals field 1 plus field 2 plus field Section D. Federal Funds Spent for FSEOG
3 plus field 4 plus field 5 plus field 6 minus Program
field 7 minus field 8 minus field 9.
Use this section to report how you spent the
28
Federal funds available. allocation if this amount plus any other
amounts you previously returned to ED are
13 Federal share of funds to FSEOG more than 10% of your combined 1999-2000
recipients initial plus supplemental allocations. The
penalty consists of a reduction in your 2001-
Report the amount of FSEOG Federal funds 2002 FSEOG allocation by an amount equal
expended for students, plus any FWS Federal to the total amount that you did not spend in
funds and/or Federal Perkins FCC funds 1999-2000.
transferred into FSEOG and used for student
grants. Field 13 must be equal to 75% of Information on prior year recoveries for
field 11, unless the institution has an FSEOG and FWS
approved waiver for 1999-2000.
Prior year recoveries are the Federal share of
14 Administrative cost allowance claimed any monies students have returned to the
institution for an award year that has already
Use Part VI, Section B, Steps 1 and 2, to undergone closeout in the Campus-Based
calculate your administrative cost allowance. system (i.e. awards have already been
In Part VI, Section B, Step 3, report how reduced to FISAP expenditure levels). The
much administrative cost allowance you procedure for reporting prior year recovery of
claimed in the FSEOG Program. This funds on Campus-Based awards has been
amount could include funds claimed for any changed.
or all of these three programs.
Institutions no longer have to report to the
15 Federal funds spent for FSEOG Department prior year recovery of Campus-
Based funds. Consequently, the prior year
Field 15 equals field 13 plus field 14. recovery lines for FSEOG and FWS have
been removed from the FISAP. Any funds
Section E. Use of FSEOG Authorization recovered on prior year awards should be
refunded to the Department using existing
Use this section to derive your unexpended (if any) GAPS refund procedures. Refunds should be
and expended authorization amounts. applied to the award corresponding to the
funding year in which the recovered funds
16 Expended FSEOG authorization were awarded. The refund will result in an
increase to the available balance for this
Field 16 equals field 7 plus 8 plus 9 plus 15 award. The award authorization amount will
minus field 2 minus field 3 minus field 4 be reduced by this refund amount when the
minus field 5 minus field 6. award enters the closeout state in GAPS. You
should not draw down the available balance
The amount in field 16 must agree with that was created by the refund.
your final FSEOG expenditures reported
in GAPS.

17 Unexpended FSEOG authorization

Field 17 equals field 1 minus field 16. This


amount will ultimately be deducted from your
ED-GAPS grantee account.

An excess expenditure must be charged to


institutional funds; however, the excess
institutional share must not be entered in this
report.

NOTE: A penalty will be assessed against


your institution s 2001-2002 FSEOG
29
Instructions for Part V:
Federal Work-Study Program (FWS)

Who must complete Part V?


3 FWS funds transferred to and spent in
You must complete Part V if your institution FSEOG
received FWS funds for award year 1999-2000.
If you transferred funds from FWS to
FSEOG, enter the amount that you
Field-by-field instructions for Part V transferred. You must have spent this amount
in the FSEOG Program. Any amount you
transferred from FWS and did not spend in
Section A. Federal Funds Authorized for
FSEOG, you must return to FWS. The
FWS
maximum amount you may transfer from
FWS to FSEOG is 25% of the sum of your
Use this section to report your authorization and 1999-2000 FWS original and supplemental
any changes. allocations. The amount of this field must be
the same as the entry in field 2 of Part IV.
Field
1 Final adjusted FWS authorization NOTE: Any FWS transferred to FSEOG must
be entered in your institution s GAPS Report
Report the amount of your original
as an expenditure against the program
authorization (your first allocation letter for
authorization from which the funds were
award year July 1, 1999, through June 30,
taken (FWS), not the authorization for the
2000), plus any supplemental authorization
program into which the funds were
you received for the FWS Program, minus
transferred and used.
any FWS funds you returned to the Federal
Government from your 1999-2000 award
4 2000-2001 FWS funds carried back and
year allocation(s) prior to September 30,
spent in 1999-2000
2000.
Report any amount of your 2000-2001 FWS
Section B. Federal Funds Available for FWS
allocation that was carried back and spent in
Expenditures
award year 1999-2000. The maximum
amount you may carry back is 10% of the
Use this section to calculate the funds that you had
sum of your 2000-2001 original and
available for FWS expenditures.
supplemental FWS allocations.
2 Federal Perkins FCC funds transferred to
5 Additional 2000-2001 FWS funds carried
and spent in FWS
back and spent for 2000 summer
employment
If you transferred funds from your Federal
Perkins FCC allocation to your FWS
If you report in field 4 above the maximum
Program, enter the amount that you
10% carry-back amount, report any
transferred. You must have spent this amount
additional amount of your 2000-2001 FWS
in the FWS Program. Any amount you
allocation that was carried back and spent for
transferred from your Federal Perkins FCC
payments to students for wages earned on or
and did not spend in FWS, you must return
after May 15, 2000, but prior to the beginning
to the Federal Perkins Loan Program. The
of the 2000-2001 award year on July 1, 2000.
total amount transferred to the FSEOG and/or
FWS Programs may not exceed 25% of the
6 1998-1999 funds carried forward and
sum of your 1999-2000 Federal Perkins FCC
spent in 1999-2000
original and supplemental allocations. The
amount of this field must be the same as the
Report any amount of your 1998-1999 FWS
entry in field 2(b) of Part III, Section B.
30
allocation that was carried forward and spent an expenditure against the FWS authorization
in award year 1999-2000. The maximum for the award year from which the funds were
amount you may carry forward to spend is taken not the authorization for the award year
10% of the sum of your 1998-1999 original in which funds were used.
and supplemental FWS allocations.
10 Total funds available
If this entry is different from the one in field
7 of your 1998-1999 FWS Report, you must Field 10 equals field 1 plus field 2 minus field
also send to us a revised 1998-1999 FWS 3 plus field 4 plus field 5 plus field 6 minus
Report. field 7 minus field 8 minus field 9.

7 1999-2000 funds carried forward to be Section C. Total Compensation for FWS


spent in 2000-2001
Use this section to report the total FWS
Report any amount of your 1999-2000 FWS compensation earned in award year 1999-2000,
allocation that was carried forward to be both Federal and institutional shares. This is gross
spent in award year 2000-2001. The compensation including tax and other
maximum amount you may carry forward is withholdings.
10% of the sum of your 1999-2000 original
and supplemental FWS allocations. 11 Total earned compensation for FWS
Program
8 1999-2000 funds carried back and spent in
1998-1999 Report in field 11 the total earned
compensation for all students for the 1999-
Report any amount of your 1999-2000 FWS 2000 award year. This includes the
allocation that was carried back and spent in compensation earned by FWS reading
award year 1998-1999. The maximum tutors of children and tutors in family literacy
amount you may carry back is 10% of the programs even if the Federal share was above
sum of your 1999-2000 original and the 75 percent rate. The amount of FWS
supplemental FWS allocations. earned compensation paid to FWS reading
tutors of children and tutors in family literacy
If this entry is different from the one in field 4 programs employed on-campus must be
of your 1998-1999 FWS Report, you must reported in field 11a, and in field 11b if
also send us a revised 1998-1999 FWS earned off-campus at public or private non-
Report. profit agencies.

9 Additional 1999-2000 funds carried back a. Report the earned compensation for on-
and spent for 1999 summer employment campus employment.

If you report in field 8 above the maximum b. Report the earned compensation for off-
10% carry-back amount, report any additional campus employment at public or
amount of your 1999-2000 FWS allocation private/non-profit agencies.
that was carried back and spent for payments
to students for wages earned on or after May c. Report the earned compensation for off-
15, 1999, but prior to the beginning of the campus employment in the private for-
1999-2000 award year on July 1, 1999. profit sector.

If this entry is different from the one in field 5 Field 11 equals the sum of fields 11(a) +
of your 1998-1999 FWS Report, you must 11(b) + 11(c).
also send us a revised 1998-1999 FWS
Report. 12 Total institutional share of earned
compensation
NOTE: Any FWS funds carried forward or
carried back between award years must be Report the total institutional share of all
entered in your institution's GAPS Report as earned compensation. The minimum
31
required institutional share varies by type of earned off-campus in private (for profit)
employment and is the complement of each of sector employment at a maximum Federal
the Federal share percentages reflected in share of 50%. This amount may not
field 13. The institutional share includes the exceed 25% of the sum of your 1999-2000
amounts contributed by your institution, as original plus supplemental authorizations.
well as the amount contributed by any off-
campus employer. If the institutional share of Field 13 equals the sum of fields 13(a) +
student compensation was paid in-kind 13(b).
(examples include tuition waiver, room and
board, etc.), you must convert the in-kind 14 Administrative cost allowance claimed
compensation to cash value.
Use Part VI, Section B, Steps 1 and 2, to
Field 12 must equal the difference between calculate your administrative cost allowance.
fields 11 and 13. In Part VI, Section B, Step 3, report how
much administrative cost allowance you
Section D. Funds Spent from Federal Share of claimed in the FWS Program. The amount in
FWS field 14 must be the same as the amount in
Part VI, Section B, field 23(c). This amount
13 Total Federal share of FWS earned could include funds claimed for any or all of
compensation these three programs.

Report in field 13 the Federal share of earned 15 Federal share of Job Location and
compensation paid to all students for the Development Program expenditures
1999-2000 award year. This includes the
Federal share of earned compensation paid to Report the Federal share of the amount spent
FWS reading tutors of children and tutors in for the Job Location and Development
family literacy programs even though the Program. This amount must be the lesser of
Federal share exceeds the 75 percent rate. $50,000 or 10% of the sum of your 1999-
Further, the Federal share of earned 2000 original and supplemental FWS
compensation paid to FWS reading tutors of allocations.
children and tutors in family literacy programs
must be reported in field 13a for on-campus 16 Total Federal funds spent for FWS
employment or off-campus employment at
public or private non-profit agencies, even Field 16 equals the sum of fields 13 through
though the Federal share exceeds the 75 15.
percent rate.
Section E. Use of FWS Authorization
If the institution has an approved waiver of
the institutional share for 1999-2000 as an Use this section to derive your expended and
institution designated as eligible for Title III, unexpended authorization amounts.
the entry in field 13(a) may also exceed the
maximum 75% Federal share. The entry in 17 Expended FWS authorization
field 13(b) may never exceed 50%.
Field 17 is fields 3 plus 7 plus 8 plus 9 plus
Report in field 13 the Federal share of FWS 16 minus fields 2 plus 4 plus 5 plus 6. The
total earned compensation. amount on field 17 must agree with your
final FWS expenditures reported in GAPS.
a. Report the Federal share of compensation It cannot exceed your authorization in field
earned at the maximum 75% rate: on- 1.
campus employment or off-campus
employment at public or private non-profit 18 Unexpended FWS authorization
agencies, including community service
employment. Field 18 equals field 1 minus field 17. This
amount will ultimately be deducted from
b. Report the Federal share of compensation your GAPS grantee account.
32
and Development Program
Any calculation that results in a negative
figure will not be accepted for transmission to Report the total amount spent (Federal and
ED. An excess expenditure must be charged institutional) to establish, maintain, or expand
to the institutional share of earned the Job Location and Development Program.
compensation.
20 Institutional expenditures for the JLD
NOTE: A penalty will be assessed against Program
your institution's 2001-2002 FWS allocation
if this amount plus any other amounts you Report the total amount of institutional funds
previously returned to ED are more than 10% spent. If your expenditures for the JLD
of your combined 1999-2000 initial plus Program were paid in kind (examples include
supplemental allocations. The penalty staff salaries, related travel, printing and
consists of a reduction in your 2001-2002 mailing costs, etc.), convert those
FWS allocation by an amount equal to the contributions to their cash value. If you used
total amount that you did not spend in 1999- Federal funds to operate the JLD Program,
2000. the amount reported on this field must be at
least 20% of the amount reported on field 19.
Information on prior year recoveries for
FWS and FSEOG 21 Number of students for whom jobs were
located or developed
Prior year recoveries are the Federal share of
any monies students have returned to the Report the number of students for whom you
institution for an award year that has already developed or located jobs through the JLD
undergone closeout in the Campus-Based Program, and who had earnings through JLD
system (i.e. awards have already been placement in award year 1999-2000.
reduced to FISAP expenditure levels). The
procedure for reporting prior year recovery of 22 Total earnings
funds on Campus-Based awards has been
changed. Report the total amount earned in 1999-2000
by the students entered on field 21.
Institutions no longer have to report to the
Department prior year recovery of Campus- If you do not know their actual wages, report
based funds. Consequently, the prior year a reasonable estimate.
recovery lines for FSEOG and FWS have
been removed from the FISAP. Any funds Section G. Information About FWS
recovered on prior year awards should be Community Service Activities
refunded to the Department using existing
GAPS refund procedures. Refunds should be Section G will be used to determine whether your
applied to the award corresponding to the institution met the minimum 5 percent community
funding year in which the recovered funds service expenditure requirement for the 1999-2000
were awarded. The refund will result in an award year. If your institution also received
increase to the available balance for this supplemental FWS Federal funds, this section will
award. The award authorization amount will be used to determine whether your institution used
be reduced by this refund amount when the the supplemental funds only to pay students in
award enters the closeout state in GAPS. You community service jobs. The minimum amount
should not draw down the available balance that was needed to satisfy these requirements is
that was created by the refund. determined by taking 5% of your original plus
supplemental FWS allocations or 100% of your
supplemental allocation, whichever is greater.
Section F. Information About the Job
Location and Development Note: Effective October 1, 1999, students may
Program (JLD) receive FWS compensation while training for
community service jobs, and for commuting
19 Total expenditures for the Job Location expenses to community service jobs as long as the
33
costs are deemed reasonable. family literacy activities

Report the number of students employed as


23 Number of students in community service FWS reading tutors of children and/or tutors
employment in family literacy activities during the 1999-
2000 award year.
Report the number of students employed in
FWS jobs during the 1999-2000 award year The reading tutoring must be provided to
that met the definition of community service preschool age children and children in
in the Higher Education Act of 1965, as elementary school. A tutor working in a
amended, Part C, Section 441(c). family literacy activity must provide services
to children from infancy through elementary
24 Federal share of community service earned school, or to their parents or caregivers. The
compensation work must be performed by the FWS student
for the institution itself, for a Federal, state or
Enter the Federal share of compensation local public agency, or for a private nonprofit
earned in FWS community service jobs organization.
during the 1999-2000 award year.
27 Federal share of earned compensation for
This amount must not exceed 75% of the total FWS students employed as reading tutors
earned compensation for community service of children and tutors in family literacy
(the sum of fields 24 and 25), unless the activities
institutional-share requirements have been
waived. For example, if the total earned Enter the Federal share of compensation
compensation for community service is earned by FWS reading tutors of children
$10,000, then Field 24 should be $7,500 and/or tutors in family literacy activities
($10,000 X .75). Field 25 should be $2,500 during the 1999-2000 award year.
($10,000 X.25). However, if the school has
an approved waiver, Field 24 could be The amount may be up to 100 percent of the
$10,000 and Field 25 could be $0. The compensation earned by a FWS student
Federal share of FWS compensation paid to employed as a reading tutor of children
a student must not exceed 75% unless a and/or a tutor in a family literacy activity. The
waiver applies. institution did not have to make a request to
the Department to use these waivers of the
25 Non-Federal share of community service FWS institutional share requirements. The
earned compensation institution has the option of continuing to
provide an institutional share and determining
Report the non-Federal (institutional plus off- the amount of that share.
campus employer) share of compensation
earned by the students employed in 28 Total earned compensation for FWS
community service jobs. students employed as reading tutors of
children and tutors in family literacy
Section H. Information about FWS Reading activities.
Tutors of Children and Tutors in
Family Literacy Activities Report the total compensation earned by FWS
reading tutors of children and/or tutors in
The information reported here may also be family literacy activities during the 1999-2000
part of the information reported above on award year.
community service if the reading tutoring for
children and/or tutoring in family literacy Section I. Information about FWS
activities were open and accessible to the mathematics tutors of children
community.
29 Number of students employed as FWS
26 Number of students employed as FWS mathematics tutors of children
reading tutors of children and tutors in
34
Report the number of students employed as
FWS mathematics tutors of children during
the 1999-2000 award year.

The mathematics tutoring must be provided


to students from the elementary through ninth
grade levels. The work must be performed
by the FWS student for the institution itself,
for a Federal, state or local public agency, or
for a private nonprofit organization.

30 Federal share of earned compensation for


FWS mathematics tutors of children

Enter the Federal share of compensation


earned by FWS mathematics tutors of
children during the 1999-2000 award year.

The amount may be up to 100 percent of the


compensation earned by a FWS student
employed as a mathematics tutor of children.
The institution did not have to make a request
to the Department to use this waiver of the
FWS institutional share requirements. The
institution has the option of continuing to
provide an institutional share and determining
the amount of that share.

31 Total earned compensation for FWS


mathematics tutors of children .

Report the total compensation earned by FWS


mathematics tutors of children during the
1999-2000 award year.

35
Instructions for Part VI:
Program Summary

This part consists of two sections. Section A levels used for the eligible aid applicants. (See
asks you to identify aid recipients by type of Part II, Section F).
student and by income category for dependent
and independent undergraduates, and to enter the For students designated as having an automatic
amount that you spent in each category of aid zero EFC, placement is determined by the
recipients. Section B assists you in calculating students' income that would have been used to
the administrative cost allowance. calculate an Expected Family Contribution for
1999-2000 if the student had not been designated
Who must complete Part VI, Section A? as having an automatic zero EFC. These
students should be included in fields 1 through
If you participated in the Federal Perkins Loan, 15.
FSEOG, or FWS Program in the 1999-2000
award year, you must complete this section. A student who was a recipient in more than one
academic category in 1999-2000 (e.g.,
What do I need to complete this section? undergraduate one term, and graduate another,
dependent/independent, or changed from full-
time to less than full-time status), should be
You will need data from Parts III, IV, and V of
reported in the category in which they were
this FISAP, and from your institution's records.
enrolled during the final term of the 1999-2000
academic year, or the final month of the training
Field-by-field instructions for Part VI
program for institutions with a non-traditional
calendar.
Section A.
Distribution of Program Recipients and
Field
Expenditures by Type of Students
1-14 Undergraduate dependent and
Report the distribution of aid recipients and the independent students
amounts spent during the 1999-2000 award year
Column a. Report the number of
by taxable and untaxed income level, for
undergraduate dependent and independent
undergraduate dependent students (fields 1
Federal Perkins Loan Program recipients for
through 7), undergraduate independent students
each income level in fields 1 through 14.
(fields 8 through 14) and/or
graduate/professional students (field 15). All
Column b. Report the amounts lent to
graduate/professional students must be entered in
borrowers in column a for the income levels
field 15, columns a, e, and g. Students reported
in fields 1 through 14.
in fields 1 through 15 are all students, whether
full-time or part-time. Students entered in field
Column c. Report the number of
17 are those students from fields 1 through 15
undergraduate dependent and independent
enrolled less than full-time. Students entered in
FSEOG recipients for each income level in
field 18 are those students from fields 1 through
fields 1 through 14.
15 with an automatic zero EFC. The entries in
column g are an unduplicated count and for most
In order to be an FSEOG recipient, the
institutions are not the sum of columns a, c, and
student must have received some Federal
e.
funds from the FSEOG Program in the
1999-2000 award year.
The definitions for dependent, independent,
undergraduate, and graduate/professional are the
Column d. Report the amount provided to
same as for Part II, Section F.
FSEOG recipients in column c for each
income level in fields 1 through 14.
Income categories for fields 1 through 14 are
Under the “Individual FSEOG Recipient
determined in the same manner as those income
36
Basis” and “Fund Specific Basis” methods The Electronic FISAP process will
of providing the non-Federal share, the automatically calculate field 16 totals for
institution must report for each FSEOG columns a, b, c, d, e, f, and g.
recipient the appropriate 25% non-Federal
and 75% Federal shares unless the In column b, the total amount of Federal
institution has been granted a waiver. Perkins Loan funds lent equals Part III,
However, under the "Aggregate Basis" Section B, field 5.
method each FSEOG recipient will not have
received the 25% non-Federal share. For In column d, the total FSEOG amount spent
the "Aggregate Basis" method, report the equals Part IV, Section C, field 11.
amount of non-Federal share for the
appropriate income level of the FSEOG The total amount of FSEOG funds spent
recipient who actually received the non- includes expenditures made from these
Federal share. (Refer to the 1999-2000 sources:
Federal Student Financial Aid Handbook,
Campus-Based Programs Reference FSEOG Federal funds,
module, for more information on these
methods). FWS and Federal Perkins funds
transferred to FSEOG, and
Column e. Report the number of
undergraduate dependent and independent Non-Federal share.
FWS recipients for each income level in
fields 1 through 14. In column f, the total FWS funds to students
equals Part V, Section C, field 11.
Column f. Report the amount earned by
FWS recipients in column e for each income The total amount of FWS funds spent
level in fields 1 through 14. includes expenditures made from these
sources:
Column g. Report the unduplicated number
of recipients for columns a, c, and e for FWS Federal funds,
each field 1 through field 14.
Federal Perkins funds transferred to
15 Graduate/Professional Students FWS, and

Column a. Report the number of Non-Federal share.


graduate/professional recipients in the
Federal Perkins Loan Program. Column g. Report the total unduplicated
number of recipients in columns a, c, and e.
Column b. Report the amount advanced to
Federal Perkins Loan graduate/professional 17 Total less than full-time students
recipients in column a.
Column a. Of the students listed in fields 1-
Column e. Report the number of 15, report the number of Federal Perkins
graduate/professional recipients in the FWS Loan Program undergraduate and
program. graduate/professional recipients who were
less than full-time students.
Column f. Report the amount earned by
FWS graduate/professional recipients in Column b. Report the funds lent to
column e. borrowers in column a.

Column g. Report the unduplicated number Column c. Of the students listed in fields 1-
of recipients in columns a and e. 14, report the number of FSEOG recipients
who were less than full-time students.
16 Total
Column d. Report the funds awarded to
37
recipients in column c.
You may charge the administrative cost
Column e. Of the students listed in fields 1- allowance against:
15, report the number of FWS
undergraduate and graduate/professional your Federal Perkins Loan Fund, if you
recipients who were less than full-time made Federal Perkins Loans to students
students. during the 1999-2000 award year,

Column f. Report the funds earned by your FSEOG funds, if you made FSEOG
recipients in column e. awards to students during the 1999-2000
award year, and/or
Column g. Report the unduplicated number
of recipients in columns a, c, and e. your FWS funds, if you provided FWS
employment to students during the 1999-
18 Total automatic zero EFC students 2000 award year.
Column a. Of the students listed in fields 1- For the Federal Perkins Loan or FWS Programs,
15, report the number of Federal Perkins you may not charge the administrative cost
Loan Program undergraduate and allowance against a program's funds if your only
graduate/professional recipients who were expenditure in that program was a transfer of
automatic zero EFC students. funds to another program.
Column b. Report the funds lent to Instructions for Part VI, Section B
borrowers in column a.
(Use these screens as your worksheet.) Follow
Column c. Of the students listed in fields 1- each field calculation for steps 1 and 2.
14, report the number of FSEOG
undergraduate recipients who were Step 3, field 23 - Once the total administrative
automatic zero EFC students. cost allowance is computed, you may charge this
amount - at the institution's discretion - to
Column d. Report the funds awarded available funds under one or more of the
recipients in column c. Campus-Based Programs. (For the Federal
Perkins Loan Program, "available funds"
Column e. Of the students listed in fields 1- represent cash on hand in the Loan Fund.)
15, report the number of FWS
undergraduate and graduate/professional Retain a copy of the worksheet for audit and
recipients who were automatic zero EFC program review purposes.
students.

Column f. Report the funds earned by


recipients in column e.

Column g. Report the unduplicated number


of recipients in columns a, c, and e.

Who must complete Part VI, Section B -


Calculating the Administrative Cost
Allowance?

If you are claiming an administrative cost


allowance for the 1999-2000 award year, you
must complete this section.

Against what programs may I charge the


administrative cost allowance?
38
39
40