Self-Evaluation Guide 2015-16 Part 2 Section VII …...NASFAA Self-Evaluation Guide Part 2 Section VII This requirement became effective for the 2015–16 award year. Unless otherwise

Self-evaluation Guide for inStitutional ParticiPation in title iv and other federal ProGramS

the Self-evaluation Guide has been designed as an in-house tool to help institutions evaluate the efficiency and effectiveness of their administration of financial aid programs and compliance with federal laws and regulations.

2015–16 - THIRTY-FIRST EDITION

FEDERAL WORK-STUDY PROGRAM

PART 2 – Administration of Title IV SECTION VII

i

© 2008–2015 by National Association of Student Financial Aid Administrators (NASFAA). All rights reserved. NASFAA has prepared this document for use only by personnel, licensees, and members. The information contained herein is protected by copyright. No part of this document may be reproduced, translated, or transmitted in any form or by any means, electronically or mechanically, without prior written permission from NASFAA. NASFAA SHALL NOT BE LIABLE FOR TECHNICAL OR EDITORIAL ERRORS OR OMISSIONS CONTAINED HEREIN; NOR FOR INCIDENTAL OR CONSEQUENTIAL DAMAGES RESULTING FROM THE FURNISHING, PERFORMANCE, OR USE OF THIS MATERIAL. This publication contains material related to the federal student aid programs under Title IV of the Higher Education Act. While we believe that the information contained herein is accurate and factual, this publication has not been reviewed or approved by the U.S. Department of Education or the Department of the Interior. NASFAA reserves the right to revise this document and/or change product features or specifications without advance notice. December 2015

NASFAA Self-Evaluation Guide Part 2 Section VII

This requirement became effective for the 2015–16 award year. Unless otherwise noted, the requirement was effective 7/1/2015.

© 2015 NASFAA Page 1

VII. Federal Work-Study Program Prepared by __________________ Date ______ Reviewed by __________________ Date ______

Note: Periodically, exceptions to or waivers of certain statutory and regulatory requirements are granted due to national emergencies and/or federally declared disasters. Information regarding exceptions/waivers for the 2015–16 award year may be found in the Guide Instructions. Reference Question Responsible

Office Response

I. General 668.32 675.9

A. Are Federal Work-Study (FWS) funds awarded only to students who:

Meet all applicable general student

eligibility criteria for Title IV aid; ____________

____________

yes no

Demonstrate financial need? ____________

____________

yes no

GEN-15-09 1. When determining the enrollment

status and cost of attendance of a student enrolled in a eligible career pathway program, does the institution exclude any credit or clock hours associated with the adult education component of the program regardless of whether the institution considers the adult education coursework to be remedial?

____________

____________

yes no n/a

675.8(c) 675.10(a) 2015–16 FSA Handbook, p. 6-39

B. Does the institution make Federal Work-Study (FWS) employment reasonably available, to the extent of available funds, to all eligible students?

675.8(d) 2015–16 FSA Handbook, p. 6-39

C. To the maximum extent practicable, do FWS positions complement and reinforce the educational programs or career goals of recipients?

____________

____________

yes no

675.8(e) D. Does the institution ensure FWS

employment may be used for programs that provide support services to students with disabilities?

____________

____________

yes no

675.27(b) E. Does the institution avoid soliciting or

accepting fees, commissions, contributions, or gifts as a condition for FWS employment, and does it prohibit any organization with which it has an employment agreement from doing so?

____________

____________

yes no

NASFAA Self-Evaluation Guide Part 2 Section VII FEDERAL WORK-STUDY



Reference Question Responsible Office

Response

II. Community Service Requirements 675.8(f) 2015–16 FSA Handbook, p. 6-57

A. Does the institution inform all eligible students of the opportunity to perform community services in the local community?

____________

____________

yes no

675.8(f) 2015–16 FSA Handbook, p. 6-57

B. Does the institution consult with local nonprofit, governmental, and community-based organizations to identify community service job opportunities?

____________

____________

yes no

675.2(b), Community services

C. Does the institution classify as community service those services designed to improve the quality of life for community residents, particularly low-income individuals, or to solve particular problems related to their needs, including:

675.2(b), Community services (1)

Services provided in such fields as health care, child care (including child care services provided on campus that are open and accessible to the community), literacy training, education (including tutorial services), welfare, social services, transportation, housing and neighborhood improvement, public safety, emergency preparedness and response, crime prevention and control, recreation, rural development, and community improvement;

____________

____________

yes no


Work in service opportunities or youth corps activities as defined in section 101 of the National and Community Service Act of 1990 (AmeriCorps) as well as in agencies, institutions, and activities designated in section 124(a) of that Act;

____________

____________

yes no


Support services to students with disabilities, including students with disabilities who are enrolled at the institution; and

____________

____________

yes no





Response


Activities in which a student serves as a mentor for such purposes as tutoring, supporting educational and recreational activities, and counseling (including career counseling)?

____________

____________

yes no

675.18(g)(1) 2015–16 FSA Handbook, p. 6-39

D. Does the institution use at least seven percent of the sum of its initial and supplemental FWS award year allocations to compensate students employed in community service activities?

____________

____________

yes no

675.18(g)(1) 2015–16 FSA Handbook, p. 6-39

E. In meeting community service requirements, does the institution employ at least one FWS student to:

____________

____________

yes no

Perform family literacy activities in a

family literacy project; or

Tutor reading, as part of a reading

tutor project, to children who are preschool age or are in elementary school?

675.18(g)(3) 1. To the extent practicable, in

providing reading tutors, does the institution:

Give priority to students for

tutoring in schools participating in a reading reform project designed to train teachers on how to teach reading on the basis of scientifically-based reading research and funded under the Elementary and Secondary Education Act of 1965; and

____________

____________

yes no

Ensure students employed in a

reading reform project receive training from the employing school in the instructional practices used by the school?

____________

____________

yes no





Response

675.18(g)(4)(i) F. Does the institution include in its community service definition, positions that perform civic education and participation opportunities in projects that:

____________

____________

yes no n/a

Teach civics in schools; Raise awareness of government

functions and resources; or

Increase civic participation? 675.18(g)(4)(ii)(A) 2015–16 FSA Handbook, p. 6-57

1. Does the institution give priority, to the extent practicable, to the employment of students in projects that educate or train the public about evacuation, emergency response, and injury prevention strategies relating to natural disasters; acts of terrorism; and other emergency situations?

____________

____________

yes no n/a

675.18(g)(4)(ii)(B) a. Does the institution ensure

students employed in such projects receive appropriate training to carry out the required educational services?

____________

____________

yes no n/a

675.18(g)(2) Elec. Ann., 3/27/15

G. If requesting a waiver of the community service expenditure requirements because enforcing the requirements would cause a hardship to students during the award year, does the institution submit its waiver request statement as instructed by the annual deadline established by the U.S. Department of Education (ED)?

____________

____________

yes no n/a

III. Types of Employment 675.20(a) A. Does the institution ensure FWS

students only work for eligible employers including:

____________

____________

yes no

The institution; A federal, state, or local public

agency;





Response

A private nonprofit organization; or A private for-profit organization? Note: If a proprietary institution, skip

Question B.

675.21(a) B. Does the institution employ FWS

students to work for the institution itself in operations for which the institution contracts with a third party (such as food service, cleaning, security, or maintenance) only if:

The institution is not a proprietary

institution; and ____________

____________

yes no

The contract specifies: The number of students to be

employed, and ____________

____________

yes no

The institution selects the

students to be employed and determines each student’s pay rate?

____________

____________

yes no

Note: If not a proprietary institution, skip

Question C.

675.2(b), Community services, Student services 675.21(b)

C. If the institution is a proprietary institution, does it employ students working for the institution only in FWS jobs that:

Are in community services as defined by regulation; or

____________

____________

yes no

Are on campus; and Involve an aspect or division of

student services directly related to the student’s training or education as defined in regulation,

____________

____________

yes no

Complement and reinforce the

student’s educational program or vocational goals to the maximum extent possible,

____________

____________

yes no





Response

Do not involve facility maintenance, cleaning, purchasing, or public relations, and

____________

____________

yes no

Do not involve the solicitation of

potential students to enroll at the institution?

____________

____________

yes no

Note: If an institution does not place FWS

students in private nonprofit organizations or federal, state, or local public agencies, skip Question D.

675.22 D. If the student is employed by a private

nonprofit organization or by a federal, state, or local public agency, is the work performed by the student in the public interest (i.e., for the national or community welfare)?

____________

____________

yes no

675.22(b)(1) 1. Does the institution ensure FWS

work does not primarily benefit members of a limited membership organization (e.g., credit union, fraternal or religious order, or cooperative)?

____________

____________

yes no

675.20(c)(2)(v) 675.22(b)(3),(5),(6) 2015–16 FSA Handbook, pp.6-65 to 6-66

2. Does the institution ensure FWS work does not involve:

Work as a political aide for an

elected official;

____________

____________

yes no

Partisan or nonpartisan political

activity;

Association with a faction in an

election for public or party office;

Lobbying at the federal, state, or

local level; or

Employment with ED? 675.22(b)(2) 2015–16 FSA Handbook, p.6-66

3. Does the institution ensure FWS work for elected officials is permissible only for the regular administration of federal, state, or local government?

____________

____________

yes no n/a





Response

675.22(b)(4) 4. Does the institution ensure a student’s political support or party affiliation is not taken into account during the hiring process?

____________

____________

yes no


students in private for-profit organizations, skip Question E.

675.23(b)(1) 2015–16 FSA Handbook, p.6-66

E. If a student is employed in a private for-profit organization, is the work restricted to jobs academically relevant to the student’s educational program to the maximum extent possible?

____________

____________

yes no

675.23(b)(2)(ii) 1. Does the institution ensure FWS

funds are not used to pay an employee who would otherwise be employed by that organization?

____________

____________

yes no

675.23(a) 2. Does the institution use no more

than 25 percent of its total FWS allocation to pay the compensation of FWS students employed by private for-profit organizations?

____________

____________

yes no


students in off-campus positions, skip Questions F and G.

675.20(b)(1) F. Does the institution maintain a written

agreement with each agency or organization that employs its FWS students?

____________

____________

yes no

675.20(b)(2) 2015–16 FSA Handbook, p.6-68

1. Does the institution enter into off-campus agreements only with agencies or organizations that have professional direction and staff?

____________

____________

yes no

675.20(b)(1) 2. Does the agreement between the

school and agency or organization specify who will pay the student?

____________

____________

yes no

675.20(b)(1) 3. Does the agreement set forth FWS

work conditions? ____________

____________

yes no

675.20(b)(3)(ii) 2015–16 FSA Handbook, p.6-68

G. Does the institution ensure FWS students working for an off-campus employer are properly supervised?

____________

____________

yes no





Response

675.20(c)(2)(i)-(iii) H. Does the institution ensure FWS duties for any employer do not impair existing contracts, displace regular employees, or fill jobs that are vacant because of a strike?

____________

____________

yes no

675.20(c)(2)(iv) I. Does the institution ensure FWS work

does not involve the construction, operation, or maintenance of any part of a facility used for religious worship or sectarian instruction?

____________

____________

yes no

675.20(c)(1) J. Do FWS positions (regardless of the

employer) adhere to employment conditions, including pay, that are appropriate and reasonable in terms of type of work, geographical region, employee proficiency, and any applicable federal, state, or local law?

____________

____________

yes no

Immigration Reform and Control Act of 1986, P.L. 99-603

1. Does the institution comply with U.S. Department of Homeland Security (DHS) verification of employment eligibility requirements, including completion of the I-9 form?

____________

____________

yes no

2015–16 FSA Handbook, p. 6-42

K. Does the institution ensure each student is not permitted to work in a FWS position when the student is otherwise scheduled to be in class?

____________

____________

yes no


1. If an exception is made, is it made only for documented cases of a class having been canceled or an instructor having excused the student for a specific day?

____________

____________

yes no n/a

IV. Establishing Wage Rates and Making Payments to Students 675.16(a)(5) A. Does the institution ensure a student

earns FWS compensation when the student performs the work?

____________

____________

yes no

675.16(a)(2) B. Does the institution pay a student FWS

compensation at least once a month? ____________

____________

yes no





Response

675.16(a)(3) 1. Does the institution notify the student of the amount of funds the student is authorized to earn, and how and when the FWS compensation will be paid before the institution makes an initial disbursement to the student for an award period?

____________

____________

yes no

675.16(a)(9) 2. Does the institution indicate it has

made a disbursement of FWS Program funds on the date it credits a student’s account or pays a student directly with:

____________

____________

yes no

Funds received from ED; or Institutional funds used in

advance of receiving FWS Program funds?

GEN-15-09 3. Does the institution treat a student,

who is enrolled in an eligible career pathway program, as ineligible for FWS for a payment period if the only courses the student is enrolled in are courses from the adult education component of the program?

____________

____________

yes no n/a

675.24(a)(1) C. Is compensation for undergraduate

students computed only on an hourly basis for actual time on the job?

____________

____________

yes no n/a

675.24(a)(2) D. Are fringe benefits (e.g., vacation and

holiday pay, sick leave, employer retirement contributions, etc.) excluded from the wage rate?

____________

____________

yes no

675.16(b)(1) E. If it obtains the student’s authorization,

does the institution use FWS funds to credit a student’s account at the institution to satisfy:

Current award year charges for

tuition and fees, institutionally-contracted room and board, and other educationally-related institutional charges; and

____________

____________

yes no n/a





Response

Charges from any prior award year for a total of not more than $200 for tuition, fees, room, board, and other institutionally related charges?

____________

____________

yes no n/a

675.16(b)(2) 1. If the institution uses FWS funds in

combination with other Title IV funds to satisfy prior award year charges, does the institution ensure it does not use more than $200 of current year Title IV funds?

____________

____________

yes no n/a

675.16(d)(4)(i) F. If a student modifies an authorization,

does the institution ensure the modification takes effect on the date the institution receives the modification notice?

____________

____________

yes no n/a

675.16(d)(4)(ii),(iii) G. If a student cancels an authorization to

use his or her FWS compensation to pay for authorized charges, does the institution:

Use those funds to pay only

authorized charges incurred before the institution received the notice; and

____________

____________

yes no n/a

Pay those funds directly to the

student as soon as possible, but no later than 14 days after the institution receives that notice?

____________

____________

yes no n/a

675.24(a)(3) 2015–16 FSA Handbook, p. 6-45

H. Are graduate students paid a salary or hourly wages in accordance with the institution’s usual employment practices?

____________

____________

yes no n/a

Note: If an institution does not give

academic credit for FWS work performed, skip Question I.

675.20(d)(2) I. If the institution gives academic credit

for FWS work performed, does it ensure the student is not paid:

____________

____________

yes no

Less than he or she would be paid if

no academic credit were received;





Response

For receiving instruction in a classroom, laboratory, or other academic setting; or

Unless the employer would normally

pay the person for the same position?

675.24(b)

J. Is the minimum wage rate under the Fair Labor Standards Act of 1938 enforced?

____________

____________

yes no


1. Does the institution pay students employed under the FWS Program at least the federal minimum wage rate of $7.25 an hour?

____________

____________

yes no


2. If FWS employees are subject to both federal and state minimum wage laws, are FWS employees paid the higher of the two minimum wages?

____________

____________

yes no n/a

675.18(h)(1) K. If the institution pays FWS students for

time spent in training that is directly related to any type of FWS employment, is the amount of time spent in training reasonable?

____________

____________

yes no n/a

675.18(h)(2) L. If the institution pays FWS students for

time spent for travel that is directly related to employment in community service activities, including tutoring in reading and family literacy activities, is the amount of time spent for travel reasonable?

____________

____________

yes no n/a

675.25(a) M. Are earnings attributed to FWS and

applied to a student’s cost of attendance (COA) determined by subtracting taxes and job-related costs (e.g., uniforms, transportation to and from work) from gross earnings?

____________

____________

yes no

675.25(b) 1. For a student employed under FWS

during a period of nonenrollment (e.g., summer), does the institution apply the attributed earnings to his or her COA for the next period of enrollment?

____________

____________

yes no n/a





Response

675.16(e)(1) N. Does the institution pay the student the institutional share at the same time it pays the federal share except for allowable noncash contributions?

____________

____________

yes no n/a

675.16(e)(2) 675.27(a)(1)

O. If the institutional share of wages is paid in the form of tuition, fees, services, or equipment, does the institution pay that share before the student’s final payroll period?

____________

____________

yes no n/a

675.16(e)(3) P. If the institution pays its FWS matching

share in the form of prepaid tuition, fees, or equipment for a forthcoming academic period, does it give the student a statement before the close of his or her final payroll period listing the amounts earned for these items?

____________

____________

yes no n/a

675.16(a)(8) 2015–16 FSA Handbook, p. 4-26

Q. Does the institution refrain from obtaining a student’s power of attorney to authorize disbursement of funds unless it has received prior approval from ED?

____________

____________

yes no

675.16(a)(7) R. Before paying a correspondence

student, does the institution require the student to submit his or her first completed lesson?

____________

____________

yes no n/a

675.16(a)(4) S. Does the institution assume

responsibility for ensuring all students are paid for work performed, even if employed by an off-campus employer?

____________

____________

yes no

675.26(a)(4) T. Does the institution ensure FWS funds

are not used to pay a student after he or she has earned $300 or more over his or her financial need?

____________

____________

yes no

675.16(a)(6) U. Does the institution pay a student after

the student’s last day of attendance for FWS compensation earned while the student was in attendance at the institution?

____________

____________

yes no





Response

HEA 488A(d) 2015–16 FSA Handbook, p. 6-53

V. Does the institution permit FWS wages to be garnished only to:

____________

____________

yes no

Satisfy a debt owed to ED; Pay any costs of attendance that the

student owes the school during the period of the award; or

Pay any costs of attendance that will

become due and payable to the school during the period of the award?


1. Does the institution oppose any garnishment order it receives for any other type of debt?

____________

____________

yes no


2. Does the institution notify off-campus employers that garnishment of FWS wages for any other type of debt is not permissible?

____________

____________

yes no n/a

Note: If an institution was not affected by a

major disaster or chooses not to continue to pay FWS wages to disaster-affected students, skip Question W.

675.18(i) W. If an institution affected by a major

disaster (as determined by ED) chooses to continue to pay FWS wages to disaster-affected students, does the institution consider a student to be a disaster-affected student only if the student:

Was enrolled at the institution and

received a FWS award for the award period during which the major disaster occurred;

____________

____________

yes no

Earned FWS wages for that award

period; ____________

____________

yes no

Was unable to fulfill his or her FWS

obligation for all or a part of the award period due to the disaster; and

____________

____________

yes no





Response

Was unable to be reassigned to another FWS job?

____________

____________

yes no

675.18(i)(1) 1. Does the institution: Pay students an amount equal to

or less than the wages the students would have been paid if they had been able to work;

____________

____________

yes no

Pay only students who began

their work obligation, earned FWS funds, or had not separated from their FWS job before the disaster occurred; and

____________

____________

yes no

Comply with the appropriate

matching funds requirements unless it has received a waiver?

____________

____________

yes no

V. Fiscal Procedures and Records 675.19(a)(1) 2015–16 FSA Handbook, p. 6-30

A. Does the institution establish and maintain a system of internal checks and balances to ensure no office can both authorize payments and disburse funds to students?

____________

____________

yes no

675.19(a)(2) 1. If the institution uses a fiscal agent,

does the agent perform only ministerial acts?

____________

____________

yes no n/a

668.163 675.19(a)(3)

2. Does the institution maintain FWS funds in accordance with cash management requirements?

____________

____________

yes no

673.7 675.18(a)

B. Does the institution use its FWS allocation only to:

Pay the federal share of FWS

wages; ____________

____________

yes no

Pay all or a portion of the institution’s

administrative cost allowance; ____________

____________

yes no n/a





Response

Transfer funds to its Federal Supplemental Educational Opportunity Grant (FSEOG) Program;

____________

____________

yes no n/a

Meet Job Location and Development

(JLD) Program costs; and ____________

____________

yes no n/a

Meet Work-Colleges Program costs? ____________

____________

yes no n/a

675.26(a)(3) C. Does the institution ensure the federal

share of FWS compensation does not exceed 50 percent for students employed by a private for-profit organization?

____________

____________

yes no n/a

675.23(b)(2)(i) 1. Does the institution require a private

for-profit organization to pay the matching share?

____________

____________

yes no n/a

675.26(a)(1) D. Does the institution ensure the federal

share of FWS compensation does not exceed 75 percent for students employed by the institution itself; in a federal, state, or local agency; or in a private nonprofit organization?

____________

____________

yes no

675.26(a)(2) 1. Does the institution ensure the

federal share of a FWS student’s compensation does not exceed 90 percent, if:

The student is employed at a

nonprofit organization or public agency that cannot afford to pay the regular nonfederal share;

____________

____________

yes no

The organization is not part of,

owned by, operated by, or under common ownership, operation, or control of the institution;

____________

____________

yes no

The organization is selected on a

case-by-case basis; and ____________

____________

yes no

No more than 10 percent of the

institution’s FWS students are compensated on this basis?

____________

____________

yes no





Response

675.26(b) E. When determining the federal share of FWS, does the institution exclude fringe benefits and the employer’s share of any Social Security, worker’s compensation, retirement, or other welfare or insurance programs?

____________

____________

yes no

675.26(d) 2015–16 FSA Handbook, pp. 6-21 to 6-22

F. Does the institution pay 100 percent of the compensation earned by a student from its federal share only if the work performed by the student is for the institution itself, for a federal, state, or local public agency, or for a private nonprofit organization, and the student is:

____________

____________

yes no n/a

Federal Register, 11/19/15, pp. 72422 to 72426 2015–16 FSA Handbook, p. 6-22 Electronic Announcement, 4/23/15 2016–17 FISAP Instructions, pp. A-1 to A-2

Enrolled at an institution currently designated as a Historically Black College and University (HBCU) or a Tribally Controlled College and University (TCCU);

Enrolled at an institution that has been previously approved as an institution eligible for a federal share waiver as a Title III/V institution, and continues to receive grant funding under a Title III/V program;

Enrolled in a Title III/V institution that qualifies for one of the following programs: the Strengthening Institutions program (SIP), Alaska Native and Native Hawaiian-Serving Institutions (ANNH), Predominately Black Institutions (PBI), Native American-Serving Nontribal Institutions (NASNTI), Asian American and Native American Pacific Islander-Serving Institutions (AANAPISI), Developing Hispanic-Serving Institutions (HSI), and Promoting Postbaccalaureate Opportunities for Hispanic Americans program (PPOHA); has annually completed the Application to Request Designation as an Eligible Institution, and has been approved for the federal share waiver;





Response

Employed as a reading tutor for children who are preschool age or who are in elementary school;

Performing family literacy activities

in a family literacy project that provides services to families with preschool age children or children who are in elementary school;

Employed as a mathematics tutor for

children who are in elementary school through the ninth grade; or

Performing civic education and

participation activities?


1. Does the institution follow its state’s determination of who constitutes “children who are in elementary school?”

____________

____________

yes no n/a


2. Does the institution follow its state’s determination of who constitutes “preschool age children?”

____________

____________

yes no n/a

CB-98-6, Attachment A, Q&A #4 2015–16 FSA Handbook, p. 6-62

3. Does the family literacy program for which the waiver of the nonfederal share of wages is applied provide:

Literacy or pre-literacy education for children who are preschool age or who are in elementary school;

____________

____________

yes no n/a

Literacy training for parents or

caregivers of children in the program;

____________

____________

yes no n/a

A means of equipping parents

and caregivers with the skills needed to partner with their children in learning; and

____________

____________

yes no n/a

Literacy activities between

parents or caregivers and their children?

____________

____________

yes no n/a





Response

675.26(c) G. If the institution receives more funds from an off-campus employer than are required for the nonfederal share of wages, employer costs, and administrative costs under an employment agreement, are the excess funds:

____________

____________

yes no n/a

1. Used to reduce the federal share on

a dollar-for-dollar basis;

Held in trust for the next year’s off-

campus employment; or

Refunded to the off-campus

employer?

Note: If an institution does not transfer

funds from its FWS allocation, skip Question H.

HEA 488 675.18(e) 2015–16 FSA Handbook, p. 6-14

H. Does the institution observe the 25 percent limitation on the amount of its total FWS allocation (i.e., initial and supplemental amounts) it transfers to FSEOG and/or Federal Perkins Loan Program accounts?

____________

____________

yes no

HEA 488 2015–16 FSA Handbook, p. 6-13

1. Are transferred funds used according to FSEOG and Federal Perkins Loan Program requirements?

____________

____________

yes no


2. Are transfers reported on the institution’s FISAP?

____________

____________

yes no

675.18(b)(1) I. If the institution carries forward FWS

funds and expends them in the next award year, does the institution carry forward no more than 10 percent of its total current award year FWS allocation?

____________

____________

yes no n/a

675.18(b)(2) 1. Does the institution spend any funds

carried forward before it spends its current year allocation?

____________

____________

yes no n/a





Response

675.18(c) J. If the institution carries back FWS funds and expends them in the previous award year, does the institution carry back no more than 10 percent of its total current award year FWS allocation?

____________

____________

yes no n/a

675.18(f) K. Separate from the 10 percent carry-

back limit, if the institution carries back any portion of its total current year FWS allocation for summer employment, does the institution do so only to pay FWS wages earned on or after May 1 but prior to the beginning of the current award year?

____________

____________

yes no n/a


L. Does the institution ensure it does not add carry-forward or carry-back funds to the total FWS allocation for an award year when determining the maximum percentage of available funds for:

____________

____________

yes no n/a

Transferring FWS funds to FSEOG; Providing the federal share of wages

in private for-profit jobs; or

Funding the JLD Program? 2015–16 FSA Handbook, p. 6-11

M. If the institution does not use its total FWS allocation, does it release any unexpended amounts to ED?

____________

____________

yes no n/a

675.19(b)(2) N. Does the institution establish and

maintain program and fiscal records that include:

1. A certification from the student’s

supervisor, an official of the institution, or off-campus agency that each student has worked and earned the amount being paid;

____________

____________

yes no

2. A payroll voucher containing

sufficient information to support all payroll disbursements; and

____________

____________

yes no

3. A noncash contribution record to

document any payment of the institution’s share of the student’s earnings in the form of tuition, fees, services, and/or equipment?

____________

____________

yes no n/a





Response


1. Do payroll vouchers include the:

School’s name and address; ____________

____________

yes no

Beginning and ending dates of

the payroll period; ____________

____________

yes no

Student’s name; ____________

____________

yes no

Identification of the student’s job; ____________

____________

yes no

Number of hours worked during

the pay period; ____________

____________

yes no

Hourly wage rate (if an

undergraduate student); ____________

____________

yes no n/a

Hourly wage rate or salary (if a

graduate student); ____________

____________

yes no n/a

Student’s gross and net

earnings; ____________

____________

yes no

Compensation withheld for

federal, state, county, or city taxes, and other deductions;

____________

____________

yes no

Noncash payments (if any); ____________

____________

yes no n/a

Overtime earnings (if any); and ____________

____________

yes no

Check number, duplicate receipt,

or other payment identification? ____________

____________

yes no

675.19(b)(2)(i) 2. For students paid on an hourly

basis, does the certification the student has worked and earned FWS funds include, or is it supported by, a time record showing the hours worked in clock-time sequence or the total hours worked per day?

____________

____________

yes no n/a





Response

675.20(b)(3)(i) 3. Does the institution ensure work performed by students for off-campus employers is also properly documented?

____________

____________

yes no n/a

Note: If an institution does not use

electronic certification by a supervisor to document a student has worked, skip Question 4.


4. If the institution uses an electronic certification by a FWS supervisor that the student has worked and earned FWS funds, does it use the following safeguards against possible fraud and abuse:

Password protection; ____________

____________

yes no

Password changes at set

intervals; ____________

____________

yes no

Access revocation for

unsuccessful log-ins; ____________

____________

yes no

User identification and entry-

point tracking; ____________

____________

yes no

Random audit surveys with

supervisors; and ____________

____________

yes no

Security tests of the coded

access? ____________

____________

yes no

2015–16 FSA Handbook, pp. 6-44 to 6-45

5. Does each FWS position have a job description that includes the following:

Name of the position; ____________

____________

yes no

Classification of the position

(e.g., reading tutor 1, reading tutor 2, laboratory assistant, library technician 1 or 2, etc.);

____________

____________

yes no





Response

Name and address of the student’s employer (department, public agency, nonprofit organization);

____________

____________

yes no

Department or office in which the

student will be employed; ____________

____________

yes no

Location where the student will

perform his or her duties; ____________

____________

yes no

Name of the student’s

supervisor; ____________

____________

yes no

Purpose/role of the student’s job

within the organization; ____________

____________

yes no

Student’s duties and

responsibilities and how they relate to the purpose/role;

____________

____________

yes no

Rates of pay for the position,

cross-referenced to the wage rates in the institution’s policies and procedures manual;

____________

____________

yes no

General qualifications for the

position and the specific qualifications for the various pay rates associated with the position;

____________

____________

yes no

Beginning and ending dates of

the student’s employment; ____________

____________

yes no

Procedures for determining a

student’s rate of pay when a position has multiple rates; and

____________

____________

yes no

Evaluation procedures and

schedules? ____________

____________

yes no

VI. Job Location and Development Program Note: If the institution does not participate in

the JLD Program, it should skip the questions in Part VI and proceed to Part VII, Work-Colleges Program.





Response

675.35(a) 2015–16 FSA Handbook, p. 6-72

A. If the institution participates in a JLD Program, does it do so only if it has a Program Participation Agreement (PPA) approved by ED and which includes approval to participate in the FWS Program?

____________

____________

yes no

675.35(b)(3)(i) 1. Does the institution comply with the

prohibition against locating and developing jobs at an eligible institution?

____________

____________

yes no

675.35(b)(3)(ii) 2. Are the jobs located and developed with JLD funds available only to students during and between periods of attendance at the institution, not upon graduation?

____________

____________

yes no

675.35(b)(3)(iii) 3. Has the institution taken steps to

ensure the JLD Program will not displace employees or impair existing contracts for services?

____________

____________

yes no


4. Does the institution limit JLD expenditures from FWS funds to the lesser of $75,000 or 10 percent of its total allocation?

____________

____________

yes no

675.33(b) 5. Does the institution use FWS funds

for no more than 80 percent of allowable JLD costs?

____________

____________

yes no

675.33(a) a. Does the institution restrict

allowable costs to those reasonably related to carrying out the JLD Program, excluding any costs related to the purchase, construction, or alteration of physical facilities and indirect administrative costs?

____________

____________

yes no

675.33(c) b. Does the institution keep records

documenting the amount and source of its share of allowable costs (whether in cash or in the form of services)?

____________

____________

yes no





Response

675.35(b)(3)(iv) 6. Are expended JLD Program funds realistically expected to generate total student wages exceeding the total amount of the federal share of funds spent under the FWS Program?

____________

____________

yes no

675.35(b)(3)(v) 7. If the institution uses federal funds to

contract with another institution, are suitable performance standards a part of the contract?

____________

____________

yes no n/a

Note: If the institution does not enter into

written agreements with other participating institutions, skip Question B.

675.34(a),(b) B. If the institution exercises its option to

enter into a written agreement with other participating institutions to establish and operate job location programs for its students, does the agreement:

Designate the administrator of the

program; and ____________

____________

yes no

Specify the terms, conditions, and

performance standards of the program?

____________

____________

yes no

675.34(c) 1. Does the institution retain

responsibility for the proper disbursement of the federal funds it contributes under an agreement with other eligible institutions?

____________

____________

yes no

675.19 675.36

C. Are procedures and records concerning the JLD Program established in accordance with FWS Program regulations governing fiscal procedures and records?

____________

____________

yes no

VII. Work-Colleges Program Note: If the institution does not enter into a

work-college agreement with ED, it should skip the questions in Part VII.





Response

675.48(a) 2015–16 FSA Handbook, pp. 6-76 to 6-77

A. If the institution exercises its option to enter into a work-colleges agreement with ED, does it comply with all the appropriate provisions of the Higher Education Act of 1965 (HEA), as amended, and the appropriate provisions of the regulations?

____________

____________

yes no

675.41(a) 675.48(b)

1. Does the institution satisfy the regulatory definition of work-college?

____________

____________

yes no

675.45(c) 675.48(c)

2. Does the institution match the federal funds on a dollar-for-dollar basis?

____________

____________

yes no

675.41(a)(3) B. Unless the student is engaged in an

institutionally organized or approved study abroad or externship program, does the institution require resident students, including at least half of all full-time students, to participate in a comprehensive work-learning-service program for at least 5 hours each week or at least 80 hours during each enrollment period other than summer school?

____________

____________

yes no

675.41(a)(4) 1. Does the institution provide students

participating in the program the opportunity to contribute to their education and the welfare of their community as a whole?

____________

____________

yes no

675.41(b)(1) 2. Is the comprehensive work-learning-

service program an integral and stated part of the institution’s educational philosophy and program?

____________

____________

yes no

675.41(b)(3)-(6) 3. Does the comprehensive work-

learning-service program:

Include learning objectives,

evaluation, and a record of work performance as part of the student’s college record;

____________

____________

yes no





Response

Provide programmatic leadership by college personnel at levels comparable to traditional academic programs;

____________

____________

yes no

Recognize the educational role

of work-learning-service supervisors; and

____________

____________

yes no

Include consequences for

nonperformance or failure similar to the consequences for failure in the regular academic program?

____________

____________

yes no

675.41(b)(2) 4. Does the institution require

participation in the program by all resident students for enrollment and graduation?

____________

____________

yes no

675.45(a) C. Does the institution use its allocated and

reallocated Work-Colleges Program funds only for:

____________

____________

yes no

Supporting the educational costs of

qualified students through self-help payments or credits provided under the work-learning-service program within the limits of their demonstrated financial need;

Promoting the work-learning-service

experience as a tool of postsecondary education, financial self-help, and community service-learning opportunities;

Carrying out FWS and JLD Program

activities;





Response

Administering, developing, and assessing comprehensive work-learning-service programs including community-based work-learning alternatives that expand opportunities for community service and career-related work, as well as alternatives that develop sound citizenship, encourage student persistence, and optimize Work-Colleges Program assistance in education and student development;

Coordinating and carrying out joint

projects and activities to promote work-learning-service; or

Carrying out a comprehensive

longitudinal study of student academic progress and academic and career outcomes relative to student self-sufficiency in financing higher education, repayment of student loans, continued community service, kind and quality of service performed, and career choice and community service after graduation?

675.45(b) D. If the institution transfers funds from its

Federal Perkins Loan or FWS programs to its Work-Colleges Program, does it use the transferred funds to pay allowable costs?

____________

____________

yes no n/a

675.46 E. Does the institution ensure it does not

use its allocated and reallocated program funds and funds transferred from its Federal Perkins Loan or FWS programs to pay costs related to the purchase, construction, or alteration of physical facilities, or indirect administrative costs?

____________

____________

yes no

Note: If the institution does not enter into

written agreements with other participating institutions, skip Question F.





Response

675.44(b) 675.47(a),(b)

F. If the institution enters into a written agreement with another participating institution to promote the work-learning-service experience, does the written agreement:

Designate the administrator of the

program; and ____________

____________

yes no

Specify the terms, conditions, and

performance standards of the program?

____________

____________

yes no

675.47(c) 1. Does each institution retain

responsibility for the proper disbursement of the federal funds it contributes?

____________

____________

yes no

Federal Register, 1/12/15, p. 1496

G. Does the institution submit its Work-Colleges Program Expenditures Report for award year expenditures by the annual deadline published by ED?

____________

____________

yes no

See also the Recommended Good Practices section (Part 1, Section VIII) of the Self-Evaluation Guide. Comments on the Administration of the Federal Work-Study Program

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Documents

Self-Evaluation Guide 2015-16 Part 2 Section VII …...NASFAA Self-Evaluation Guide Part 2 Section VII This requirement became effective for the 2015–16 award year. Unless otherwise