The follwing information is the general “must know” for all students who intend to apply for the HEOP program. It is adopted from the official NYS HEOP website. You can download the latest HEOP brochure published by the New York State’s Collegiate Development Depart by clicking here.
I. THE GENERAL PROGRAM
A. Introduction
In May 1969, the New York State Legislature passed an amendment to the Education Law that authorized a program to expand educational opportunity in public and independent institutions of higher education. This program, as amended, is designed to support proposals for the screening, testing, counseling, tutoring, teaching, and partial financial assistance of New York State residents who:
1. are graduates of an approved high school or have obtained a high school equivalency diploma or its equivalent,
2. have potential for the successful completion of a higher education program, and
3. are economically and educationally “disadvantaged.”
The funds allocated by the Legislature are designed to supplement and expand, not supplant, existing efforts.
B. Objectives
The primary objective of the Higher Education Opportunity Program (HEOP) is to help provide a broad range of services to New York State residents who, because of academic and economic circumstances, would otherwise be unable to attend a postsecondary educational institution. The following services (1-9) are designed to identify, evaluate, and recruit eligible students and to enable Higher Education Opportunity Program students to complete a higher education experience. Higher Education Opportunity Program funds may be allocated for:
1. Recruitment and screening of students for college enrollment.
2. Testing of prospective students.
3. Counseling of students.
4. Tutoring of students enrolled in the program.
5. Instructional services, which may include remedial and developmental courses in such areas as reading, writing, mathematics, and study skills.
6. A planned prefreshman summer program that includes academic support services.
7. Supplemental financial assistance.
8. In-service training and program evaluation.
9. Administration of the above services.
C. Institutional Eligibility
Independent institutions of higher education incorporated by the Legislature or chartered by the Board of Regents and offering two- or four-year degree programs registered with and approved by the Board of Regents may submit 2007-2008 Applications for Renewal of programs funded in the 2004-2008 cycle. Programs must serve matriculated students who are working toward a degree. Students shall be selected without regard to age, color, religion, creed, disability, marital status, veteran status, national origin, race, gender, genetic predisposition or carrier status, or sexual orientation. HEOP funds may not be used to support programs which are segregated on any basis, including admissions policy, housing arrangements, classroom facilities, and allocation of financial aid.
D. Program Requirements
1. Program Integration
This program, designed specifically for disadvantaged students, must be an integral part of the college community. It must not be a peripheral activity segregated from other college programs.
The special needs of HEOP students must be met. For example, such students may require a longer period of time to complete a degree. Lighter courseloads may be recommended for the first and second years. Admissions and retention policies must be flexible. Expectations for HEOP students should, however, not be less than the minimums on the institution’s pursuit and progress chart filed with the State Education Department. At the same time, institutions must determine a point at which the HEOP student will be subject to the same policies (such as academic probation or dismissal) as the general student population.
HEOP is an academic support program and the program director is normally expected to report to a high-ranking academic officer of the institution. If such is not the case, the institution must clearly demonstrate that the program is closely coordinated with the academic practices, policies, and personnel of the institution.
2. Matriculation
a. All HEOP students, full- or part-time, must be matriculated from the time of their first enrollment.
b. Full-time matriculated students must satisfy the requirements of Commissioner’s Regulation 145-2.1 that states, “Full-time study. . . means enrollment for at least 12 semester hours a semester or the equivalent.” [A semester hour as defined by Commissioner's Regulations is "a credit, point, or other unit granted for the satisfactory completion of a course which requires at least 15 hours (of 50 minutes each) of instruction and at least 30 hours of supplementary assignments...."] “Non-credit or remedial courses may be considered as contributing toward full- or part-time study on an hour-for-hour equivalent basis, if the student effort required is the same as would be required for a credit-bearing course.”
c. HEOP students may be full- or part-time. Students attending part-time must enroll for at least six semester hours or the equivalent per term, except for graduating seniors.
3. Supportive Academic Services
Experience has shown that the level of academic achievement of the HEOP student can be improved through adequate diagnostic, prescriptive, and supportive services, including instruction in study skills, pre- and post-testing, counseling, tutoring, and related remedial and developmental courses. These services and/or strategies must be available to meet the individual needs of opportunity program students.
4. Financial Assistance
A recognized needs analysis system must be used in calculating student awards. Financial aid packages will be based on the calculated full need, using a combination of grants, waivers, work, loan, and savings sources as available. Full need includes realistic subsistence costs, in addition to institutional charges. HEOP STUDENTS SHOULD NOT BE REQUIRED TO UNDERTAKE INORDINATELY HIGH LOANS (also see Section V.A.3.).
5. Program Evaluation
Ongoing evaluation is part of managing Higher Education Opportunity Programs. Evaluation is a tool for the Director who plans and manages a program. Institutions should include evaluation plans for each component in the proposal narrative and share summaries of the results of such evaluations with HEOP-SED. The scope of program evaluations should take into account the resources available to a program for this purpose.
6. Records, Fiscal Accountability, and Audits
a. To ensure audit accountability, each institution must structure its accounts process to reflect HEOP and institutional monies by line item and must separate them from all other institutional accounts. State, institutional, Federal, and other grant funds must be clearly delineated. Each student’s financial aid account should reflect all aid sources separately, including HEOP tuition funds and HEOP maintenance funds. The HEOP grant supplements other sources of aid included in a student’s financial aid package. It will be considered “first-out” in cases of overpackaging found on audit.
b. The HEOP Director, along with appropriate institutional staff, must be involved in and responsible for the preparation of budgetary documents and coordination of HEOP fiscal affairs.
c. Every Higher Education Opportunity Program must maintain complete academic and financial aid files with all relevant information on each HEOP student, consistent with data required in HEOP reports. This material is to be accessible to appropriate Education Department staff upon request (see Attachment I – pages 34 to 37 for list of required data).
d. All records are subject to audit by the State Education Department, the State Department of Audit and Control, and the Legislative and Exective branches of the State or an agency designated by the above.
e. Maintenance of HEOP Records
(1) Fiscal records should be maintained for nine full years. This would include anything documenting the expenditure of HEOP funds.
(2) Student records should be maintained for five years after the student graduates. If a student leaves before graduation, but there is some chance that the student will return, records should be maintained for five years from the time the student leaves.
7. Progress Reports, Vouchers, and Payments
a. Timetable for Submission of Reports
An institution accepting HEOP funds must submit two computer-generated (Mercado Electronic Reporting System [MERS]) reports:
(1) A fall enrollment report, including actual summer expenditures, due October 15, 2007.
(2) The Final Report, including actual program expenditures, due June 30, 2008, or within thirty days after the end of the spring semester.
Extensions of report deadlines must be approved in writing prior to deadline dates. Failure to submit the reports on time will result in unfavorable reviews of an institution’s future applications for funds and may result in non-payment of the respective voucher.
b. Timetable for Submission of State Aid Vouchers (may be modified at a later date).
HEOP-SED approves vouchers for payment after receipt, analysis, and approval of the appropriate report.
(1) First voucher for 50 percent of the grant is to be submitted before September 1st.
(2) Second voucher for 30 percent of the grant is to be submitted forty-five (45) days after the receipt of a satisfactory October 15th enrollment and summer expenditure report. The approved expenditures for the summer on the October 15th Report are considered final.
(3) Third voucher for the remainder of the grant is to be submitted thirty (30) days (but no later than August 1st) following receipt of a satisfactory Final Report.
c. Timetable for Payment
Funds will be distributed in three payments during the year. Payments will be calculated based on approved line item expenditures and satisfactory reports. Payments may be more or less than the prescribed percentages based on adjustments for expenditures or enrollments.
The first payment of 50 percent of the approved grant will be made after the first voucher is submitted.
(2) The second payment of 30 percent of the approved grant will be made within 30 days after the receipt of the second voucher.
(3) The final payment will be made within 30 days after August 1, following receipt of a satisfactory Final Report.
8. Grant Suspension
Grants may be suspended because of the failure of an institution to carry out the program as approved. In the event the institution does not carry out the program or does not comply with
all the requirements of the grant, grant monies already awarded may be recovered by withholding a like amount from any State aid otherwise due the institution.
E. Funding Considerations
1. Existing Programs
Institutions that currently receive support in the 2004-2008 funding cycle will receive consideration for 2007-08.
2. Funding will depend on when the Legislature passes and the Governor signs the appropriation bills. HEOP awards are subject to the availability of funds.
3. Criteria
Allocations will be based upon all of the following criteria:
a. Limits, in dollars and students, in the statewide appropriation.
HEOP-SED professional staff recommendations.
c. Program priorities for 2007-08 (see 4 below).
4. Priorities
The items listed below are equally important:
a. Baccalaureate programs for full-time students.
b. Programs serving severely disadvantaged students and/or students for whom no other postsecondary opportunity exists.
c. Programs that provide career opportunities for disadvantaged populations in fields where they are currently underrepresented, especially teaching and nursing.
d. Programs with outstanding records of retention and graduation of HEOP students.
F. Duration of Programs
1. Contracts
The program is operated on a fixed, four-year funding cycle. Institutions selected for funding are issued a contract for the program cycle.
2. Yearly Awards
Awards run from July 1 through June 30. The specific amounts of awards in subsequent years will depend upon the amount of legislative appropriations, approval by the State Education Department of a proposal for funds, progress reports from the institution, and evaluation through on-site visitation and report analysis by the Department.
3. Timetable for Submitting Applications for Renewal
a. Two copies of the Application must be postmarked by March 30, 2007.
b. Mailing and Extensions
An Application for Renewal meets the requirement if it is mailed on or before the pertinent deadline date and the required proof of mailing is provided. If an Application for Renewal is sent through the U. S. Postal Service, HEOP-SED does not accept either of the following as proof of mailing: (1) a private metered postmark or (2) a mailing receipt that is not dated by the U.S. Postal Service. All institutions should forward their material to:
James Donsbach, Unit Manager
Collegiate Development Programs Unit – HEOP
New York State Education Department
Education Building Addition – Room 1071
89 Washington Avenue
Albany, New York 12234
A five-day extension of the deadline for the mailing of an Application for Renewal may be granted provided a written request to that effect has been received in advance of the deadline from the institution’s chief executive officer or his or her designee. Applications for Renewals postmarked after deadlines or extensions will not be considered for funding until all on-time requests have been considered, and then only if funds remain.
HEOP funds may not be used to hand deliver Applications for Renewal and reports to the State Education Department.
II. STUDENT ELIGIBILITY
A. Introduction
The Higher Education Opportunity Program is designed to serve the student who is both academically and economically disadvantaged. A disadvantaged student is an individual from a low-income family with potential for a successful collegiate experience but who has not acquired the verbal, mathematical, and other cognitive skills required to complete his/her college work. Generally, his/her grades fall in the bottom half of the high school graduating class, he/she has not earned a Regents diploma, is from a high school which has a poor record for preparing students, has been tracked or scheduled into a general, commercial or vocational high school program, or has been out of school for a number of years.
A student eligible for HEOP will generally rank low on such traditional measures of collegiate admissions as SAT scores, high school average, and class standing. Institutions are encouraged to seek out academically disadvantaged students who have the potential for success in college and to admit such students through the Higher Education Opportunity Program. It is the State Education Department’s policy to encourage institutions to develop for such students programs of study that include strong components of remedial/developmental education and adequate counseling and tutorial support.
B. General Requirements
A student eligible for benefits under the Higher Education Opportunity Program must meet all of the following:
1. Be both academically and economically “disadvantaged” according to the criteria in Sections II.C and II.D;
2. Be a high school graduate or have a State-approved equivalency diploma (with a composite score not higher than 310) or its equivalent. The equivalent of a general equivalency diploma is defined as one of the following:
a. An Armed Forces Equivalency Diploma with a minimum score of 40 on each test section and a minimum composite score of 225, or
b. A level of knowledge and academic ability equal to the level required for entrance to the educational opportunity program at the institution to which the individual seeks admission;
3. Have potential for the successful completion of a postsecondary program; and
4. Be a resident of New York State according to the criteria promulgated by the Higher Education Services Corporation (see VI. Definitions of Frequently Used Terms).
C. Academic Eligibility Criteria for FirstTime Students
1. Objective Criteria
Non-admissibility. Regents Rules state that “the basic test of educational disadvantage is non-admissibility by the college’s normal admissionsstandards to the college at the matriculated status in a degree program.” A further proof of academic eligibility is non-admissibility to a degree program for which application is made.
2. Subjective Criteria
Since objective criteria alone cannot predict the success of HEOP students, subjective evaluations are also important. Letters of recommendation, personal interviews, and pre-testing should be used when possible.
Essentially, the decision to admit each applicant should be based on a complete evaluation of objective and subjective educational information. The verification of academic eligibility and the decision to admit an applicant to the program are the joint responsibilities of the program director and an admissions officer.
3. Open Admissions
At independent institutions, for HEOP eligibility purposes, open admissionsis defined as a non-competitive selection process which permits the admission of applicants regardless of their previous academic credentials or experiences. Generally, the only basis for rejection is serious social or psychological problems, as determined by the institution to which a student applies. HEOP students selected under open admissions should be tested for academic preparedness and, if necessary, required to undertake remedial work and receive other supportive services necessary to do college-level work.
In order to be considered for HEOP eligibility at an open admissions institution, a student must meet one of the following criteria:
a. Possess a high school equivalency diploma, or
b. Possess the equivalent of a GED, or
c. Have no high school diploma, or
d. Meet other acceptable academic criteria that differentiate the HEOP student from regularly admitted students (e.g., lower test scores, lower GED scores). These criteria must be clearly described in the proposal.
D. Economic Eligibility Criteria for First-Time Students
(All economic eligibility criteria apply to the calendar year prior to the academic year of first entry to college. For 2007-08, it is the 2006 calendar year.)
1. A student is considered economically disadvantaged if he or she is a member of:
Table 21 of the HEOP Final Report, with signatures of the Chief Academic Officer, the Director of Financial Aid and the HEOP Director, attests to the academic and economic eligibility of each program student. This form should be submitted as part of the Final Report.
- a household supported by one parent if dependent, by the student or by a spouse if independent, whose total annual income is not more than the applicable amount listed in the table below; or
- a household supported solely by one member thereof who works for two or more employers with a total annual income which does not exceed the applicable amount set forth in the following table by more than $1,800; or
- a household supported by more than one worker (parents if dependent, student and spouse if independent) in which the total annual income does not exceed the applicable amount listed in the table below by more than $4,800; or
- a household supported by one worker (parent if dependent, student if independent) who is the sole support of a one-parent family in which the total annual income does not exceed the applicable amount listed in the table below by more than $4,800.
For the purpose of this subdivision, the number of members of a household shall be determined by ascertaining the number of individuals living in the student’s residence who are economically dependent on the income, as defined in subdivision 6 of this section, supporting the student.
For students first entering college between July 1, 2007 and June 30, 2008:
| Number of members in household (including head of household) | Total annual income in preceding calendar year |
|
1
|
$14,100
|
|
2
|
19,600
|
|
3
|
22,350
|
|
4
|
27,800
|
|
5
|
32,850
|
|
6
|
38,550
|
|
7 or more
|
42,900 plus $4,350 for each family member in excess of 7 |
2. Fifteen Percent Variation:
A maximum of 15 percent of the students admitted to a HEOP program may come from a household whose income exceeds the scale listed in the preceding table of this subdivision when warranted by unusual and extenuating circumstances. Documentation of these circumstances must be submitted to HEOP-SED for review and an eligibility determination. All pertinent information shall be kept on file by the institution at which such students are enrolled and shall be corroborated by a reliable, disinterested third party.
Categories into which these variations may fall are limited to the following:
a. Serious mismanagement of the household income, with little accruing to the interest of the student; or
b. A one-time fluctuation in household income where there is a history of low income. Satisfactory evidence that a household’s income in the calendar year prior to the calendar year used for determining the student’s economic eligibility fell within the limits of the applicable household income scale shall be sufficient to establish the existence of a one-time fluctuation in household income, provided that there is satisfactory proof of a history of low income; or
c. Households with substantial long term, non-reimbursed medical obligations (such as maintenance of physically or mentally handicapped children); or
d. Families which must maintain two households, one for a wage earner and one for dependents, in order to maintain employment; or
e. Families where the family contribution as computed from base year financial data by a United States Department of Education approved needs analysis system indicates no contribution other than the minimum expectation from student income for independent students or a zero parental contribution for dependent students.
3. Exceptions
Reference to the household income scale need not be made if the student falls into one of the following categories, and documentation is available:
a. The student’s family is the recipient of: (1) Family Assistance Program Aid; or (2) Safety Net Assistance through the New York State Office of Temporary and Disability Assistance, or a county department of social services; or (3) family day-care payments through the New York State Office of Children and Family Services Assistance, or a county department of social services;
b. The student is living with foster parents who do not provide support for college, and no monies are provided from the natural parents; or
c. The student is a ward of the State or a county.
4. Independent Students
For purposes of this subpart an independent student is one who:
a. is 24 years of age or older by December 31 of the program year, or
b. is an orphan or ward of the court (A student is considered independent if he or she is a ward of the court or was a ward of the court until the individual reached the age of eighteen.); or
c. is a veteran of the Armed Forces of the United States who has engaged in active duty in the United States Army, Navy, Air Force, Marines, or Coast Guard, and who was released under a condition other than dishonorable; or
d. is a married individual; or
e. has legal dependents other than a spouse; or
f. is a student for whom an opportunity program and financial aid administrator have made a satisfactorily documented determination of independence by reasons of other extraordinary circumstances.
Documentation will be required that the student is from a disadvantaged background. The income of any independent student and spouse during the calendar year prior to becoming a student must meet the family income table. For independent students, there should be a form signed jointly by the project director and the director of financial aid indicating the reason(s) for determination of independence.
5. Duration
The eligibility standards set forth in this section apply only at the time of admission as a first-time freshman to a program. Once admitted, a student may continue to receive supportive services as needed, even if the family income rises above the current eligibility standards. However, a student’s economic status shall be reviewed under a recognized needs analysis system each year and appropriate adjustments made in the student’s financial aid package.
6. Income
Except as otherwise provided in paragraph 2 of this subdivision, income, as used in this subpart, means all taxable and nontaxable funds that are received by the household for general use. Funds may be derived from sources such as wages, dividends, interest, Social Security, disability pensions, veterans benefits, and unemployment benefits. For purposes of determining HEOP eligibility, total family income is the total received, e.g., the line for “Total Income” on Federal income tax forms (IRS forms 1040EZ, 1040A and 1040) plus any other sources of income the family may have.
b. The following shall not constitute income:
(1) Monies received specifically for educational purposes from sources such as veteran’s cost of education benefits, and education grants from the Office of Vocational Educational Services for Individuals with Disabilities (VESID).
(2) Social services or public assistance payments received through the Family Assistance Program, or Safety Net Assistance Program and Family Day-Care Payments.
In these cases, as for all other HEOP students, eligible applicants must be from families characterized by a history of poverty.
7. Documentation
The following shall be acceptable documentation of economic eligibility:
a. Documentation of all income, earned dividends and interest: a signed copy of appropriate year’s tax return (IRS forms 1040, 1040A, or 1040EZ; or 4506).
Documentation of a sole worker’s income from two or more employers: W2s for the appropriate year or similar documentation acceptable to the Commissioner.
c. Documentation of no income: a copy of IRS form 4506 which has been filed by the student or family with the Internal Revenue Service or a copy of IRS Letter 1722 indicating that the student (if independent) or parent did not file a return.
d. Documentation of pension, annuity, or unemployment benefits: letter from the applicable agency showing appropriate year’s total award (if not reported on IRS forms 1040, 1040A or 1040EZ or 1099).
e. Documentation of Social Security, Supplemental Security Income, or Veterans Administration non-educational benefits: a letter from the applicable agency showing applicable year’s total award for each member of the household including Medicare premiums or IRS form 1099 for each member of the household.
f. Documentation of social services payments: verification from a branch of the State Office of Temporary and Disability Assistance, Office of Children and Family Services Assistance, or a county department of social services showing year that benefits were received and names of recipients including the applicant.
g. Documentation of child supportand/or alimony: a court order, affidavit, or student’s Free Application for Federal Student Aid form (FAFSA).
h. Documentation of additional members in household: birth certificates, marriage certificates, third-party verification, or similar documentation acceptable to the Commissioner, along with proof of income or lack of income for each such member.
i. Documentation of zero household contribution: the needs analysis output form from one of the United States Department of Education’s approved needs analysis systems.
8. Responsibility for Documentation
It is the joint responsibility of the program director and a financial aid officer to verify that all first-time program students are economically eligible and that all of the appropriate documentation to verify this eligibility is on hand.
9. Eligibility Documentation and Reporting
All documentation needed to verify the economic and academic eligibility of all new students accepted into the program should be in each student’s folder. Ideally, each student’s file should be complete before admission is offered. If there are questions about the eligibility of any applicants, HEOP-SED should be contacted before acceptance of these students.
Please note that all student eligibility documentation is subject to review by HEOP-SED staff. If, during review, any students are found to have incomplete files, campus staff will be notified in writing as to missing documentation that must be obtained and placed in the students’ folders.
If HEOP-SED staff finds during a documentation review that any students are ineligible for HEOP, campus staff will be informed in writing. In this event, enrollment reports and payments will be adjusted accordingly.
E. Selection Criteriafor Transfer Students
1. Definition
Any student who has previously attended a postsecondary institution is a transfer student. Only students transferring from opportunity programs funded under Section 6451 or 6452 (HEOP, EOP, SEEK, College Discovery) of the New York State Education Law or other non-New York State programs approved by HEOP-SED are eligible for admission as transfer students to a HEOP program. Approval must be granted in writing prior to the student’s attendance.
2. Documentation
A completed Transfer Application Form (Attachment II, page 38), with appropriate signatures and semesters of used eligibility clearly noted, must be on file for every transfer student.
3. Use of Eligibility
The semesters a transfer student has spent in any previous opportunity program(s) or approved equivalent will be taken into account in calculating the student’s remaining semesters of entitlement. The admissionprocedures should be sensitive to this policy in making decisions about prospective transfers.
4. Ineligible Transfers
Because HEOP is intended to open opportunities for normally inadmissible students, non-opportunity program students with previous successful college experience are generally ineligible for HEOP transfer. Ineligible categories generally include:
a. Students who have earned credits in non-traditional degree programs such as Regents College and Empire State College.
b. Students who have earned college credits solely through testing programs such as the College Proficiency Examination Program and the United States Armed Forces Institute.
c. Non-matriculated students who have earned prior college credits.
5. College CoursesWhile in High School
College courses taken by high school students while they attend high school are considered to be part of the student’s high school work and not prior college work. These students are not transfers and should be treated the same as any other new HEOP applicants.
6. Students Using STAP at Non-Opportunity Program Institutions
If a student was in the Supplemental Tuition Assistance Program (STAP) at an institution that did not have a State-approved opportunity program and the student was also economically disadvantaged at that time and was a New York State resident according to the HEOP guidelines at the time of first college entry, the student is eligible for transfer to HEOP. (See E. 3. above for explanation of student’s use of HEOP eligibility in this situation.)
7. Opportunity Program/Non-Opportunity Program/Opportunity Program Transfers
Students, who transfer into Higher Education Opportunity Programs, who began college as opportunity program students and subsequently attended postsecondary institutions, but not as opportunity program students, shall not have their semesters of opportunity program entitlement reduced by the time spent in college in a non-opportunity program. However, such students may be in danger of losing Pell or TAP entitlement before finishing college. Any student transferring into HEOP who is in such danger shall be informed in writing of his/her situation at the time of admission, including what obligations the institution will and will not commit itself to on behalf of the student should the above entitlement cease. Such a record shall be kept in the student’s permanent file.
F. Academic Eligibility Criteriafor Continuing Students
Each institution establishes its minimum academic requirements for receipt of State student aid in its “program pursuit and satisfactory academic progress” criteria. These requirements have been submitted and approved by the State Education Department. Minimum satisfactory academic progress requirements for opportunity program students should be the same, unless a separate HEOP Pursuit and Progress Chart has been submitted and approved by HEOP-SED. [For example, if a HEOP student is ineligible for the Tuition Assistance Program (TAP) for academic reasons, the student is also ineligible for HEOP.]
III. PROGRAM FUNDING
A. Funds
1. HEOP Grant Funds
a. If funds are made available by the Governor and the Legislature for the 2007-08 fiscal year, they will be allocated to independent institutions of higher education that maintain one or more earned degree programs culminating in an associate degree or baccalaureate degree. Supportive services such as counseling, guidance, developmental education, summer academic programs, tutoring, and similar project activities will receive highest priority. Monies will also be available for student financial aid in the form of: (1) maintenance, including room and board, personal expenses, clothing, travel to and from the student’s home, lunches, health insurance, textbooks, and educational supplies; and (2) a limited amount for tuition assistance and those fees required of all students.
No HEOP funds may be used for purposes that have not been described in the institution’s proposal as submitted. Any amendments to the proposal during the course of the year that involve changes in the way HEOP funds are expended must have prior written approval from HEOP-SED. Funds expended in excess of approved line amounts will be disallowed and reclaimed by the State.
Transfer of Funds
Funds may not be transferred from their originally approved purposes without prior written approval from HEOP-SED. Failure to follow this procedure will result in a disallowance of the unapproved expenditure. The deadlines for the transfer of funds are December 15 for the summer budget period and June 15 for the academic year budget period.
d. Restrictions
HEOP funds may not be used for indirect expenses.
2. Institutional Funds
a. Matching Funds
A minimum fifteen percent match of the HEOP grant is required from the institution’s own resources. Institutional accounts must be structured to reflect this contribution by appropriate line item. Federal and State funds may not be used for matching purposes.
b. Indirect Expenses
Indirect expenses may not exceed twenty percent (20%) of the total institutional matching funds.
c. Institutional Obligation
Institutions have a contractual obligation to honor the amount that they have committed in support of the program in the various budget categories. The obligation is reflected in the final budget agreed to by the State and the institution. The budget may be amended during the year only upon the written agreement of both parties. When institutional funds are reduced in the categories of Personnel, Student Assistants, Consumable Supplies, Travel, Contractual Services, and Supplemental Financial Assistance, HEOP funds must be reduced proportionately. Increased institutional funds in one area may be substituted for a comparable reduction in other areas.
Institutions must make available sufficient space and other support for the program to be effective. Such support should be provided by the institution as part of its demonstration of commitment to student success. As a general rule, a HEOP program with two or more full-time professional staff should have a full-time (non-student) secretary, and a HEOP program serving 50 or more students should have a full-time receptionist (these two roles can be combined).
d. Maintenance of Effort
Because of limited HEOP funds, institutions are urged to use all available outside resources and all possible institutional resources to maintain the effort in support of the HEOP program.
Maintenance of effort means that institutions should provide at least the same level of program support and student financial aid per student as in the previous year of funding.
3. Funds from Similar Programs
When several programs for disadvantaged students exist on a campus, it is HEOP-SED policy to encourage cooperation and, where possible, joint programming under one administrative structure. In general, “double-counting” of students to generate funds from more than one outside source will not be permitted, both because (1) in general, the various Federal and State categorical programs in this area should be able to support their own activities; and (2) HEOP in concert with other programs wants to reach as many students as possible. “Double-counting” can be permitted when an institution can clearly demonstrate that a second program provides only services not provided by HEOP. (N.B. Students used to generate funding under the Federal Special Services to Disadvantaged Students program may not be counted as HEOP students.)
When HEOP activities are part of a larger support program, fiscal accountability can be maintained by establishing a pro-rating of service support generally consonant with the percent of HEOP students in the total population served or by demonstrating that the proportion of funds for supportive services reflects the actual intensity of services delivered to HEOP students. Under such an arrangement, using the concept of “shared services,” HEOP students need not be served exclusively by HEOP-supported personnel, and HEOP-supported personnel need not serve exclusively HEOP students, provided the overall program budget reflects the prorating concept and permits separate accounting of HEOP funds.
B. Budget Categories
1. Supportive Service Personnel
The following figures are provided as a guide for project directors. It should be kept in mind that the figures represent optimum levels. Final determinations must take into account the funds made available by the Governor and the Legislature.
a. Staffing
The following staffing pattern is a suggested guide for program administrators.
(1) Administrative Staff
(a) Summer [based on headcount of prefreshmen and full-time equivalent (FTE) of HEOP continuing students]:
Number of Students
1 – 30 full-time director
31 – 75 full-time director and half-time assistant director
76 + full-time director and one assistant director
(b) Academic Year (based on FTE of HEOP students):
Number of Students
1 – 30 full-time director
31 – 60 full-time director and half-time assistant director
61 – 100 full-time director and one assistant director
101 + full-time director, one assistant director and half-time administrative assistant
(2) Counseling Staff:
(a) Summer:
i. Prefreshmen – one counselor for every 20 prefreshmen (headcount). If there are peer counselors employed in the summer, the ratio is one counselor for every 30 prefreshmen.
The recommended student to peer counselor ratio is 10:1.
ii. HEOP-Funded Continuing Students (FTE)
5 – 25 half-time counselor
26 + one counselor
(b) Academic Year (based on FTE of HEOP students):
Number of Students
1 – 25 half-time counselor
26 – 50 one full-time counselor
51 – 75 one full-time counselor & one half-time counselor
76 – 100 two full-time counselors
b. HEOP Salary Guide for 2007-08
Because salary scales vary at individual institutions, suggested minimums are provided. Salary increases from HEOP funds may be requested for individual professional staff members who will continue in their current positions.
The minimums apply for full-time, 12-month employees. If a staff member works fewer than 12 months, the salary request should be reduced proportionately. The actual salary paid may be higher, especially if institutional or other resources are used.
Director $30,000
Other full-time professionals $25,000
Salaries are negotiated by the institution with project personnel; it is expected that their salaries will be no less than those paid to other campus employees with commensurate levels of training, skills, and responsibilities.
c. Institutional Officers
When HEOP funds are requested for regular line or staff officers of the institution (e.g., financial aid officer, admissions officer), a job description is required detailing the duties to be performed which exceed what is normally expected of a person in such a position. HEOP funds cannot be used to support any postsecondary institution staff position that has as a primary role or responsibility the supervision of the HEOP project director.
d. Vacation and Holidays
HEOP staff is expected to receive treatment identical to other institutional officers of similar rank with respect to amounts of holiday and vacation leave. However, certain times in the HEOP cycle require that a knowledgeable person be present at the campus to answer queries from HEOP-SED. These times include (1) the period between delivery of the proposal or Application for Renewal and notification of preliminary funding and (2) the six weeks after delivery of the Final Report. FAILURE TO HAVE SOMEONE PRESENT TO ANSWER QUESTIONS ABOUT THE PROGRAM CAN RESULT IN A CAMPUS LOSING MONEY UNNECESSARILY OR RECEIVING AN INADEQUATE BUDGET.
2. Employee Benefits
HEOP staff is expected to receive treatment identical to other institutional officers of similar rank with respect to benefits.
3. Remedial, Developmental or Compensatory Courses, and Summer Courses
The law allows for funding of “remedial courses, developmental or compensatory courses and summer classes.” The primary source of funding for remedial/developmental courses is expected to be the State’s Tuition Assistance Program (TAP). Institutions may request HEOP funding of tuition charges for such courses only in extraordinary circumstances.
a. HEOP funds may not be used to pay for tuition if the HEOP grant is paying the salary of the course instructor. The institution may not charge tuition for such a course or list tuition as an institutional contribution.
b. When both HEOP and non-HEOP students are enrolled in a remedial or developmental course, the salary of the instructor paid by HEOP funds must be prorated accordingly.
c. If a student is enrolled in a remedial or developmental course in which a tuition charge is based only on the credit portion of the course, HEOP funds may be requested for the costs of the remaining portion of the course.
Example:
A student enrolls in a developmental English course meeting 4 contact hours/week (15 week semester) for three credits. The student is charged tuition based on the three credits. HEOP funds may be requested for the actual costs of instructional time for the remaining hour of the course.
If HEOP pays an instructor’s salary for coursework used to generate a student’s tuition charges, the student’s tuition must be reduced by a proportionate amount.
Example:
If a full-time matriculated student is taking 12 hours in a semester of which 3 hours are in a remedial/ developmental course (where remedial/developmental tuition or the instructor’s salary is paid for by HEOP), the student may only be charged 3/4 of the total regular tuition charge for that semester.
4. Student Assistants
Student assistants are hourly or weekly workers who provide peer counseling and/or tutorial services for the program. This category is not limited to undergraduate or graduate students. HEOP funds are not available in this category for persons providing office or clerical assistance.
a. Summer
(1) Hourly workers: tutors and others who do not work full-time. Wages paid from HEOP funds begin at $7.15 per hour.
(2) Weekly workers: live-in student counselors and others working full-time.
b. Academic Year
Wages paid from HEOP funds to tutors and peer counselors begin at $7.15 per hour. Wages should be related to degree level attained and amount of previous relevant experience.
5. Clerical and Secretarial Personnel
HEOP funds can be used for clerical and secretarial personnel who work under the direct supervision of the project director.
6. Supplies and Materials (Include equipment items with a unit cost of $4,999 or less.)
a. Funds in this category may be used for purchasing testing materials and office supplies.
b. It is necessary to retain on file receipts for all purchases that exceed $25.
c. SAT (Scholastic Assessment Test) fees and similar examination fees are also an allowable HEOP expense in this category. (Fee waivers are sometimes granted by the examining agency for low-income-family students.)
7. Equipment (Include equipment items and computer software packages with a unit cost of $5,000 or more.)
HEOP funds can be used to purchase or rent instructionally related equipment, including computers, software, printers, and related furniture.
When equipment is purchased with HEOP funds, it is the responsibility of the institution to ensure that the Equipment Inventory Form A (Attachment III), Page 39, is completed and that a copy is submitted to HEOP-SED.
When a program closes, any equipment purchased with HEOP-SED funds must be released for transfer to another HEOP program, so that the equipment continues to support HEOP students. HEOP-SED staff will assist in arranging the transfer of such equipment.
8. Travel
HEOP funds in this category may be used for trips made by project personnel in connection with recruiting students and for attendance at relevant conferences and workshops in and out of New York State. Activities sponsored or co-sponsored by HEOP-SED for purposes of project staff training receive first priority in this category. An itinerary that identifies expenses must be on file at the campus for all trips costing more than $25.
9. Contractual Services
HEOP funds may be used to contract for such items as outside reading services, evaluations, food service for events such as award banquets and Summer Program luncheons, and other services as approved by HEOP-SED. Payment of graduate and professional entrance examination fees is allowed. It is necessary to retain on file receipts for any expenditures in this category in excess of $25, along with all agreements between the institution and contractor(s) and all agreed upon reports.
10. Supplemental Financial Assistance
a. Tuition
(1) HEOP funds allocated for tuition may be used only for tuition and student activity fees required of all students and other academically related fees.
(2) Regular tuition assistance range per student:
(a) Academic year
Regular tuition: 0 – $600
(b) Summer session
Continuing Students – $25 per credit (minimum 6 credits per student). For students who take 12 or more credits, the maximum grant is $300.
b. Maintenance
(1) HEOP funds allocated for maintenance may not be used to meet the student’s cost of tuition.
(2) Maintenance assistance range allowable per student:
(a) Academic year: $0 – $4,250
(b) Summer
i. Prefreshmen (based on six-week program) minimums are:
Residents $600
Commuters (based on a five-day week) $375ii. Continuing Students – $177 per credit (minimum 6 credits per student). For students who take 12 or more credits, the maximum grant is $2,125.
(3) Funds in maintenance may be used to cover such expenses as room and board on campus, maintenance at home for commuter students, travel to and from the student’s home, lunches, medical/health insurance, personal expenses up to $250, books and supplies, and processing fees [see section (5) below].
(4) When HEOP maintenance funds are used to purchase books and supplies in bulk, receipts are necessary for all purchases in excess of $25. In addition, student accounts must reflect those purchases attributed to each student.
(5) Internal Revenue Service fees for the IRS 4506 form are an allowable HEOP maintenance expense. In order to be an allowable HEOP expense, the cost must be included in the student’s expense budget.
c. Total HEOP Financial Aid Award
(1) The total financial aid award, including maintenance and tuition, to any student from HEOP funds may not exceed $4,850 for the academic year. For any other session, the total financial aid award to any continuing student from HEOP funds may not exceed $2,425. Awards from HEOP funds for summer session attendance may be made only to continuing students who register for six or more credit hours or the equivalent.
(2) In special cases, an institution may petition HEOP-SED on behalf of a student whose need exceeds the maximum HEOP award after all other sources of financial aid have been taken into account, provided:
(a) the student is in an internship or other academic program away from the institution, and the arrangements include full academic credit by the institution; and
(b) State funds are available to support such requests.
C. Period of Student Funding Eligibility
1. Full-Time Student
In regular academic sessions, if the institution receives HEOP funds on behalf of a student, the student is considered to be using a semester of eligibility even if the student does not directly receive HEOP funds.
a. Two-year degree program: A student is allowed six semesters or equivalent of opportunity program eligibility.
b. Four-year baccalaureate program: A student is allowed ten semesters or equivalent of opportunity program eligibility.
c. Five-year baccalaureate program: A student is allowed 12 semesters or equivalent of opportunity program eligibility in a registered five-year program.
d. Supplemental Tuition Assistance Program (STAP): Students who participated in STAP from Fall 1983 to Spring 1995 may have their HEOP entitlement increased by up to two semesters under conditions described in an approved proposal.
e. Part-time student in a full-time program: It is expected that all students enrolled in a program funded to serve full-time students will begin with a full-time academic courseload. However, due to external reasons such as personal or family responsibilities, a student may occasionally have to register for less than a full-time courseload. In that instance, the full time equivalence (FTE) will be calculated on a 30 credit hour basis per academic year.
2. Part-Time Student
Students in a recognized part-time HEOP program must enroll for at least six semester hours or the equivalent per term. The FTE will be calculated on a thirty-semester hour equivalent basis per academic year.
a. Two-year associate degree program: A student is allowed 90 semester hours of eligibility.
b. Four-year baccalaureate program: A student is allowed 150 semester hours of eligibility.
c. Supplemental Tuition Assistance Program: Students who participated in STAP from Fall 1983 to Spring 1995 may have their entitlement increased by up to 30 semester hours under conditions described in an approved proposal.
Full-time student in a part-time program: The student who takes 12 or more credits in a term in a part-time program is using 15 semester hours of eligibility, or 0.5 FTE.
3. Special Sessions
a. HEOP-SED funds are not available for continuing students to attend a special session without justification. Prior written approval for special sessions is necessary if HEOP-SED funds are to be used.
b. Thirty semester hours shall be used to calculate FTE in other than regular academic year sessions. Students who cumulatively exhaust 15 hours or equivalent of coursework during such summer or special sessions will have used one semester of the ten-semester entitlement. If a student takes 12 or more credits or its equivalent during one summer session, the student will have used one semester of eligibility.
c. Students are not using HEOP eligibility in a special session if:
the supportive services and financial aid received by the students are funded by the institution and/or other sources only, and the students are not reported and approved for a special session.
IV. PUBLIC RELATIONS/ATTRIBUTION OF PROJECT FUNDING
In order to ensure the continued support and the commitment of resources to your HEOP project, there must be public awareness of the program’s positive impact on the lives of your project’s participants and their families, schools, and communities. Positive publicity and community awareness also help to ensure that those who are eligible and who could benefit from participation are informed of your project’s existence.
To facilitate public awareness, all funded HEOP projects are required to ensure that all public relations materials and activities, such as project brochures and award ceremonies, acknowledge that your HEOP project and its activities are supported, in whole or in part, by a grant from the New York State Education Department. Also, when local, statewide, or national media report on the project’s success or on honors received by students or staff, New York State Education Department’s funding must be acknowledged.
In addition, the project director should submit copies of all local, statewide, or national media stories about their project and/or the project participants and staff to the State Education Department at the following address:
Collegiate Development Programs Unit – HEOP
New York State Education Department
Room 1071, Education Building Addition
89 Washington Avenue
Albany, New York 12234
V. STUDENT FINANCIAL AID
A. Financial Aid Packaging
1. Policy Determination
The Directors of HEOP and Financial Aid should jointly determine financial aid packaging policy.
Financial aid awards should reflect the institution’s commitment to the HEOP student by maximizing all the financial aid available and minimizing student loans. The HEOP grant supplements the other sources of aid included in a student’s financial aid package. It will be considered “first-out” in cases of overpackaging found during audits.
2. Full Need Packaging
As stated in I.D.4. (Page 5), a recognized needs analysis system must be used in calculating a program student’s financial aid package. The financial aid package for each student must be based on the calculated full need (total resources must equal total student expense budget) using a combination of grants, waivers, entitlement program awards, work, loans, and expected student/family contribution. Expense budgets must include realistic subsistence costs, in addition to institutional charges. HEOP-SED does not permit the substitution of loans for calculated parental or student contribution on an automatic basis. HEOP-SED does allow for professional judgment, as does the U.S. Office of Education.
3. Self-Help
HEOP students must not be burdened with inordinately high loans. The maximum cumulative loan for a resident HEOP student in a baccalaureate program is $21,000 and the maximum cumulative loan for a commuter HEOP student in a baccalaureate program is $18,000.
It is recommended that freshmen HEOP students not be packaged with loans. However, in the event that this is not possible, the total self-help, including loan and work, may not exceed $6,000 for each resident HEOP freshman and $5,000 for each commuter HEOP freshman. No minimum student contribution should be projected for students who participated in pre-freshman summer programs.
4. Award Letter and Revisions
Institutions must send an award letter to each HEOP student which clearly estimates a student’s total need, by expense category, and which projects available financial aid for the student, by source. All award letters should be mailed and copies placed in the students’ files in the HEOP office within a month of the start of the fall term or if the student is a spring admit, within a month of the start of the spring term. Issuing a revised award letter and placing a signed copy of this revision in the student’s file prior to the end of the program year must document any revised financial aid awards.
5. Funding Sources
In the appropriate category of the budgetpage, all specific sources of funds should be listed, estimated or actual, including: HEOP, Institutional, Federal Pell, Federal Supplemental Educational Opportunity Grant (SEOG), Federal Perkins Loans, Federal Work Study Program (FWSP), Veterans Benefits, Tuition Assistance Program (TAP), Aid for Part-Time Students (APTS), Collegiate Science and Technology Entry Program (CSTEP), Federal Stafford Loans, Federal Direct Loans, Social Security, student and expected family contributions (EFC).
B. Proof of Application for Federal Pell and Tuition Assistance Program (TAP).
Rules of the Regents require that:
The student has filed an application for a basic educational opportunity (Federal Pell) grant with the appropriate agency of the Federal Government for the academic year in which benefitspursuant to Section 6451 of the Education Law are sought, provided that such student is eligible to receive such grant. Each institution, which has entered into a contract pursuant to Section 6451, will maintain on file a photocopy of such student’s completed grant application or the Student Eligibility Report (now the Student Aid Report) or a photocopy thereof, by no later than 45 days from the commencement of the academic term.
For Federal Pell and TAP, the Free Application for Federal Student Aid (FAFSA) and the TAP supplemental form are also acceptable proofs of filing for the respective entitlement programs, provided the appropriate items are checked on the form(s).
VI. DEFINITIONS OF FREQUENTLY USED TERMS
Academic Year: The two regular semesters, three trimesters, or required equivalent arrangement normally occurring between September and June.
Developmental or Supportive Courses: Courses that combine pre-college and college-level material, with credit normally awarded for that portion of the course that is college-level work. There will be more classroom/contact hours for the student in such a course than in a regular catalog offering for the same credits.
Fiscal Year: For purposes of these Guidelines, expenditures for activities occurring between July 1 and June 30 constitute a fiscal year.
Full Need Packaging: Total resources, including all grants, student and parental contribution, work, and loan, equal the total student expense budget.
Full-Time Equivalent (FTE): A Full-Time Equivalent is the standard academic measuring unit used to calculate enrollment. For these Guidelines the following statements apply:
(a) For full-time students enrolled in a full-time program during the academic year, the FTE is equivalent to the headcount.
(b) Students enrolled in a full-time program must carry a minimum of 12 semester hours or the equivalent. However, if due to personal or family responsibilities a student has to register part-time for a particular term, the FTE for this student, registered in a full-time program, will be calculated on an annual 30 credit hour basis.
(c) For full-time students enrolled in a session other than the regular fall and spring academic year terms, 30 semester hours shall be used to calculate the FTE; for example, if a student takes six semester hours during the summer session, the FTE shall be equal to 6/30 or 1/5 FTE. If a student takes 12 or more credits/credit equivalents in the summer, the student will have used one semester or 1/2 of an FTE.
(d) Students enrolled in a part-time program must carry a minimum of six semester hours or the equivalent per term. Thirty semester hours/equivalents will equal one FTE. A student in a recognized part-time HEOP program who enrolls for six credits in a regular term is using up one-fifth (1/5) of a year of program eligibility. A student enrolling for 12 or more credits in a term is using up one semester, or one-half (1/2) a year, of program eligibility.
Headcount: Refers to the actual number of students enrolled in a program regardless of the number of semester hours for which they are enrolled.
New York State Residency: The applicant is a resident of the State if any of the following apply:
- he/she now resides in New York State and will be an undergraduate and has lived in New York State for the last two terms of high school; or
- he/she was a resident when the applicant entered military service, VISTA, or the Peace Corps and re-established New York State residency within six months after release from service; or
- he/she has resided in New York State for at least 12 months immediately preceding the first term for which the applicant is seeking aid and has established domicile (permanent residence) in New York State.
Number of Members of a Household: The number of members of a household shall be determined by ascertaining the number of individuals living in the student’s residence who are economically dependent on the income supporting the student.
Prefreshman: A person who has never been matriculated at a postsecondary institution in any regular semester or session prior to the special summer program.
Prefreshman Summer Program: A developmental/remedial program designed for newly admitted HEOP students, which generally occurs in July and August and lasts from four to eight weeks.
Remedial Course: A course that concentrates on the acquisition of knowledge at pre-college levels. Such courses do not carry college credit.
Resident Student: A student who, while matriculated at an institution, resides away from the family home and on or near the campus of the institution.
Special Session: Any academic session other than those that comprise the academic year (see definition of academic year), excluding prefreshman summer program.
Student Expense Budget: The institution’s estimate of the total amount of money necessary to support a student during the academic year. Expense budgets must be based on realistic subsistence costs in addition to institution charges and not on an institution’s ability to meet needs.
Supplemental Nature of HEOP Funds: “State aid will not be granted for activities currently paid for by Federal or other already available funds. The purpose of HEOP is to supplement rather than supplant monies previously or presently allocated to these activities.” (This is stipulated in program Guidelines [Section I.A., page 3] and agreed to by contract.)