INSTITUTIONS OF HIGHER LEARNING & NON COLLEGE DEGREE … · 2016-07-08 · INSTITUTIONS OF HIGHER LEARNING (IHL) & NON-COLLEGE DEGREE (NCD) SCHOOLS & PROGRAMS A. INTRODUCTION AND

National Training Curriculum - 2013

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UNIT II

INSTITUTIONS OF HIGHER LEARNING & NON COLLEGE DEGREE SCHOOLS & PROGRAMS

TABLE OF CONTENTS

A. INTRODUCTION AND OVERVIEW II-1

B. DEFINTIONS II-2

C. THINGS YOU NEED TO KNOW… II-5

Diploma Mills II-5

Family Education Rights & Privacy Act (FERPA) II-6

Privacy and Security II-7

External Degree Programs II-7

Courses in a Foreign Country II-8

CHAPTER 1 INITIAL APPROVAL PROCESSES II-8

LESSON 1 APPLICATION ELEMENTS & GENERAL REVIEW II-9

1.1 Overview II-10

1.2 Application Elements II-10

1.3 General Application Review II-11

LESSON 2 APPLICATION INFORMATION EVALUATION II-12

2.1 Period of Operation II-12

2.2 Accreditation II-14

2.2.1 Institutional and Specialized Accreditation II-15

2.2.1.1 Institutional Accreditation II-15

2.2.1.2 Specialized Accreditation II-15

2.3 Ownership or Governing Body II-17

2.4 Advertising Practices II-17

2.5 Financial Soundness II-19

2.6 Contract Courses/Programs II-20

2.7 Branches and Extensions II-21

2.7.1 Centralized Certification II-21

2.7.2 SAA Responsibilities II-22

LESSON 3 PROGRAMS AND CURRICULA II-23

3.1 Overview II-23


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3.2 Courses Precluded II-23

3.3 Enrollment Limitations II-24

3.3.1 Classroom Space II-24

3.3.2 State Requirements II-24

3.3.3 85:15 Rule II-25

3.4 Methods of Delivery II-25

3.4.1 Resident Instruction II-25

3.4.2 Non-Resident Instruction II-25

3.4.3 Distance Education II-26

Principles of Good Practice II-27

3.5 What Makes a Quality Program? II-27

3.5.1 Curriculum Content, Integrity and Length II-28

3.5.2 Instructional Resources II-30

3.5.3 Faculty, Administration and Staff II-30

3.5.4 Administrative Support II-31

LESSON 4 CATALOG REVIEW II-33

4.1 Overview II-33

4.2 General Catalog Information II-34

4.3 Calendar II-34

4.4 Facilities II-35

4.5 Admissions II-35

4.6 Transfer Credit & Prior Credit II-36

4.7 Tuition & Fees II-38

4.8 Refund Policy II-38

4.9 Standards of Progress II-39

4.10 Attendance II-40

4.11 Student Records & Transcripts II-41

4.12 Standards of Conduct II-41

4.13 Program & Curriculum Descriptions II-42

4.14 Graduation Requirements II-43

4.15 Administration, Faculty & Staff II-44

4.16 Cooperative Courses II-44

4.17 Independent Study II-45

4.18 Practical Training II-45

LESSON 5 INSPECTION VISIT II-46

LESSON 6 FINAL REVIEW & APPROVAL CRITERIA II-47

6.1 General Information II-47

6.2 Requirements for Approval II-48


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6.3 Approval Criteria II-49

6.4 Final Evaluation & Decision II-50

LESSON 7 REPORTS & NOTIFICATION II-50

7.1 Approval Notification II-50

7.2 Disapproval Notification

7.3 Reports & Records

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CHAPTER 2 CONTINUED APPROVAL II-53

LESSON 1 OVERVIEW II-53

CHAPTER 3 COMPLIANCE SURVEYS & OTHER VISITS II-54

LESSON 1 COMPLIANCE SURVEYS II-54

1.1 Overview II-54

1.2 Steps to Complete a Compliance Survey II-56

1.2.1 Notification II-57

1.2.2 Preparing the Survey File II-58

1.2.3 Conduct Field Work II-59

1.2.4 Exit Briefing II-61

1.2.5 Post Field Work II-61

1.2.6 Complete Survey File II-62

1.2.7 Oversight II-63

LESSON 2 SUSPENSION & DISAPPROVAL II-64

LESSON 3 OTHER FACILITY VISITS II-65

3.1 Overview II-65

3.2 VA Requested Visits II-65

3.3 Technical Assistance Visits II-65

CHAPTER 4 OTHER NON-COLLEGE DEGREE

PROGRAMS

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LESSON 1 HIGH SCHOOL PROGRAMS II-66

1.1 Overview II-66

1.2 Approval Procedures II-67

1.3 Evaluation and Notification II-67

LESSON 2 LICENSING & CERTIFICATION II-68

2.1 Overview II-68

2.2 SAA’s Role II-69

2.3 Approval Requirements & Criteria II-70


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2.4 Evaluation & Review II-71

2.5 Visits II-72

2.6 Reports & Notification II-72

LESSON 3 ENTREPRENEURSHIP II-72

3.1 Overview II-72

3.2 Approval Requirements II-73

3.3 Evaluation & Review II-75

3.4 Visit II-76

3.5 Reports & Notification II-77

3.6 Continued Approval II-77

LESSON 4 SELF-EMPLOYMENT TRAINING/FRANCHISE II-78

LESSON 5 EXAM PREPARATION COURSES II-79

LESSON 6 NATIONAL TESTS II-79

UNIT II REFERENCES II-80

UNIT II APPENDIX II-84


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UNIT II

INSTITUTIONS OF HIGHER LEARNING (IHL) &

NON-COLLEGE DEGREE (NCD) SCHOOLS & PROGRAMS

A. INTRODUCTION AND OVERVIEW (TOC) One of the primary functions of an SAA is to approve programs (or courses) of study for veterans’ benefits. Federal Regulations establish approval criteria intended to benefit the veteran and the facility offering the program. As an SAA professional, you will review IHL and NCD programs to determine compliance with federal approval criteria. In this Unit you will find approval information and appropriate processes based on current laws and regulations. Many of the regulations and practices overlap and some are specific to each kind of program – IHL or NCD. Each SAA follows its own policies and procedures in implementing these laws and regulations. Differences in the type of application, checklists, protocol used, and the like, are due to both agency policy and circumstances particular to the state. You will need to have a thorough understanding of the policies and practices in your state. However, all states are required to follow the same federal laws and regulations, therefore, the foundation of the processes are basically alike. Certain elements are identified as common to all SAAs and are outlined in this Unit. Before you go any further in this Unit you should read 38 CFR 21.4253 Accredited courses, and 38 CFR 21.4254, Non-accredited courses. Your understanding of the school program approval process will be enhanced if you are thoroughly familiar with these requirements. The “Definition” section provides some initial information that may be helpful as you progress through this unit and the C., Things You Need to Know, section will give you some additional information about issues connected with institutions and IHL and NCD programs.

Please Note: For purposes of this manual, and because the definitions of organizations offering programs for enrollment of veterans and others eligible to receive VA education or training benefits include programs that may not necessarily be offered by traditional “schools,” the terms “school,” “institution,” “organization,” and “facility” are interchangeable and refer to the organization offering a program.

http://warms.vba.va.gov/REGS/38CFR/BOOKG/PART21/s21_4253.doc



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DEFINITIONS (TOC)

As mentioned in Unit I of this training manual, definitions can be found in several locations in the regulation. However, perhaps the most comprehensive and those used most often by SAA personnel can be found in 38 CFR 21.4200 and 38 CFR 21.7020. Definitions can also be found in the Glossary at the end of this manual. Some useful definitions pertaining to this Unit, as with each Unit, are provided below. Where there is a specific definition found in the regulations, the appropriate reference is cited. Because some of the definitions are lengthy, in the best interest of space, those offered below may be shortened or paraphrased. For complete accuracy, you should always go to the appropriate reference. There are some terms pertinent to IHLs, NCDs, and the approval process that are not necessarily in the regulation but are used by the SAAs; they are also offered below.

Academic Calendar: A chronology of dates for the scheduled period of instruction that includes a school’s schedule for class registration, additions and deletions to course offerings, beginning and ending dates for the term of instruction, scheduled examinations, holidays, and deadline for applications for graduation. Academic Year: Instruction equivalent of two semesters of 15 to 19 weeks each or 3 quarters of 10 to 13 weeks each. An academic school year is generally not less than 30 or more than 39 weeks in total. Also referred to in 38 CFR 21.4200(b) as an “Ordinary School Year”. Administrative Capability: The ability to maintain all records and accounts as required in 38 CFR 21.4209 for reporting and maintenance of veteran student records. Associate Degree: A lower division undergraduate degree of about two years in length and a minimum of 60 semester credits. For example:

Associate of Arts (AA) degrees imply a liberal arts education

Associate of Science (AS) degrees are usually concentrated in the math, natural science or technology areas

Associate of Applied Science (AAS), usually a terminal degree (not transferable) that will support entrance into the workforce with more course work in a specific area and less in general education requirements

Associate of Occupational Studies (AOS) primarily prepares students for careers in various technical and vocational areas and are terminal degrees.

Branch Campus: A location of an education institution that is geographically apart from the main campus. It is operationally independent of the main campus with its own faculty, and administration, and offers programs leading to a degree, certificate or other educational credential.






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Bachelor Degree: Generally a program of study that is about four years in length and 120 semester credits or 180 quarter hours. The most common degrees are Bachelor of Arts and Bachelor of Science with in-depth study in an area related to the degree title. Clock Hour: A unit of measure used in awarding recognition to a student upon completion of a particular course. Clock hours are most commonly used in NCD programs. Compliance Survey: This is the process of ensuring that IHL and NCD programs, and the institutions offering them, conform to all applicable provisions of the laws in order to prevent deficiencies and violations. The VA or the SAAs may conduct compliance survey visits. Course: A unit of study in a single subject area that is part of a program such as an English course that is part of a Creative Writing degree program. Curriculum: Generally, a series or combination of subjects, unit courses, or training activities designed to meet the requirements of a predetermined educational, vocational, or professional objective. A curriculum makes up a program of study. Credit Hour: A unit of measure used in awarding recognition of a student upon completion of a particular course; usually based on a semester or quarter term system. May be termed a semester credit or a quarter credit. Deemed Approved: A standard college degree program offered by a public or not-for-profit private education institution that is accredited by an agency recognized by the Secretary of Education is said to be “deemed approved”. (38 USC 3672) Delivery Mode: The way in which a course is taught – for example: a course may be resident, classroom instruction; independent study including distance education; practical training, internship, externship, or correspondence. Distance Education: A formal education process in which the majority of instruction occurs when student and instructor are not in the same location. Instruction may be synchronous or asynchronous. Distance education may be conducted through correspondence, video or electronically. For purposes of this manual distance education generally refers to courses offered electronically. Education Facility or Institution: Any public or private secondary or post-secondary institution that may be a vocational, correspondence, business, or professional school; a college or university; a scientific or technical school or other organization offering education programs; any private entity that offers a course or courses to fulfill requirements for the attainment of a license or certificate generally recognized as necessary to obtain, maintain or advance in employment in a

http://www.law.cornell.edu/uscode/text/38/3672


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profession or vocation in a high technology occupation; or any qualified provider of entrepreneurship courses or national tests for admission to IHLs, including graduate schools. 38 USC 3501(a)(6) 38 CFR 21.4200(a) and 38 CFR 21.7020(b). Educational Objective: One that leads to the award of a diploma, certificate, or degree that reflects achievement of education. 38 CFR 21.7020(b)(13) Extension: A location of an education institution that is geographically apart but operationally dependent upon the main campus or a branch campus of the institution. Graduate Degree: Generally one or more years of study beyond the Bachelor Degree level with greater depth in a specific area of study. Institution of Higher Learning (IHL): A college, university, or similar education organization offering postsecondary level academic instruction that leads to an associate or higher degree. This can also include a hospital offering education programs at the postsecondary level whether or not the hospital grants a degree. The organization must be endorsed by the appropriate state authority to grant such degrees or be accredited by a recognized accrediting organization. 38 CFR 21.4200(h) Non-College Degree Program: A course or program of education or vocational training that does not lead to a standard college degree. Such programs must have a vocational objective and generally lead to a diploma or certificate of completion. Period of Operation: The length of time that an IHL or NCD program has been open for enrollment and has had students continuously enrolled. Professional Objective: Leads to an occupation after an extended academic program of study that is at the college level. 38 CFR 21.7020(b)(22) Program of Education: Any curriculum or any combination of unit courses or subjects pursued at an educational institution that is generally accepted as necessary to fulfill requirements for a predetermined educational, professional, or vocational objective. It may consist of courses that fulfill the requirements for more than objective if they relate to a single career field; includes approved full-time programs of apprenticeship or OJT; preparatory tests required for admission to an IHL or graduate school; and includes licensing or certification tests leading to advancement in employment or attainment of license, an entrepreneurship program or a national test for admission to IHLs or graduate schools. 38 CFR 21.7020(b)(23), and 38 USC 3501(a)(5) and 3542. Proprietary School: A for-profit or non-profit private educational institution (non-public) that is legally authorized to operate in the state of jurisdiction. 38 CFR 21.4200(z)

http://www.law.cornell.edu/uscode/38/3501.html














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Quarter: Division of a school year that is 10 to 13 weeks in length – generally a normal school year consists of 3 quarters. 38 CFR 21.4200(b)(3) Semester: Division of a school year that is 15 to 19 weeks in length – generally a normal school year consists of 2 semesters. 38 CFR 21.4200(b)(3) Standard College Degree: An Associate or higher degree that is awarded by an IHL accredited by a recognized regional or national accrediting agency; a candidate for such accreditation; or accredited by an agency recognized to accredit specialized degree level programs. Note: When a regional or national accrediting agency meets the standards of the Department of Education it will appear on a list maintained by the Secretary of Education and is accepted as a “recognized” accrediting organization. 38 CFR 21.4200(e) Standard Class Session: The time an education institution schedules for class each week in a regular quarter or semester in order to earn one quarter or semester hour of credit. Usually not less that one 50 minute period of academic instruction, two hours of laboratory instruction, or three hours of workshop training. 38 CFR 21.4200(g) Term: Any regularly established division of the ordinary school year under which a school operates. Most commonly refers to periods of time that are not the traditional semester or quarter; for example an 8-week accelerated term. 38 CFR 21.4200(b)(2) Vocational Objective: Leads to an occupation listed in the U.S. Department of Labor’s Dictionary of Occupational Titles, and is ordinarily attained after completion of a program of study at a community college, business, technical, trade, or other vocational school. 38 CFR 21.7020(b)(22)

C. THINGS YOU NEED TO KNOW… (TOC) DIPLOMA MILLS (TOC)

A Diploma Mill is considered an institution of higher education operating without supervision of a state or professional agency and granting diplomas that are either fraudulent or worthless. Potential students may “buy” a degree with little or no academic work – no requirement to meet any standards. Degree purchases can be accomplished through the mail, over the Internet, or through response to an ad. Many times such schools have names that are similar to well known and reputable organizations. The proliferation of Diploma Mills varies from state to state depending upon the state standards required by law for institutions to exist. Some state laws have very high professional standards, and others are very lax or have none at all, and still others










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operate the schools under the title of “religious” institution, as many states are reluctant to become involved in the authorization of such schools. In prior sections, it was noted that just because an institution is not accredited does not mean that it, and the programs offered, cannot be approved. At the same time, because an organization claims accreditation doesn’t make it above reproach. As an SAA professional it is up to you to be cautious of all non-public organizations, especially those that are accredited by a questionable agency or not accredited at all. There are several websites that you should research to verify a school’s credentials: the DoE site that provides accreditation information, and the Council on Higher Education Accreditation (CHEA) that certifies the quality of regional, national, and specialized accrediting organizations are two of the first sites to review. The Office of Degree Authorization in Oregon State has a wealth of information and references regarding diploma mills. There is also a web site that provides information about schools who offer degrees through the Internet, which has a link discussing Diploma Mills. This information is provided as a caution to SAA staff and an encouragement to check a school’s credentials carefully before making a decision to approve their programs. Remember that Diploma Mills can hide behind the guise of the claim that they are a religious institution. Be especially cautious if your state is one that is not protected by state laws regarding the establishment of academic institutions. FAMILY EDUCATIONAL RIGHTS AND PRIVACY ACT OF 1974 (FERPA) (TOC)

Although FERPA is not a criterion for SAA approval, it is a Federal law 20 USC 1232(g). 34 CFR 99 protects the privacy of student’s education records. It is important that the faculty and staff at an institution have a working knowledge of FERPA guidelines regarding the release of education records, even to parents of students at an institution. Because FERPA is a federal law, the SAA professional should at least be aware of it, and ensure that the institution has procedures in place to protect the privacy of those enrolled. When analyzing a facility catalog, you should find references to FERPA requirements. Students have a right to know about the purpose, content, and location of information kept as a part of their education records, and to expect that such information will be kept confidential unless they give permission to the school to disclose such information. Some information in a student’s education record is defined as directory information. This includes: names, address, phone number and email address, dates of attendance, degree(s) awarded, enrollment status, and major field of study. Such information may be disclosed without the written consent of the student. A student can exercise the option to restrict the release of directory information by submitting a formal request to the school. Examples of who may have access to student information for what reason may be found in 34 CFR 99. The military services may have access to directory information. All those requesting information must go through the institution, and the request must be recorded.

http://www2.ed.gov/students/prep/college/diplomamills/diploma-mills.html

http://www.chea.org/

http://oregonstudentaid.gov/oog-diploma-mills.aspx


http://www.elearners.com/resources/diploma-mills.asp

http://www.ed.gov/policy/gen/guid/fpco/ferpa/index.html


http://www.law.cornell.edu/cfr/text/34/99/subpart-A


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PRIVACY AND SECURITY (TOC) Privacy is an issue not to be taken lightly. SAAs need to be aware of precautions that must be taken when dealing with veterans and those eligible to use their benefits for education and training. In the past, SAAs have maintained lists of veterans in training programs. Those lists contained names and social security numbers among other things. Because of the Privacy Act and the threat of theft of electronic material, SAAs should no longer include an individual’s complete social security number in any of the documents maintained. If it is necessary to include a social security number for individual approvals, use the last 4 numbers only or work through the privacy issues with the VA. As you go through the approval process with schools and training organizations it is a good idea to discuss privacy issues. Some SAAs have worked with their state privacy offices to come to agreement on the use of partial social security numbers or none at all, and also to issue a letter with information on how those eligible can protect themselves. Other SAAs serve on state work groups or committees to assist with the dissemination of privacy information to public education partners and training organizations or any organization that works with veterans. NASAA and the SAAs continually share information regarding security issues. As an SAA professional you should be aware of such issues and strive to support the privacy of the individuals that we have a responsibility to protect. Communicate with your SAA colleagues, and share ideas on things to do to ensure that privacy and security are always considered. EXTERNAL DEGREE PROGRAMS (TOC) According to 38 CFR 21.4200(d), an external degree is a standard college degree awarded by an accredited college or university based on satisfactory completion of a prescribed program of independent study. The program may require occasional attendance at a workshop or seminar and may include regular residence courses. Many colleges now offer courses and often complete degrees through distance education, most commonly electronically. There are three regionally accredited colleges in the U.S that are considered to be non-traditional degree-granting institutions because they offer external degree programs through distance education, almost exclusively online: Charter Oak State College (www.cosc.edu) in Connecticut, Excelsior College (www.excelsior.edu) in New York, and Thomas Edison State College (www.tesc.edu) in New Jersey. These schools are mentioned because they are considered to be non-traditional in the sense that not only are their program offerings designed to meet the special requirements of adult learners but they also have few, if any, classrooms for traditional


http://www.cosc.edu/

http://www.excelsior.edu/

http://www.tesc.edu/


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instruction. The institutions and programs offered were approved under, and must remain in compliance with, the same regulations and requirements as any other school. Policies and records are reviewed and visits made just as for any other school. You might want to look at their websites to learn a little about the manner in which they work with their adult students and review their programs. You might also want to contact the SAA in the state where one of these schools exist to learn more about the approval process and programs approved at these schools. Generally, adult students can attend one of these schools to earn degrees in a short period of time using a variety of methods of accumulating and earning credits toward a degree program. As you review such an application you will want to include a review of the Principles of Good Practice (Appendix A) for distance education programs and the distance education application in Appendix C. Also review the regulations and Chapter 3, Lesson 3.4 of this Unit. Again, contact your colleagues in Connecticut, New York, or New Jersey where the present external degree schools above are located to see what their process for approval was and how they ensure maintained compliance. COURSES IN A FOREIGN COUNTRY (TOC) Veterans may receive benefits while enrolled in approved programs in foreign countries. When does an SAA have approval jurisdiction? Generally, if the program is at a foreign branch of a home state school, the home state SAA may approve it. However, if it is foreign school with no ties to an institution in the US, then the VA Central Office delegates someone within the VA the responsibility for approval. This ELR only approves IHLs for those using benefits under Chapters 30, 32, 33, 35 and 1607. The provisions for approving programs in foreign countries are stated in 38 CFR 21.4260. The facility offering the program must be an IHL and the courses must be part of a program that leads to a standard college degree or its equivalent. The school, and the programs offered must be approved or authorized by that country’s education authority such as the Minister of Education. If a foreign school contacts you, provide them with the name and contact information of the VA person responsible for approval, then notify that person that you have referred a foreign school to them for possible approval.

CHAPTER 1 INITIAL APPROVAL PROCESS (TOC) You will see repeated throughout this curriculum that in August of 2011, PL111-377 changed the way SAAs do business. If a standard college degree program is offered by a public or not-for-profit private educational institution that is accredited by an agency recognized by the secretary of education, then under 38 USC 3672 (b)(2)(A)(i) such programs are “deemed” to be approved. In other words, once they go through the initial approval process, the SAA does not have to continue to annually reapprove them. You will see this phrasing throughout this material and it is with reference to 38 USC 3672. This change also required that SAAs add responsibility for conducting compliance

http://www.law.cornell.edu/cfr/text/38/21.4260

http://www.law.cornell.edu/cfr/text/38/21.4260

http://frwebgate.access.gpo.gov/cgi-bin/getdoc.cgi?dbname=111_cong_public_laws&docid=f:publ377.pdf



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surveys and oversight visits 38 USC 3673(d). That will be described in Chapter 2, Lesson 3. SAAs do, however, remain responsible for accepting new applications for approval of any new institution. That process includes providing the application to the requesting school, assisting the institution with the application process if necessary, reviewing and evaluating the application, conducting an inspection visit, and approving or disapproving the school and it’s programs. The SAAs also continue to have responsibility for approving and monitoring all NCD programs whether public, private, non-profit, or for-profit; and accredited standard degree programs offered by private, for-profit education institutions. The following chapters describe the application, evaluation, and approval processes, and the laws and regulations governing those processes. Each SAA, within the guidelines of the laws and regulations, follows its own policies and procedures for the approval process and conducting visits. However, most elements are common to all…it may be that the differences are based on state education requirements or that different forms are used to gather the same information. The common approval elements, based upon the federal laws, regulations, and VA directives will be described in this Chapter. Although the review and evaluation process is typically the same for both IHLs and NCDs, there are some special considerations or processes for unique NCD programs that will be discussed in Chapter 4. Schedule 1 of the contract that the VA has with the SAAs is the part that describes the responsibilities for the approval process. You should at least review Schedule 1 at Appendix B. There are generally four steps to the approval process. These elements will be described and discussed from the perspective of initial approvals and continued approvals throughout this Unit.

The application elements and application review and evaluation

The inspection visit

The final review and evaluation

The report and notification As an SAA professional you will need a thorough understanding of the laws, federal regulations, and your state policies and practices. There will be times when an organization will be disapproved. This could be your recommendation to reject a new application for failure to meet regulatory requirements, or you may work with the VA to suspend a current approval, or withdraw a current approval. Reasons and suggestions for resolving these will be addressed in this chapter and in the lessons on reports and notification.

LESSON 1 APPLICATION ELEMENTS AND GENERAL REVIEW (TOC)



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1.1 OVERVIEW. (TOC) An IHL or NCD institution or organization that is interested in having its programs approved by the SAA usually requests an application by phone, email, or letter. A call to the organization to find out some initial information will be helpful to you and to the school. A conversation can establish how long the school has been in operation, what type of programs they offer, and whether it is accredited and by what organization. There are times when an SAA discovers, through outreach or liaison activities, that a new school or program is not approved. This is the time that to communicate with school personnel to point out the advantages of approval and the support to veterans that approval will provide. The goal would be that through your discussion and the information provided, the school would request and complete an application for approval. When a new, previously unapproved school makes a submission for approval, the application is comprehensive, requesting detailed information on all areas of the approval criteria. When an approved school requests approval of a new program (one that is not deemed approved), a shorter application may be used because much of the institutional approval material is already on file. Your SAA may ask for a letter from the school that requests the change and use the VA Notification Form for Modification to Programs (See Appendix E). Either way, a copy of the curriculum for the new program, course descriptions, faculty information, and any special support conditions must be included. Although 38 CFR 21.4253(d) and 21.4254 (b), require certain elements of information, applications for approval are not necessarily standard; they may vary from state to state based on state requirements. Using an application form that requires a response in writing is standard procedure. For examples of applications used by other SAAs, see Appendix D. Become familiar with your agency’s current application form. 1.2 APPLICATION ELEMENTS. (TOC) The following list includes application elements that are required and some that are suggested. Generally, an application should include such items as:

A comprehensive set of instructions

A section requiring specific administrative information about the institution

A section requesting a financial statement/information

A section addressing the diploma, certificate and/or degree programs to be approved and all of the required information pertaining to those programs

A request for at least two certified copies of the school’s most current publication (catalog, bulletin, etc)

If applicable, a section that focuses on programs or courses offered through contract with other institutions

If applicable, a section that provides information on branch campuses and the programs offered at such branches

A set of VA and state forms required for completion (See Appendix E)




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A request for examples of advertising

Information regarding other additional approval requirements that the school must comply with such as reporting any and all institutional or program changes to the SAA

Any other elements required by your state

SAAs also require that an official from the organization sign a form agreeing to comply with approval criteria such as:

Maintaining student records in compliance with regulations

Ensuring that institution policies are enforced

Submit required reports

Report changes of any kind

Allow VA and SAA representatives to visit the school for review and compliance purposes.

You will see examples that are part of the application in Appendix D. Many SAA’s send their application to perspective schools via email. However, the application must be printed, completed, and returned by mail because signatures are required on letters, agreements, forms, and copies of financial information; and certified catalogs must be included. The signature of “an authorized official” of the institution is required on most paperwork. This may be the president or someone designated by the president to be responsible for this function. 1.3 GENERAL APPLICATION REVIEW. (TOC) Before you actually begin to evaluate the application for a new approval, complete a quick review of what you have received to ensure that all of the questions on the application have been completed to your satisfaction, and that all requested attachments and forms have been included. Many SAAs will have a separate checklist for this review; others use the application as the check-sheet. Ensure that at a minimum the following has been included:

A letter requesting approval, the programs to be approved, if not all those listed in the catalog, and any other information the institution may provide – the letter must be signed by an official of the institution or organization and include the date the school wishes to have the approval(s) made effective

If applicable, documentation that the school or organization has been in operation for at least two years

Copies of the most current accreditation or state license to operate, if applicable

Information regarding the institution or organization such as name, address, email address, phone numbers, and principal contact for the person completing the application

Documentation showing the type of ownership and/or governing body

Information relative to contract programs or courses and branches and extensions

Current financial information of the institution or organization (private only)

Two certified copies of the most current catalog or bulletin


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If appropriate, two certified copies of the Student Handbook and/or Faculty Handbook or any other additional pertinent manuals

Examples of advertising practices

A copy of enrollment contracts, if appropriate

Comprehensive listing of programs to be approved

A completed and signed VA Form 22-8794, Designation of Certifying Official and VA Form 20-8206, Assurance of Compliance with Equal Opportunity

Other information required by the state (e.g., appropriate license to operate in the state)

Other completed VA and state required forms (see Appendix D), if applicable

LESSON 2 APPLICATION INFORMATION EVALUATION (TOC)

Once you have determined that the institution or organization has submitted all of the information, you can begin to conduct your detailed evaluation. 2.1 PERIOD OF OPERATION. (TOC) An institution must have been in operation and offering programs continuously for a period of 24 months. This rule applies only to programs that do not lead to a standard college degree (NCD programs) that are offered by a proprietary (private) institution. A proprietary, profit or not-for-profit institution must have been enrolling students and operating according to the laws of the state(s) in which it is approved to operate, and had enrollments in its programs for a period of 24 continuous months. Before you begin to review the information submitted in the application, review the following:

38 USC 3680A(e)(g), Disapproval of enrollment in certain courses

38 CFR 21.4251, Minimum period of operation requirement for education institutions

M22-4, Part IX, Chapter 2, 2.13 Three additional definitions (paraphrased from the cited regulation) pertain to this discussion: Outside the original general location: A move beyond normal commuting distance of the original location – generally more than 55 miles. 38 CFR 21.4251(e) Change of ownership: A person acquires or ceases to have operational management and/or control. This may be the sale of the institution, the transfer of controlling interest or the merger or division of the institution. 38 CFR 21.4251(f) Substantially the same: Faculty, student body, and courses offered are said to remain “substantially the same” when faculty who taught a majority of the courses remain employed by the institution (SAAs have considered this to be about 85% of the faculty); the same instructional methods and courses lead to the same educational objectives;

http://www.law.cornell.edu/uscode/38/3680A.html


http://www.benefits.va.gov/warms/M22_4.asp




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and the majority of students enrolled before the move, except those who have graduated, are also enrolled after the move. 38 CFR 21.4251(g) The first step in the approval process is to determine whether the 2-year rule applies to the institution you are evaluating. Why is this necessary? The fact that a program has been offered successfully for two or more years indicates a level of stability and commitment to quality education that a lesser period of operation may not. This two-year period might be the only way a new school can demonstrate assurance of quality, successful administration, financial stability, and effective learning. Programs that lead to a standard college degree, or NCD programs that are offered by public institutions, are exempt from the requirements of the two-year rule. Also exempt, are programs offered under contract with the Departments of Defense or Homeland Security that are given on, or immediately adjacent to a military base, National Guard or Selected Reserve facility, or a Coast Guard station. The two-year rule does not apply to licensing and certification tests or to the organization or entities offering those tests. 38 CFR 21.4268 provides further information about the period of operation requirements as they apply to tests for licensing or certification. Again, NCD programs offered by proprietary institutions are subject to the two-year rule. These programs may not be approved when:

They are offered at an education institution that is not approved and has not been operating for two years

They are offered at a branch or extension of an education institution and the branch or extension has not been operating for two years

Following a change in ownership, the institution has not been in operation for two years – unless the faculty, student body, and courses remain “substantially the same” as before the change in ownership.

Following a complete move outside its original “general location,” the institution has not been in operation for two years – unless the faculty, student body, and courses remain “substantially the same” as before the move outside the general location

The two-year rule applies to NCD programs offered at a branch campus or extension of a proprietary institution, or through a contract with a proprietary institution that has operated for less than two years. A school may lose its SAA approval if it changes ownership or moves outside its original location, except as mentioned above. When an NCD program or course is contracted out to a private school or facility, that facility must be separately approved and must meet the two-year rule. For purposes of demonstrating the applicability of the two-year rule to a branch campus, a branch campus is defined as: [38 CFR 21.4266(4)]

Any additional facility that is geographically apart from, and operationally independent of the proprietary institution’s main campus





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Has its own faculty, administration and supervisory organization

Has administrative capability and a certifying official on site (See 38 CFR 21.4266(d)&(f) for exceptions to this requirement)

Offers courses in education programs leading to a degree, certificate, or other recognized education credit

Once a branch campus has been approved under the two-year rule, additional programs at that site do not have to wait two years for approval. As such, the two-year rule is institutional or facility specific, rather than program specific. Its intent is to guarantee that the institution has a record of performance on which to base initial and future program approvals. One of the approval requirements for a non-governmental organization that offers a licensing or certification test is that it must have been licensed, chartered, or incorporated in a state and have offered the test for a minimum of two years before applying for approval [38 CFR 21.4268(d)(1)(ii)]. You can review the period of operation requirements against the information provided by the school or organization and determine whether you can go any further with the approval process. Remember: A branch campus of a proprietary institution must be reviewed for compliance with the two-year rule. Once you have established that the institution meets, or is exempt, from the two-year rule you can proceed with the evaluation. 2.2 ACCREDITATION. (TOC) You will recall from the Things you need to know... section in Unit I, accreditation is a method used to protect the public. It ensures that institutions meet acceptable levels of quality. Recognized accrediting agencies set such levels, establishing standards that assure quality. A “nationally recognized accrediting agency” is one that is recognized and listed as such by the U.S. Department of Education (DoE). The DoE publishes a list of the accrediting agencies it has determined to be reliable. Why is accreditation important to institutions of higher learning? Besides ensuring that the school operates under, and offers programs that meet accreditation standards of quality, accreditation by a nationally recognized agency enables an institution to participate in the federal student finacial aide programs administered by the DoE under Title IV. That attracts student enrollment which is a critical element to the survival of a school. One criteria for SAA approval of a program is that it is offered by an educational institution that has been accredited by a nationally recognized accrediting agency [38 CFR 21.4253(a)(1)]. “Candidate for accreditation” status is not a basis for approval of a program as accredited. If a school is not accredited then it must be approved by the criteria set forth in 38 CFR 21.4254.




http://ope.ed.gov/accreditation/





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As you evaluate the application, you must look for evidence that the organization is accredited. In order to help you understand the types of accreditation you will come across, the following information is provided. However, you may want to go to the DoE website to learn more about accreditation. 2.2.1 Institutional and Specialized Accreditation. (TOC) There are two types of accreditation: institutional and specialized. Institutional accreditation generally applies to the entire institution, indicating that each of an institution’s parts is contributing to the achievement of its objectives. Specialized, or programmatic, accreditation generally applies to programs, particular departments, or schools that are part of an institution. 2.2.1.1 Institutional accreditation. (TOC) There are two types of institutional accrediting bodies; Regional and National accrediting bodies. Regional accreditation. Eight regional accrediting agencies conduct institutional reviews of IHLs, some NCDs, and many public high schools and Vocational/Technical Schools. Each of the eight regional associations listed below operates in a different section of the country and they differ slightly from one another in policy and procedure.

Middle States Association of Colleges and Schools (MSA)

New England Association of Schools and Colleges (Commission on Higher Education) (NEASC-CIHE)

New England Association of Schools and Colleges (Commission on Technical and Career Institutions) (NEASC-CTCI)

North Central Association, Commission on Accreditation and School Improvement (NCA)

Northwest Commission on Colleges and Universities (NWCCU)

Southern Association of Colleges and Schools (SACS)

Western Association of Schools and Colleges (Accrediting Commission for Senior Colleges and Universities) (WASC-ACSCU)

Western Association of Schools and Colleges (Accrediting Commission for Community and Junior Colleges) (WASC-AACCJC)

National accreditation. Institutional accrediting bodies conduct institutional reviews of both IHL and NCD programs throughout the country, and are usually responsible for a specific type of institution. Some examples of national accrediting bodies are:

Accrediting Commission of Career Schools and Colleges of Technology

Accrediting Council for Independent Colleges and Schools

Council on Occupational Education

2.2.1.2 Specialized Accreditation. (TOC) Specialized accreditation focuses on programs. The accredited component may be a department, college, or school within a university or as small as a curriculum within a discipline. Many of the specialized accrediting agencies review units within an IHL that is accredited by one of the regional accrediting commissions. However, specialized accrediting agencies also accredit

http://www.ed.gov/admins/finaid/accred/index.html


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professional schools, and other specialized or vocational institutions that are freestanding in their operations. In addition, a number of specialized accrediting agencies accredit educational programs within non-educational settings, such as hospitals. Examples of specialized accrediting agencies are:

Accreditation Board for Engineering & Technology

American Bar Association

American Library Association

American Medical Association

Distance Education Training Council

National Association of Schools of Art & Design

National League for Nursing Accreditation Commission

The specialized accrediting association must be nationally recognized in order to serve as a basis for considering the program accredited and thus be approved under the accredited criteria. You can go to the DoE website for Accreditation information and to check to see whether an accrediting body is on the list or not. While Appendix F provides an abbreviated listing of the most current accrediting associations, you should refer to the DoE website to search for a comprehensive list of the regional, national, and specialized accrediting bodies. You, as a new SAA professional, should explore this site so that you are familiar with the information available regarding accreditation. If you would like to search for the accreditation for a specific institution, click on: search. If state law and policy permit, an SAA should, as a matter of policy, request a copy of the last evaluation visit and/or determination letter indicating the accreditation status of a school, and periodically review the currency of the document. There are some IHL and NCD programs that do not necessarily have to be accredited by a nationally recognized accrediting agency in order to qualify as accredited programs. 38 CFR 21.4253(a) states that if a program has been approved by the State Department of Education for credit towards a high school diploma, or for credit of a teacher’s certificate or teacher’s degree, it may be considered accredited, and reviewed under the accredited criteria. Accreditation status of an NCD program can affect the way the VA measures a veteran’s class hours, and can therefore, affect the amount of his or her benefits. See the section on course measurement in 38 CFR 21.4272, for further information. Given the foundational knowledge found in Unit I, and the information in this unit, you should be able to determine whether you feel an institution’s programs can be evaluated under the 38 CFR 21.4253, as accredited programs or you feel it should be evaluated under 38 CFR 21.4254, non-accredited programs. If you have additional policies established for your state you would also have to take them into consideration. As you perform your evaluation, think about the following:


http://ope.ed.gov/accreditation/Search.asp






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Is the institution accredited or non-accredited?

If it is accredited, by which agency?

If it is accredited, should you use only the criteria in 38 CFR 21.4253, or should additional criteria from 38 CFR 21.4254 be required as well?

Has this institution submitted the most current letter of accreditation?

How you use accreditation during the evaluation of an application is up to you within the guidelines of the regulations, and the standards of your agency. Keep in mind that although we look at and consider accreditation as a measure of quality and acceptable standards, it is by no means a panacea for the measurement of either. There have been frequent debates on why SAAs look at accredited institutions as closely as those that are not accredited. Over the years, SAA staff has found as many, and sometimes more, serious problems with accredited institutions. Remember that accreditation reviews are generally conducted only every 3-10 years with most large institutions receiving reviews from a regional accrediting agency every 10 years. SAA staffs frequently conduct compliance and oversight visits that provide closer oversight. SAA staff monitors institutions through evaluation of their programs, and enforcement of their policies. For further information and a comparison between the functions of an SAA and those of accrediting bodies, please Appendix F. OWNERSHIP OR GOVERNING BODY. (TOC) In your application form there are questions about who owns the institution, who governs the institution, and what kind of institution it is – public, proprietary, partnership, corporation, for profit or non-profit, etc. Although this may be provided in the catalog, it should be provided in the initial application as well - names and titles should be provided in response to the request for information. 38 CFR 21.4253(d)(8) and 21.4254(c)(12) require that the education and experience of directors, administrators, and instructors are adequate. Non-accredited schools must also ensure that such personnel are of “good character and good reputation.” You will need to review the information provided in the application and use your professional judgment to confirm that each has appropriate and satisfactory qualifications. ADVERTISING PRACTICES. (TOC) Checking the advertising of an institution is an important part of the approval process. Most schools advertise themselves and their programs. They may use a flier to attract students, a videotape to draw new personnel, a brochure to raise funds for a new facility, or a radio announcement of encourage alumni to attend a sports event. Whatever the purpose, advertising, sales and enrollment practices must not be “erroneous, deceptive, or misleading by actual statement, omission, or intimation” [38 CFR 21.4252(h)(1) and 21.4254(c)(10)]. It is recommended that you read both regulations. Many for-profit proprietary institutions are now advertising on television and through the Internet. You should review such advertisement to ensure that the information provided








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is not misleading or deceptive. If you feel the school is not necessarily being honest in their advertising practices you can certainly request information about any ads, including tapes of a television ad. Consider the following newspaper ad from Creede College, a small, accredited, non-profit, Liberal Arts College, that offers 12 degree programs. During your initially approval you approved Psychology, Communications, and English degree programs.

ARMY MARINES NAVY AIR FORCE COAST GUARD

AFTER SERVING YOUR COUNTRY...

Let Creede College serve you. There is a VA-approved program for your area of interest. Your commitment to our great nation is saluted, and

at Creede College our commitment is to you! CALL 888-1111 and speak to one of our professional counselors about enrolling in the Fall Term --

starting September 4th. Call right away and begin your studies with us.

In what ways is this advertisement erroneous, deceptive, and misleading? “There is a VA-approved program for your area of interest” is misleading for two reasons. First, Creede College has only three of its twelve programs approved. Veterans who see the flier and apply for admission to Creede’s Archaeology program are likely to believe that they can receive veterans’ education benefits while enrolled in that program. However, that program is not approved. Veterans would be making a reasonable assumption based on the advertisement; therefore, the statement is misleading and unacceptable under the law. The student might have an interest in heavy diesel equipment repair…in other words there may not be a program that interests all students. Secondly, VA doesn’t approve programs, the SAA does. It might have been more acceptable for the school to say something like, “The SAA has approved several programs for enrollment of those eligible to receive GI Bill Educational benefits”. How would you approach the school’s Public Information Officer who may be proud of the layout and contents and unaware of the misleading nature of the statement? You could suggest that the ad highlight only the three programs that have been approved. What if you are unsure whether or not a particular practice is misleading or erroneous? The DVA is authorized to use the services and facilities of the Federal Trade Commission to investigate and help you make a determination (38 USC 3696). Check with the consumer protection division of your state’s attorney general’s office. In reviewing advertising, sales, and enrollment practices, a school’s advertising may not leave a false, misleading, or exaggerated impression concerning the school, its personnel, courses, etc. In other words, anything that might be considered true must be



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true. Sometimes, advertisements can be erroneous, deceptive, or misleading because a key piece of information has been left out, leading the reader to infer rather than know the facts. Such omissions might affect the student’s decision to enroll. As you examine the examples of advertising submitted, think about the following:

Is the information presented complete and honest?

Is any information erroneous, deceptive or misleading?

Does it say that their programs, or some of their programs, are “approved by the SAA” (not the VA)?

Is there any information that has been left out of the ads that could cause uncertainty or lead to the wrong conclusion?

Do you need to request further information, or a tape of a television ad?

Remember: Anything that a school puts into an advertisement must be true and all-inclusive. After reading the regulations 38 CFR 21.4252(h)(1) and 21.4254(c)(10), and with the above information you should be able to determine whether advertising meets the requirements of the regulations. 2.5 FINANCIAL SOUNDNESS. (TOC) The documentation provided with the application should give you enough information that you can determine the school has the financial resources and long-term fiscal soundness to ensure its ability to provide and maintain programs of academic quality. SAAs, in accordance with 38 CFR 21.4254(c)(10), request non-accredited schools to submit evidence of financial stability with their application. While you might not ask a state supported, accredited, public institution for financial information, you have the ability to make that judgment if you feel it is warranted. You should, however, require such documentation from a proprietary school whether it is accredited or non-accredited. Your evaluation of a school’s financial information can help to ensure eligible individuals of the school’s stability and soundness. A thorough examination of an institution’s resources and business practices can indicate its commitment, honesty and stability. Many SAAs require that a financial statement prepared by an independent, certified public accountant, conforming to generally acceptable accounting principles, accompany the financial information. A financial assessment will help to determine that the school is able to:

fulfill its commitment to provide quality education;

ensure proper operation of the school and its longevity;

provide salaries and benefits to attract qualified faculty; and

provide up-to-date facilities and equipment.

The institution should have a comprehensive insurance plan that includes liability and replacement coverage for the adequate protection of the school, its employees, students, and visitors.






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Depending on your training and confidence, you may want to consult with an accountant or someone with auditing experience. However, you should also review the information. As you do, think about the following:

Is all the required information included?

A recent audit letter from an independent licensed, registered, or certified accountant

A financial report that includes balance sheets, income statements, a statement of cash flow, information relative to excessive unearned tuition, large debt or excessive receivables, all footnotes to the financial statement, and a statement of changes in the financial position of the school

Proof of an insurance plan

Information regarding any leases and the security of such leases

Do assets exceed liabilities, and does income exceed expenses?

Given the information provided, what is the certainty that the school’s sources of income will continue to provide funds in the future?

If it was necessary, what percentage of the school’s assets could be liquidated to protect the students enrolled?

With an evaluation by someone with a financial background, and your judgment, you will be able to determine whether the institution is financially sound. 2.6 CONTRACT COURSES/PROGRAMS. (TOC) Review the regulation regarding one school or entity contracting with another school or entity to provide all or part of a program of education in 38 CFR 21.4233(e). The institution actually providing the training must obtain approval that includes the contracted program or course(s) from the SAA having jurisdiction over that school. Contract courses are growing in popularity as schools cope with the dilemma of offering new programs with limited financial resources. While both the contractor and contractee must be approved by the SAA under the applicable criteria of 38 CFR 21.4253 and 21.4254, there may be some additional questions that concern the contract agreement itself. As you progress through your evaluation, consider the questions listed below.

Does the contract provide for academic quality control, and how is control exercised?

Who will have direct quality control over the curriculum, selection of faculty, and other educational resources?

Does the contract guard against the possibility of deliberate or inadvertent misrepresentation in advertising, student enrollment, recruitment, and records, on the part of the contractee?

Will the contracting institution treat successful credit earned through the contractee the same as credit earned through residential instruction (on-campus)?

What is the financial arrangement between the two entities?

Does the general education component meet the requirements of your state, and/or the accrediting association, if applicable?

Is the program structure comparable to other recognized degree programs?





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Who will certify the veteran and maintain the student records?

While contracting may prove an excellent way for institutions to provide new and/or needed programs at less expense, the SAA must ensure that the veteran receives the quality instruction to which he or she is entitled. Additional questions for clarification and regulatory compliance can and should be asked during the initial inspection visit. 2.7 BRANCHES AND EXTENSIONS. (TOC) We addressed branch campuses from the perspective of the two-year rule. Now let’s look at them as a facility. In June 2007, several changes were made to 38 CFR 21.4266. The title of the regulation became, Approval of courses at a branch campus or extension, and the following definitions added clarity. Administrative Capability: Defined as the ability of an institution or branch to maintain all

records and accounts that 38 CFR 21.4209 requires. Main Campus: The location where the primary teaching facilities of an educational institution are located. The main campus houses the primary office of its Chief Executive Officer. Branch Campus: Location of an education institution that is geographically apart and operationally independent from the main campus. It has its own faculty, administration, and supervisory organization and offers programs leading to a degree, certificate, or other recognized education credential. With administrative capability it will likely be separately approved by the SAA. At least one campus in a state must have administrative capability and must be approved by the SAA. When a main campus is in one state, and branches are located in another state, at least one branch must have administrative capability and be approved by the SAA. Such branches may also serve to support any other branches, extensions or teaching sites. Extension: A location of an education institution that is geographically apart but operationally dependent upon the main campus or a branch campus of the institution. An extension or teaching site must have administrative support from a branch or main campus located in the same state, even if the extension or teaching site is temporary.

A good way to remember the difference between a branch and an extension is to think of a branch campus as “independent” from the main campus and an extension as “dependent” upon the main or a branch campus. This clarification makes the approval of branches more straightforward. Branches must be approved through the same application process as a main campus with an inspection visit scheduled and completed. Branch campuses are also included in the SAA annual compliance and oversight visit schedule. 2.7.1 Centralized certification. (TOC) 38 CFR 21.4266 allows education institutions with more than one campus to consolidate their certifying official functions into one or more locations within the United States. This process is not a requirement; therefore, if





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an institution wishes to centralize its certification process, it must submit an application to do so to the VA. The VA will send an interested school the requirements for the application and include a Memorandum of Understanding that must be signed by a responsible representative of the school. Once the school agrees to meet all requirements of the laws and regulations pertaining to the certification and record-keeping process including the use of VA-ONCE for certifications, and designates an employee to serve as a point of contact, the VA will give final approval for centrally certifying veterans and other eligible students. 2.7.2 SAA approval responsibilities. (TOC) Although this regulation allows an alternative method for certification, it does not change either the responsibility or requirements for SAA approval and oversight of a main or branch campus, or an extension. Your SAA retains the responsibility for approving programs offered within your state. If the main campus of a school is not in your state but they have a branch campus that is, you would have the responsibility to approve the branch and programs offered at that branch. If the main campus is within the same state as a branch campus, and it maintains a centralized recordkeeping system in accordance with the requirements of 38 CFR 21.4209, the main campus would have administrative responsibility for the branch campus. The main campus and branch campus must be approved separately and you must list the branches and the approved programs at each branch on the notice of approval as required in 38 CFR 21.4258. When the main campus of an institution within the same state maintains a centralized recordkeeping system, it is not necessary that a branch campus have administrative capability. You can still approve programs at a branch campus without administrative capability, as long as:

The centralized recordkeeping system established by the main campus maintains all records and accounts required by 38 CFR 21.4209 for each student attending the branch campus(es) without administrative capability

The main campus or branch campus that has administrative capability provides the certifying official functions for the branch(es)

The main campus can identify the records of students at the branch campus for which it maintains centralized records

Correspondingly, a course or program offered at an extension without administrative capability can be approved when:

The main or branch campus that the extension is dependent upon is located within the same state and has administrative capability for the extension

The approval of the course(s) or program offered by the extension is combined with the approval of the course(s) or program offered by the main or branch campus the extension is dependent on






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The SAA may combine the approval of courses offered by an extension of an educational institution with the approval of the main campus or the branch campus that the extension is dependent upon, if the extension is within the same State as the campus it is dependent on. Combined approval is generally an option for programs offered at a location that meets the definition of an extension. You must list the extension and the programs approved on the notice of approval. If an education institution with multi-state campuses centralized its certifying function and has a certifying official at the centralized location, it is not necessary that each branch also have a certifying official. However, branch campuses that do not have a certifying official present must have an employee designated as the “point-of-contact” (POC) available at each teaching location in order to serve veterans and others eligible to receive VA education benefits, the certifying official, the SAA of jurisdiction, and the VA. The POC must have access to (other than to transmit certifications) to VA ONCE in order to provide certification information to VA beneficiaries, as well as to the SAA and VA representatives during compliance surveys and oversight visits. It is important that SAAs are consistent in their definition and approval process. The definitions for branch campus and extension make that process easier. Your approval notification letter must include definitive information on approval of programs at a main campus, programs at each branch campus, and those offered at extensions. If you are working with branches and have questions, check with your colleagues before making your final determination.

LESSON 3 PROGRAMS AND CURRICULA (TOC)

3.1 OVERVIEW. (TOC) Review of programs and curricula are part of the catalog review process that you will learn in Lesson 4. However, there are several elements specific to the curriculum of a program that must be considered, so the process is provided here as a separate lesson. There may also be occasions when an institution requests the approval of a single program; this section will help you with that procedure. 3.2 COURSES PRECLUDED. (TOC) The SAAs are prevented from approving certain IHL and NCD courses (38 USC 3680A) that do not lead to valid educational or vocational objectives. Such programs include:

Bartending and personality development programs

Any sales or sales management course which does not provide specialized training within a specific vocational field

Avocational and recreation programs

Photography or entertainment program (unless it is clearly vocational leading to an educational objective)

Self Improvement programs

Medical or dental internships from non-accredited schools

Independent study courses offered by a non-accredited school

Programs offered by radio



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Why are some programs precluded from SAA approval? The underlying reason is based upon the nature of the GI Bill itself. GI Bill funds are intended to be used for training and education that result in employment and support a smooth transition from military to civilian life. Programs precluded are generally those that do not lead to an educational, professional or vocational objective in preparation for employment. A degree program offered entirely by radio is not likely to meet the approval criteria of consistency in quality, content, and length with recognized accepted standards. A program that is taken for pleasure such as a certificate in swimming without an educational objective is not approvable because of its avocational objective. However, a course in swimming that is part of a degree in Physical Education can certainly be approved. Review 38 USC 3680A and 38 CFR 21.4252, Courses Precluded, to become knowledgeable about programs that are not approvable. 3.3 ENROLLMENT LIMITATIONS. (TOC) Limitations on veteran’s enrollment in IHL or NCD programs are established in 38 CFR 21.4201, 38 USC 3680A, and the CFR regulations regarding accredited (38 CFR 21.4253) and non-accredited (38 CFR 21.4254) institutions. Such limitations may include:

Facilities, equipment, or instructors restrict the number of students that the program can support

Limits are imposed by your state based or “other reasonable criteria” such as student-teacher ratio or classroom size

Limitations imposed by the VA preventing the ratio of veterans to other students from exceeding 85% of the total - the 85-15 rule (see 3.3.3 below)

3.3.1 Classroom Space and Equipment. (TOC) If you see that a computer programming class is limited to 30 enrollments but there are only 10 computers, you might question officials of the department and the school. Such a situation would likely result in an inadequate learning experience for students. Discussing and citing the appropriate VA regulations and laws with school officials should encourage them to come into compliance, or risk disapproval of that course for the enrollment of veterans. 3.3.2 State Requirements. (TOC) It may be that your state has codes that base capacities for rooms in public buildings on square footage. An IHL or NCD must comply with state codes to receive approval. A 300 square foot room is probably adequate for a 10-person seminar but not a 45-person classroom. As an SAA you have the responsibility to ask questions to make sure that schools are meeting reasonable expectations for space, equipment, and instruction or any other criteria the state has mandated as necessary. Some of this information can be gathered from the application, or from the catalog, and some will have to be gathered at the time of your initial inspection. Be sure to make this part of your approval process.









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3.3.3 85-15 Rule. (TOC) There are standard limitations for enrollment required by 38 CFR 21.4201(e). This is called the 85-15 rule. This rule means that in any course, for any period, not more than 85% of those enrolled can be veterans, or others who are receiving GI Bill benefits. This does not apply to courses specifically offered for military personnel. IHLs and NCDs must compute and report the ratio of non-veterans to veterans each term for each approved program unless they have requested and/or have received a waiver. An additional element in the regulation allows for a partial waiver of the reporting requirement if the veteran enrollment in a course is less than 35% of the total enrollment. Such waivers can be granted upon request. Review 38 CFR 21.4201 for further details. The ratio of veterans receiving education benefits to other students, who are not, may or may not be an issue for an IHL/NCD whose programs you are approving for the first time. It is, however, something that you and the school must be aware of for the purposes of on-going compliance. Include a question on the 85-15 rule as part of your compliance visit. 3.4 METHODS OF DELIVERY. (TOC) There are several methods or modes for teaching courses. Depending on their individual characteristics, different delivery modes can provide the student relevant, intense, or practical educational experiences. Understanding the modes of delivery for a course(s) within a program is part of your responsibility. It is important that students know how a course is going to be delivered. It is especially true for veteran students because the mode can affect the amount of education assistance benefit received. As an ever-increasing number of courses are taught through websites, the SAA’s job of approval and oversight becomes increasingly complex. 3.4.1 Resident Instruction. (TOC) Resident instruction is recurrently scheduled classes, with teaching provided by an instructor to students in the same physical location throughout a school term. Such traditional, standard classroom instruction takes place at a site on a school campus, at a defined site, a resident center off campus, or at a branch. A standard class session is the time that is scheduled for a class each week in a regular quarter or semester for one-quarter hour, or one semester hour, of credit. 3.4.2 Non-resident Instruction. (TOC) Non-resident instruction does not involve the face-to-face instruction in the same physical location during regularly scheduled times throughout a school term. Although the instructor and student are geographically separate, some form of student-faculty interaction is seen as an integral part of the process. The program must consist of a planned sequence of related instructional materials leading to a stated objective such as a diploma, or the award of a degree, or college credit. Several forms of non-resident instruction have already been defined in the CFR including: Correspondence Courses 38 CFR 21.4256 and 21.4279 and Open and Closed Circuit Television Courses 38 CFR 21.4233(c). The regulations cover








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educational practices that often comprise the non-residential component of residential programs such as: Independent Study, 38 CFR 21.4267; Practical Training or Internships, 38 CFR 21.4265; and Cooperative Training, 38 CFR 21.4233(a). According to 38 USC 3680A, any independent study course is only approvable if it leads to a college degree or certificate offered by an accredited IHL. Eligible individuals can receive payment for courses leading to a certificate program if they are receiving benefits under Chapters 30, 32, 33, 1606, and Section 903 or PL 96-342. It does not apply to those under Chapter 35. As an SAA professional, you should study the regulations mentioned above for the specific, individual requirements for each of these modes of instruction. There are certain requirements common to all non-resident modes:

The program of instruction must be approved by the SAA

The instruction is required for completion of an educational objective

Provision must be made for student-faculty interaction that may be personal interaction or through use of technology

Both the mode of instruction and instructional content must be directly supervised by the school and described in the institution’s publication(s)

The institution accepts satisfactory work through non-resident instruction in the same manner as resident instruction

3.4.3 Distance Education. (TOC) A subset of instructional models utilizing interactive compressed video, personal computers, e-mail, and the Internet, have arisen, and allow students and faculty to interact electronically in a real-time environment. Electronically delivered courses and programs have become the most popular mode of distance education or independent study for colleges and universities around the country. There are several institutions that have large departments devoted only to the electronic delivery of coursework. However, while distance education is yet to be covered by specific regulation, for SAA and VA purposes, courses offered as distance education are considered to be independent study and must meet the requirements of 38 CFR 21.4267. Use this reference as you begin the process of approval of courses and programs offered through distance education. A number of years ago, the VA requested that NASAA review the practice of distance education. In response, a NASAA Task Force examined and evaluated distance education programs from several perspectives including that of accreditation. The Task Force worked with accrediting bodies and reviewed the best practices initially drafted by the Western Interstate Commission for Higher Education (WICHE). It then developed a set of general guidelines, or Principles of Good Practice, so that there would be uniformity among the SAAs in the way that such programs are approved. A prototype application for the approval of distance learning programs was also developed. The application provides a model for information that should be requested for approval. The NASAA Principles of Good Practice can be found at Appendix A.








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The Western Cooperative for Education Telecommunications (WCET), in a cooperative effort with the eight accrediting commissions, developed the best practices for programs offered electronically: “Interregional Guidelines for Electronically Offered Degree and Certificate Programs”. Included with this is a “Statement of Commitment” that is intended to ensure quality and consistency among distance education programs. The eight regional accrediting bodies use these principles as a guide to maintain a supportive approach to education innovation while retaining the commitment to traditions, principles, and values that support good practice among institutions. Note: For a copy of the most recent publication click on: Guidelines

The NASAA Principles of Good Practices are divided into three categories: (TOC) INSTITUTIONAL COMMITMENT

1. Is the course/program consistent with the role and mission of the facility? 2. Are all student services in place and available to those taking a course through distance

education? 3. Does the facility catalog provide clear and detailed information specific to delivery of a

distance education course/program? 4. Does the institution train and provide appropriate support to faculty providing instruction

through this mode? 5. Does the facility demonstrate financial and technical support for electronic delivery?

CURRICULUM & INSTRUCTION

1. Is the course/program offered consistent in quality, content, and length with similar

program offered on campus?

2. Does the course/program consistent with an educational objective?

3. Is the delivery mode appropriate to the program objectives?

4. Is there adequate interaction between the faculty and student?

5. Is credit for a distance education course treated the same as one offered on campus by the institution?

EVALUATION & ASSESSMENT 1. Does the facility frequently evaluate and modify a course/program delivered through

distance education?

2. Is there adequate assessment of student progress and achievement?

3. Do students provide an evaluation of the course/program

As you can see, between the regulations addressing independent study, NASAA’s Principles of Good Practice, and other references such as those mentioned above, you are well armed to proceed with the approval of distance education programs. 3.5 WHAT MAKES A QUALITY PROGRAM? (TOC) IHL or NCD programs are evaluated in terms of curriculum content, integrity and length; instructional resources; faculty; and administrative support. One of your primary responsibilities as an SAA

https://mnlearningcommons.us/app/answers/detail/a_id/4101/~/distance-education-programs%3A-interregional-guidelines-for-the-evaluation-of


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professional is to assess the overall quality of IHL and NCD programs. Most of the approval criteria provided in 38 CFR 21.4253 and 21.4254 are designed to ensure that those eligible to receive VA education benefits receive a quality education. An accredited institution’s expectations for learning and student attainment must be clearly reflected in its academic programs. You can use both the criteria in the regulations and accreditation to help you with the approval process. If a program at an institution is not accredited, you can still use accredited programs for comparison, and 38 CFR 21.4254 criteria for approval. This information will help verify that the courses, curriculum, and instruction are consistent in quality, content, and length with similar courses at an accredited institution, and thus meet “recognized acceptable” standards – nationally and/or according to your state’s department of education requirements. As an example, one of the accrediting agencies, the Western Association of Schools and Colleges (WASC), has determined that an institution must define its purposes and establish educational objectives aligned with its mission and purposes. Through its purposes and educational objectives, the institution must dedicate itself to higher learning, and function with integrity and autonomy. In other words, an institution must be able to show its purpose and educational objectives are evident in the design of its curriculum. Program quality can be looked at from the traditional perspective of input measures such as qualifications of faculty, curricular design, instructional resources, facilities and equipment, library holdings, and budgetary support. However, outcome measures such as student retention, graduation rates, national test scores, and placement rates are also an important part of the effectiveness of a program. The competencies gained by the student and their application and relevance to society and the world of work are seen as increasingly important. As you evaluate an application, consider both resources available and student achievements. You can ask to see documentation of student outcomes and discuss the process used to evaluate such outcomes and implement change if appropriate. 3.5.1 Curriculum Content, Integrity, and Length. (TOC) An institution’s publication or catalog must define and describe its curriculum for each degree or certificate program. Your job is to evaluate whether that description is adequate and meets regulatory and acceptable standards. There are often questions that you need to ask during an initial or compliance & oversight visit for additional information and clarification. The information below offers suggestions for things to look for as you review a program. The curriculum content should:

be clearly defined in the facility’s publication including clearly stated objectives and benefits of the program

reflect the purpose and philosophy of the institution’s mission and goals

ensure that the development of core learning abilities and competencies appropriate to the program subject area are evident





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be organized in a series of sequential courses, moving from the simple to the complex, which result in the student attaining the competencies required to reach the learning objectives

define admission requirements; pre-requisites; general education core (including major and minor), upper division, and elective courses; and graduation requirements

make certain that the information provided is clear so that students understand the requirements and progression of the program

describe each course that is part of the program along with any special requirements, the expected time to complete the program, and the type and number of credit hours to be awarded

describe the method of delivery for courses offered by any method except residential classroom delivery

There should also be evidence, perhaps policies and procedures, of consistent and frequent evaluation principles and processes in place. Program Integrity. The integrity of an institution is demonstrated by the manner in which it manages its operation, including the way it specifies its goals, selects and retains its faculty, admits students, establishes curricula, and fixes its fields of services. Program integrity can be recognized by the content of the curricula that supports the stated mission and the academic goals of the institution in response to the needs of the community and the students; implementation of appropriate policies, and hiring of qualified and quality faculty and staff. Courses, curriculum, and instruction must be consistent in quality, content and length with similar courses in schools with recognized acceptable standards. [38 USC 3676(c)] In support of the programs, the institution should exhibit integrity in its operations verified by the implementation of appropriate policies, sound business practices, and regular evaluation of its performance in each of these areas. Program Length. In terms of program length, you will be reviewing two elements: the length of the program in general, and the length of each course. The following are generally acceptable according to accrediting body standards for degree programs:

Certificate Program: undergraduate certificates and professional technical certificates generally vary in length depending upon the purpose of the program. They may be from one semester or quarter, to two years depending upon the area of study. Graduate and post baccalaureate professional certificates can be a few weeks to one or two years

Associate Degree: about two years long, and about 60 semester credit hours or 90 quarter credit hours in length

Bachelor Degree: about four years in length, and about 120 semester credit hours or 180 quarter credit hours

Master Degree: may be one year in length, and 30 semester hours or 45 quarter hours, or, for many professional degrees, may be two years in length with appropriate credits

Course lengths vary; however, the accepted norm is one unit (semester or quarter credit) for three hours of instruction per week. A class in English, for example, may be 3 semester credits - 3 hours of instruction each week for 15 weeks for a total of 45 hours of instruction. It is wise to



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review Title 38 requirements and compare a non-standard course to one recognized as acceptable.

Program length may be accelerated to shorter terms with a greater number of hours of instruction, or expected participation, each week. Comparing the institution’s program objectives, required courses, subject descriptions, and credit or clock hours needed for a degree, diploma or certificate, can help you determine if a specific program's quality, content, and length are comparable to similar institutions and accepted standards. 3.5.2 Instructional Resources. (TOC) Both physical and human resources affect the quality of the programs offered by an institution. The institution has the obligation to make certain that the necessary resources are allocated, maintained, and evaluated. As you are looking at the physical resources, ask the following questions:

Are there enough rooms for all the classes being offered – including lectures classrooms, laboratories, clinics, shop classes, multimedia rooms, etc.?

Are the classrooms being maintained, and do they meet federal, state, and local safety requirements?

Does the school provide facilities with sufficient heating, lighting, cooling, ventilation, drinking water, and restrooms?

Are the facilities available to the students at appropriate hours – for example is the library adequate and available for study during appropriate hours?

Is there adequate equipment in the classrooms for the programs that are offered? For example, if an NCD word-processing class enrolls 30 students, are there 30 computers in the classroom?

Is the equipment current in laboratories, shops, research centers, and classrooms?

Does the library include sufficient materials to support the programs offered as well as ample space for study?

Often these questions cannot be answered until you physically visit the facility during an initial approval inspection visit or during a compliance & oversight visit. 3.5.3 Faculty, Administration, and Staff. (TOC) The education, experience and dedication of the administrative and teaching personnel of the institution significantly contribute to the quality of learning offered by an institution. The leadership of an institution is chosen to develop systems and select personnel that will enable it to reach goals leading to fulfillment of its mission. Administrators set forth the prevailing philosophy, values, and operational policies of the institution and ensure the systematic improvement of faculty and staff by providing ongoing education and training opportunities. Qualified, motivated, and effective faculty and staff influence the quality of instruction provided to the students. If instructors attempt to teach courses outside of their field of expertise, or beyond their level of experience and preparation, academic vigor and content will likely suffer. If counselors do not have the appropriate education and experience, students could be misled or ill advised.


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38 CFR 21.4254(c)(12) requires that school administrators and faculty are of good reputation and character. While this requirement appears to be subjective, you might include the following question in your application: “Have any school owners, officers, principal stockholders, administrators, directors or instructors ever:

been involved in bankruptcy or school or business closure?

been convicted of violation of any law other than minor traffic violations?

been dismissed for immoral or unprofessional conduct from any position?

had a license revoked in this or any other state?

If so, please indicate the name of the individual, and the specifics of the case including: date, place, nature of the violation, disposition of the case, and other pertinent information.”

Institutions differ in their requirements for faculty but generally, faculty at an IHL should at least have a degree in the field in which they are teaching that is equal to, or higher than, the degree level they are teaching. Those teaching in an NCD program may have “equivalent experience.” Perhaps the instructors don’t have a formal degree but have a significant number of years of work experience that would make them a valuable asset. In any case, as part of the approval process you will want to consider the personnel practices of the institution and credentials of professional faculty and staff. Think about the following as you evaluate this element:

What degree(s) does the school director or president have? What experience do they have? Are the degree and experience appropriate to the level of programs offered by the institution?

Do school administrators have adequate training and the experience to plan, manage, and supervise post-secondary educational programs?

Do teaching faculty hold degrees, diplomas, or certificates equal to, or higher than, the course levels they teach? Does faculty hold current teaching licenses, if required? What is the process for hiring new faculty?

Does the institution have and follow a plan for faculty and staff development? What is the retention rate of competent faculty?

Do instructors supervise internships, practicums, and clinics in areas in which they have work experience?

Does the institution conduct regular performance reviews of faculty (both full-time and adjunct) and staff? Do the students (or customers) regularly have the opportunity to complete faculty evaluations?

Is there a faculty handbook describing personnel policies and procedures, opportunities for development, and evaluation processes?

Is there adequate support staff in place to support the faculty, the programs offered, and the operations of the institution?

3.5.4 Administrative Support. (TOC) The leadership of the institution must provide administrative support to ensure that the institution can sustain the programs offered. An institution should be able to show that the student support services are effective. It



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must have policies in place to help identify the needs of the community and frequently assess student needs, experiences, and levels of satisfaction. The information gathered can be used to help shape the learning environment and actively promote student success. As part of the initial approval or the compliance and oversight processes, you might ask what the current assessment measures are, and how the institution uses the results to implement improvements. The number, satisfaction, and job placement of graduates can substantiate the effectiveness of the curricula and the supporting policies. In summary, the evaluation of program quality is partly dependent on your knowledge of laws and regulations and partly on your judgment as an SAA professional. You will have to make decisions concerning published policies and practices that support content, integrity, and length of the curricula; quality of the faculty and administrative staff; adequacy of resources; administrative support; student services; and evidence of assessment activities. Below are some elements to consider. NCD PROGRAMS

Does the curriculum adequately prepare the student to take an entry-level job in this field? Is the material up-to-date and relevant to the work place?

Is the curriculum length appropriate in comparison to other similar programs? Are the content and requirements of the curriculum sufficiently rigorous?

How does the school ensure student mastery of the curriculum before conferring a diploma?

Are there adequate resources – faculty, classroom space, equipment, library materials, and administration services – to support the undergraduate programs offered?

UNDERGRADUATE PROGRAMS

Is this curriculum similar in content and design to other institutions?

Are there processes for the periodic review and internal evaluation of programs, and if so, what is it? Does the school review the process frequently?

How are programs developed and approved at this school? What guidelines were used?

Are the courses specialized appropriately for the degree level being offered?

Is the same course offered both on and off-campus, in full semester and accelerated program context? Are content and requirements of the courses the same for each offering?

Are there adequate resources – faculty, classroom space, equipment, library materials, and administration services – to support the undergraduate programs offered?

GRADUATE PROGRAMS

Do the school’s graduate programs require significant undergraduate preparation and a higher degree of rigor than its undergraduate program?


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Do the programs require some form of culminating experience that requires them to draw from their entire program – for example, a thesis or comprehensive examination?

If graduate and undergraduate credit is given for the same course, what are the differences?

Do the graduate courses provide the student with exposure to the major research methods and literature of the discipline? How?

Are there adequate resources – faculty, classroom space, equipment, library materials, and administration services – to support the graduate programs offered?

GENERAL EDUCATION COMPONENTS

Do courses promote the development of student competency in oral and written communication?

Does the curriculum require the development and use of different types of problem-solving skills, and does it incorporate different instructional styles?

Is the structure and content of the General Education component reflective of a well-articulated instructional philosophy for the purpose of general education?

Do students receive appropriate and adequate academic counseling?

LESSON 4 CATALOG REVIEW (TOC)

4.1 OVERVIEW. (TOC) Federal regulations provide that a school wishing to enroll veterans and others eligible will include two copies of a catalog or bulletin with its application [38 CFR 21.4253(d) and 21.4254(b)]. All copies of a school’s catalog, and any other publication, must be “certified” as “true and correct in content and policy”. An official of the school must sign and date the fixed statement on the catalog. The statement may be stamped in the catalog; a label with the statement and appropriate signature and date may be completed and fixed to the cover of the catalog; or a document on school letterhead with the certified statement signed and dated by an official of the school may be placed inside the catalog. Many schools are now offering their catalog only on their website. Such electronic catalogs can be accepted by the SAA for approval, if the school is an accredited IHL. The school must submit two dated CDs or thumb drives with the catalog in a Portable Document Format (PDF) via regular mail. Catalogs submitted in this format must include a certification statement as above. It may be in the form of a letter, on a label affixed to the CD, or a cover letter to either with the appropriate signatures. Remember that a school catalog is much more than a listing of programs, course descriptions, and class schedules. Included in the catalog is a statement of the school’s founding, history, and mission that reveals the flavor, personality, and the social and academic context of the institution. While on the surface, educational philosophy may appear to be somewhat esoteric; in fact, the goals and values adopted by an institution will have a strong bearing on the content and quality of its academic expectations. A school's catalog usually provides a basic overview of the school, its programs, instructional resources, faculty, and institutional policies.




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Any official publication distributed to the public must be reviewed as part of the initial application. Many institutions publish and distribute a Student Handbook to explain, in more detail, the rules governing academic performance and conduct of students. All copies of pertinent publications must be submitted as part of the application for initial approval, and if the school does not have deemed approved programs, will be reviewed with each new publication; perhaps as part of a compliance and oversight visit. Every student must receive a copy of the school catalog no matter the form. It is the responsibility of the student to thoroughly understand the school policies, and the requirements of the program in which they wish to enroll, and it is the school’s responsibility to include all policies and descriptions of programs in a clear and comprehensible manner. Official publications of an institution provide the basic information necessary for an SAA professional to make a judgment on the quality of the IHL or NCD's programs. While it is not unusual to request additional information on the particulars of a program or policy, the catalog or bulletin remains the starting-point from which to proceed. Most SAAs have developed checklists for the elements that must be in a catalog. Your SAA may already have an adequate format but examples of other catalog checklists can be found at Appendix H. There are several important elements that must be in an institution’s publication. They are discussed in the following sections. 4.2 GENERAL CATALOG INFORMATION. (TOC) School catalogs are commonly divided into several sections. The first section provides some general information about the school and, at a minimum, should include a summary of the history of the school, its mission, vision, and accreditation or licensure information. This section may also include the school’s governance, perhaps a paragraph on the school’s strategic planning process, and how it evaluates and implements change for improvement. Any additional instructional sites, branches, or extensions should also be listed in this area. The campus policies on affirmative action and equal opportunity, sexual harassment, campus security, and any disclaimer notices may also be found in this section. 4.3 CALENDAR. (TOC) A school calendar shows the beginning and end dates for school terms, legal holidays, examination dates, deadlines for application for graduation, and any significant events. It is mandatory for a non-accredited school to have a school calendar [38 CFR 21.4254(b)(3)]. Some SAAs require it of all schools. Why do you have to evaluate a calendar? One reason is that the VA uses certain dates in the school year to determine the amount and duration of a veteran’s benefits payments. A calendar is important for all students as it provides information that they need to be concerned with as they review a catalog for consideration and progress through their chosen program. A few concerns might be:

What is the deadline for applications? When is tuition due?

When do classes begin?



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How long is the period of time to add or drop classes? What is the last date to withdraw?

What holidays are observed during the school term?

What is the deadline for application for graduation?

What is the date of the last day of class? When are final examinations?

When can grades be expected?

These are all important considerations for veteran and other students, as they make decisions on the selection of a school, and when they enroll and progress through a term. Although it may not be a requirement for approval of accredited schools, it is a factor that is good to include during your evaluation and to include on your catalog checklist. 4.4 FACILITIES. (TOC) A description of the facilities may be found in the general information section, and should include a campus map. There may also be a description of a special facility found under the description of a program. For example, under the description of an automotive program you may find a description of the automotive facility, number of bays, and tools and equipment, etc. You may want to check specific facilities, such as computer labs, etc., when you conduct your inspection visit. 4.5 ADMISSIONS. (TOC) An IHL or NCD’s entrance or admission policies and requirements can provide veterans the basis for an informed program choice. Your assessment of those policies and requirements can contribute to the quality of information the veteran receives when applying to enter a program. An admission policy determines whether an applicant will be admitted to the institution or not. Those in the admissions office evaluate a student’s application in accordance with defined admission classifications and will notify a student of acceptance or rejection. There may also be admission requirements for a particular program or course, and admission to a school does not always mean acceptance into a program with specific additional requirements. The admissions policy of an organization must be clearly defined in the catalog and must include a date on which an application is required. An example of admission requirements might include the following:

Completion of a high school diploma from an accredited high school

Achievement of a certain score on a standardized test

Successful completion of prescribed remedial deficiency or refresher course

Date by which an application must be received

Specific prerequisite courses for entrance into a specific program

A bachelor degree for entrance into a graduate degree program

A personal interview

There will be different admission requirements for different institutions and programs. A community college may have an “open admission” policy in order to serve a larger segment of the community. A university may have more rigorous requirements such as a high school diploma with a 3.0 grade point average, and a specific score on an


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admissions test. Graduate schools or programs may have prerequisites for an entrance exam, a particular type of bachelor degree and perhaps specific courses in certain subject areas. One of the related elements of an admissions policy is the “ability to benefit.” This means, given all the requirements for admission to the school and/or a particular program, does the applicant have reasonable assurance that he/she can successfully complete and benefit from the program? Some programs will go beyond general admissions requirements, as mentioned above, and require additional test scores, coursework, or experience. Students should have the skills and education to successfully pursue their chosen course of study. It is important to review both the admission policy for the institution, and program curricula, to ensure that the ability to benefit has been considered. Admission policies should be clearly defined for both in and out of state students, and should also include a policy regarding re-admissions. For example, if a veteran has been admitted and has attended the institution, and is then deployed, what is the policy for re-admittance when that veteran returns to school? Your job is to review the catalog admissions policies to ensure that they are clear and fair to all students. When you conduct your initial inspection visit you can review documentation that shows that the policy is enforced. 4.6 TRANSFER CREDIT AND PRIOR CREDIT. (TOC) Under the authority of Title 38 USC 3675 and 3676, regulations 38 CFR 21.4253 and 21.4254 state that all schools are required to have a policy relative to granting credit for previous education. A written record of such previous education must be maintained as part of the student’s record. If the school is non-accredited the credit must be reported to the VA. This includes the appropriate reduction in the number of credits required to complete a certificate or degree based upon the evaluation and credits accepted. While accredited schools are not expected to report such credit to the VA they must maintain a written policy and a written record of transfer credit will be in the student’s file. Even though the regulations are not specific about what such a policy must include, the school must have a policy and it must be clear, provide for the evaluation of previous education, and be enforced. Institutions will generally include a section on “Prior Learning” or “Prior Credit” in their catalog that may include policies on the transfer of credits from another school, the evaluation of prior learning, including any associated costs, and the transfer of credits to another institution – some schools include a section on experiential learning as well. Transfer credit is generally credit that is on an official transcript from another academic institution. Accredited schools will likely require that any credit considered for transfer also be from an accredited school, and in some case will identify that the accreditation must come from a particular accrediting body. Prior learning may refer to credit that has been earned outside the college classroom, such as advanced placement high school coursework; credit earned through testing



http://www.law.cornell.edu/uscode/38/usc_sec_38_00003676----000-.html




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such as the College Level Examination Program (CLEP), or through military training or schools; or credit by challenge. Experiential learning may be from work and life experiences or independent reading and study that can be verified through various means of assessment, but is considered to be the equivalent of learning gained through formal instruction. The policies vary from school to school but you might consider whether the policies:

Specify qualifications of the school from which the course is being transferred

Describe the types of prior credit that may be evaluated

Describe how the previous education will be assessed and how long it will take

Indicate the minimal acceptable grade level for the coursework being transferred

Indicate a maximum number of credit hours that will be accepted for transfer

Describe how the credit will be awarded toward the current objective and how the program will be shortened accordingly

Although we would like to think that all institutions award the maximum number of “prior credits” possible to a veteran, this is not always the case. The regulation says only that an institution must have a policy regarding the award of previous education and training, and that a written record must be maintained indicating that appropriate credit has been awarded. What one school considers “appropriate credit” may not be the same for another school. There are no requirements that a school must accept credits from another – it is up to the gaining school to determine what it considers to be appropriate to accept in transfer. There are some generally accepted standards that SAAs use as a basis for comparison. It is your responsibility to learn as much as you can about prior credit policies and the policies of your SAA. At a minimum, examine the school’s prior credit policy to ensure that:

The evaluation of prior learning is complete and accomplished in a timely manner

The school utilizes objective criteria in making its determinations

Prior credit awards are posted in the student records

There is a clear indication of prior credit awarded that applies to the degree program as opposed to general credit

The student and the VA are notified of award of credit in a timely manner and how the award affects their course of study

Without a clear prior learning policy, a student cannot make an informed decision on whether an institution meets their needs. Some schools are generous and flexible with their evaluation and award of prior learning credit, and others are not. SAAs cannot force an institution to accept credit. However, remember that veterans and others eligible to receive VA education benefits are limited in both the number of months of entitlement and the time they have to use such entitlement. You can help them with their decision to attend a school by assuring that a school’s prior learning policies are adequate and enforced.


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When you conduct your inspection and compliance and oversight visits you must be able to see in veteran student files that a written evaluation of prior credit has been completed, credit has been granted as appropriate, and the program has been shorten accordingly. 4.7 TUITION AND FEES. (TOC) The catalog of a non-accredited school must contain a detailed schedule of mandatory fees for tuition, student activities, laboratory fees, and any other charges that a student has the responsibility to pay. The tuition for public, state supported accredited schools is often determined by a state legislature and may not be published in the catalog. However, most will publish tuition and fee schedules in some manner. The cost of tuition and fees is an important element for any student, and can be the determine whether they will apply to a school or not. How do you evaluate a fee schedule? It is more important to ensure that there are certain pieces of information included in the tuition and fees schedules. As you review the tuition and fee schedule, think about the following:

Is the fee schedule straightforward and complete?

Is there misleading information in the fee schedule?

Is there an application fee?

Are there late registration fees?

Is there a cost per credit hour for regular courses, audited courses, special courses?

Are tuition rates provided for in state and out of state students?

Are lab fees, breakage fees, equipment costs, etc., addressed?

Are the costs for student activity, student ID, parking, testing, transcripts or any other miscellaneous fees clearly provided?

Are costs associated with distance education courses clearly defined?

Does the tuition and fee schedule include deadlines for payment? Are obligations or methods of payment clearly stated?

Publication of a clear tuition and fee schedule ensures that the school has integrity and honesty in its business practices, guards against misleading representation of a program’s cost, and protects the veteran from being charged more than other students. 4.8 REFUND POLICY. (TOC) 38 CFR 21.4254(c)(13) requires that a non-accredited school have a refund policy, and 38 CFR 21.4255 provides details on the actual rule addressing an acceptable refund policy. All non-accredited schools, public or private, must have a refund policy that provides for a pro-rata refund for the unused portion of tuition, fees and other charges. The refund policy must be substantially the same as the refund policy required for accredited public education institutions located within the same state. The only fees that a school does not have to include in the pro-ration are a $10 registration fee, or if the registration fee is larger, then the pro-rated amount over $10; the exact amount of breakage costs when the school has a breakage fee policy; and fees for any consumed instructional supplies.




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Accredited institutions also have refund policies but vary and are generally calculated differently than non-accredited institutions. No matter what, the refund policy should be clearly stated in a school’s catalog. Such conditions, at a minimum, should include:

How the student must apply for a refund and what the timelines for application are

What amount the student can expect to receive depending upon when the withdrawal is requested

When the student can expect to receive the refund amount

4.9 STANDARDS OF PROGRESS. (TOC) Review 38 USC 3676(b)(6) and 38 USC 3675(a)(3)(ii), 38 CFR 21.4253(d)(2), and 38 CFR 21.4254(b)(6). These statutes pertain to both IHL and NCD programs. In order to continue receiving benefits from the VA, veterans and others eligible must make satisfactory progress toward an approved objective. You can expect to find a section in a school catalog that addresses policies concerned with academic standards or regulations. Such a section should include:

Definition of terms

Grading system used by the school

Academic standing including ‘good’ standing or ‘unsatisfactory’ standing

Academic probation, suspension and reinstatement

Academic appeals

Veteran’s education benefits

An understanding of the schools terms will help you with your evaluation. An important thing to remember is that the policies must be clear and complete. Review the definitions that the school uses with regard to standards of progress and their grading system, particularly: Punitive grade: Grade included in the computation of the student’s Grade Point Average (GPA), and has an effect on their ability to meet graduation requirements. Non-punitive: Grade that does not affect GPA and for which VA education benefits CANNOT be used. Such grades include incomplete, audited, and non-credit courses. Mitigating Circumstances: Conditions that prevent a veteran or eligible individual from continuing with a program of study such as an illness or unanticipated call to active duty. If a student wishes to appeal to the VA for consideration of “mitigating circumstances” they may do so through the certifying official at the institution. Grading system: This policy must include a clear definition of the type of grades a student will find on a grade report or transcript – letter grades with grade point equivalent or grade points – and a definition of what they stand for. For example, “A” means “Excellent” and results in 4 points per credit; “D” means “Below Standard” and results in 1 grade point per credit. Find explanations, descriptive details, and conditions for such items as: incomplete grades, audit courses, withdrawal, satisfactory progress, when progress becomes unsatisfactory, and grade changes.







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Academic Probation: The catalog must describe under what conditions a student will be placed on academic probation, how long they will remain on probation, and what the conditions are for getting off probation. Probation may involve a combination of falling below an acceptable, cumulative GPA, and the number of credits a student is taking. There may be a requirement for the student to meet with their academic advisory to establish a plan for improvement. The policy must include the conditions for continued enrollment for a student that is on probation. Academic Suspension and Reinstatement: This policy is usually tied to the probation policy. A student who is on academic probation and does not raise their GPA to an acceptable level after one term may be put on academic suspension. They may be required to stay on academic suspension for one or more number of terms. Conditions for reinstatement should be clear. For example, it could be that a student put on academic suspension will be re-admitted on academic probation. A second suspension may mean that a student cannot enroll for an academic year. The policy must be clear, and include the method by which the student is notified of the suspension, (usually a letter), the conditions for reinstatement, and should also define their right to appeal. There should be some reference to veterans in these policies, or they may be included in a separate reference for veterans. The information should at least address attendance and a satisfactory progress policy for veteran students (38 CFR 21.4277 and 21.4278). Remember, if a veteran or other eligible person is receiving VA education benefits, and they are placed on academic suspension, benefits are terminated, and must be reported to the VA within 30 days of the last date of attendance. It is your responsibility as you proceed through the approval process to ensure that the policies listed in the school catalog meet the requirements of regulations for veteran and other eligible students. During your inspection visit you will be able to further evaluate and verify that student records provide documentation that the policies are enforced. 4.10 ATTENDANCE. (TOC) A non-accredited school must have an attendance policy (38 CFR 21.4254). The policy must cover leave of absence, class cuts, makeup work, tardiness, and interruption for unsatisfactory attendance. It must be clear and inclusive. According to 38 CFR 21.4253, if the school is accredited and has an attendance policy, it must maintain adequate records to show the policy is enforced. Attendance records documenting the policy can be an indicator of whether a veteran student is making progress toward an education or training objective. As you read the attendance policy for an institution, ask yourself if all of the required elements have been addressed.

Is the school’s policy consistent for all classes offered?

Is there a policy for tardiness? Are specifics mentioned for veterans?

What is an allowable absence? At what point do absences become excessive?

If a student is withdrawn due to non-attendance, does the certifying official report it to the VA immediately?






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If there is information missing, and you suggest changing an inadequate attendance policy in order for the school to come into compliance with regulatory requirements, remember that the school may have to seek approval for a revised policy. When you conduct your inspection visit, and subsequently your compliance and oversight visits, review student records to verify that the attendance policy is enforced. 4.11 STUDENT RECORDS AND TRANSCRIPTS. (TOC) Catalogs must indicate that student records are maintained and include documentation that describes the course requirements for the program objective the student has chosen. This must also include prior credit awarded, and appropriate reduction in coursework remaining; report of grades for courses completed each term; attendance, if appropriate; and generally all information that pertains to the student and the student’s progress toward their stated objective. There should be information regarding where student records are kept and how a student can review their records for accuracy and currency. A statement regarding the student’s responsibility to report changes in demographic and enrollment information should also be included. Information on student records generally includes student privacy rights. You should become familiar with the Family Education Rights and Privacy Act (FERPA). A student must be able to access his/her “Official Transcripts”. The catalog must include information, some of which is listed below, that clearly provides the policy for obtaining an official transcript, whether student wants it immediately, or in the future.

Where does the student go to request a copy of a transcript?

How much does it cost?

Can an official transcript be requested online?

Does the request have to be made in writing?

How long will it take to receive a transcript?

As you review the school’s policies on records and transcripts make sure that the policies are clear and the student will be assured of knowing where to go to find information about their own records and transcripts. 4.12 STANDARDS OF CONDUCT. (TOC) Federal regulations 38 CFR 21.4253(d)(1) and 38 CFR 21.4254(c)(7) require that an IHL or NCD’s certified catalog or bulletin contains a student conduct policy. The policy must include conditions under which a student would be dismissed for unsatisfactory conduct. Records must be kept to confirm that conduct standards are enforced. Why is it important that the conditions for dismissal be stated? It is important for the protection of the student that a clear policy let a student know in advance what they can and can’t do. Entitlement to receiving benefit payments can only be continued if the veteran student is progressing satisfactorily, and maintaining acceptable conduct, in accordance with the policies of the institution. If the student is dismissed due to

http://www.ed.gov/policy/gen/guid/fpco/ferpa/index.html




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unsatisfactory conduct, the termination must be reported to the VA and benefit payments will be stopped as of the date of last attendance reported. The inclusion of conditions for dismissal in the conduct policy clarifies the point at which the veteran’s benefits are in jeopardy and the point at which the school must report a conduct violation to the VA [38 CFR 21.4203(h)]. You can generally verify that the conduct policy is enforced by looking at letters of warning written to the student, minutes of any hearings concerned with student probation, or a list of students suspended during a term. A copy of letters concerning student behavior should be found in their permanent student record. 4.13 PROGRAM AND CURRICULUM DESCRIPTIONS. (TOC) A review of the programs offered by an institution is of the utmost importance. Remember that a major function of the SAAs is to approve programs that can be offered to veterans and other eligible individuals who want to use their education benefits to achieve an educational objective. Review Lesson 3 and the definitions provided at the beginning of this unit. Many catalogs have a section that describes programs in general. Two-year schools may provide a list of the programs offered by type of degree, and/or vocational or occupational certificate program. Some schools use this section to include information regarding the transferability of a degree, the number of credits generally required to complete the degree, and the kinds of courses that are required. Larger schools will often have two separate catalogs, one for undergraduate program requirements, and another for graduate degree programs. Under program descriptions you will find: core requirements, major, second major, minor or concentration requirements, and options available. The purpose of the program and the type of work that the program prepares a student for may also be included in this section. Whether addressing two-year, four-year, graduate, or professional programs, these descriptions are important for SAA evaluation purposes, and during the student’s enrollment and decision-making process. Academic programs, whether two year or four year programs, are generally divided into sections that address program requirements. For example:

GENERAL EDUCATION: Generally consist of courses that provide common knowledges and intellectual concepts that are the critical foundation courses for a quality education program. Common course requirements for general education are a selected number of credits in each of: communications (English), critical thinking, math, life sciences (Biology, Chemistry – with lab), social and behavioral sciences, arts and humanities. The specific course choices should be listed in the catalog in general information or with the degree program information. CORE OR MAJOR: Courses that concentrate in the subject area of study. The number of credits will be listed, but can be up to half or more of the program requirements.



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MINOR OR RELATED: If a minor is required, the number of credits, and type of courses or course selections, will be provided. If a minor is not required then courses generally related to the major are usually provided as choices. ELECTIVES: The number of elective choices can be left up to the student or may be strongly suggested, or required, from a provided list. The number of credits varies from program to program, and may be as few as one or two courses, or as many as six or more.

Graduate programs have very specific requirements in the particular area of study and an advisor usually guides students in graduate programs. At a minimum, the number of credits required for graduation, the number of credits that must be earned from that school, the number of transfer credits allowed, the coursework that must be completed, and the final exam or thesis requirements must be provided. Vocational or occupational programs are usually certificate programs and may or may not have general education requirements. Some vocational programs are as short as 6 credits, others as lengthy as 75 credits, and still others are measured in clock hours. Vocational program requirements are generally specific to an area of study whether the result is a certificate or a degree. A certificate in Welding may be 55 credits of welding and welding related courses only; an associate degree in Welding may be 73 credits with 18 credits of general education courses, 52 credits of welding courses and 5 credits of related courses; and another program may require 150 hours. Specific course descriptions are found either under the description of the program curriculum or more commonly in a section that provides alphabetical course descriptions or by subject area. Regardless, they must be part of the catalog. As you review a program curriculum, you may want to compare the description of a program’s courses with descriptions of courses in similar programs that are already approved. If most two-year colleges require 60 semester hours to complete an associate degree, and the program you are evaluating requires 72 hours, you will want to ensure that the requirement is appropriate. Some highly technical or vocation programs have a greater number of credits required – if you have compared such a program to others that are similar and have found that it is not unusual, then it is probably acceptable. If you are unsure or have questions about a program, it is always good to have a conversation with your colleagues. Remember, programs will differ from school to school based on their philosophy – what you are looking for is ballpark agreement. 4.14 GRADUATION REQUIREMENTS. (TOC) Graduation requirements must be provided in the catalog. Some catalogs address this separately, and include: the deadline for application for graduation, minimum GPA, required number of credits, the process for planning for graduation, and general program requirements. Other catalogs incorporate the graduation requirements as part of the description of the program, and still others have a separate section with general information and any specific elements


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noted as part of the program curriculum requirements. Ensure that policies and processes are clearly stated so students know exactly what must be accomplished in order to graduate in a timely manner. 4.15 ADMINISTRATION, FACULTY, AND STAFF. (TOC) As you learned in Lesson 3, 3.5.3, the quality of the learning offered by an educational institution will largely be determined by the education, experience, integrity, and dedication of the administrative and teaching personnel of the institution. As required by the regulation for non-accredited programs, school catalogs must include a list of the administration and faculty with their qualification 38 CFR 21.4254(c). Although it is not required, you will find that most accredited institutions list their faculty and governing body along with their credentials, in their school catalog. The regulation requires that there be adequate instructors who are qualified to provide training of good quality. At the college level, it is normally expected that faculty will have a degree in the field in which they are teaching that is equal to, or higher than the degree level they teach. For those teaching an NCD program, the level of experience might be as important as the education level. The number of faculty members should be adequate to ensure divergent viewpoints, and enable the school to schedule the necessary number of courses in a convenient and timely manner. A catalog may stipulate the maximum number of students per instructor/class, or you should ask this when you do your inspection visit. As you assess school personnel, review any additional requirements of your state. If you have a major concern regarding personnel qualification or practices, talk to a school official – remember that diplomacy and flexibility will serve you well. 4.16 COOPERATIVE COURSES. (TOC) A cooperative program is a full-time, planned program of education that includes classroom instruction courses alternating with training in a business or industrial setting that supplements the institutional portion, 38 CFR 21.4233 provides the parameters of the regulation governing this kind of training. You may also want to refer to M22-4, Part IX, Chapter 3. A key requirement for cooperative training is that the classroom instruction time must be at least half of the training time and the job training time sufficient for the combined training time to be considered full time. If a school offers this kind of training, there should be some descriptive information provided in the catalog. It may be included under the section that addresses independent study and should be part of the description of the programs that offer, or require, cooperative training as part of the program. Policies regarding cooperative education and training should address such things as:

When a student may participate in this kind of training

The length of the classroom portion and job experience portion, and the amount of credit awarded

How the school works with organizations to provide the job experience






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The responsibilities of each of the participants

How attendance is verified

How the course of study and job experience is supervised and controlled

How grading and credit assignments are made – same as a campus course?

How documentation is maintained

4.17 INDEPENDENT STUDY. (TOC) An independent study course is generally a non-resident course (see Lesson 3, 3.4.1). A course taken by independent study must lead to a college degree or certificate at an accredited IHL. Catalogs from schools offering independent study should have a descriptive section that addresses conditions and requirements for this mode of delivery. 38 CFR 21.4267 provides the regulatory requirements for independent study. As you review the catalog, become familiar with this regulation. Independent study is a mode of delivery in itself, and resident instruction, cooperative courses, graduate research, flight training, student teaching, and correspondence instruction are NOT considered to be independent study. The VA views independent study as the equivalent of distance learning. An explanation of approval of distance education coursework is provided in Lesson 3, 3.4.3 in this Unit. Review this section, the regulations, and the Principles of Good Practice for electronically delivered programs in Appendix A as you begin to evaluate a catalog description for independent study. The catalog description for independent study should include the methods of communication that will be established between the faculty and the student, and timelines for completion. It must be clear that the course or program offered under independent study is the same as the course offered on-campus. Grading, credit values, course assignments, and graduation requirements should all be the same no matter what the mode of delivery. 4.18 PRACTICAL TRAINING. (TOC) Some IHL and NCD programs require practical training as part of the program. Practical training provides a student with the opportunity to apply theories learned in the classroom to a workplace environment and provides valuable experience as they enter employment. Off campus non-medical practical training courses may be given the terms, internship, residency, practicum, or externship. It may be included as part of a cooperative program when the course meets the requirements of 38 CFR 21.4233. However, 38 CFR 21.4265 defines practical training as resident instruction if all of the following conditions are met. The course is:

Accredited by a nationally recognized accrediting agency or is offered by a school that is regionally accredited

Part of an approved curriculum

Directly supervised by the school

Measured in the same units as other courses






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Required for graduation, and

Has a planned program of activities described in the school’s SAA approved catalog and which are institutional in nature and include:

A description of the courses and provision for an assigned instructor

A statement that the school, not the job establishment, controls the program of activities

A requirement for class attendance at least a weekly basis

A statement that appropriate assignments are required for completion

A grading system similar to the system used for other resident subjects

A schedule of time required for the training that demonstrates the student will spend at last as much time in preparation and training as normally required by the school for its other resident courses

Again as with cooperative training and independent study, the catalog must define the policy for practical training in a clear manner so that the student is fully aware of the conditions and responsibilities for completion of a course that includes practical training.

LESSON 5 INSPECTION VISIT (TOC)

An inspection visit is an important piece of the approval of a new institution and is generally required as part of the approval process. This may be your first opportunity to meet with school officials. You may choose to talk with the certifying official and the person who completed the application, the president, academic director, registrar, or librarian. Let the school know ahead of time the person or people you would like to see. At this time you should discuss issues you want to have clarified, inspect the facilities and equipment, review documentation that ensures policies are implemented and enforced, and review how the school maintains student records. Many SAAs have developed a “Visit Checklist” for inspection visits (see Appendix I for examples); review your agency checklist. In addition, you may have a list of items you noted as you worked through the evaluation of the application, or specific things that you want to observe or inspect. Schedule your inspection visit. Send a formal letter or email to confirm the visit date and time, and state the purpose for the inspection. At some point during your inspection visit you will want to spend some time with the certifying official of the institution. This is the time you will review the certification requirements, requirements for maintenance of veterans’ files, reporting requirements, process for reporting any changes, and the compliance survey and oversight process. An inspection visit will give you the opportunity to examine the facilities. Consider looking at some or all of the following facilities:

Classroom facilities including those that require specific equipment such as computers, special scientific equipment and tools

The library, to ensure that the materials are adequate to support programs offered


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The administrative offices housing student services including admissions, records, financial aid, and faculty offices

If the campus is small, tour the entire facility; if it is large, choose the facilities you would like to see

As you go through your checklist, think about the following:

Clarify institutional policies by reviewing documentation in student records, and determine the systems and personnel in place to carry out the policies

Discuss the methods for hiring and training both adjunct and full-time faculty

Check that the policies, support services, and resources at branch campuses are the same as those at the main campus

Discuss delivery modes and especially distance education programs and policies

Examine the school’s advertising for the past year

Review the processes a certifying official has in place for working with veterans and others eligible, and how the certifying official stays in informed

After the visit, it is your responsibility to complete an inspection visit report. Your SAA may have an outline, or it may require that the report be completed with a checklist and a short narrative. Whatever the format, complete the report as soon as possible following the visit. The inspection visit report will become part of your final evaluation to the VA, but also send it with the approval or disapproval letter to the institution.

LESSON 6 FINAL REVIEW AND APPROVAL CRITERIA (TOC)

6.1 GENERAL INFORMATION. (TOC) The review and evaluation process of an application is based upon standards set forth in Public Law, US Code, and Code of Federal Regulation. While you need to be familiar with these governing documents you also need to be aware of how your SAA uses those principles and any additional state requirements to evaluate programs. An IHL or NCD may be accredited or non-accredited and must be evaluated by the appropriate approval criteria. These standards require that you evaluate an institution’s programs in two general ways. First, review the elements that ensure that the programs meet basic standards of education quality. Second, assess the institution’s policies regarding student academic progress and maintenance of appropriate records. As you conduct your final review of the material provided in the application, your notes and checklists, and what you found during your visit, review a synopsis of the approval criteria provided for you on the following pages. The charts provide the approval requirements and criteria for both accredited and non-accredited institutions. These charts may provide a review and/or may be used as a reference. See charts below:


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6.2 REQUIREMENTS FOR APPROVAL. (TOC) The following chart lists the requirements for approval and indicates whether they pertain to accredited (38 CFR 21.4253) and/or non-accredited 38 CFR 21.4254 institutions. Each element references the appropriate CFR.

REQUIREMENTS Accredited

38 CFR

Non-Accredited

CFR

Written application for approval of programs will be submitted to the SAA

21.4253(d)

21.4254(b)

Certified copies of the school publication in the form of a catalog or bulletin (2 copies required for Non-accredited)

21.4253(d)(1)

21.4254(b)

The Publication must include:

Identifying data such as volume, number & date 21.4254(b)(1)

Name of the school, governing body, officials & faculty

21.4254(b)(2)

A calendar with appropriate information 21.4254(b)(3)

Policy on enrollment & admission requirements 21.4254(b)(4)

Policy regarding attendance (Note: If an accredited schools has a policy it must enforce such standards)

21.4253(d)(1)

21.4254(b)(5)

Policy relative to standards of progress including grading system, satisfactory progress, probationary period & conditions for re-entrance

21.4253(d)(1)

21.4254(b)(6)

Policy on student progress records maintained & furnished to the student

21.4253(d)(1)

21.4254(b)(6)

Policy relative to granting credit for previous education and training

21.4254(b)(13)

Policy regarding student conduct & dismissal for unsatisfactory conduct

21.4253(d)(1)

21.4254(b)(7)

Detailed schedule of tuition & fees including student activities & all additional charges

21.4254(b)(8)

Refund policy for the unused portion of tuition, fees & other charges

21.4254(b)(9)

Description of available space, facilities & equipment 21.4254(b)(10)

A program outline for each program for which approval is requested & specific requirements for graduation

21.4253(d)(1)

21.4254(b)(11)



























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6.3 APPROVAL CRITERIA. (TOC) The second chart provides approval criteria added by 38 USC 3676(b)(6) & (7) for accredited institutions. 38 USC 3676 and 38 CFR 21.4254 add approval criteria for non-accredited institutions.

CRITERIA

Accredited

Non-Accredited

Courses, curriculum & instruction are consistent in quality, content & length with similar recognized & accepted standards

CFR 21.4253(d)(6)

USC 3675 (b)(3)

USC 3676(c)(1)

CFR 21.4254 (c)(1)

USC 3676(c)(1)

Adequate space, equipment, instructional material & instructors to provide training of good quality

CFR 21.4253(d)(7)

USC 3675(b)(3)

USC 3676(c)(2)

CFR 21.4254(c)(2)

Directors, administrators, & instructors have education & experience qualifications that are adequate

CFR 21.4253(d)(8)

USC 3675(b)(3)

USC 3676(c)(3)

CFR 21.4254(c)(3)

USC 3676(c)(3)

Written records maintained of “prior training” with indication that appropriate credit has been awarded, training period shortened, & VA notified

CFR 21.4253(d)(3)

USC 3675(b)(2)

CFR 21.4254(c)(4)

USC 3676(c)(4)

Eligible individuals will have copy of the course outline, tuition & fees schedule & all school policies

USC 3676 CFR 21.4254(c)(5)

USC 3676(c)(5)

A certificate or diploma is issued when education is satisfactorily completed

CFR 21.4254(c)(6)

USC 3676(c)(6)

Adequate records are maintained showing attendance & progress, & standards relating to these policies are enforced

CFR 21.4253(d)(2)

USC 3675(b)(1)

CFR 21.4254(c)(7)

USC 3676(c)(7)

School complies with all state & Federal regulations regarding safety & sanitation codes

CFR 21.4254(c)(8)

USC 3676(c)(8)

Financial Soundness – school is capable of fulfilling its commitment for education & training

CFR 21.4254(c)(9)

USC 3676(c)(9)

Erroneous or misleading advertising is not used by the school

CFR 21.4254(c)(10)

USC 3676(c)(10)

Enrollment limitations established by the SAA are not exceeded by the school

CFR 21.4254(c)(11)

USC 3676(c)(11)

School administrators, operators & owners are of good reputation & character

CFR 21.4254(c)(12)

USC 3676(c)(12)

A policy for the pro rata refund of any unused portion of tuition & fees if veteran fails to enter, withdraws or discontinues study is in place and enforced

CFR 21.4254(c)(13)

USC 3676(c)(13)

Any additional reasonable criteria deemed necessary by the SAA

CFR 21.4253(d) CFR 21.4254 (c)(14)















































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Remember that in addition to the mandatory approval criteria in 38 USC 3676(b)(6) & (7) pertaining to accredited institutions, SAAs have the prerogative to include any or all of the other provisions in this U.S. Code as well. Many SAAs design one approval application and checklist for both IHL and NCD schools and programs. Talk with your SAA colleagues and supervisor to learn about your SAA’s policy. As you conduct your evaluation of an initial application, keep in mind the regulations regarding: Programs Precluded (38 CFR 21.4252), Contract Courses [38 CFR 21.4233(e)], Branch Campus (38 CFR 21.4266) and Courses in a Foreign Country (38 CFR 21.4260). The criteria in these regulations pertain to both accredited and non-accredited institutions. As noted in the second chart above, the SAA may mandate additional reasonable criteria. Often, such additional requirements are the product of special circumstances within a state. The formulation of such additional criteria is part of the development of SAA policy, and should be discussed with your ELR. Any additional criteria that are developed must be furnished to the VA and to the facilities affected. 6.4 FINAL EVALUATION AND DECISION. (TOC) One of the final steps in the evaluation process is your decision to approve or disapprove the institution’s application. You may approve the institution and most of its programs, but there may be a program that does not meet the regulatory and SAA requirements that cannot be approved. Use your professional judgment and be able to quote the laws and regulations that support your decisions. Conduct a final review to make sure that all required elements of the application have been included and that all your questions have been answered either through the material submitted with the application, or from the additional materials you gathered and observations you made during your inspection visit. Consider all of the information for compliance with the appropriate regulation and make the decision. With the knowledge you now have from this Unit and the counsel of your colleagues and supervisor, you can make an informed decision. Your SAA may have a process for approval that includes the material that must be in the packet with your recommendation for approval or disapproval. For the first few that you do, you will likely want to have your supervisor review it before submitting to the VA. As you gain more knowledge, understanding, and experience, you will be able to process an application on your own with greater confidence.

LESSON 7 REPORTS AND NOTIFICATION (TOC)

7.1 APPROVAL NOTIFICATION. (TOC) Once a final decision has been made, both the school and the VA must be notified. If you have decided that the school is in compliance with all of the requirements for approval you will furnish an official letter to the school stating such. You must describe the conditions under which the approval was made, and provide a list of the programs that have been approved.









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Complete your letter and send it to the institution. Provide a copy of the approval letter to the VA and include one copy of the school catalog, and any other pertinent attachments that your ELR and SAA have agreed upon. In accordance with 38 CFR 21.4258, at a minimum, the letter must include:

The effective date of the approval, and if different, the effective date of the approval of the programs

Date when all documentation necessary to support the approval package was received

The complete name and address of the school and if appropriate, any branch campuses or teaching locations

The regulatory authority under which the approval was determined and, if appropriate, any conditions associated with your decision

If the institution is accredited, the name of the accrediting agency

The name of each program approved

Where applicable, any enrollment limitations such as maximum number of students authorized and student-teacher ratio

A statement that the institution does not utilize erroneous or deceptive advertising, or enrollment practices

A statement that the approval is affective upon concurrence of the VA

The signature of the responsible official of the SAA

Any other fair and reasonable provisions that are considered necessary by the SAA

Some SAAs, in consultation with their ELRs have agreed to include a statement that indicates that an approval is subject to the acceptance of the VA. This helps in several areas. As the ELR reviews the approval package, there may be additional information that the SAA must obtain. It helps the institution understand that they cannot certify training for veterans or eligible individuals until the VA has issued a facility code to the training establishment and the certifying official has received training in the certification and records management requirements. An example of such a statement for an initial approval might be:

“Approval is contingent upon final review and acceptance by the Department of Veterans Affairs (VA). Veterans are not to be certified for receipt of veteran’s benefits until the facility code issued by the VA has been received.”

Confer with your supervisor so that you know the appropriate procedure in your state. Most SAAs have a standard format for approval and disapproval letters. Your agency may have a format in place. It is the policy of some SAAs to send their notification letters to the Chief Executive Officer or President of the institution, or to a designated person with a copy to the certifying official. Others send it directly to the person who completed the application for initial approval with a copy to the certifying official. Still others send it only to the certifying official. It is important to make sure that the certifying




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official receives and maintains a copy of all correspondence, as one of their responsibilities is to maintain a file of information from the SAA and the VA. 7.2 DISAPPROVAL. (TOC) As you complete your evaluation of an application you may find that although the institution and most of its programs meet all regulatory requirements for approval, other programs don’t and therefore must be disapproved. You must furnish an official letter and describe the conditions under which the disapproval of those programs was made. Both approvals and disapprovals for programs submitted by the same institution can be addressed in the same letter. You may make the determination to disapprove one or more programs. If the discrepancies are minor, you might contact the school to discuss the discrepancies and solutions and ask for further written information so that the programs will meet all requirements for approval. You may also choose to notify the school of your decision by letter, and include the issues you found with suggestions for solutions. In both cases you should establish a time limit for the school to correct the discrepancies. If they do not respond within the time limit, send a letter of disapproval. If the discrepancies are numerous, the application is not complete or lacks sufficient information, or if there are major problems and the school does not meet regulatory standards, then you must disapprove the application altogether. Complete and send a letter of disapproval to the school. As you craft your notification of disapproval, include the following:

State that you are disapproving the application for approval, or provide the name of the program(s) disapproved

Describe the evidence that was found that the program or school is not in compliance.

Clearly describe the specific reason why they are out of compliance and quote the appropriate regulation

Suggest actions that the school can take to come into compliance, if appropriate

State the time period that the school has to take corrective action, if appropriate

Send a copy of the letter to the VA

7.3 REPORTS AND RECORDS. (TOC) How you maintain your data is up to your individual SAA. However, there are requirements for reporting and maintaining records that are part of the contract that the SAA has with the VA. Although you will learn more about this in Unit V, be aware of the data that is required by the VA for each of your approvals or disapprovals and how your SAA maintains its records and reports. When a copy of an initial approval letter is sent to the VA it should include copies of:

The application for approval with attachments

One current certified catalog and if appropriate (for NCDs) class schedules


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The inspection report

A signed copy of VA Form 22-8794, Designation of Certifying Officials

A signed copy of VA Form 20-8206, Statement of Assurance of Compliance with Equal Opportunity Laws, if appropriate

A completed and signed copy of VA Form 22-1919, Conflicting Interests Certification (in the case of proprietary institutions only)

Any other pertinent information regarding the approval that the SAA deems necessary

The final step in any activity is to record the “activity counts” in your agency’s quarterly report. Your supervisor will explain this to you. Your SAA might maintain data electronically or manually. It is important to maintain the required data for the quarterly report as this contributes to the disbursement of funds your SAA receives each year. You need to understand how your data is maintained. You will learn more about this in Unit V, Agency Management, and how it affects your contract with VA. Your final step will be to complete the report, input the data, and file the information.

CHAPTER 2 CONTINUED APPROVAL (TOC)

LESSON 1 OVERVIEW (TOC)

Once an institution has been approved, the maintenance of that approval is dependent upon the institution’s continued compliance with the same regulations and SAA policies that were required for initial approval. Assurance that an institution continues to conform to all regulations and policies is usually determined at the time of a compliance survey and oversight visit conducted by the SAA or VA. According to 38 USC 3672 (b)(2)(A)(i), an accredited standard college program offered at a public or not-for-profit proprietary school, is considered to be “deemed approved.” Therefore, once such a program has been approved, it remains approved unless the VA withdraws approval for any reason. SAAs may recommend suspension or withdrawal of a “deemed approved” program, but the VA will complete the official action. The SAA approves and monitors all other degree and certificate programs. That includes all NCD programs, and those degree programs offered by proprietary for-profit institution. As part of the process you will ensure that the school continues to meet the following requirements. These can be evaluated during the compliance survey and oversight visit.

The school maintains adequate records to show that satisfactory standards relating to progress and conduct are enforced. 38 USC 3675(b)(1)

The school maintains a written record that indicates that prior education was evaluated and, if appropriate, credit has been given and the program shorten accordingly. 38 USC 3675(b)(2),

The school does not certify students enrolled in programs that cannot be approved under 38 USC 3680A




http://www.law.cornell.edu/uscode/text/38/3680A


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The school immediately reports any changes, or termination in the enrollment of a veteran in a course of study

The school will adequately compute, record and certify the number of certifications for their reimbursement of the “reporting fee” 38 USC 3684

The school’s advertising, sales and enrollment practices must not be erroneous, deceptive, or misleading and they must maintain a record of such practices for review by the SAA or VA

Changes may include changes in ownership, changes to programs, and additions or deletions of programs. Changes must be reported in writing and should include specific information. If it pertains to a new program, either a copy of the program or a certified copy of a new catalog containing the description of the program must be included. It also includes a new catalog that has been published. You want to be able to trace any changes by reviewing any letters and/or the VA Notification Forms. Deemed approved schools must complete a VA “Notification Form for Modification to Programs” (See Appendix E) and send it to the VA if they have any changes. The VA will send notification of any changes to the SAA. Reporting changes in a timely manner (within 30 days of the change) is an important criterion for maintaining approval. While you are conducting a compliance survey and oversight visit, you may note that a change of some sort has taken place. Discuss the requirements for reporting changes with the certifying official. Request that the school submit a request for change by letter or VA Notification form, as appropriate. Although not a requirement, it is a good idea to maintain communication with training facilities at least annually to determine if the organization and the approved programs remain constant. Remember: The requirement for reporting any change in status of an institution or a program must be reported to the SAA or VA within 30 days. As you work with school officials, continue to emphasize this.

CHAPTER 3 COMPLIANCE SURVEYS AND OTHER VISITS (TOC)

LESSON 1 COMPLIANCE SURVEYS (TOC) 1.1 OVERVIEW. (TOC) With the advent of PL111-377, one of the SAAs responsibilities is to conduct compliance surveys. Compliance surveys are conducted to ensure that IHL and NCD institutions are in compliance with all provisions of the laws, and if they are not, work with the school to correct the deficiency or violation. The purpose of the compliance survey is to:

Prevent, and identify and assure action is taken to correct, deficiencies and violations

Assure that institutions are in compliance with all provisions of the laws

Verify payments made to individuals enrolled


http://www.gpo.gov/fdsys/pkg/PLAW-111publ377/pdf/PLAW-111publ377.pdf


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If necessary, take action to discontinue benefits in the event that correction is not accomplished

Assist the certifying official and employer with understanding their responsibilities and the process for certification and maintenance of veteran student files

Conduct oversight activities

Each year, with the annual contract, your ELR will negotiate a list of schools that require a compliance visit from the SAA during the contract year. The SAA must schedule the survey visits as part of its Business Plan and must complete a contractually assigned percentage of the visits including the required paperwork and reports. For FY14 the number of visits assigned to each full-time SAA professional is 20 (or proportional for those who are part-time) and 90% of the assigned surveys must be completed. Because of long standing, demonstrated records of compliance, a recent procedural advisory (Appendix J1) waived the requirement for compliance surveys for high schools, and federal OJT and apprenticeship programs. Other institutions will also be considered for a waiver, if they have a demonstrated successful record of compliance during the last three years. Other than high school and federal apprenticeship and OJT programs, such waivers are possible for no more than two years. In other words, a school that has been granted a waiver must receive a compliance survey on the third year. The advisory defines the requirements for “demonstrated record of compliance.” ELRs will review all facilities and send a “consideration form” (see advisory) with recommendation to the CELO who will develop a list to forward to the Education Officer at VACO. VACO will make the final decision and return the approved list of schools that have been granted waivers to the RPO. When this process has been completed the final compliance survey requirements for the fiscal year will be determined by the ELR. Newly approved schools that are active are generally put on the list for a compliance visit in the year following approval. About 60% of facilities with 300 or more beneficiary students, and 60% of NCD degree granting facilities should be scheduled for the fiscal year. Your agency’s list is determined by your ELR in consultation with your SAA. You should read the advisory at Appendix J1 for details. There are several resources available to help you through this process. Some help by providing guidance and include regulations, reference books, policy advisories, and a Certifying Official’s Handbook. Others are the VA systems you will use to gather the information from each individual’s record that you will be reviewing. You should be aware of the following resources:

38 USC 3693

M22-4

VA System Resources:

Benefits Delivery Network (BDN) - provides a history of information about the veteran including eligibility, certification and payment, and all claims submitted


http://warms.vba.va.gov/M22_4.html

http://warms.vba.va.gov/M22_4.html


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VA Online Certification of Enrollment (VA ONCE) - system used by schools to transmit enrollment information

Web Enabled Approval Management System (WEAMS) - provides approval information about the school including approved programs, approval dates, certifying official, etc.

SHARE – provides information about payment and benefits

The Information Management System (TIMS) – electronic files for all education beneficiaries

The Long Term Solution (LTS) – Chapter 33 processing system. Note that this will soon supplant TIMS as the primary source for enrollment and award information related to Chapter 33 beneficiaries

VA ONCE Quick Reference Book: located online at www.gibill.va.gov (located within the School Resources section)

VA Policy Advisories: For those who have access to VBA systems, copy and paste the link below into an internet browser from within the VBA system http://vbaw.vba.va.gov/bl/22/ref/advisories/index.html then go to the appropriate link in the left column

Certifying Official’s Handbook: go to the GI Bill link, then the School Resources section.

The NTC on the NASAA website 1.2 STEPS TO COMPLETE A COMPLIANCE SURVEY. (TOC) Review the processes for accomplishing compliance survey in M22-4, Part X, Chapters 3 and 4, Sub-chapters I and II, and consult with your supervisor and colleagues for the procedures established by your particular SAA. You will see reference to many VA forms here. Some of the forms and useful examples are provided for you in Appendix J. SAAs have access to the key VA automated systems mentioned above to collect data necessary to conduct a compliance survey. An explanation will be given, where appropriate, but your SAA supervisor and colleagues are the best source of information regarding how these forms are used and how you can access them. Be well prepared and you will have the foundation for a successful compliance visit. Specific trainee files are selected randomly. The number of files to be reviewed is based on guidance provided for each fiscal year in the “Advisory,” mentioned above, from the VA. Please review the FY14 Advisory at Appendix J1. Generally, when the number of veterans in a particular program is small, all the files will be reviewed. In most cases you will be asked to review about 10% of the total number, a minimum sample size of 10 or a maximum of 45 cases. Note the chart in the FY14 Advisory. The steps to complete a compliance survey are:

Notify the institution that you want to conduct a compliance survey and oversight visit – set a date and time

Prepare a survey file

Conduct the survey field work at the school

Provide an exit briefing to facility officials

http://www.gibill.va.gov/

http://vbaw.vba.va.gov/bl/22/ref/advisories/index.html


http://www.nasaa-vetseducation.com/



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Post Field work: Notifying the VA, if appropriate, of any discrepancies that require payment

correction Finish a compliance worksheet for each student file reviewed Complete the compliance survey report and narrative

Complete Survey File Organize the survey file and submit to the RPO once all issues and referrals

have been appropriately resolved Prepare and mail a post-survey letter report to the training organization Record the activities in the quarterly

1.2.1 Notification. (TOC) Notify the school that you will be conducting a compliance survey. Give yourself adequate time to prepare, or make your appointment after you have completed your preparation. You should phone or email the organization and negotiate a date or time, then verify with an email or formal letter sent by mail (See Appendix J2 for an example). Be specific about the date and time; give them the names of the student’s files you want to see. Ask them for an adequate area in which to work and describe the information and documentation that you must see. An example of the specific information you will request and the names of the VA trainee records you want to review are provided in the notification letter in Appendix J2. This should include items such as:

A definition of the review period of the survey – it should generally be from the ending date of the last survey conducted in relationship to the dates of the semester, quarter or term dates. DVA usually provides revised dates to ensure that the same records are not reviewed from year to year.

All VA documents, records and files for the students requested in the notification letter including certifications (VAF 22-1999) and any applicable changes (VAF 22-1995). These forms may be printed from VAONCE

Documents that show prior credit evaluation and credit awarded, if any

Any additional information related to the progress of the student

The current catalog – explain that you will want them to be prepared to discuss any changes, additions or deletions in programs, policies, tuition and fees, or any other pertinent information

Enrollment documents

Recent advertising and forms used by the school or certifying official’s office for enrollment, notification, etc.

Any other information you have determined you want to review

Request that the school let VA students (specifically at proprietary, for-profit schools) know the date you will be conducting the compliance survey and oversight visit and that you will be available to them for questions. Ask the school to schedule a time for any students who wish to see you. Some SAAs send an attachment to the notification letter asking questions, and for specific information that the school can answer and return to the SAA ahead of time. This will be helpful to you and perhaps shorten the visit. If it is possible, request that the


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school email or mail their responses as soon as possible so that you will receive them before the scheduled visit. An example of such questions is provided in Enclosure 1 of the notification letter. Once you have completed the arrangements for the survey and visit, provided the information to the school, and sent a formal notification letter with attachments, you can begin to prepare the survey file. If you would rather, you may prepare the file and student records before making the appointment with the school. Either way, make sure you have time to prepare for the survey and visit.

1.2.2 Preparing the Survey. (TOC) Review the approval file, WEAMS documents and any previous compliance surveys that might have been conducted. Note the system used by the school for maintaining records and completing certifications and also note any discrepancies that might have been reported in the last survey. Use the basic information from the documents you have received from the VA systems on each student you are required to review, begin to prepare a “Compliance Survey Worksheet.” The student compliance worksheet may be one developed by the NASAA (Appendix J3) or one developed by VA (Appendix J4). Either one is acceptable as long as there is a worksheet completed for each required student. Ensure that you have all you will need to conduct the compliance. You will choose which files to review utilizing VA procedures that follow. Under normal circumstances samples will be proportionately distributed by benefit usage. For example, if 10% of the VA students are receiving Chapter 30 benefits, 15% are Chapter 33 and 5% Chapter 35, then 10% of the sample files selected for review will be Chapter 30, 15% Chapter 33 and 5% Chapter 35. Adhere to the appropriate percentages as much as you are able. Prepare a survey file for each VA beneficiary assigned using one of the compliance worksheets at Appendix J3 or J4. (Also see Appendix J5 for examples of completed forms). This will be the major part of the survey file that contains the information you want to take with you to the school. Review the approval file and any prior compliance visits or supervisory visits that have been conducted in the past. Make notes on items you want to review during your compliance and oversight visit such as:

Approval information: review your SAA approval file and information found on the WEAMS report (VA Form 22-1998). You will find institutional information regarding the school, original approval date, programs approved, enrollment limitations, delivery methods, and names of certifying and relevant school officials. It should be current with any changes that have taken place

A list of the approved certificate and degree programs

Notes regarding items or discrepancies from prior surveys or visits or anything that you think you should review during your visit

Calendar dates with registration periods, start and end date of semesters/quarters, holidays, and break periods and all other pertinent information

If applicable, record of the 85:15 rule


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Systems in place to maintain records and complete certifications

Policies in place regarding standards of progress and evaluation of prior credit

A compliance worksheet for each VA student with information about the facility and each beneficiary gathered from VA systems:

o BDN

o SHARE

o WEAMS

o LTS

o VAONCE

Any additional items you feel you will need

Jot down items on your working papers that you want to discuss with school officials, and for each general area of review you will be conducting. Use the information from the documents you have researched from the VA systems and complete a compliance worksheet for each student. Ensure that you have all you will need to conduct the compliance. 1.2.3 Conduct Field Work. (TOC) You should conduct an entrance interview with school officials prior to the start of fieldwork. During this period, explain the purpose of the compliance survey and how it will be accomplished. Verify information such as, names of school officials, telephone numbers, and email information. Discuss general issues such as how student files are maintained, the frequency and type of communication the certifying official has with the students, process for certifying veterans and making changes, any other topics you may have. Request two certified copies of the most current catalog and any handbooks, if you do not have the most recent publications. Ensure that you have all of the documents and information you need on each student file you are going to review. You are ready to begin. Let the certifying official know that as discrepancies are discovered during the survey, you may discuss the issue(s) with them and try to resolve. The certifying official may be able to provide additional documentation that resolves the issue. If it is a simple error and can be resolved on the spot, you will make sure the certifying official understands the issue and makes the correction. Such issues must be written up in your report, but further action or referrals are not necessary. If, however, discrepancies are payment issues of any kind, you must complete a referral. Fieldwork can be conducted in two parts. You will verify that the school itself remains in compliance with the initial approval data and that changes have been reported and recorded. You will also review each student’s file to ensure maintenance of student files is accordance with regulatory requirements. These steps can be conducted in any order. To verify that the facility remains in compliance with all initial approval criteria, examine initial approval conditions, confirming that school information and the list of approved programs is current, and that appropriate policies are in place and enforced by the school. Some of this can be confirmed from your discussions with the school officials,


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some from the question sheet you sent ahead of time and some during your inspection of the student files. Verify that you have two certified copies of the most current catalog. Reviewing VA beneficiary files is the primary focus of a compliance survey. Conduct a systematic review of each student’s file working with the information on your worksheet. Review the VA documentation that you have acquired, the documentation provided by the school in the file, and any additional paperwork you might have requested. Examine at least the following:

The student was approved by the VA to receive benefits before beginning the program

The program in which the student is enrolled is on the school’s list of approved programs (note: deemed approved programs may not be included on the list).

Confirm the date the student was enrolled and the date they began classes

An evaluation of prior credit.

Was there credit awarded? Was the program shortened appropriately? If there wasn’t credit awarded, perhaps you will want to trace the reason?

Certifications and records maintained by the school.

Are the certifications, changes, and/or terminations reported in a timely and accurate manner? (Generally, within 30 days)

Were the courses certified appropriate to the program? Are credit or clock hours reported properly? Are the certifications in logical order? Is the school maintaining accurate,

complete and current records? Do all certifications you review match VAF 22-1999 and 1999b forms and the

payment information that you have from the VA systems? If there is an attendance policy? Is it enforced and reported with copies in the

student file?

Tuition and Fees.

Are charges for tuition and fees accurately reported to the VA? (Note: for Chapter 33 students, only the actual net cost for in-state tuition and fees may be certified to the VA. If the student has any other funding sources that apply exclusively to tuition and fees, such as specific scholarships) these must be subtracted from the tuition and fees reported to VA.

Are tuition and fees the same as those charged other students? Are special fees reported?

The progress of the student through the course of study.

Does the program lead to an educational, vocational or professional goal? Are all courses required by/pertinent to the program? Is the student completing classes in the program as listed in the catalog? Is the student progressing through the curriculum in a reasonable timeframe? Is the VA notified promptly if the student fails to progress satisfactorily? Terminations and/or program completions are reported to the VA in a timely

manner with correct dates

Ensure that vets and non-vets are treated equally


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Complete a compliance survey worksheet for each VA student as you review the file. Make detailed notes on any discrepancies that you find. Make copies of supporting documentation for any discrepancies and include them in the compliance folder. Note any issues pertaining to the student, concerns about the maintenance of the student’s file, or any other relevant points you might have. Make sure you have included any issues that need to be addressed and that you will discuss with facility officials at your exit briefing. You will discuss these with the school officials at your exit briefing and make them part of the Compliance Survey Report (VAF 22-1934, Appendix J6), and the Narrative Report (Appendix J8). Also see Appendix J7 for an example of a completed 22-1934. Conduct any interviews that have been scheduled with veteran students. Provide answers to any questions they might have, listen and if possible resolve issues or refer to the VA for resolution. Try to gain information on student satisfaction with the facility. If students have issues with the training facility try to resolve with the certifying or other officials. Provide appropriate information to organization officials during the exit briefing and note any pertinent points in your narrative.

1.2.4. Exit Interview. (TOC) Conduct an exit interview with the certifying official and/or organization officials. Discuss what you have found including any discrepancies and what they will need to do to correct them. Make recommendations or suggestions for overall improvements if appropriate. Also comment on noteworthy procedures or processes they have in place. Let them know that they will receive a formal letter summarizing the results of the survey. Let them know that they will receive a formal letter with the results of the survey. Don’t surprise them with issues in a letter when you haven’t discussed it with them during the visit. 1.2.5 Post Field Work. (TOC) Following completion of the survey fieldwork, you will have a number of things to complete and send as part of your report to VA. One of the most important steps is to provide the appropriate supporting documentation for your findings (M22-4, Part X). In general, you can make notations on the compliance survey worksheet or on other working papers. However, you should also make copies of supporting information for any discrepancies and include them with the student compliance worksheet. You will need to prepare a correction report/referral for each discrepancy requiring corrective action by the VA Claims Examiners (VCE) at your RPO. Referrals are discrepancies that you noted during the survey that require correction to payments. If you haven’t done one of these, ask your supervisor for help. Track these referrals on at least a weekly basis to ensure completion by the VA. You will receive an email back from the VCE informing you of the action that has been taken. This email must be part of the final compliance survey report sent to the RPO as it shows resolution and the date of resolution. If a response email is not sent, you may make a copy of the award action, adverse action letter, etc., (found in TIMS) in lieu of the email to document that



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the correct action has been taken. Keep track of payment corrections in your own training organization file. The Compliance Survey Report must be finished (see Appendix J6). Complete the general section and those that pertain to the school. If you are completing this form on-line you may add the narrative following the end of the 22-1934. If not, use a separate attachment. The narrative should be completed in three sections (See Appendix J8 for an example):

1. Describe the purpose of the visit, the records that were reviewed, and the names and titles of the people at the entrance and exit interviews.

2. Describe and document any general discrepancies found at the school and any found in the individual cases that you reviewed. Describe the type of discrepancy, the name and claim number of the student, what you found, the probable cause of the discrepancy and the action you recommend to correct the error.

3. Provide a summary of the actions. List the facility officials you spoke with, VA beneficiary contacts made, if appropriate, and concisely relate the discussion, any agreements reached and actions taken during the survey. Include your recommendations for corrective action, if any.

Include your recommendations for corrective action, if any. Recommend when the next survey should take place. Prepare a letter that will go to the school outlining the purpose and findings of the survey. You may conclude that there are no discrepancies or you may have to outline the discrepancies noted (Appendix J10), whether they could be resolved during the survey, or whether further action is required. Cite any regulations or US Codes that support the discrepancy and required change. If necessary, you may request a response from the school regarding how and when corrective action will be taken. 1.2.6 Complete Survey File. (TOC) Prepare the completed Survey file in an organized manner and arrange in logical order. Your agency director will work with your ELR to determine the paperwork that must go into the file and how it should be structured. The following, from M22-4, is one suggestion for organizing your file. You should at least include:

The final letter reporting the general findings of the compliance survey

Notification letter to the school

Any other correspondence with the school regarding the compliance survey and oversight visit, including letters, emails and phone call notes

Most recent WEAMS report

The completed VA 22-1934, Compliance Survey Report

The Compliance Narrative Report



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The Compliance Survey Worksheets for each trainee file that was reviewed. If there are discrepancies in a file, include the Compliance Survey Referral; supporting documentation such as program requirements, enrollment and change certifications, and transcripts; the “come back” copy from VCE showing the payment resolution. If there are no errors, include only the worksheet.

Some agencies send completed survey files without referrals to the ELR and those with referrals to the RPO; other send all completed surveys to the RPO. Consult with your supervisor for specific direction. If no referrals are necessary, the completed compliance folder must be submitted within 35 days of the date of the survey. If a referral is necessary, you have a maximum of 35 days from the date of the survey to submit the referral to the RPO for adjustment. When discrepancies are found and you submit a referral to the RPO, you have a maximum of 35 days from the date that the RPO notifies you that the referral action has been completed to send the completed compliance folder, including all appropriate documents that support discrepancies to the RPO. Include the email from the RPO showing the date notification was sent to you advising you the referral action was complete. Always make referrals to the RPO and close out compliance surveys as soon as possible, as any delays can cause increased debt. (See Advisory at Appendix J11) The first few times you complete a compliance survey, you should review your report with your supervisor to ensure that you have completed all the paperwork and have structured the file in accordance with your ELR’s instructions. Finally, notify your ELR that the survey is complete and that you are submitting the file. 1.2.7 OVERSIGHT. (TOC) Oversight is generally any activity performed by the SAAs to ensure that the institution continues to fulfill initial approval criteria and the requirements of the laws. Oversight activities, many of which are similar or the same as those conducted during a supervisory visit, may include such things as:

Conducting additional or initial training, or technical assistance to the certifying official.

Providing assistance with problem resolution

An examination of the on site facilities and equipment

Ensuring that instructors have adequate education and experience

Verifying that all approval criteria is still in place and maintained adequately

A review of the modes of delivery and any contracted programs or courses

Reviewing the Yellow ribbon agreement

Any other information you might note as you conduct your compliance survey

A discussion with the certifying official can help you understand how they work through the certification processes with veterans. Technical assistance helps to establish and maintain professional relations, as well as ongoing, positive communication.


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Remember: Any action that you take must be recorded in the quarterly report. Your final activity following completion of all the steps in a compliance survey and oversight visit is to record the count. Once you have accomplished this, you are finished. LESSON 2 SUSPENSION AND DISAPPROVAL (TOC)

If at any time, a program fails in any manner to comply with the requirements of approval, the SAA must take immediate action with the school to rectify the situation. An SAA may suspend the approval or withdraw approval of a program or institution for a legitimate cause (38 CFR 21.4259) unless it is a deemed approved program, in which case the SAA may recommend withdrawal and collaborate with the VA throughout the process. The VA will finalize the action. If you initially approved a program but something has caused the program to now be out of compliance with a regulation, you can suspend the approval of new enrollments in that program for up to 60 days. During the time of suspension the school must make appropriate changes to correct the deficiencies. If it does not, you can take action to withdraw approval. Remember that in the interest of “due process”, if a deficiency is found, you must allow the school sufficient time, up to 60 days, to correct the problem. Suspension and/or withdrawal of approval are actions that require effective communication with your supervisor and the VA. If you have not been involved with this action in the past, work through it with the guidance of your supervisor or colleagues. Notification of suspension or withdrawal of approval must be done through a certified or registered letter to the school with a return receipt requested. A copy of the letter must be sent to the VA. Think about and include the following in the notification letter.

Provide the name of the program(s) to be suspended or for which approval is to be withdrawn

Clearly describe the evidence that shows why the program/school is not in compliance.

Suggest actions that the school can take to come into compliance, if appropriate

State the time period that the school has to take corrective action and the consequences if it does not

If the letter is one of suspension, include a date at which time you must have the school’s submission of modification/correction to re-evaluate, and accept or reject their action

If the letter is one of withdrawal of approval, provide the effective date

Complete the notification of suspension or withdrawal and send it by certified or registered letter to the school, with a return receipt requested.

Send a copy of the letter to the VA

http://www.benefits.va.gov/warms/docs/REGS/38CFR/BOOKG/PART21/s21_4259.doc


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Suspension and/or disapproval are actions that require effective communication with the school, your supervisor, and your ELR. If you have not been involved in this type of action, work though the process with the guidance of your supervisory and report the process to your ELR. Remember to record actions in your agency’s quarterly report. LESSON 3 OTHER FACILITY VISITS (TOC) 3.1 OVERVIEW (TOC) You know that facility visits are one of the core functions of an SAA. You have already learned what an inspection and a compliance survey and oversight visit are, the procedures, the documentation required, and the purpose for each. In this lesson you will learn about the less common but also important visits that SAAs conduct. All facility visits are important, and each one requires documentation in the form of a report, whether it is the completion of a checklist, a narrative, or a combination of the two. Besides ensuring that schools are in compliance with federal and state regulations and SAA policies, facility visits set the stage for establishing solid relationships and lines of communication. There is nothing like a face-to-face conversation and observation to help with your evaluation process. The following lessons summarize the other kinds of visits that SAAs conduct, or are requested to conduct. 3.2 VA REQUESTED VISITS (TOC) The VA may request that the SAA visit an approved institution to address an issue of concern. This is most commonly an issue of non-compliance with approval standards and regulations, but may also begin with student or institution complaints. The VA will provide you with their concerns, and then it is up to you to investigate the problem, complete the visit, and file a report to the VA within 30 days. If the problem is going to take longer than 30 days to resolve, contact the VA with a written request for an extension. You have learned the process for suspensions and withdrawals. If, during a VA requested visit, you find that you must impose a suspension or withdrawal, you may want to review that lesson. If it is a complaint, you will likely have to interview those concerned, and using your professional judgment, make your determination. Document your conversations and summarize them in your report along with your recommendation to the VA. Document your visit and your action on the quarterly report, and file it in the appropriate school file. 3.3 TECHNICAL ASSISTANCE VISITS (TOC) A school or facility may request that you visit with them in order to assist them in some way. There are several reasons for a technical visit. A request for assistance may be made before a facility submits an application for approval. Perhaps facility personnel want to understand the approval process, and what such approval means for the institution, veterans, and others eligible to receive VA education benefits. A school may request assistance with completion of the application.


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Technical assistance can also be requested, following approval, for any issue with which the facility needs help. For example, perhaps a new certifying official has been hired by the facility and there was no overlap and therefore no training accomplished – that person needs some training with certification responsibilities. Or perhaps there is a new President or Dean who wants to understand SAA approval and process connected with the certification of veterans. Again, a visit involves performing whatever functions are required or have been requested and completing a report for the facility, the VA, and your own agency. All visits must be recorded for purposes of the agency quarterly reports.

CHAPTER 4 NCD – OTHER PROGRAMS (TOC)

LESSON 1 HIGH SCHOOL PROGRAMS (TOC) 1.1 OVERVIEW (TOC) A person who will use their VA education benefits to complete a high school program must be 18 years of age and will receive benefits under Chapter 32 or 35. You will likely see more children or spouses using their Chapter 35 benefits to complete high school. A person using Chapter 35 benefits may pursue a high school diploma or equivalent certificate with no charge to entitlement for the first 5 months of full-time training, or the equivalent part-time training. High School programs are, “non-college degree” (NCD) programs with a course objective of a high school diploma or equivalent certificate. However, SAAs can approve courses leading to a high school diploma as long as they are approved by a State’s Department of Education [CFR 21.4253(a)(2)] and met the criteria listed in CFR 21.4253(d). Since Public Law 111-377, 38 USC 3672, a high school diploma program offered by a secondary school that is approved by the State’s Department of Education is considered “deemed approved.” A request for approval will likely be triggered in several ways. You may receive a denial letter from the VA for you to follow up on. The denial letter indicates that there is a student wishing to use VA benefits to complete high school. You may talk the to high school to see if they would like to request approval. A request for approval can also come because a high school counselor sees a need for a student to use their VA benefits, a student may request that the school become approved, or the parent of a student may as that the school seek approval. If a school chooses to complete an application for approval, ensure that the school meets the requirements of CFR 21.4253(d). Remember, education is a state’s right and High Schools are governed by state regulation; therefore, there may be additional criteria that you will need to include in your approval process. Check with your SAA colleagues to find out how your state handles such requests.







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1.2 APPROVAL PROCEDURES (TOC)

The approval process for high school programs is not that different from other accredited programs, except that high schools are not required to submit a catalog as part of the approval process. Different SAAs handle the approval of high school programs in different ways. Some send the necessary paperwork along with directions to the school principal or counselor to complete. Others work more closely with the point of contact (POC) who is likely to become the certifying official. Others rely on the paperwork submitted and conversations with the POC at the school. Regardless of the method your state uses, you must ensure that you receive at least the following information:

Name and address of the school

Names of the administrators, school counselors, POC, and person completing the paperwork for approval

A copy of the applicable State License and/or accreditation from the State Department of Education

A completed VA Form 22-8794, Designation of Certifying Official

Specific requirements for graduation

Appropriate policies for the standards of progress including satisfactory and unsatisfactory progress, and grading system

Attendance standards

Policies relating to student conduct and conditions for dismissal

A statement that adequate records are maintained by the school and clearly show continued pursuit and progress toward a high school diploma; attendance; a transcript providing a grade for each course; and, if applicable, a written record of previous education

Any additional criteria required by your particular state

Although state approved programs will become deemed approved, you should at least conduct a brief review the program content to ensure that it is consistent in quality, content, and length with similar program within your state. Remind the certifying official that they cannot certify the student until they receive a letter of approval from the SAA and a facility code from the VA. In the meantime, review the certification process and paperwork that must be retained in the student’s file with the certifying official. This can speed up the process. 1.3 EVALUATION AND NOTIFICATION (TOC) Once you have reviewed everything that has been submitted, make your decision to approve or disapprove the program. You must notify the school and the VA of your approval or disapproval. Furnish an official letter to the school stating the approval and the conditions under which the approval has been made and the effective date of the approval. Include, as a condition of approval, that the school will make student records available for review by the SAA and the VA. If you have disapproved the program then


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you must state the reasons for the disapproval. Quoting the pertinent regulation in your letter provides appropriate justification for your decision. Provide a copy of the approval or disapproval letter to your ELR. If you are approving the program, include pertinent information submitted by the school. You might also include the name and information of the student that is going to be applying for benefits. Remember to maintain a copy of your approval or disapproval data so that it can be included with your quarterly and annual report. Note the 2014 Advisory at Appendix J11 that high schools approved by their State Department of Education are exempt from receiving compliance surveys and oversight visits. LESSON 2 LICENSING AND CERTIFICATION (TOC) 2.1 OVERVIEW (TOC)

Definitions: A licensing test is a test offered by a state, local, or federal agency which is required by law to practice an occupation. Some states may refer to such tests as “certification” tests. A certification test is a test designed to provide an affirmation of an individual’s qualifications in a specified occupation. Certification is not required to practice an occupation except where the occupational licensing requirements include certification as part of those requirements. “Organization offering a test” refers to an organization that offers the test and will issue the license or certification. It is the organization that “owns” a test, and not the organization that merely administers or proctors a test. Web-Enabled Approval Management System (WEAMS) is the database that maintains approval and institution or organization information, including data for licensing and certification tests. In the past SAAs were not responsible for entering data into WEAMS. However, in the future, it is expected that they will have that responsibility. At the present time, you will have to submit paper or fax documentation with your approval to your ELR who will enter the information into the system. Public Law 106-419, Section 122, Availability of Education Benefits for Payment for Licensing or Certification Tests, allows veterans, and others eligible to receive benefits under Chapters 30, 32, and 35 of Title 38 USC, and section 903 of PL 96-342, to be reimbursed for the costs of testing to obtain licenses and certifications. January 1, 2006, Public Law 109-163, Section 538, Payment of Expenses of Members of the Armed Forces to Obtain Professional Licenses, included those under Chapters

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1606 and 1607 of Title 10 USC to also receive this benefit. 38 USC 3689 provides the provisions of the law, 38 CFR 21.4268 is the regulation for approving tests for licensing and certification, and additional provisions defining licensing and certification tests as courses and organizations that offer such tests as education institutions are found in 38 USC 3452. The successful completion of licensing and certification tests generally demonstrates that an individual possesses the knowledge and/or skill required to enter, maintain, or advance in employment in a specific vocation or profession. A licensing test is offered by a state, local or federal agency which is required by law to practice an occupation. A certification test is a test designed to provide an affirmation of an individual’s qualifications in a specified occupation. The maximum reimbursement per test is $2,000. VA will only pay for the cost of testing, not for other costs connected with actually obtaining a license or certification. There are no limitations on the number of tests that may be taken except that an individual may not exceed his or her maximum entitlement. Reimbursement is not dependent on an individual passing a test. Reimbursement will be made if a test is retaken after a failure. The VA has developed a form, VA Form 22-0803, for reimbursement of testing costs (Appendix K2). As always, the eligible person should have previously submitted an application for benefits to the VA. If not, they need to submit a VA Form 22-1990, Application for Education Benefits, along with a voided check, and a DD-214 and/or NOBE as appropriate. Once the eligible person has taken the test, they should complete and submit VA Form 22-0803. If they do not have a form available they may prepare a letter that includes the following information:

Name and social security number or VA claim number

Request for reimbursement

The name of the test taken and the date it was taken

The results of the test and the cost of the test (do not include any other costs)

The name and address of the organization issuing the license or certificate (this is not necessarily the organization that administered the test)

The statement: “I authorize release of my test information to the VA”

2.2 SAA’S ROLE. (TOC) Public Law 111-377 changed 38 USC 3672 to define licensure tests offered by Federal, State, or local government as “deemed approved.” SAAs make initial licensing and certification decisions for state and local licensing boards located within their state and for organizations offering certification tests whose headquarters are located within their state. Only organizations that “offer” a test in the sense described above will be approved. Further, only the SAA in the state where the organization offering a test is headquartered will determine if approval may be granted.







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Once an SAA has approved a certificate and accompanying test(s), that approval is effective worldwide. Eligible individuals may take the test at any location and receive reimbursement. SAAs are also responsible for conducting outreach activities to organizations in their states that have potential for a high volume of claims. WEAMS holds the information for all of the tests that are approved for reimbursement of benefits to those eligible. You may want to access the system (www.gibill.va.gov) and see what tests have been approved in your state as well as others. Remember to ask for your agency’s password.

2.3 APPROVAL REQUIREMENTS AND CRITERIA. (TOC) While applications can differ from state to state, each state should require an application for approval. Some states with experience in this kind of approval have developed an application and instructions. Most SAAs are happy to share their forms. Examples are provided at Appendix K1. Regardless of whether you develop your own application or modify one that is in existence to meet your requirements, it is a good idea to have some directions that deal with the requirements for specific information required by law to provide to an organization seeking approval. An application can also serve as a checklist for you as you complete your evaluation, ensuring that all information and documentation has been provided. A test can be approved only if it is required under federal, state, or local law or regulation in order for an individual to enter into a profession or vocation, maintain a current license, or advance in employment in that profession or vocation. Other than tests offered by state, local, or the federal government, organizations must provide evidence that they meet all requirements below, and should be included in your state’s application:

The licensing or certification test offered must be generally accepted, in accordance with relevant government, business, or industry standards, employment policies, or hiring practices as attesting to a level of knowledge or skill required to qualify to enter into, maintain, or advance in employment in a particular vocation or profession.

The organization must have documentation that they are licensed, chartered, or incorporated in a state and must meet the two year rule. Copies of the documentation for both of these requirements must be included in their application.

The organization must employ or consult with individuals with expertise or substantial experience with respect to all areas of knowledge or skills that are measured by the test and that are required for the license or certificate issued.

The organization must have no direct financial interest in:

the outcome of the test, or

the organization that provides the education or training of candidates for licenses or certification required for vocations or professions



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Remember all information submitted by an organization, as part of the approval process, must include the certification statement that all parts of the information provided in their request for approval are true and correct. This statement must be signed and dated by a responsible person of the organization. All organizations, including the state, local or federal government, must meet the following requirements:

Maintain appropriate records with respect to all candidates who take the test for a minimum of three years

Promptly issue a notice of the results of the test to the candidate for the license or certificate

Have a process in place to review complaints submitted against the organization with respect to the test or the process for obtaining a license or certificate required for vocations or professions

Be able to furnish to the SAA and VA the following information regarding the test:

Personal identifying information for the organization

Description of the test including the purpose, the vocational, professional, governmental and other organizations that recognize the test and the license or certificate issued on successful completion of the test

Any pre-requisites for taking the test such as education, training, skill level or other certifications

Fee payment amount

Test results

Period for which the license or certificate awarded is valid

Requirements for maintaining or renewing the license or certificate

2.4 EVALUATION AND REVIEW. (TOC) Determine that the application is complete and that all the information requested has been submitted to your satisfaction. The first step in the evaluation process, just as with the process for approval of IHL and NCD organizations, is to ensure that the test has been offered by the facility for at least two years. Read and evaluate the responses to each of the application elements to make certain that the information provided meets the requirements of the regulations. If you are uncertain about any of the elements or answers provided by the organization, review the elements above and the requirements in 38 USC 3689. One of the key elements for approval is to ensure that there is evidence that the test meets the requirement that it measures a level of knowledge or skill required for an individual to enter, maintain or advance in employment in a particular vocation or profession. There should be someone in the organization or a consultant with expertise in the area that has verified the areas of knowledge or skills meet acceptable standards. Make note of any questions or clarification of information that you might need so that when you speak with officials of the organization you can obtain clarification.



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2.5 VISITS. (TOC) Inspection visits are not required for approval of licensing and certification tests. You should have enough information for your evaluation from the application. However, if resources are available and you feel it is necessary to review anything further, meet with the point of contact in person, or inspect the facilities, you may certainly schedule a visit and write up your findings as part of your final evaluation. You should at least establish communication with the point of contact at the facility offering the test. During such contact you can discuss the need for the organization to report any changes in the organization, faculty, tests offered, etc., to the SAA and the VA. All of the above, and any other information you think is necessary can be discussed at the time of this contact. 2.6 REPORTS AND NOTIFICATION. (TOC) Once you have completed your evaluation, if you have made the decision to approve the organization and the test, you must submit the information with your recommendation for approval/disapproval, (the approval letter if appropriate) and your inspection visit (if necessary) to the ELR for review, assignment of a facility code, and entrance into WEAMS. Although it is not required, as a courtesy to the organization, provide a notice of approval. Include the following in your letter:

The date of the letter, the name and address of the organization

The regulatory authority for approval

Any conditions of the approval

The effective date of approval of the courses

The name of each test approved

Name of the point of contact

Any other the information deemed necessary and appropriate by the SAA

Signature of the responsible official of the SAA

Notice to wait for a facility code to be assigned by the VA before giving students form for reimbursement

Your SAA and the ELR will discuss the procedure and determine if any additional information is necessary.

LESSON 3 ENTREPRENEURSHIP (TOC)

3.1 OVERVIEW (TOC)

Definitions: Entrepreneurship Course: For purposes of this manual, entrepreneurship course means a non-degree, non-credit course of business education that enables or assists a person to start or enhance a small business. These courses are approved as NCD courses. Qualified provider: Legislation identified two organizations that can provide this training:


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Any Small Business Development Center (SBDC)

The National Veterans Business Development Corporation, more commonly knows as The Veterans Corporation (TVC)

Public Law 108-183, Section 305, Authorization for State Approving Agencies to Approve Certain Entrepreneurship Course, allows individuals to use VA educational assistance for non-degree, non-credit entrepreneurship courses offered by a qualified provider. (See Appendix L for VA Circular information). This provision is intended to help the veteran start or enhance a small business and was effective December 16, 2003. The program is available for those eligible to receive benefits through Chapter 30, 32, 1606, 1607, and Section 903 or PL 96-342. Those receiving benefits though Chapter 35 are not eligible. As a result of this law, the definitions for “program of education” and “educational institution” in 38 USC 3452 have been amended to include entrepreneurship courses. Owning or operating a business does not disqualify those who are eligible for benefits from using them for an entrepreneurship course. An eligible person may also use their benefits more than once to take approved entrepreneurship courses. Entrepreneurship courses are currently offered through the Small Business Development Centers (SBDC), and The Veterans Corporation (TVC). The two organizations were determined to be qualified providers under the Public Law. Both organizations have the ability to keep satisfactory records, certify course enrollments to the VA, and generally manage changes and student status. VA Circular 22-04-01A (See Appendix L3), determined that NASAA would form a Task Force to evaluate whether the standard courses offered by the SBDCs and the TVC met the requirements of 38 USC 3676(c)(1). The NASAA Task Force reviewed the standard courses and subsequently recommended approval for the following:

Fast Trac New Venture

Fast Trac Planning

FastTrac Manufacturing

FastTrac Tech

NxLevel for Business Start-ups

NxLevel for Existing Businesses

NxLevel for Alternative Agriculture

These standard courses last about 12 weeks. While it remains the responsibility of each SAA to approve entrepreneurship courses within their state, the research and recommendation of NASAA’s Task Force will help make approval much easier. 3.2 APPROVAL REQUIREMENTS. (TOC) The law changed 38 USC 3675 to add the provision at (c)(1) to allow SAAs to approve qualified providers of entrepreneurship courses. The approval criteria in 38 USC 3675 (a) regarding accreditation and (b)(1)







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and (2) do not apply to qualified providers. You must use 38 USC 3675(c) and 3676(c)(1), (2) and (3) to approve entrepreneurship courses. No additional requirements of 3676(c) apply to approval of entrepreneurship courses. There are three approval criteria an SAA must use as part of the approval process:

The courses, curriculum, and instructions must be consistent in quality, content and

length with similar courses in public schools and other private schools in the state, with recognized accepted standards

The organization providing the courses must have adequate space, equipment, instructional material and instructor personnel to provide training of good quality

The education and experience qualifications of directors, administrators, and instructors must be adequate

Further approval requirements include:

The designation of a person who will be responsible for the certification of enrollment (VA Forms 22-1999, Enrollment Certification) and changes in enrollment (VA Form 22-1999b, Notice of change in Student Status) for those eligible to receive VA education benefits – a VA Form 8794 must be completed and submitted to the SAA.

VA Form 20-8206, assuring compliance with equal opportunity laws, must be completed and submitted to the SAA

Unless separate waiver request has been approved by the Director, Education Services, qualified organizations must meet the 85/15 rule that requires that not more than 85% of the students enrolled in a course can be receiving VA benefits

SAAs must specifically approve programs leading to dual objectives. Therefore if an individual wishes to take entrepreneurship courses concurrently with another program, approval must be requested from the SAA

Although a requirement for record keeping is not specifically listed as an approval element for these organizations, they must be able to produce records required by 38 CFR 21.4209, Examination of Records. The SAA may require that an organization meet additional criteria as necessary. In order to ensure that qualified providers are in compliance with record keeping and reporting requirements of the regulations, your SAA should implement a policy that requires such a system be in place as part of the approval. As with all other types of approval, your agency is responsible for requiring the appropriate information from a potential provider. SAAs should develop a method for organizations to make application for approval of their courses. Examples are attached at Appendix L.

Applications, at a minimum, should include a requirement for the following information:

The organization, SBDC or TVC, under which the entrepreneurship courses are offered

Organizational information such as name, address, phone, fax, and email






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A brief description of the facilities where the courses will be taught

A list of the administrators of the offering site, including position title, and a resume/vitae for each

A list of all faculty, with current resume/vitae, and the course(s) each faculty is approved to teach

VA required forms and assurance of compliance with equal opportunity laws

The name of the course that is offered. If the course is one of those that have already been approved by the NASAA Task Force, you may simply ask for the name and length of the course(s). For all additional courses, require the name of the course, total number of clock hours, and an outline of instruction or syllabus for each course

The name, title, address, phone and fax number and email for the person designated as responsible for certifying enrollment, reporting changes, and maintaining student records

That the information in the application and all attachments is true and correct in content and policy with the name, signature, date, and title of a responsible person included

Any other provisions that the SAA considers necessary and appropriate for approval

As mentioned above, veterans may use their VA education benefits for a course offered by a qualified provider while concurrently receiving benefits in another education or training program. This is a “program with multiple objectives,” and must be individually approved by the SAA. You can assist both the veteran and the certifying official by providing directions for both. The student letter of request should be submitted to the organization’s certifying official and must include:

A statement explaining why the combination of programs is necessary to meet the requirements for a predetermined educational, professional, or vocational objective

A description of the career field that relates to the combination of programs

A statement of how the combination of programs will enhance their employability

The letter of request must be signed and dated

The organization’s certifying official must provide additional information that is then submitted with the student’s request to the SAA for approval. This can be accomplished through an SAA designed “multiple objective program approval” application. An example is at Appendix L2. 3.3 EVALUATION AND REVIEW. (TOC) The two-year period of operation does not apply to SBDCs. However, the TVC is a private organization and must meet the 2-year rule. Because the application your SAA designs should include a request for documentation of the required criteria, you can use that application to make certain that all of the information you requested is satisfactory and included in the application submission. Your evaluation should ensure that the program to be approved meets the requirements of USC 3675 and 3676 and are similar content, quality, and length to those that are on


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the list. An inspection visit will be the last step you complete before you make your final review and approve or disapproval the courses. 3.4 VISIT. (TOC) SBDCs have “lead” centers in at least every state and in many service center locations offering programs. Many of the service centers are connected with colleges, universities, community colleges, vocational schools, chambers of commerce, and economic development corporations. Although TVC has only seven permanent sites in the United States, each manages several locations where programs are offered. Services offered through these centers provide a number of services to prospective owners, or owners of small businesses. It is likely that if a program is offered at an IHL, and that location is already approved by your SAA, that you will have made or will make a compliance and oversight visit to that location. If you have, then you are aware of the leadership, management of operations, and facilities and equipment available at that location. However, SBDCs and TVCs offer different services and courses that are separate from the normal operation of the school, and as such, if resources allow, it is a good idea to conduct an inspection visit as part of your final review and decision to approve or disapprove. If you are unable to conduct an inspection visit to the organization providing the entrepreneurship course, establish communication with the POC, and those that will be working with veteran students to provide technical assistance regarding the approval, certification, and record keeping procedures. Review the certification requirements – forms to be completed, where to send them, the possible use of the VA’s electronic program if appropriate, what to maintain in the student files, and answer any questions that the certifying official might have. If you decide you are able to visit, make your appointment for an inspection visit, confirm the visit date and time in writing and indicate the points that you want to review or discuss and the things that you want to look at while you are there. You will have been trained by your individual SAA on the appropriate process. Use your visit checklist. Although not all elements will be relevant, at least check the following:

Review of the policies pertaining to entrepreneurship courses and programs

Review of the systems in place to ensure that the policies are implemented

Review of instructional staff and administrator’s qualifications and experience, to ensure that those listed on the application are those that are currently providing instruction

Review record keeping policies and maintenance of veteran student records

Observation of the physical facilities such as the building and classrooms where the courses will be offered, the equipment available if appropriate, and the learning resources

Review of advertising and information packets or brochures


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Discuss future SAA or VA compliance & oversight visits, the requirements for continued approval, and reporting any changes in the organization, faculty, certifying official, programs offered, and any other applicable information. 3.5 REPORTS AND NOTIFICATION. (TOC) A letter of approval or disapproval and the inspection visit report should be sent to the organization with a copy to the VA, ELR and the certifying official for their records. The letter of approval should contain the following information:

The date of the letter

The name and address of the organization

The regulatory authority for approval

Any conditions of the approval, if appropriate

The effective date of approval of the courses

The name of each course approved

Instructor to student ratio, if appropriate

If appropriate, the enrollment limitations

Requirement for the timely reporting of changes to any approval criteria

Considerations for continued approval

Any other information deemed necessary and appropriate by the SAA

Signature of the responsible official of the SAA

In addition, the ELR must receive VA Forms 22-8794 designating a certifying official and a copy of the brochures or advertising for the program (this would be in lieu of a catalog or bulletin). The ELR and your SAA will determine any additional information that is necessary and you will include that in the copy of your approval packet as well. 3.6 CONTINUED APPROVAL. (TOC) Continued approval, as with any of the types of programs approved, means that the SAA is responsible for ensuring that all regulatory requirements for approval are maintained and documented by the organization. Review Chapter 3 above for the specific processes and requirements. If you have not been notified of any changes, depending upon the policy of your SAA and your judgment on the quality of the organization, you should make contact with the organization offering entrepreneurship courses annually if possible. You may choose to include them when you conduct your compliance survey visit at an IHL or NCD with other approved programs. At a minimum, send a letter requiring that the organization provide specific information to you and include a date that the information is required. Request at least the following information:

Copies of brochures, or any publication explaining the courses

A current list of the programs offered including a statement that the instructional materials, facility and equipment remain the same as at the time of approval, if appropriate

Notification of any changes, new courses with descriptions and instructors, if appropriate


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A current schedule of offerings

A statement that the faculty or instructors have remained the same as at the time of initial approval. For new faculty, include their names, vitae/resume and courses they are teaching

If you are not going to conduct an official compliance & oversight visit immediately you might want to request a list of the names and social security numbers for those using VA benefits that have been enrolled and certified since the last time you were in contact. The detail and requirements for information are up to you and your agency along with the agreement of your ELR

Any additional information your SAA might require or you think is appropriate

Upon receipt of this information you will have to determine if continued approval is in order, or whether you need additional information. Final approval or disapproval must include a letter to the organization with copies of the letter and any appropriate information to the ELR. If you are going to include them when you conduct a compliance and oversight visit, send a letter confirming the date and time, and the items you will want to discuss or observe. You may use your standard visit checklist or modify it to review the items required of entrepreneurship courses. Conduct your visit, review the material gathered, and determined if continued approval is appropriate. Submit the reports as recommended above.

LESSON 4 SELF-EMPLOYMENT TRAINING/FRANCHISE (TOC)

Public Law 108-183, Section 301, amended 38 USC 3452(e), under the definition of “training establishment”, to allow on-the-job training of less than six months for certain self-employment training programs for those eligible to receive benefit under Chapter 30, 32, 1606, 1607 and Section 903 of PL 96-0342. This law took affect June 16, 2004. It does not extend to those with Chapter 35 benefits. The provisions of the law are also described in the January 27, 2004 VA Circular 22-04-01 (See Appendix L4). These provisions require that the training establishment provide full-time, self-employment training for less than six months that is:

needed or accepted for obtaining licensure to engage in a self-employment occupation OR

required for ownership and operation of a franchise that is the objective of the training

If you are asked to approve such a program, you will have to use 38 USC 3677, Approval of training on the job and 38 CFR 21.4262, Other training on-the-job courses. Self-employment training establishments and programs must meet all the requirements of the regulation except that the training can be less than six months.

Because at the time of publication of this manual there have not been any such on-the-job training programs approved and, in fact, VA and SAAs are unaware of the existence






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of any such programs, contact your ELR and VA Education Service before approving such a program.

LESSON 5 EXAM PREPARATION COURSES (TOC)

In November of 1999, Public Law 106-117, Section 701, Availability of Montgomery GI Bill Benefits for Preparatory Courses for College and Graduate School Entrance Exams, allowed SAAs to approve courses that are designed to prepare individuals to take examinations required or used for admission to an IHL or graduate school. For example, preparation courses that help an individual prepare for The Law School Admissions (LSAT), for entrance into law schools, or the Graduate Record Exam (GRE) for entrance into graduate school. Originally this law allowed for payment of benefits only to those eligible to receive benefits under Chapter 30. However, Pubic Law 106-419, Section 114, Availability Under Survivors’ and Dependents’ Educational Assistance of Preparatory Courses for College and Graduate School Entrance Exams revised that to allow benefits to be paid to those under Chapter 35 as well. The procedures for approving schools offering preparatory courses are the same as those currently used to approve schools offering bar review or certified public accountant courses. That is, a program of education includes courses that are generally accepted as necessary to meet the requirements of an identified education, professional or vocational objective. In the case of preparatory courses for this type of exam, the exam is required for admission to the program. Preparatory courses must be approved as NCD programs and cannot include training classified as independent study.

LESSON 6 NATIONAL TESTS (TOC)

Public Law 108-454, Section 106, Availability of Education Benefits for Payment for National Admissions Exams for credit at institution of Higher Education, allows those eligible to receive VA education benefits through Ch 30, 32 and 35 to be reimbursed for the cost of:

National tests for admission to IHLs National tests providing an opportunity for course credit at IHLs

Under this law, the definition of “program of education” in 38 USC 3452, was extended to include both a. and b. above. On June 2, 2006, VA Education Service issued implementing instructions for paying the national test benefit. Refer to RPO Letter 22-06-7. The VA, Education Service, has determined which of the National Tests are approved for payment. The SAA does not have responsibility for approving further national tests at this time. Regional Processing Offices and SAAs will be notified if Education Service approves any additional tests that meet the requirements of the law. At this point, the


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SAAs need to be aware of the benefit, the requirements, and the tests that are approved. The following National Tests are approved:

Scholastic Assessment Test (SAT)

Graduate Record Exam (GRE)

Graduate Management Admission Test (GMAT)

Law School Admission Test (LSAT)

Advanced Placement Exam (AP)

College-Level Exam Program (CLEP)

American College Testing (ACT) (College entrance exam)

Dental Admissions Test (DAT)

Miller Analogies Test (MAT)

Medical College Admissions Test (MCAT)

Optometry Admissions Testing (OAT)

Pharmacy College Admissions Test (PCAT)

Test of English as a Foreign Language (TOEFL)

DANTES Subject Standardized Test (DSST)

These tests have been determined to be national in scope, generally required for admission to an IHL or a graduate school, and used, or accepted, in three of the four census regions within the United States.


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BACK

UNIT II REFERENCES

Please also note pages II-48 & II-49 for specific approval requirements and criteria.

Topic Regulation/US Code/Others

Website

Accreditation www.ed.gov/admins/finaid/accred/index.html?src=qc

Accredited school search http://ope.ed.gov/accreditation/Search.asp

Advertising – Federal Trade Commission

38 CFR 21.4252(h)

38 USC 3696

Attendance 38 CFR 21.4277 38 CFR 21.7154

38 CFR 21.7653(c)

38 CFR 21.7654

Approval – accredited 38 CFR 21.4253

Approval – non-accredited 38 CFR 21.4254

38 USC 3676

Branches & Extensions 38 CFR 21.4266

Contract Programs/ Courses

38 CFR 21.4233

Cooperative Training M22-4, Pt IX, Ch 3

Correspondence Courses 38 CFR 21.4256

38 CFR 21.4279

Courses Precluded 38 CFR 21.4252

38 CFR 21.7122

38 CFR 21.7622

38 USC 3680A

Definitions 38 CFR 21.4200

38 CFR 21.7020

38 CFR 21.3021

38 CFR 21.5021

38 CFR 21.5720

38 CFR 21.7520

Diploma Mills http://oregonstudentaid.gov/oog-diploma-mills.aspx

www.elearners.com/resources/diploma-mills.asp

Distance Education 38 CFR 21.4267

Distance Ed - WICHE Guidelines

see Appendix A

Enrollment Limitations 38 CFR 21.4201

http://www.ed.gov/admins/finaid/accred/index.html?src=qc

http://ope.ed.gov/accreditation/Search.asp












http://warms.vba.va.gov/admin22/m22_4/part09/ch03.doc














http://www.elearners.com/resources/diploma-mills.asp


http://www.msche.org/publications/distguide02050208135713.pdf

http://www.msche.org/publications/distguide02050208135713.pdf

38%20CFRhttp:/warms.vba.va.gov/REGS/38CFR/BOOKG/PART21/s21_4201.doc


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Website

Entrepreneurship PL 108-183, Sec 305

VA Circ 22-04-01A Available in print form only (See Appendix J3)

38 USC 3453

38 USC 3675(c)

38 USC 3676(c)(1-3)

Exam Preparation Courses 38 USC 3002(3)

38 USC 3501(a)(5)

10 USC 16131(c)(1)

10 USC 16162(b)

PL 106-117, Sec 701

PL 106-419, Sec 114

FERPA www.deltabravo.net/custody/ferpa.php

Foreign Courses – offered in foreign country

38 CFR 21.4260

GI Bill Education Forms www.gibill.va.gov/GI_Bill_Info/education_forms.htm

Independent Study 38 CFR 21.4267

Licensing & certification – approval requirements

38 USC 3689

38 CFR 21.4268

PL 106-419, Sec 122

PL 109-163, Sec 538 & 539

M22-4, Pt IX, Ch III, 3.13

38 USC 3689

www.gibill.va.gov

National Tests PL 108-454, Sec 106

38 USC 3452

Notice of Approval 38 CFR 21.4258

TV Courses 38 CFR 21.4233

Period of Operation 38 CFR 21.4251

Practical Training or Internship

38 CFR 21.4265

Prior Credit & Transfer Credit

38 CFR 21.4253

38 CFR 21.4254

38 USC 3675

38 USC 3676

Records & Accounts 38 CFR 21.4209

38 CFR 21.4204

http://frwebgate.access.gpo.gov/cgi-bin/useftp.cgi?IPaddress=162.140.64.181&filename=publ183.108&directory=/diska/wais/data/108_cong_public_laws








http://frwebgate.access.gpo.gov/cgi-bin/multidb.cgi?WAISqueryRule=%24WAISqueryString&WAIStemplate=multidb_results.html&WAISdbName=106_cong_public_laws+Public+and+Private+Laws%2C+106th+Congress&WAISqueryString=%22Public+Law+106-117%22&Submit.=Submit&WAISmaxHits=50&WrapperTemplate=plaws_wrapper.html%20

http://frwebgate.access.gpo.gov/cgi-bin/multidb.cgi?WAISqueryRule=%24WAISqueryString&WAIStemplate=multidb_results.html&WAISdbName=106_cong_public_laws+Public+and+Private+Laws%2C+106th+Congress&WAISqueryString=%22Public+Law+106-419%22&Submit.=Submit&WAISmaxHits=50&WrapperTemplate=plaws_wrapper.html

http://www.deltabravo.net/custody/ferpa.php


http://www.gibill.va.gov/GI_Bill_Info/education_forms.htm




http://frwebgate.access.gpo.gov/cgi-bin/multidb.cgi?WAISqueryRule=%24WAISqueryString&WAIStemplate=multidb_results.html&WAISdbName=106_cong_public_laws+Public+and+Private+Laws%2C+106th+Congress&WAISqueryString=%22Public+Law+106-419%22&Submit.=Submit&WAISmaxHits=50&WrapperTemplate=plaws_wrapper.html


http://warms.vba.va.gov/admin22/m22_4/part09/ch03.doc
















II-83


Website

Satisfactory Progress & Student Conduct

38 CFR 21.4277

38 CFR 21.7153

38 CFR 21.7653

Re-entrance to program 38 CFR 21.4278

38 CFR 21.7153(d)

38 CFR 21.7653 (e)

Reports & Certifications 38 CFR 21.4203

Self-Employment Training/Franchise

PL 108-183, Sec 301

38 USC 3452(e)

VA Cir 22-04-01 Available in print form only (See Appendix J4)

Small Business Development Centers

www.sba.gov/sbdc/

Suspension & Disapproval 38 CFR 21.4259

The Veterans Corporation www.veteranscorp.org/

85/15 Rule 38 CFR 21.4201

Miscellaneous Helpful References

Index to 38 US Code, Chapter 36 38 USC Ch 36 Index (3670-3679)

38 USC Ch 36 Index (3680-3697A)










http://www.sba.gov/sbdc/


http://www.veteranscorp.org/

38%20CFRhttp:/warms.vba.va.gov/REGS/38CFR/BOOKG/PART21/s21_4201.doc

http://www.law.cornell.edu/uscode/html/uscode38/usc_sup_01_38_10_III_20_36_30_I.html

http://www.law.cornell.edu/uscode/html/uscode38/usc_sup_01_38_10_III_20_36_30_II.html


II-84

BACK

UNIT II - APPENDIX

TABLE OF CONTENTS

APPENDIX DESCRIPTION PAGE

II-A NASAA Principles of Good Practice II-1

II-B Contract Schedule 1 II-3

II-C NASAA Distance Education Application II-9

II-D IHL/NCD Application forms: (back to curriculum)

1. Washington State

2. Texas

II-13

II-19

II-E VA Required Forms: (back to curriculum)

1. VA Form 8794, Designation of Certifying Official

2. VA Form 8206, EEO

3. VA Form 1919, Conflicting Interest

4. VA Form 1999, Enrollment Certification

5. VA Form 1999b, Certification Changes

6. VA Form 1995, Change in Enrollment or Place of Training

7. Notification Form for Modifications to Programs

II-54

II-58

II-59

II-60

II-61

II-62

II- 67

II-F List of Accrediting Bodies II-75

II-G SAA responsibilities compared to Accreditation II-85

II-H Catalog Checklists II-87

II-I Visit Checklist

1. Texas

2. Washington

II-89

II-101

II-J Compliance Forms (back to Curriculum)

1. FY14 Compliance Survey Advisory

2. Notification Letter

3. Compliance Worksheet – NASAA

4. Compliance Worksheet – VA

5. Compliance Worksheets – completed examples

6. Compliance Survey Report – VAF 22-1934

7. Compliance Survey Report – filled

8. Example of a Narrative Report

9. Compliance Referral Example

10. Areas of discrepancy Letter

11. FY14 Compliance Clarification Advisory

II-103

II-101

II-111

II-112

II-113

II-116

II-119

II-118

II-121

II-122

II-123

II-K 1. Application for Licensing & Certification II-104


II-85

2. VA Form 22-0803, Application for Reimbursement of

Licensing or Certification Test Fees

II-109

II-L Entrepreneurship Program Application (back to curriculum)

1. Entrepreneurship Information & Application

2. Entrepreneurship Multiple Objectives Request

3. VA Circular 22-04-01, April 21, 2004

4. VA Circular 22-04-01A

II-111

II-115

II-117

II-127

NOTE: Please note that in some cases, the format of an appendix has been changed to fit the

format of the NTC. The content has NOT been changed.


App II-1

BACK

APPENDIX A – NASAA GENERAL PRINCIPLES OF GOOD PRACTICE return to Distance Ed

GENERAL PRINCIPLES/GUIDELINES FOR SAA APPROVAL

OF DISTANCE EDUCATION PROGRAMS INSTITUTIONAL COMMITMENT Role and Mission The program is consistent with the institution’s role and mission. There is an established institutional approval process that ensures the appropriateness of the distance education mode of delivery being used to meet the program’s objectives. Student Services The institutional catalog will provide clear, detailed and current information specific to the mode of delivery of the distance education program. This must include at a minimum: curriculum description, course and degree requirements, faculty-student interaction, required technical skills and/or competencies, any technical equipment requirements, the institution’s policy and regulations relative to the standards of progress for the distance education program, and the availability of academic support services and financial aid resources. The institution will accept only those students with the appropriate background, knowledge and/or technical skills necessary to undertake the program in its particular mode of delivery. Enrolled students will receive documentation that describes reasonable and adequate access to the range of student services appropriate to support their learning. The institution ensures that appropriate learning resources such as library services are available to students. Advertising, recruiting, and admissions materials clearly and accurately represent the program and the services available. Faculty Support The institution ensures that faculty receives training appropriate to the mode of delivery used for the distance education program. Appropriate faculty support services specifically related to the distance education mode of delivery of the program will be provided by the institution.


App II-2

Commitment to Support

Policies for faculty evaluation will include appropriate consideration of teaching, scholarly and other activities related to the mode of delivery of the distance education program. The institution demonstrates financial and technical commitment to ongoing support and to continuation of the program for a period sufficient to enable students to complete a degree/certificate. CURRICULUM AND INSTRUCTION Programs/Courses Each program results in learning outcomes appropriate to the rigor and breadth of the degree/certificate and is consistent in quality, content and length with similar programs offered on campus. The instructional delivery system is coherent, complete and appropriate to meeting the program’s objectives. The program provides for frequent, real-time or delayed interaction between faculty and students and among students if appropriate to the mode of delivery. Qualified faculty with requisite expertise in distance education will design and provide appropriate oversight of a program delivered by any distance education mode. EVALUATION AND ASSESSMENT The institution will frequently evaluate a program delivered through distance education for educational effectiveness, including assessment of student learning outcomes, student retention, and student and faculty satisfaction. The SAA and students will have access to such program evaluation data. The institution will provide for assessment and documentation of student achievement in each course, and at completion of the program including, interim progress reports, if appropriate, final grade and length of time to complete each course.


App II-3

BACK

APPENDIX B (back to curriculum)

SCHEDULE NO. I CONTRACT NO. V101 (223C) P-54

ACCREDITED AND NON‑ ACCREDITED COURSES OF EDUCATION APPROVED UNDER CHAPTER 36

FOR THE PURPOSES OF THAT CHAPTER AND CHAPTERS 30, 32, 33, 34, and 35 OF TITLE 38, U.S.C., AND SECTION 510 CHAPTERS 1606 and 1607 OF TITLE 10, U.S.C., WHICHEVER IS APPLICABLE. A. APPLICATIONS

1. Except to the extent otherwise provided by law the State will require any educational institution within the jurisdiction of the State desiring to secure initial or revised approval under the provisions of section 3675 or section 3676 of title 38, United States Code, to submit to the State a written application, in form and content provided or prescribed by the State, setting forth the course or courses of education, together with the information specified in subparagraphs a. and b. below. The State will require branches or extensions with separate administrative capability to secure a separate approval of courses offered by the branch or extension. The State will require the main campus, which provides administrative support, to request approval of courses offered by its branches or extensions, which do not have separate administrative capability. Although a program may be one that will be deemed approved, SAAs shall approve all non-college degree programs in accredited public and not-for-profit institutions of higher learning that have standard degree programs deemed approved utilizing provisions of USC 3675 for approval criteria. See 38 U.S.C. § 3672 and 3675, as amended by Pub. L. No. 111-377, § 203. 2. SAAs shall incorporate PL 112-249 section 2 (d)(1) into approval criteria for all programs reviewed for approval. A. Accredited courses (1) A notification of accredited courses shall be accompanied by not less than two copies of the institution's catalog or bulletin, which must be certified as true and correct in content and policy by an authorized representative of the school. (2) The institution will furnish such other information necessary for the State to determine: (a) Adequate records are kept by the institution to show the progress of each veteran or eligible person. The records must be sufficient to show continued pursuit at the rate for which enrolled and the progress being made. They must include the final grade in each subject or unit for each term, quarter, or semester; record of withdrawal from any subject or unit to include the last date of attendance for a resident course; and record of re-enrollment in subjects or units from which there was a withdrawal; and may include such records as attendance for resident courses, periodic grades and examination results.

(b) The institution maintains a written record of previous education and training of the veteran or eligible person which clearly indicates that appropriate credit has been given by the school for previous education and training, with the training period shortened proportionately, and the person and VA so notified. The record must be cumulative in that the results of each enrollment period (term, quarter or semester) must be included so that it shows each subject undertaken and the final result, i.e., passed, failed, incomplete or withdrawn.

(c) The institution enforces a policy relative to standards of conduct and progress required of the student. The school policy relative to standards of progress must be specific enough to determine the point in time when educational benefits should be discontinued when the veteran or eligible person ceases to make satisfactory progress. The policy must include the grade or grade point average that will


App II-4

be maintained if the student is to graduate. The policy may include academic probationary periods. (3) A notification form from each high school seeking approval shall be required. However, a visit to accredited high schools shall not be required. B. Non-accredited Courses (1) The written application for approval for offering non-accredited courses shall be accompanied by not less than two copies of the current catalog or bulletin of the educational institution which is certified as true and correct in content and policy by an authorized owner or official of the institution and includes the following: (a) Identifying data, such as volume number and date of publication; (b) Name of the institution and its governing body, officials, and faculty; (c) A calendar of the institution showing legal holidays, beginning and ending date of each quarter, term, or semester, and other important dates; (d) Institution policy and regulations on enrollment with respect to enrollment dates and specific entrance requirements for each course;

(e) Institution policy and regulations relative to leave, absences, class cuts, make‑ up work, tardiness,

and interruptions for unsatisfactory attendance; (f) Institution policy and regulations relative to standards of progress required of the student by the institution. This policy will define the grading system of the institution, the minimum grades considered satisfactory, conditions for interruption for unsatisfactory grades or progress and a description of the probationary period, if any, allowed by the institution, and conditions of re-entrance for those students dismissed for unsatisfactory progress. A statement will be made regarding progress records kept by the institution and furnished to the student; (g) Institution policy and regulations relating to student conduct and conditions for dismissal for unsatisfactory conduct; (h) Detailed schedule of fees, charges for tuition, books, supplies, tools, student activities, laboratory fees, service charges, rentals, deposits, and all other charges; (i) Policy and regulations of the institution relative to the refund of the unused portion of tuition, fees, and other charges in the event the student does not enter the course or withdraws or is discontinued therefrom; (j) A description of the available space, facilities, and equipment; (k) A course outline for each course for which approval is requested, showing subjects or units in the course, type of work or skill to be learned, and approximate calendar time and clock hours to be spent on each subject or unit; and (l) Policy and regulations of the institution relative to granting credit for previous educational training. B. APPROVAL OF APPLICATIONS 1. The State may approve applications, revisions, and additions under chapter 36, title 38, U.S.C., (for the purposes of chapters 30, 32, 33, 34, 35, and 36 of that title and section 510 and chapters 1606 and 1607 of title 10, U.S.C.) for accredited and non-accredited courses offered in an educational institution when it is determined that the following conditions have been met.


App II-5

A. Accredited Courses (1) Courses offered by an educational institution may be approved as accredited under sections 3675 and 3678 of title 38, U.S.C., when the institution has filed an application meeting the requirements of Part A. and: (a) Such courses have been accredited and approved by a nationally recognized accrediting agency or association; this includes courses above secondary level offered by the accredited departments or schools of a college, or the accredited department, schools, or colleges of a university for credit toward a collegiate

certificate or degree. It also includes non‑ college degree courses offered in the field for which the

accrediting agency is recognized and at a level for which it is recognized. (b) Such courses are accepted by the State Department of Education for credit for a teacher's certificate or a teacher’s degree; or (c) Such courses are approved by the State as meeting the requirements of regulations prescribed by the Secretary of Health and Human Services under sections 1819(f)(2)(A)(i) and 1919 (f)(2)(A)(i). Requirements for Nurse Aide Training and Competency Evaluation Programs, and for Nurse Aide Competency Evaluations

Programs of the Social Security Act (42 U.S.C. 1395i‑ 3(f)(2)(A)(i) and 1396r(f)(2)(A), and the educational

institution meets such additional reasonable criteria as may be deemed necessary by the State approving agency. (2) An accrediting agency or association to be considered as nationally recognized shall appear on the list of nationally recognized accrediting agencies or associations as published by the Secretary of Education. The accreditation indicated by the list of nationally recognized accrediting agencies and associations may be utilized by the State approving agency for approving courses specifically accredited and approved by such accrediting associations and agencies. (3) The State shall not approve courses offered by an educational institution under Paragraph B.1.a hereof if it is found that the institution fails to maintain records and enforce policies described in paragraph A. 1. a. (4) The State must find, as a condition of approval, that: (a) The educational institution keeps adequate records, as prescribed by the State, to show the progress and grades of the eligible person or veteran and to show that satisfactory standards relating to progress and conduct are enforced; (b) The educational institution maintains a written record of the previous education and training of the eligible person or veteran that clearly indicates that appropriate credit has been given by the educational institution for previous education and training, with the training period shortened accordingly; and (c) The educational institution’s approved courses meet the criteria of paragraphs (1), (2), and (3) of section 3676(c) of title 38, United States Code. B. Non-accredited courses. (1) Courses offered in educational institutions may be approved as non-accredited under section 3676 of the title 38, U.S.C., when, upon investigation by the State, the following conditions have been determined to exist: (a) The courses, curriculum, and instruction are consistent in quality, content, and length with similar courses in public schools and other private schools in the state, with recognized accepted standards; (b) There are in the institution adequate space, equipment, instructional material, and instructor personnel to provide training of good quality;


App II-6

(c) Educational and experience qualifications of directors, administrators, and instructors are adequate; (d) The institution maintains a written record of the previous education and training of the eligible person and clearly indicates that appropriate credit has been given by the institution for previous education and training, with the training period shortened proportionately and the eligible person and VA so notified; (e) A copy of the course outline, schedule of tuition, fees, and other charges, regulations pertaining to absences, grading policy, and rules of operations and conduct are furnished the eligible person upon enrollment; (f) Upon completion of training, the eligible person is given a certificate by the institution indicating the approved course and indicating that training was satisfactorily completed; (g) Adequate records as prescribed by the State approving agency are kept to show attendance and progress or grades, and satisfactory standards relating to attendance, progress, and conduct are enforced; (h) The institution complies with all local, city, county, municipal, State, and Federal regulations, such as fire, building, and sanitation codes. The State approving agency may require such evidence of compliance as is deemed necessary; (i) The institution is financially sound and capable of fulfilling its commitments for training; (j) The institution does not utilize advertising of any type, which is erroneous or misleading either by actual statement, omission, or intimation. The institution shall not be deemed to have met this requirement until the State approving agency (1) has ascertained from the Federal Trade Commission whether the Commission has issued an order to the institution to cease and desist from any act or practice, and, (2) has, if such an order has been issued, given due weight to that fact; (k) The institution does not exceed its enrollment limitations as established by the State approving agency; (l) The institution's administrators, directors, owners, and instructors are of good reputation and character; (m) The institution has and maintains a policy for the refund of the unused portion of tuition, fees, and other charges in the event the eligible person fails to enter the course, or withdraws, or is discontinued therefrom at any time prior to completion, and such policy must provide that the amount charged to the eligible person for tuition, fees, and other charges for a portion of the course shall not exceed the approximate pro rata portion of the total charges for tuition, fees, and other charges that the length of the completed portion of the course bears to its total length; (n) Such additional criteria as may be deemed necessary by the State approving agency;

(o) No non‑ accredited course of education to be pursued in whole or in part by independent study shall

be approved. 2. The State shall not approve a course not leading to a standard college degree offered by a proprietary profit or proprietary nonprofit educational institution if: (a) The educational institution has been operating for less than 2 years; (b) The course is offered at a branch of the educational institution, and the branch has been operating for less than 2 years; or (c) Following either a change in ownership or a company move outside its original general locality, the


App II-7

educational institution does not retain substantially the same faculty, student body, and courses as before the change in ownership or the move outside the general locality unless the educational institution following such change or move has been in operation for at least 2 years. 3. The State shall not approve a course as a part of a program of education offered by an educational institution if the course is provided under contract by another educational institution or entity and: (a) The State would be barred under Section B.2. above from approving the course provided by the educational institution or entity under contract; or (b) The educational institution or entity providing the course under contract has not obtained approval for the course for VA purposes. 4. Notwithstanding Sections B.2. and 3.(a) above, the State may approve a course offered by an educational institution under contract with the Department of Defense or the Department of Transportation and is given on or immediately adjacent to a military base, Coast Guard station, National Guard facility, or facility of the Selected Reserve. 5. Bar review courses and CPA review courses, and courses approved for the purposes of chapters 30, 32, 33, 34, 35, 1606 and 1607 that prepare students to take tests required or used for admission to an

institution of higher learning or graduate school must be approved as non‑ college degree programs and

may not include training classified as independent study. 6. Section 305 of Public Law 108-183 (Authorization for State Approving Agencies to Approve Certain Entrepreneurship Courses) allows SAAs to approve non-degree, non-credit entrepreneurship courses offered by a Small Business Development Center (SBDC) or the National Veterans Business Development Corporation. SAAs may approve these courses retroactively to the date the law was signed, December 16, 2003. C. INSPECTION/COMPLIANCE/REIMBURSEMENT 1. The State will be reimbursed, in accordance with the terms of this contract, for salary and travel expenses incurred: a. In the inspection of institutions, which have properly applied for approval to train veterans and eligible persons under title 38, United States Code. b. In the conduct of outreach activities. c. In the conduct of compliance, inspection, and technical assistance visits by the SAA to institutions, which have a veteran, or eligible person enrolled in an accredited or non-accredited course or program for the purpose of determining if the approved course or program continues to meet all the conditions for approval. Such visits should be coordinated to the extent possible with the schedule of compliance surveys of the institutions to be conducted by VA. d. In the inspection of institutions and the conduct of visits to institutions at the request of the Director, Education Service, Veterans Benefits Administration, Department of Veterans Affairs, in the case of courses or programs subject to his or her approval, and at the request of another State, in the case of courses or programs subject to its approval. 2. Original approvals and revisions of existing approvals of institutions which include a new branch with separate administrative capability will require an onsite inspection of the new branch with separate administrative capability prior to approval. 3. The State will not be reimbursed for the expenses it incurs for visits to the extent that the visits are for

State purposes, such as State licensing activities or additional State‑ related supervision.


App II-8

D. REPORTS‑ RECORDS

1. The State shall furnish VA with a copy of the official notice of the original approval, and of revisions and additions, for accredited or non-accredited courses. A copy of the notice of approval will be accompanied by a copy of the application for approval, including a copy of the current catalog or bulletin of the institution and, in the case of non-accredited courses, a copy of the inspection report. The State shall furnish VA with subsequent catalogs or bulletins with a cover letter, which lists the degree program and type of instruction, approved by the State and includes the degree requirements for the degree or references the unit subjects accepted and required for the degree. (38 C.F.R. § 21.4250(b)(1)) The original approval notice shall contain the following items. The approval notice for revisions and additions shall contain the following items when they are applicable to the revision or addition: a. Date of letter and effective date of approval of the course; b. Signed copy of VA form 20-8206, VA Statement of Assurance of Compliance with Equal Opportunity Laws for Proprietary vocational, trade, technical, or other institutions and such schools not a part of a public elementary or secondary school (VA form 20-8206 must be secured at the time of the original approval only and does not have to be secured when there is a change of certifying official, ownership, or any other change. (38 CFR § 21.4258(c); c. Proper address and name of educational institution; d. Authority for approval and conditions of approval referring specifically to approved catalog or bulletin published by the educational institution; e. Name of each course approved and type of instruction offered; f. Address of the location where instruction will be offered; g. Where applicable, enrollment limitations, such as maximum number of students authorized and

student‑ teacher ratio;

h. Signature of responsible official of SAA; i. A finding by the State that the institution does not utilize advertising, sales, or enrollment practices of any type which are erroneous, deceptive, or misleading either by actual statement, omission, or intimation based on examination of such materials as any direct mail pieces, brochures, printed literature used by sales persons, films, video tapes, and audio tapes disseminated through broadcast media, material disseminated through print media, tear sheets, leaflets, handbills, fliers, and any sales or recruitment manuals used to instruct sales personnel, agents, or representatives of such institution; j. The date when all documentation necessary to support the approval package is received;

k. For non‑ college degree courses, approved class schedules, excluding part‑ time schedules;

l. One completed and signed copy of VA Form 22‑ 8794, Designation of Certifying Official(s);

m. One completed and signed copy of VA Form 22‑ 1919, Conflicting Interests Certification Proprietary

Schools Only (Secure for original approvals and changes in proprietary status or ownership); n. Such additional criteria as are deemed necessary by the SAA. E. CONFLICT OF INTEREST -- 38 U.S.C. § 3683


App II-9

The State, as provided in 38 U.S.C. § 3683(c) and (d), shall not approve a course offered by an educational institution operated for profit, and if any course has been approved, shall disapprove each such course, if it finds that any officer or employee of VA or the State approving agency owns an interest in or receives any wages, salary, dividends, profits, gratuities, or services from such institution unless the State is advised that the VA has waived in writing the application of this paragraph because it has found that no detriment will result to the United States or to veterans or eligible persons by reason of such interest or connection of such officer or employee. F. COOPERATION -- 38 U.S.C. § 3673 VA and the SAA shall take into cognizance the fact that definite duties, functions, and responsibilities are conferred upon VA and each SAA under the educational programs established under chapters 30, 32, 33, 34, 35, and 36 of title 38, U.S.C., and section 510 and chapters 1606 and 1607 of title 10, U.S.C. To assure that such programs are effectively and efficiently administered, the cooperation of VA and the SAA is essential. It is necessary to establish an exchange of information pertaining to activities of educational institutions. Particular attention is to be given to the enforcement of approval standards, enforcement of enrollment restrictions, and fraudulent and other criminal activities on the part of persons connected with educational institutions in which eligible persons or veterans are enrolled. Such cooperation may entail, but not be limited to, regularly scheduled meetings between VA and the SAA staff to discern common agreement on process and language. G. TRAINING VA and the SAA shall recognize the need for training of SAA staff in accordance with the SAA Business Plan. SAA Staff shall utilize, but not be limited to, the National Training Curriculum to keep current with the provisions of law and regulations pertaining to the approval process.


App II-10

BACK

APPENDIX C – DISTANCE EDUCATON APPLICATION back to curriculum

National Association of State Approving Agencies

Application for Approval of Distance Education Programs

for Veterans’ Training Name of Institution: Address of Main Campus: Accreditation Status:

Is the institution accredited at the collegiate level by a nationally recognized accrediting agency or association as published by the Secretary of Education? NOTE: Candidate status is not considered to be accredited. Indicate the date full accreditation was attained and the granting agency or association.

Definition:

Physical presence means that an entity offers credit-bearing courses from or conducts some portion of the learning experience at a location established in the state by the entity, whether established directly or under the auspices of another entity or an institution. Does the institution have a physical presence through which a program of education or credit-bearing course work is offered utilizing some form of distance education other than the main campus:

within state boundaries _____yes _____no in another state(s) _____yes _____no

Does the institution currently have veterans training approval in a state(s) for any form of distance education? If yes, indicate the state(s) and State Approving Agency(s) that granted veterans training approval and the date of such action. Check and describe in detail all forms of distance education that the institution utilizes for instructional purposes: _____ Live, two-way instruction by way of interactive telecommunication _____ a. Within state boundaries only _____ b. To or from out-of-state site(s)/entity(s) _____ Taped instruction over cable television _____ a. Within state boundaries only _____ b. To or from out-of-state site(s)/entity(s) _____ On-line course instruction using personal computer _____ a. Within state boundaries only _____ b. To or from out-of-state site(s)/entity(s)


App II-11

_____ Other, please describe

I INSTITUTIONAL COMMITMENT

A. Role and Mission 1. Describe how the delivery of distance education is consistent with the institution’s role and mission. 2. Describe the institutional approval process that ensures the appropriateness of distance education as a valid mode to meet the program’s objectives.

B. Student Services 1. Describe the manner in which potential students are advised about each of the following regarding the distance education program(s):

Curriculum description

Course and degree requirements

Faculty-student interaction

Required technical skills and/or competencies

Required technical equipment

Institutional policies regarding standards of progress as they apply to the distance education program

Availability of academic support services 2. Describe the process used to screen or assess the backgrounds of students for their suitability for participation in this particular delivery mode. 3. Explain how enrolled students will receive information, which describes reasonable and adequate access to student services to support their learning. 4. Describe the advertising, recruiting, and admissions materials used to accurately represent the program and the available services.

C. Faculty Support 1. Describe the training that faculty receive regarding the delivery of instruction by way of distance education. 2. Describe faculty support services specifically related to the distance education mode of delivery of the program. 3. Describe the faculty evaluation process employed with regard to teaching effectiveness regarding the delivery of distance education.

D. Institutional Support


App II-12

1. Describe financial and technical institutional commitment to ongoing support and continuance of the program for a sufficient period to enable students to complete a degree. 2. Describe institutional commitment to appropriate learning resources such as library services, which are available to students.

II CURRICULUM AND INSTRUCTION 1. Describe the process used to ensure that learning outcomes attained are consistent with similar degree programs offered on campus. 2. Describe the methods used by faculty members to communicate with students and how students communicate among themselves. 3. Describe how faculty is selected to design, deliver, and oversee programs offered by any form of distance education. 4. Describe the evaluation of credit earned through distance education within the institution or at another institution. Make note if credit earned through the distance education mode is treated differently from credit earned through residential instruction.

III EVALUATION AND ASSESSMENT

1. Describe the process used to evaluate a program delivered through distance education for educational effectiveness with regard to:

Assessment of student learning outcomes Student retention Student and faculty satisfaction

2. Describe how the institution will provide assessment and documentation of student achievement in each course, and at the completion of the program. Description must include any interim progress reports utilized by the institution, grading system, and length of time to complete each course.

IV SECURITY

1. Describe the process used to ensure that the identity of students in distance education program(s) is securely maintained and consistently verified. 2. Describe the process used to ensure that academic integrity is maintained with regard to test taking procedures for students enrolled in any form of distance education.


App II-13

APPENDIX D – IHL/NCD APPLICATION FORMS BACK

1. WASHINGTON STATE APPLICATION (back to curriculum)

The Higher Education Coordinating Board’s State Approving Agency (HECB/SAA) is responsible for approving and monitoring selected academic educational programs in Washington under the provisions of the federal veterans’ educational assistance acts, commonly known as the G.I. Bill.

Provide the following information for the primary Washington State Campus. Name of Institution:

Physical Address:

Mailing Address:

Web Site:

Is this a branch campus of an out-of-state institution? Yes No

If “Yes”, provide the address of the main out-of-state campus/administrative center.

Give the name and address of all additional teaching site(s) in Washington State where programs or courses that can be applied to the programs under HECB/SAA jurisdiction are offered:

Chief Administrative Officer: Name:

Title:

Telephone: E-Mail:

Person Completing Application: Name:

Title:

Telephone: E-Mail:

Certification of Accuracy:

I certify that the information contained in this application and in the accompanying school catalog and supporting materials is true and correct in content and policy.

(Signature of School Official) (Date)

Certification of Agreement:

I agree that if HECB/SAA approval is granted for purposes of enrolling veterans and other persons eligible to receive education benefits under Chapters 30, 32, and 35, Title 38, U.S. Code and Chapter 1606, Title 10, U.S. Code, the institution will:


App II-14

Maintain the approval criteria as specified in Department of Veterans Affairs regulations and HECB/SAA policy;

Adhere to the certification and file maintenance requirements of the Department of Veterans Affairs and the HECB/SAA;

Make available to Department of Veterans Affairs and/or HECB/SAA personnel, during regular business hours, all records pertaining to those individuals using benefits under Chapters 30, 32, and 35, Title 38, U.S. Code and Chapter 1606, Title 10, U.S. Code;

Make available to Department of Veterans Affairs and/or HECB/SAA personnel, during regular business hours, documentation showing the school remains in compliance with all Department of Veterans Affairs and HECB/SAA approval criteria; and

Provide a knowledgeable point-of-contact in Washington State, accessible to Department of Veterans Affairs and HECB/SAA personnel.

(Signature of School Official) (Date)

Institutional Accreditation by a Recognized Accrediting Agency*

Is the Institution Accredited? Yes No

If “Yes”, provide name of the accrediting body:

* For purposes of this application, a recognized accrediting agency is one that appears on the list published by the U.S. Secretary of Education at http://www.ed.gov/offices/OPE/accreditation/natlagencies.html

Operational Status

The institution operates as a:

Public Private – For Profit Private – Not for profit

Give the date the institution legally began offering academic degree programs:

Has the institution ceased operations at any time since the date given above?

Yes No

If “Yes”, provide details:

Has the institution experienced a change-of-ownership in the previous 24-month period?

Yes No

http://www.ed.gov/offices/OPE/accreditation/natlagencies.html


App II-15

If “Yes”, provide details:

Catalog and other Publications:

Provide two printed copies of the institution’s academic catalog and/or other publications that document the information listed in the following chart.

The following statement must be affixed to each publication and be signed and dated by an institutional official:

“I certify this publication to be true and correct in content and policy at the time of publication.”

Provide the document name and page number where the following information is found.

Area Document Page

1 Institution name, address, and telephone number:

2 For each publication submitted: Identifying data such as volume, number, and date of publication:

3 The mission/purpose of the institution:

4 The academic calendar(s) for the period(s) covered in the catalog:

5 A general description of the facilities:

6 A listing of the school’s administrators:

7 A listing of faculty showing degrees earned:

8 The school’s admission requirements and policies:

9 The schools’ graduation requirements including minimum GPA:

10 The school’s method and policies regarding the evaluation of prior education and training, and the granting of appropriate credit:

11 The school’s grading system:

12 The school’s method of recording grades and furnishing grades and transcripts to students:

13 The school’s academic probation, suspension, and re-entrance policy:

14 A listing of the school’s tuition, fees, and other charges:

15 The school’s refund policy: (Non-accredited schools see Attachment I)

16 The school’s attendance policy, if given in the publications submitted:

17 School policy and regulations relating to student conduct and conditions for dismissal for unsatisfactory conduct:

18 Non-Accredited Institutions only. Statement regarding transfer of credits from your institution to other institutions:

Program information:

Provide the name, catalog page number and total credits required for completion for each program for which approval is sought.

Provide degree, major (if applicable), and specializations/concentrations (if applicable).

Program: Page: Total Credits for Program (Degree/Certificate) Completion:


App II-16

Does the school use any of the following:

Distance Learning: Yes No

Independent Study Yes No

Field Work (internship, practicum etc.) Yes No

Does the school require any of the following for the programs for which approval is sought?

Distance Learning: Yes No

Independent Study Yes No

Field Work (internship, practicum etc.) Yes No

Provide program name and indicate type with an “X” if any of the above were answered “Yes”. (Distance Learning, Independent Study or Field Work is required for program completion.)

Program Distance Learning

Independent Study

Field Work

Additional Requirements:

Submit the following with this application: 1: VA Form 22-8794

Designation of Certifying Officials

2: VA Form 27-8206

Statement of Assurance of Compliance with Equal Opportunity Laws

3: VA Form 22-1919 (Private Schools only) Conflicting Interests Certification for Proprietary (Non- Public) Schools Only

4: A sample of advertisements used by the school. 5: A copy of all enrollments contracts used by the school (if applicable). 6: Documentation showing the school is authorized/licensed/exempted by the appropriate state

agency to operate in the state of Washington. Non-Accredited Schools Only 7: Submit a balance sheet and income statement for the last two years of operation. The chief

administrative officer or accountant must certify the documents as true and correct. 8: Attach a list of the name(s) and address(s) of banks or other financial references.

After the application is received by the HECB/SAA:


App II-17

The HECB/SAA will review and evaluate the application using HECB/SAA standards for approval and the approval criteria found in:

U.S. Code, Section 3675, Title 38

U.S. Code, Section 3676, Title 38

Code of Federal Regulations 38 CFR 21.4253



Additional information may be requested by the HECB/SAA as part of the review process.

If the school is in compliance with all approval criteria, the HECB/SAA will schedule an inspection visit at the school.

A letter of approval will be issued if it is determined that the school is in compliance with all Department of Veterans Affairs and HECB/SAA requirements.

Submit all required materials to:

Higher Education Coordinating Board State Approving Agency (for regular U.S. mail) (for Fed Ex, U.P.S. etc. delivery)

P.O. Box 43430 917 Lakeridge Way SW Olympia, WA 98504-3430 Olympia, WA 98502


App II-18

REFUND POLICY for NON-ACCREDITED PROGRAMS (ref. Code of Federal Regulations 21.4255)

A refund policy meets the requirements of VA regulations if it provides that the amount charged for tuition, fees, and other charges for a portion of the course does not exceed the approximate pro rata portion of the total charges for tuition, fees, and other charges that the length of the completed portion of the course bears to the total length. The school may make provision for refund with the following limitations:

1. Registration Fee: An established registration fee in an amount not to exceed $10 need not be subject to pro-rating. Where the established registration fee is more than $10, the amount in excess of $10 will be subject to pro ration.

2. Breakage Fee: Where the school has a breakage fee, it may provide for the retention of only

the exact amount of the breakage, with the remaining part, if any, to be refunded.

3. Consumable Instructional Supplies: Where the school makes a separate charge for consumable instructional supplies, as distinguished from laboratory fees, the exact amount of the charges for supplies consumed may be retained but any remaining part must be refunded.

4. Books, Supplies and Equipment: Where the veteran or eligible person purchases his books, supplies, and equipment from a bookstore or other source, and the cost of such items is separate and independent from the charge made by the school for tuition and fees, he may retain or dispose of such items at his own discretion. Where the school furnishes the books, supplies, and equipment, with the cost thereof included in the total charge payable to the school for the course, and the veteran or eligible person withdraws or is discontinued prior to the completion of the course, refund will be made in full for the amount of the charge for the unissued books, supplies, and equipment. Issued items may be disposed of at the discretion of the veteran or eligible person.

5. Tuition and Other Charges: Where the school either has or adopts an established policy for the refund of the unused portion of tuition, fees, and other charges subject to proration, which is more favorable to the veteran or eligible person than the approximate prorata basis described above, such established policy will be applicable. Otherwise, the school may charge a sum, which does not vary more than 10% from the exact prorata portion of such tuition, fees, and other charges that, the length of the completed portion of the course bears to its total length. The exact proration will be determined on the ratio of the number of instructional days in the course.

6. Prompt Refund: In the event that the veteran, spouse, surviving spouse or child fails to enter the course or withdraws or is discontinued at any time prior to the completion of the course, the unused portion of the tuition, fees, and other charges paid by the individual shall be refunded promptly. Any institution that fails to forward any refund due within 40 days after such a change in status, shall be deemed, prima facie, to have failed to make a prompt refund as required by this paragraph.

Sample Veterans’ Refund Policy

____________________________’s (name of school) Veterans Refund Policy complies with CFR 21.4255. In the event the veteran or eligible person fails to enter the course, withdraws, or is dismissed at any time prior to completion, any unused portion of tuition, fees, and other charges is refunded. Any amount in excess of $10 of the application/registration fee is subject to proration. The amount charged will not exceed the exact pro-rata portion of total charges. The length of the completed portion of the course will be prorated over its total length, and the exact proration will be determined by the ratio of the number of days of instruction completed by the student, to the total number of instructional days in the course. Refunds are made within 40 days of the last date of the student’s attendance.


App II-19

IHL/NCD APPLICATIONS Con’t BACK

2. TEXAS

TEXAS VETERANS COMMISSION

ACCREDITED INSTITUTIONS

*****************

GUIDE FOR SCHOOL IN PREPARING AN APPLICATION FOR APPROVAL TO TRAIN VETERANS AND OTHER

ELIGIBLE PERSONS UNDER SECTION 3675 TITLE 38 US CODE

Return to:

Connie Jacksits, Director Texas Veterans Commission

Veterans Education P.O. Box 12277

Austin, Texas 78711-2277 (512) 463-3168

(877) 898-3833 Toll-Free

SAA-ACC 10/01/06


App II-20

TEXAS VETERANS COMMISSION Veterans Education

Stephen F. Austin Building, Suite 620 Austin, Texas 78701

(512) 463-3168 (877) 898-3833 Toll-Free

Application for Approval to Train VA Eligible Persons (Accredited Institutions)

Original Request Update

I certify that the school below HAS operated as an educational institution for the last two years with continuous student enrollment.

I certify that the school below HAS NOT operated as an educational institution for the last two years.

1. Name of School

2. Address of School

(Physical location) Mailing Address

(VA Certifying Official) This address should identify the location where your approval items and VA correspondence are to be sent.)

3. Accrediting Body (Note: Must be a national accrediting agency recognized by the United States Secretary of Education. “Candidate” status is not a basis for approval as accredited.)

Federal, State or Municipal Licensing Body or Authority

4. Name of President/Director/Owner

5. Name of VA Certifying Official

Phone Fax E-mail

6. The above-named institution requests approval to train VA eligible persons in the programs listed on the attached page. (Attach a listing of those degree programs to be considered for approval. For certificate programs, use the enclosed Calendar and Class Schedule for Certificate Programs.)

I understand that: (Reference 38 Code of Federal Regulations 21.4209)

The school will make available to the authorized government representative records and accounts pertaining to veterans or eligible persons who received educational assistance.

Other students’ records necessary for the Department of Veterans Affairs and its authorized representatives to ascertain institutional compliance.

The school must retain records and accounts for at least three years following the termination of students’ enrollment period.

I certify that (will be verified by State Approving Agency before approval):

The educational institution keeps adequate records, as prescribed by the State Approving Agency, to show the progress and grades of the eligible person or veteran and to show that satisfactory standards relating to progress and conduct are enforced.

The educational institution maintains a written record of the previous education and training of the eligible person or veteran that clearly indicates that appropriate credit has been given by the educational institution for previous education and training, with the training period shortened proportionately.

The programs, curriculum, and instruction are consistent in quality, content, and length with similar programs in public schools and other private schools in the state, with recognized standards.

The school has adequate space, equipment, instructional materials, and instructor personnel to provide training of good quality.

Educational and experience qualifications of staff and instructors are adequate.

True and Correct Statement I certify that the information contained in this application and attachment(s), catalog or bulletin, student handbook, supplements, addenda and the supporting approval material is true and correct in content and policy as required by 38 Code of Federal Regulations 21.4253.


App II-21

Signature of Authorized School Official Title Date

Your school contact at Veterans Education (TVC) is: Dan Galindo

Phone: (512) 463-8189 Fax: (512) 463-3932 E-mail: [email protected]

Please contact this individual if you have any questions regarding the approval process.

SUPPORTING APPROVAL MATERIAL

ALL CHANGES TO THE CATALOG OR ADDENDA SHOULD BE SUBMITTED FOR APPROVAL, ALONG WITH A TRUE AND CORRECT STATEMENT. CHANGES MAY BE SUBMITTED ANY TIME DURING THE YEAR.

1. Submit Three Copies of Your Current Catalog or Bulletin: Submit at least one hard copy catalog or

bulletin. List the page number where the following items can be found. If an item is not in the catalog or

bulletin, please provide additional publications or a written statement as an addendum to the catalog or bulletin.

Check this box if a multiple year catalog is still applicable and has previously been approved and proceed to B.

Undergraduate Graduate Certificate

academic calendar for degree programs

academic calendar for certificate programs

grading system (to include incomplete grades)

progress policies for VA students (see attached guidelines)

conduct policy

attendance policy

graduation requirements and minimum GPA

policy regarding transfer credit

progress records (transcripts) kept by the school

progress records (grades) furnished to students

accrediting body

tuition, fees, course costs

COMPLETE THE ATTACHED CALENDAR/CLASS SCHEDULES FOR EACH CERTIFICATE PROGRAM TO BE CONSIDERED FOR APPROVAL.

IF YOU OFFER THE FOLLOWING TYPES OF TRAINING AT YOUR SCHOOL, PLEASE CHECK THE APPROPRIATE BOX. IF THE BOX IS NOT CHECKED, YOU WILL NOT BE APPROVED FOR THIS TRAINING.

Open Circuit TV Courses

Independent Study (if you offer degrees your school will automatically be approved for this mode of instruction including

other nonresident training - internet, distance education, individual correspondence courses etc.)

Practical Training Courses and Request for Approval under 38 CFR 21.4265 (Only if offered at your school. DO NOT include a list of courses. Mark the applicable box, sign, and submit).

Registered Nursing Hospital/Fieldwork Courses Licensed Vocational Nursing Courses Medical and Dental Specialty Courses Professional Training Courses (e.g. Teacher Certification) Practical Training


App II-22

✗ COMPLETE THE LIST OF OFF CAMPUS LOCATIONS WHERE TRAINING IS PROVIDED

1. DEVELOPMENTAL/REMEDIAL/DEFICIENCY COURSES

2. COOPERATIVE EDUCATION COURSES AND REQUEST FOR APPROVAL

3. REVIEW & UPDATE YOUR LISTING OF APPROVED PROGRAMS FROM THE ATTACHED LIST. DO NOT INCLUDE ANY CERTIFICATE OR NONDEGREE PROGRAMS UNLESS THEY ARE INCLUDED ON ONE OF THE CALENDAR/CLASS SCHEDULES

5. CURRENT FEDERAL, STATE, MUNICIPAL LICENSE, OR CERTIFICATE OF AUTHORITY/APPROVAL WITH LIST OF APPROVED PROGRAMS

6. COMPLETE AS REQUIRED:

VA Forms 22-8794, 22-1919, 27-8206 (Not required if previously submitted and still valid)

Power of Attorney Certification (Not required if previously submitted)

Request for Waiver – 85/15 Percent (Not required if previously submitted)

Advanced Payment Notification (Not required if previously submitted)

1. SCHEDULE OF CLASS/COURSE OFFERINGS (all courses must be described in the catalog or

addenda)

Fall 2006 Spring 2007 Summer 2007

Other

5. CHANGE OF OWNERSHIP/ADDRESS (IF APPLICABLE)

6. VETERANS' ATTENDANCE POLICY FOR CAREER SCHOOLS LICENSED BY TWC

1. FOR INSTITUTIONS WITH GRADUATE PROGRAMS OFFERED IN CREDIT HOURS, PROVIDE THE NUMBER OF CREDIT HOURS THAT CONSTITUTE THE FOLLOWING AT YOUR SCHOOL

(Note: The U.S. Department of Veterans Affairs will determine training time for all terms for undergraduate students. Complete for graduate students only): Graduate

Fall/Spring Graduate

Summer Graduate

Mini-terms

Full time

Half (1/2) time

Three-quarter (3/4) time

Less than half (1/2) time

Quarter (1/4) time

2. TRAINING TIMES FOR CLOCK HOUR PROGRAMS

Where Theory Predominates Where Shop Predominates Full time (clock hours per week) 18 22 ¾ time 13-17 16-21 ½ time 9-12 11-15 Less than 1/2 time 5-8 6-10 1/4 time 1-4 1-5


App II-23

CALENDAR AND CLASS SCHEDULE FOR CERTIFICATE PROGRAMS

(CERTIFIED IN CREDIT HOURS FOR VA PURPOSES)

Name and Location of School School Year: Schedule:

List only those certificate programs for which you are requesting approval to train VA students. Programs must be listed in the catalog

or addendum. 1

st Day of Last Day of

Catalog Classes for Classes for Complete Program Name Page No. Vocational Objective Each Term Each Term Total Program Length (Example) Vocational Nursing 42 LVN 8/24/05 12/11/05 44 SCH 01/05/06 05/20/06 (Example) Paralegal 133 Paraprofessional who provides See academic calendar/ page 3 of catalog 36 SCH legal assistance to attorneys

List the specific holidays (include day, month, year) and break periods breaks between terms, etc.

The specific vocational objective should be listed for each certificate program and should be one that leads to an occupation. The program should provide students with adequate skills for profitable employment upon graduation. Also, the program's length should provide sufficient student-instructor contact hours to train the student adequately and to meet the standards of the student's chosen vocation or profession. Additionally, no two programs should lead to the same objective. INDIVIDUAL CLASS SCHEDULES SHOULD BE USED WHEN NECESSARY. SCHEDULE MAY BE SUBMITTED ON A SEPARATE SHEET IF IT DOES NOT FIT THIS FORMAT (MUST INCLUDE THE SAME INFORMATION).


App II-24

CALENDAR AND CLASS SCHEDULE FOR CERTIFICATE PROGRAMS

(CERTIFIED IN CLOCK HOURS FOR VA PURPOSES)

Name and Location of School School Year: Schedule:

List only those certificate programs for which you are requesting approval to train VA students. Programs must be listed in the catalog

or addendum. 1

st Day of Last Day of

Catalog Classes for Classes for Complete Program Name Page No. Vocational Objective Each Term Each Term Days/week Hours/day (Example) Vocational Nursing 42 LVN 8/24/05 12/11/05 TWThF 5 (Example) Automotive Addenda Auto Mechanic 9/10/05 11/15/05 TWThFS 7.5

List the specific holidays (include day, month, year) and break periods breaks between terms, etc.

The specific vocational objective should be listed for each certificate program and should be one that leads to an occupation. The program should provide students with adequate skills for profitable employment upon graduation. Also, the program's length should provide sufficient student-instructor contact hours to train the student adequately and to meet the standards of the student's chosen vocation or profession. Additionally, no two programs should lead to the same objective. INDIVIDUAL CLASS SCHEDULES SHOULD BE USED WHEN NECESSARY. SCHEDULE MAY BE SUBMITTED ON A SEPARATE SHEET IF IT DOES NOT FIT THIS FORMAT (MUST INCLUDE THE SAME INFORMATION).


App II-25

PRACTICAL TRAINING (Title 38, Code of Federal Regulations 21.4265)

Practical training is academic training that includes actual job training. These courses are an integral part of the course, required for the completion of the course, and are under the direction and supervision of the school. If specifically approved, these types of courses can be certified either in credit hours or clock hours, whichever is more advantageous to the veteran. CHECK THE TYPE OF PRACTICAL TRAINING FOR WHICH YOU ARE REQUESTING APPROVAL.

Medical/Dental Specialty Courses (Clinical training given off-campus such as medical/dental assistant externships or X-ray technician)

Registered Nursing Courses (clinical courses with hospital or fieldwork phases)

Licensed Vocational Nursing Courses (academic subjects and clinical training)

Professional Training Courses (including Teacher Certification courses)

Practical Training (externships or practicums in any other field that require class attendance on at least a weekly basis to provide for interaction between instructor and student)

I request that the applicable practical training courses be assessed as institutional training under the provisions of 38 CFR 21.4265. I certify that these courses are an integral part of the curriculum, are required for graduation, are under the direction of the school, and the student remains enrolled in the school during these courses. These courses may be certified in either credit or clock hours.

Signature and Title of School Official Date

MAIN AND OFF-CAMPUS LOCATIONS (Complete Street Address, City, State, Zip Code)

Name and Location of School (1) LIST CAMPUSES (INCLUDING MAIN) THAT MAINTAIN ALL RECORDS AND HAVE ADMINISTRATIVE CAPABILITY (2) LIST ALL OTHER OFF-CAMPUS LOCATIONS THAT PROVIDE INSTRUCTION


App II-26

Use additional sheets if necessary

No out-of-state or out-of country locations should be listed.

Affiliated hospitals for nursing or medical and dental programs should not be listed.

Certificate programs offered by a private, profit or non-profit IHL will be subject to the two-

year period of operation requirement before they can be approved at off-campus locations.

DEVELOPMENTAL/REMEDIAL/DEFICIENCY COURSES Reference 38 CFR 21.4200(s)(t)

Name and Location of School Course Number Course Title Catalog Page Number or

Addendum DEFINITION: Developmental/Remedial/Deficiency courses are courses designed to overcome a

deficiency at the elementary or secondary level in a particular area of study (usually English or Math) under provisions of 38 CFR 21.4200(s) and (t); and 38 CFR 21.4235(f) and 38 CFR 21.4237(f) for ESL.

Documentation through testing must be available to support the need for each specific develop-mental/remedial/deficiency course.

NOTE: Courses cannot be used for credit toward completion of degree or certificate program

requirements. Also, they cannot be used as electives. Personal enhancement courses

cannot be approved as developmental/remedial/ deficiency courses for VA training.

COOPERATIVE EDUCATION COURSES

REQUEST FOR APPROVAL OF COOPERATIVE EDUCATION COURSES UNDER THE PROVISIONS OF 38 CODE OF FEDERAL REGULATIONS 21.4233(a)

Name of School

Location of School

Accrediting Body


App II-27

We request that the following list of cooperative education courses be approved under the provisions of 38 CFR 21.4233(a). We certify that:

the alternate in-school periods of the course are at least as long as the alternate periods in the business or industrial establishment;

the course is set up as a cooperative course in the school catalog or other literature of the school; the school itself arranges with the employer's establishment for providing the alternate on-job portion periods of training on such basis that the on-job portion of the course will be training in a real and substantial sense and will supplement the in-school portion of the course; the school arranges directly with the employer's establishment for placing the individual student in that establishment and exercises supervision and control over the student's activities at the establishment to an extent that assures training in a true sense to the student; and the school grants credit for the on-job portion of the course for completion of a part of the work required for granting a degree or diploma.

Course Number Course Title Catalog Page Number or

Addendum

Signature and Title of School Official Date


App II-28

POWER OF ATTORNEY CERTIFICATION

I certify that this institution does not have a power of attorney to negotiate Department of Veterans Affairs (VA) educational benefit checks nor does this institution use coercive procedures or practices to limit a veteran or other eligible person’s disposition of the proceeds of a VA check. Checks are not stamped “For Deposit Only” to the school’s account for endorsement by the student. This institution does not have a joint bank account with any VA student.

The institution DOES plan on receiving VA students’ monthly education benefit checks at the school’s address.

The institution DOES NOT plan on receiving VA students’ monthly education benefit

checks at the school’s address.

Signature of School Official Date

Title of School Official

Name of School

Address of School

City/State/Zip


App II-29

REQUEST FOR WAIVER – 85/15 PERCENT

This is to certify that our current enrollment of Department of Veterans Affairs (VA) students receiving VA educational benefits is 35 percent or less of the total school enrollment. We do hereby request a waiver of the 85/15 percent reporting requirement. We do understand that the above waiver would not apply to any course/program in which the percentage of VA students exceeds 85 percent.



Name of School

Address of School

City/State/Zip


App II-30

ADVANCE PAYMENT CERTIFICATION

Our institution DOES NOT wish to participate in the VA’s advance payment program.

Our institution AGREES to participate in the VA’s advance payment program, and we make the following certification:

I certify that advance payment checks will be maintained in a secure place, be given to the VA student upon registration, but not earlier than 30 days prior to the first day of classes, and that we will furnish verification of enrollment as prescribed by VA directives.


Title of School Official Facility Code

Name of School

Address of School

City State Zip


App II-31

COMPLETE ONLY IF APPLICABLE

Change of Ownership 38 CFR 21.4251 (Complete this section if change has occurred within the last two years) School Name Dates of Ownership Owner

Current Owner Certification I certify that:

The school remains essentially the same, i.e., there are no major changes in the type or number of faculty, student body, or courses offered;

As the new owner, I have acquired all, or substantially all, of the school’s assets, which are directly related to the school’s educational activities;

As the new owner, I assume liability on the date the school is sold for all or substantially all, of the outstanding debts of the school. I assume only the debts incurred as a direct result of the school’s educational activities under the previous ownership. This includes overpayments of educational assistance for which the school is liable or may become liable under 38 CFR 21.4009;

As the new owner or manager, I will make all refunds, which on the date the school was sold, may be due to veterans and eligible persons under 38 CFR 21.4254(c)(13), and

As the new owner, I agree to honor all student contracts that veterans, reservists, or other eligible persons signed or that school authorities approved before the effective date of the change in ownership.

Signature of Owner Print name Date

Change of Address 38 CFR 21.4251 I certify that the currently approved school: Current address Former Address

has relocated effective

and meets the following approval criteria:

The new location is within normal commuting distance of the previous location

The school has essentially the same faculty and student body

The school offers the same courses

The school has maintained “continuity of operation.” It has not been closed or otherwise unavailable for instructions for a period in excess of 30 days during the course of the move.

Signature of Owner Print name Date


App II-32

PROGRESS POLICY GUIDELINES Institutions are required by law to have and to enforce standards of progress in order for their programs to be approved for VA benefits. These standards should be stated plainly in the catalog or bulletin. The policy must define the following:

1. The school's grading system (INCLUDING INCOMPLETE GRADES) 2. The school’s grading period 3. The minimum grades considered satisfactory 4. A clear description of any probation period 5. Conditions for interruption of training due to unsatisfactory grades or progress 6. Conditions for a student's reentrance/admission following dismissal/suspension for

unsatisfactory progress. School officials are responsible for enforcing the established standards of progress. This will require that you specify intervals between initial enrollment and graduation/completion when each student's progress will be evaluated. Schools that provide a period of academic probation may not continue to certify a veteran or eligible person for an indefinite period of time. It is not unreasonable to expect that an institution will report a termination due to unsatisfactory progress if a student remains on academic probation beyond two (2) terms, quarters, or semesters without an improvement in his/her academic standing. Please ensure that your progress policies for undergraduate, graduate, law school, and certificate programs meet the above requirements. If your catalog does not contain all of this information, a progress policy must be submitted as an addendum to the current catalog (and noted on the true and correct statement).

NOTE: PROGRESS POLICIES FOR VA STUDENTS CANNOT BE LESS

STRINGENT THAN POLICIES FOR OTHER STUDENTS.


App II-33


NONACCREDITED INSTITUTIONS

************

GUIDE FOR SCHOOLS IN PREPARING AN APPLICATION FOR APPROVAL TO

TRAIN VETERANS AND OTHER ELIGIBLE PERSONS UNDER

SECTION 3676, TITLE 38, UNITED STATES CODE

PLEASE NOTE: All information (including financial statements) submitted with catalog and application are subject to the Open Records Act.

Return to:

Texas Veterans Commission


Austin, Texas 78711-2277 (512) 463-3168 or (877) 898-3833 Toll-Free

SAA-NON 10/01/06


App II-34

DIRECTIONS FOR NONACCREDITED INSTITUTIONS IN PREPARING APPLICATION FOR APPROVAL OF CERTIFICATE PROGRAMS FOR VETERANS TRAINING UNDER SECTION

3676, TITLE 38, UNITED STATES CODE

A nonaccredited school desiring approval of a program(s) must prepare and submit the following information. Submit three (3) copies of each item.

The Application for Approval (pages 1 through 3).

The school catalog in three-ring loose-leaf binders which will be comprised of the application and exhibits in TYPED form. Carbon copies are not acceptable. In compiling the catalog, place the completed application (pages 1 through 3) in the binder first and follow the exhibit outline in the application. Do not place more than one exhibit on a page. Signatures must be affixed where required as indicated on the respective forms.

NOTE: If your school has a published/printed catalog, you may provide three copies and reference the catalog

page number on the corresponding exhibit. For example, if your school calendar is in the printed catalog, indicate on Exhibit A “See catalog, page X” and sign the true and correct statement at the bottom of the page. OR, you may attach the applicable catalog page to the corresponding exhibit.

Form 005 Receipt of Enrollment Policies (keep as part of catalog, complete for each student enrollment)

Form 010 Record of Previous Education & Training (keep as part of catalog, complete for each student

enrollment)

VA Form 22-8794, Designation of Certifying Official(s).

VA Form 27-8206, Statement of Assurance of Compliance with Equal Opportunity Laws. (For Non-Public Schools Only)

VA Form 22-1919, Conflicting Interests Certification for Proprietary Schools Only (For Non-Public Schools

Only)

Request for Waiver – 85/15 Percent

Power of Attorney Certification

Advance Payment Certification

IMPORTANT INFORMATION

NON-PUBLIC (PRIVATE, PROFIT OR NON-PROFIT) SCHOOLS MUST HAVE OPERATED AS AN EDUCATIONAL INSTITUTION FOR THE LAST TWO (2) YEARS TO BE CONSIDERED FOR APPROVAL TO TRAIN VETERANS.

VERFICATION OF STUDENT ENROLLMENT (CONTINUOUS) RECORDS FOR THE TWO YEAR PERIOD IS REQUIRED FOR APPROVAL CONSIDERATION. [Reference 38 CFR 21.4251]

The school will make available the records and necessary data required for approval under Section 3676, Title 38, U. S. Code, for inspection by authorized representatives of the State Approving Agency for Veterans Education and Department of Veterans Affairs. [Code of Federal Regulations CFR 21.4209(a)(1)]

2. The school will retain records for at least three (3) years for all students who graduated, dropped out, or

transferred. [CFR 21.4209(f)] 3. It is understood and agreed that charges for services and articles, if applicable, for veterans and other eligible

persons are not in excess of charges made for other regular students pursuing the same or similar program. [CFR 21.4202(a)]

4. The school will not accept the enrollment or reenrollment of a student under Chapters 30 or 32, Title 38 U.S.C.

and Chapter 1606, Title 10 U.S.C. when more than eighty-five (85%) percent of the students enrolled in the program(s) are having all or any part of their tuition, fees, or other charges paid to or for them by the school or the Department of Veterans Affairs. The 85/15 ratio applies to each program individually. [CFR 21.4201(a)]

The school will maintain a Receipt of Enrollment Policies (Form 005) and Record of Previous Education and Training (Form 010) for each VA student.


App II-35


VETERANS EDUCATION

P.O. BOX 12277

AUSTIN, TEXAS 78711-2277

APPLICATION FOR APPROVAL UNDER SECTION 3676, TITLE 38, U.S. CODE,

NONACCREDITED INSTUTIONS

I certify that the school below HAS operated as an educational institution for the last two years. (Continue with the application process)

I certify that the school HAS NOT operated as an educational institution for the last two years. (STOP. Your request for approval cannot be processed.)

I. INFORMATION (PUBLIC INSTITUTIONS SHOULD COMPLETE ONLY ITEMS 1 THROUGH 6) 1. Name of School

Name of Contact Phone No. ( ) Fax No. ( )

2. Address of School

Mailing Address

3. Name of Owner 4. Address of Owner

5. Type of Ownership Individual Partnership

Corporation Other

6. Type of School

7. List all partners or, if a corporation, all officers, directors, and/or trustees as well as each shareholder owning stock aggregating at least ten percent (10%) of the total issued and outstanding shares. (Use additional sheet if necessary.)

Name Title Address Zip Code % Owned

8. Change of Ownership or Change of Address

See attached

9. Is a license or approval from any other federal, state or municipal agency required for the operation of your school? YES NO (Provide as Exhibit M, Non-Public Schools only)

If YES, please list:

(Please note that Exhibits have been provided one after the other in the NTC in the interest of saving space. In the actual document, each Exhibit begins of a new page)

II. EXHIBITS Submit the exhibits as labeled (and subsequent revisions) as follows: (Public educational institutions should submit only Exhibits A - J.)

A. school calendar

B. school's method of recording attendance and attendance policies

C. progress policy


App II-36

D. student conduct policy

E. refund policy

F. description of the school facilities

G. inventory of furniture and equipment

H. summary of course information for each certificate program offered, including a synopsis of each topic or subject listed

I. class schedules

J. roster of administrative and instructional staff

K. Personal Data Form for Instructors (Not Required if Instructors are licensed by a State or Federal Agency)

L. A statement of financial position (balance sheet) and a statement of results of operation (statement of income and retained earnings) for the most recent fiscal year. These statements must be in a form consistent with generally accepted accounting principles and be accompanied by the owner's and/or authorized school official's notarized affidavit that the statements are true and correct. (NON-PUBLIC ONLY)

M. a copy of the license(s) or approval(s) issued by another federal, state or municipal agency required

for the operation of your school (NON-PUBLIC ONLY) III. STATEMENTS OF ASSURANCE

A. The courses, curriculum, and instruction are consistent in quality, content, and length with similar recognized accepted standards.

B. There is in the school adequate space, equipment, instructional material, and instructor personnel to provide training of good quality.

C. Education and experience qualifications of directors, administrators, and instructors are adequate.

D. The school will maintain a written record of previous education and training of the veteran or eligible person and clearly indicate that appropriate credit has been given for previous education and training, with the training period shortened proportionately, and the veteran or eligible person and the Department of Veterans Affairs so notified. Form 010 Record of Previous Education and Training (attached) will be maintained in each student's file.

E. A copy of the course outline, schedule of tuition, fees, and other charges, regulations pertaining to absences, grading policy, and rules of operation and conduct will be furnished the veteran or eligible person upon enrollment. Form 005 Receipt of Enrollment Policies (attached) will be maintained in each student's file.

F. Upon completion of training, the veteran or eligible person is given a certificate by the school indicating the approved program and indicating that training was satisfactorily completed.

G. Adequate records as prescribed by the State Approving Agency (SAA) are kept to show attendance and progress or grades, and satisfactory standards relating to attendance, progress, and conduct are enforced.

H. The school complies with all local, city, county, municipal, State, and Federal regulations, such as fire codes, building, and sanitation codes.

I. he school is financially sound and capable of fulfilling its commitments for training.

J. The school will not utilize advertising of any type which is erroneous or misleading, either by actual statement, omission, or intimation.

K. The school will not exceed its enrollment limitations as established by the State approving agency.


App II-37

L. The school administrators, directors, owners, and instructors are of good reputation and character.

M. The school has and maintains a policy for the pro rata refund of the unused portion of tuition, fees and charges if the veteran or eligible person fails to enter the course or withdraws or is discontinued from it before completion.

N. The school will meet additional reasonable criteria as may be deemed necessary by the State approving agency.

IV. IMPORTANT INFORMATION

A. The school will make available the records & necessary data required for approval under

Section 3676, Title 38, U. S. Code, for inspection by authorized representatives of the State Approving (SAA) Agency and Department of Veterans Affairs. [Code of Federal Regulations CFR 21.4209(a)(1)]

B. The school will retain records for at least three (3) years for all students who graduated,

dropped out, or transferred. [CFR 21.4209(f)] C. It is understood and agreed that charges for services and articles, if applicable, for veterans

and other eligible persons are not in excess of charges made for other regular students pursuing the same or similar programs. [CFR 21.4202(a)]

D. The school will not accept the enrollment or reenrollment of a student under Chapters 30 or 32, Title

38 U.S.C. and Chapter 1606, Title 10 U.S.C. when more than eighty-five (85%) percent of the students enrolled in the course(s) are having all or any part of their tuition, fees, or other charges paid to or for them by the school or the Department of Veterans Affairs. The 85/15 ratio applies to each course individually. [CFR 21.4201(a)]

E. The school will maintain a Receipt of Enrollment Policies (Form 005) and Record of Previous

Education and Training (Form 010) for each VA student. I CERTIFY THAT THE INFORMATION CONTAINED IN THIS APPLICATION IS TRUE AND CORRECT TO THE BEST OF MY KNOWLEDGE AND BELIEF. I ALSO CERTIFY THAT THE SCHOOL WILL ADHERE TO THE STATEMENTS OF ASSURANCE IDENTIFIED IN THIS APPLICATION FOR APPROVAL AS A CONDITION OF CONTINUED APPROVAL.

Signature of Authorized School Official Date


App II-38

SCHOOL NAME ADDRESS CITY/STATE/ZIP

CATALOG

VOLUME NUMBER

YEAR

Check if Printed Catalog Attached

____________________________________________________________

EXHIBIT A

School Name and Address

SCHOOL CALENDAR

Beginning Date(s) of Classes

Ending Date(s) of Classes

Scheduled Vacation Periods

Overall Hours and Days of Operation: School

Office

HOLIDAYS TO BE OBSERVED (USE COMPLETE DATES MONTH/DAY/YEAR)

Dates From To

Washington's Birthday

St. Patrick's Day

Easter

Memorial Day

Independence Day

Labor Day

Rosh Hashanah

Yom Kippur

Columbus Day

Halloween

Veterans Day

Thanksgiving

Christmas

New Year's Day

Martin Luther King Day


App II-39

Texas Independence Day

Others

I certify that the information on this form (and/or attachment) is true and correct to the best of my knowledge

and belief.


_____________________________________________________________________________

EXHIBIT B


ATTENDANCE POLICY Describe the school’s attendance policy in detail.

Identify what constitutes violation of the attendance policy.

Identify the point at which a VA student will be reported to the Department of Veterans Affairs for unsatisfactory attendance.

Describe the type of attendance records that are kept.

Identify the type of symbols used to record attendance

Identify the school’s leave of absence policy.


_________________________________________________________________

EXHIBIT C


PROGRESS POLICY

1. Explain the grading system used by the school, whether it be letter, numerical, satisfactory/unsatisfactory and provide a brief description.

2. What minimum grades must be maintained by a student to make satisfactory progress?

3. Describe the probationary period used by the school, if any, and the conditions for interruption for students making unsatisfactory progress.

4. What are the conditions for reentry, if any, for those students interrupted for unsatisfactory progress?


App II-40

5. What progress records are used and maintained by the school to evaluate student progress?

6. State the frequency that progress records are furnished to the student and/or sponsor(s).


and belief.


_____________________________________________________________________

EXHIBIT D


STUDENT CONDUCT POLICY 1. State the rules and regulations governing student conduct.

2. What are the conditions for dismissal of students for unsatisfactory conduct?


and belief.


_______________________________________________________________________

EXHIBIT E


REFUND POLICY It is understood and agreed that the following refund policy will be applied to veterans and other eligible persons:

In the event the veteran or other eligible person fails to enter the course, or withdraws, or is discontinued therefrom at any time prior to completion of the approved program length for VA students, the amount charged to the student for tuition, fees, and other charges for the completed portion of the course shall not exceed $10.00 (only if a registration fee is charged) plus the approximate pro rata portion of the total charges for tuition, fees, and other charges that the length of the completed portion of the course bears to its total length. The completed portion is the total number of days the student was scheduled to attend (from first to last date of attendance) multiplied by the scheduled hours of attendance per day. Refunds will be totally consummated within the forty (40) days after termination.

(See VA Refund Worksheet)


App II-41


and belief.


TEXAS VETERANS COMMISSION - VETERANS EDUCATION VA REFUND WORKSHEET (Ref. 38 CFR 21.4254, 21.4255)

(Read instructions on back before completing) SCHOOL __________________________ PROGRAM ______________ STUDENT __________________________________ SSN ____________________ PHONE # _______

ADDRESS _________________________________ CITY ___________________ STATE/ZIP ___

Tuition ____________ + Registration/Application Fee(*) _______ = TOTAL

_______________

*(if less than $10.00, do not include in Total Program Cost)

*(if more than $10.00, do include in Total & subtract $10.00 not subject to proration for Total Program Cost)

TOTAL PROGRAM COST _____ ÷ TOTAL PROGRAM CLOCK HOURS _____ COST PER CLOCK HOUR__

The following should be taken from the official school attendance record: ENROLLMENT DATE ____________ DAYS PER WEEK SCHEDULED ___________

FIRST DATE OF ATTENDANCE ____________ HOURS PER DAY SCHEDULED (A) ___________

LAST DATE OF ATTENDANCE ____________ TOTAL HOURS PER WEEK SCHEDULED ___________

TOTAL DAYS SCHEDULED (B) ____________ (must be from the approved catalog)

TOTAL HOURS OF SCHEDULED ATTENDANCE (A) X (B) (through last day of attendance) ______________

******************************************************

1. Total tuition earned by the school 1. $_______________ Total hours of attendance scheduled X Cost Per Clock Hour $_______________ 2. If registration/application fee is less than $10.00, enter actual amount 2. $_______________ If registration/application fee is more than $10.00, enter $10.00 (portion not pro-rated) 3. Total of other charges separate from Total Program Cost 3. $__________________ (must be identified in the approved catalog and documented on the ledger) Books ________________ (student must acknowledge receipt) Lab Fee_________________ Supplies________________ (student must acknowledge receipt) Miscellaneous____________ 4. Total earned by the school (add 1, 2, 3) 4. $____________________ 5. Total paid by the student (reg/appl fee, tuition, fees, etc.) 5. $____________________ 6. Refund due to student/funding source (if 5 is greater than 4) 6. $____________________


App II-42

7. Balance due the school (if 4 is greater than 5) 7. $____________________ 8. Refund paid within 40 days after last date of attendance ___ YES ___ NO CHECK NO. or EFT NOTATION ___________ CHECK AMOUNT(S) _______________________ CHECK NO. or EFT NOTATION __________ CHECK AMOUNT(S) ________________________ CHECK NO. or EFT NOTATION ___________ CHECK AMOUNT(S) ________________________ COMPUTED BY _____________________________________ DATE _______________

INSTRUCTIONS

Reminders The program certified should be identified on the school's approval notice. The first date of attendance should have been correctly certified on VAF 22-1999. The last date of attendance should have been correctly reported on VAF 22-1999b. Scheduled hours of attendance must be taken from the period attended and not the entire period certified. A refund should not be processed for a student on an approved leave of absence. Prior credit awarded/cost should be entered on the financial ledger Definition of Terms Total Program Cost - may include more than one type of cost if listed this way in the approved catalog. If Total Program Cost is not inclusive, see Line 3 for specific charges.

Total Program Clock Hours - amount should reflect only the hours listed in the approved catalog

Cost Per Clock Hour - Total Program Cost divided by Total Clock Hours

Total Hours of Scheduled Attendance - for the purpose of VA refund calculations, this is the total number of days that the student was scheduled to attend (from the first to the last date of attendance) multiplied by the hours of attendance per day scheduled. This figure will yield the total clock hours scheduled listed in Line 1. DO NOT USE TOTAL HOURS SCHEDULED FOR THE ENTIRE PROGRAM IN THIS CALCULATION.

********************************************************************************************

Line 1: Total Tuition Earned by the School - the total clock hours scheduled should be taken directly from the

school's official attendance record and the approved catalog schedule. Line 2: 38 CFR 21.4255(a)(1) allows for proration of registration fee amounts that exceed $10.00 Line 3: If these items/amounts are included in the Tuition, do not list. Otherwise, list only those items actually

charged to the student and documented on the ledger. All charges must be identified in the approved catalog.

Line 4:` School is not entitled to charges beyond this amount. Line 5: This total should include ALL payments from the student or funding source and should agree with the

financial ledger. Line 6: If the student/funding source has paid more than the school has earned, a refund is due. Line 7: If the student/funding source has paid less than the school has earned, a balance is due the school. Line 8: Refund must be paid within the specified amount of time or it is considered late.

____________________________________________________________________________


App II-43

EXHIBIT F School Name and Address

BUILDING DESCRIPTION 1. Location:

2. Type of Construction:

3. Student Capacity:

4. Approximate Number of Square Feet:

5. State of Repair:

______________________________________________________________________________________ 6. Submit Drawing of Floor Plan to include room dimensions, student capacities for each class room, and room uses.


and belief.


_____________________________________________________________________

EXHIBIT G School Name and Address

INVENTORY OF FURNITURE AND EQUIPMENT

"USE ADDITIONAL PAGES IF NEEDED"

NOTE: Computer Print-outs of Inventory will be acceptable with a True and Correct Statement.

Lab or Classroom Number Items(s) Quantity


and belief.


App II-44


___________________________________________________________________

EXHIBIT H


SUMMARY OF CERTIFICATE PROGRAM INFORMATION

Authority for Data Collection: Sections 3676, Chapter 36, Title 38, United States Code

Planned Use of the Data: To provide the information necessary to determine if the program is of such quality,

content, and length to achieve the stated objective for which the certificate program is offered, and to provide

the current charges.

Instructions: Complete for each certificate program. If additional clarification is required, contact Veterans

Education at Texas Veterans Commission, P.O. Box 12277, Austin, Texas 78711-2277 (Please TYPE.)

1. Certificate Program Title

2. For what specific occupation does this program prepare a student?

3. Prerequisites for Admission:

4. Describe what is issued to the student upon completion of the program:

DETAIL OF CHARGES

COST

Registration $

Tuition $

Books, etc. $

Supplies $

Tools $

Lab Fees $

Rentals $

Deposits $

Student Act Fee $

Other $

TOTAL $

__________________________________________________________________________


App II-45

EXHIBIT H PROGRAM OUTLINE Title

Main Phases, Units, Topics, Subjects, or Courses Accompanying Synopsis or Description CLOCK HOURS

Example: SHAMPOO This phase of the program covers shampooing techniques; type of shampoos and the chemistry of shampoo

150

START PROGRAM DESCRIPTIONS

Note: This page should show only the main phases, units, topics, subjects, or courses of the program along with an accompanying synopsis or description and the clock hours devoted to each. (Use additional pages if necessary)


and belief.


______________________________________________________________________________

EXHIBIT I


CLASS SCHEDULE

DAY SCHEDULE (Monday thru Friday) 7:30 am - 9:00 am Theory/Lab 9:00 am - 9:10 am Break 9:10 am - 1230pm Theory/Lab 12:30 pm 1:00 pm LUNCH SAMPLE 1:00 pm - 2:50 pm Practical 2:50 pm - 3:00 pm Break 3:00 pm - 4:00 pm Practical

EVENING SCHEDULE (Monday, Wednesday and Thursday) 5:50 pm - 7:10 pm Theory/Lab 7:10 pm - 7:20 pm Break 7:20 pm - 9:10 pm Theory/Practical SAMPLE 9:10 pm - 9:20 pm Break 9:20 pm - 10:50 pm Theory/Practical

LIST YOUR SCHOOL’S ACTUAL CLASS SCHEDULE(S) BELOW

What type of training is predominant (more than 50%)? Theory (Lecture) _______ Lab Shop


App II-46


and belief.


NOTE: A SCHEDULE MUST BE PROVIDED FOR EACH PROGRAM TO BE APPROVED AND MUST AGREE WITH EXHIBIT A.

___________________________________________________________

EXHIBIT J School Name and Address

ROSTER OF ADMINISTRATIVE AND INSTRUCTIONAL STAFF (USE ADDITIONAL PAGES IF NEEDED)

NAME DUTIES License Number (If Applicable) Course/subject taught


and belief.

Signature of Authorized School Official Date _

_____________________________________________________________________

EXHIBIT K


PERSONAL DATA FORM FOR INSTRUCTORS

(NOT REQUIRED IF INSTRUCTORS ARE LICENSED BY A STATE OR FEDERAL AGENCY)

Authority for Data Collection: Sections 3676, Chapter 36, Title 38, United States Code

Planned Use of the Data: Verification of Instructor Qualifications

Instructions: The completed form should be accompanied by certificates of completion and/or transcripts from

any courses or schools which are used to establish qualifications. If additional clarification is required, contact

Veterans Education at Texas Veterans Commission, P.O. Box 12277, Austin, Texas 78711-2277. (Please

TYPE.)

PART I: (To be completed by instructor): 1. Name:

2. Maiden Name (if applicable): Date of Birth _


App II-47

3. Home Address Phone

Number _

4. Teaching Credential: Type: State: No.

5. Current license or certificate other than public school credentials to teach the program courses/subjects:

Yes No Issued by: Number:

6. ACADEMIC TRAINING: (Use additional sheet if necessary)

TYPE

INSTITUTION

ADDRESS

FROM/TO

DEGREE/DIPLOMA

High School

College

Graduate School

Other

7. Practical experience in the proposed field of teaching. This does not refer to teaching experience shown

under Item 8. List last three employers beginning with most recent experience. Give accurate addresses and dates.

NAME OF

INSTITUTION

ADDRESS, CITY DUTIES FROM/TO NO. OF MONTHS

8. If you have taught at another school, list the schools and duties.

NAME OF

INSTITUTION

ADDRESS, CITY DUTIES FROM/TO NO. OF MONTHS

9. Professional Conduct: (It is important that all these questions be answered. If explanations are necessary, use an additional page.)

A. Have you ever had a diploma, credential, license, or certificate denied, revoked or suspended?

Yes No If yes, explain fully

B. Have you ever been found guilty of, pleaded guilty to, or entered a plea of "nolo contendere" to a

charge of immoral conduct?


C. Have you ever been dismissed or asked to resign from any position for immoral or unprofessional

conduct?


D. Have you ever been convicted of a felony or of a misdemeanor other than minor traffic offenses?


10. Certification:


App II-48

I certify that all of the foregoing statements are true and correct to the best of my knowledge and belief. Signature Date

************************************************************************************************* PART II: (To be c 1. The instructor is teaching the following subject(s):

2. Daily teaching hours: 3. Number of college semester hours in subject(s) to be taught:

4. Certification: I certify that I have reviewed and verified the qualifications of this instructor and his/her statements contained on this personal data form. To the best of my knowledge and belief, he/she is qualified for the position indicated. Signature of Authorized School Official Date

________________________________________________________________________

EXHIBIT L

STATEMENT OF FINANCIAL POSITION I CERTIFY THAT THE ATTACHED FINANCIAL STATEMENT(S) AS OF ____________________________ (FOR THE PERIOD ENDED) IS TRUE AND CORRECT TO THE BEST OF MY KNOWLEDGE AND BELIEF. SCHOOL NAME

SCHOOL ADDRESS

NAME OF OWNER

SIGNATURE/TITLE OF AUTHORIZED SCHOOL OFFICIAL STATE

CITY

COUNTY

SWORN TO AND SUBSCRIBED BEFORE ME ON THIS THE DAY OF ,

NOTARY PUBLIC


App II-49

SEAL ________________________________________

DATE COMMISSION EXPIRES

THIS CERTIFICATION MUST ACCOMPANY ALL COMPILED FINANCIAL STATEMENTS

EXHIBIT M

ATTACH A COPY OF THE LICENSE ISSUED BY A FEDERAL, STATE, OR MUNICIPAL AGENCY REQUIRED FOR THE OPERATION OF YOUR SCHOOL

RECEIPT OF ENROLLMENT POLICIES

PUBLIC AND NON-PUBLIC EDUCATIONAL INSTITUTIONS APPROVED UNDER THE

PROVISIONS OF TITLE 38, UNITED STATES CODE

____________________________________________________________________________ (school name)

Authority for Data Collection: Title 38, United States Code, Chapter 36, Section 3676(c)(5) and (14)

Planned Use of the Data: To provide evidence of receipt of that information which is required by rule and

law to be provided the student prior to enrollment.

Instructions: This form is to be completed by the student prior to enrollment and the completed form

maintained by the school in each student's file. A copy of the completed form will be given to the student.

If additional clarification is needed, contact Veterans Education at the Texas Veterans Commission, P.O.

Box 12277, Austin, Texas 78711-2277.

The following items and information must be furnished to each prospective student prior to enrollment. This information is provided for the student's protection. Ensure each item of information is given to the student, fully explained and all questions answered prior to signing an enrollment agreement or contact. In addition, the prospective student must acknowledge receipt by initialing each item in the space provided.

A: I have received following prior to enrollment:

_______ 1.A copy of the school bulletin & a program/course outline for the program(s) in which I wish to enroll

_______ 2.A schedule of the tuition, fees, and other charges

_______ 3.A copy of the cancellation and refund policy

_______ 4.The attendance, progress and grievance policies

_______ 5.Rules of operation and conduct

_______ 6.Regulations pertaining to incomplete grades

_______ 7.An invitation to tour the school's facilities and inspect equipment related to my planned program of instruction

B:

_______ 1.I have furnished information disclosing my previous education, training, and work

experiences. I understand this will be evaluated and may result in my program/course length

being shortened and the cost being reduced.

_______ 2.I further realize that any grievances not resolved by the school may be forwarded to

Veterans Education, Texas Veterans Commission, P.O. Box 12277, Austin, Texas 78711-2277.


App II-50

I certify that I have been provided all of the information above prior to my enrollment. I will receive a copy of this completed form and a copy of my enrollment agreement when signed.

Signature of Student ___________________________ Date _______________________

Signature of School Official ____________________ Date _______________________

A COPY OF THIS COMPLETED FORM MUST BE GIVEN TO THE STUDENT AND ALSO MAINTAINED IN HIS/HER FILE

_______________________________________________________________________________

RECORD OF PREVIOUS EDUCATION AND TRAINING SCHOOL NAME: __________________________________________________________________________________________

Authority for Data Collection: Title 38, United States Code, Chapter 36, Section 3676(b)(12) Planned Use of this Data: This form must be used by the school in its entirety to provide a record by which previous education and training may be evaluated and credit given to the student. It also provides a record of such credit and reduction of program length and cost as required by law. Instructions: Students receiving VA educational benefits do not have the “option” of having prior credit reviewed. ALL previous education and training must be provided to the school for review. Complete each item on front and back. If an item is not applicable, write “N/A.” If credit is being claimed for postsecondary education, a transcript must be provided. Credit for experience should also be granted, if justified by the school’s evaluation of the student’s skills. Attach additional pages as needed. The completed form must be maintained in each student’s file. Credit for previous education and tra ining cannot be granted until this form is completed and signed by the school official and the student. If additional clarification is

required, contact Veterans Education at Texas Veterans Commission, P.O. Box 12277, Austin, Texas 78711-2277.

STUDENT INFORMATION NAME: ____________________________________ SSN: _________________ DATE OF BIRTH: ____________ NAME OF PROGRAM: ______________________________ DATE OF ENROLLMENT: ______________________ HIGH SCHOOL DIPLOMA: [ ] YES [ ] NO GED: [ ] YES [ ] NO

POSTSECONDARY EDUCATION (College, University, Technical or Vocational School, Other) Name of School __________________________________ Location _________________________ Dates Attended ______________________________ Graduated (Yes or No) ______________________ Type of Diploma or Degree ______________________________ Major Field of Study _____________________ Name of School ________________________________ Location _________________________________

Dates Attended __________________________________ Graduated (Yes or No) ______________________

Type of Diploma or Degree ________________________ Major Field of Study_________________________

Name of School ___________________________________ Location ___________________________

Dates Attended _____________________________________ Graduated (Yes or No)____________________

Type of Diploma or Degree ______________________ Major Field of Study______________________________

Name of School _____________________________________ Location __________________________________

Dates Attended _______________________________________ Graduated (Yes or No)_________________

Type of Diploma or Degree _____________________________ Major Field of Study_________________________


App II-51

PREVIOUS EXPERIENCE Identify previous experience and skills that relate to the program curriculum for which you are enrolled. _________________________________________________________________________________________________ __________________________________________________________________________________________________

THIS SIDE TO BE COMPLETED BY THE STUDENT / THE REVERSE TO BE COMPLETED BY SCHOOL OFFICIAL ONCE COMPLETED THIS FORM SHOULD BE KEPT IN THE STUDENT’S FILE.

FOR SCHOOL USE ONLY School Evaluation of Previous Education and Training Instructions: List f or courses/subjects for which credit is being awarded and the justification for which the credit is granted (skills tests, experience, or transcript information). Name of Program ________________________________________________________________________________________ Course/Subject Equivalent Hours of Credit Justification (Credit and/or Clock) _______________________ _____________________ _______________ __________________ _______________________ _____________________ _______________ ____________________ Credit / Price Adjustments (Cost per hour is the original cost divided by the original program length) Original Program Length _______________ (clock hours) Original Cost $_______________(Tuition) Less Credit Granted _______________ (clock hours) Less Credit Granted $_______________ Adjusted Program Length _______________ (clock hours) Adjusted Program Cost $_______________

ACKNOWLEDGMENT STUDENT: I have discussed the above evaluation of my previous education and training with the authorized school official and acknowledge that: [ ] I WILL receive the above stated credit. [ ] I WILL NOT receive the above stated credit. _____________________________________ _________________________________ ________________ Signature of Student Printed Name Date SCHOOL OFFICIAL: [ ] I certify that all information provided by the student has been evaluated and that student will not receive credit. [ ] I certify that all information provided by the student has been evaluated and that the student has been given credit for which he/she is entitled as listed above. _______________________________________ ___________________________ ________________ Signature of Authorized School Official Printed Name Date


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POWER OF ATTORNEY CERTIFICATION

I certify that this institution does not have a power of attorney to negotiate Department of Veterans Affairs (VA) educational benefit checks nor does this institution use coercive procedures or practices to limit a veteran or other eligible person’s disposition of the proceeds of a VA check. Checks are not stamped “For Deposit Only” to the school’s account for endorsement by the student. This institution does not have a joint bank account with any VA student.

The institution DOES plan on receiving VA students’ monthly education benefit checks at the school’s address.

The institution DOES NOT plan on receiving VA students’ monthly education benefit checks at the school’s

address.



Name of School

Address of School

City State Zip


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REQUEST FOR WAIVER – 85/15 PERCENT

This is to certify that our current enrollment of Department of Veterans Affairs (VA) students receiving VA educational benefits is 35 percent or less of the total school enrollment. We do hereby request a waiver of the 85/15 percent reporting requirement. We do understand that the above waiver would not apply to any course/program in which the percentage of VA students exceeds 85 percent.



Name of School

Address of School

City State Zip


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ADVANCE PAYMENT CERTIFICATION

Our institution DOES NOT wish to participate in the VA’s advance payment program.

Our institution AGREES to participate in the VA’s advance payment program, and we make the following certification:

I certify that advance payment checks will be maintained in a secure place, be given to the VA student upon registration, but not earlier than 30 days prior to the first day of classes, and that we will furnish verification of enrollment as prescribed by VA directives.


Title of School Official Facility Code

Name of School

Address of School

City State Zip


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BACK

APPENDIX E – REQUIRED VA FORMS

1. VA Form 22-8794, Designation of Certifying Official – page 1 NOTE: current as of May 2011, refer to www.vba.va.gov to ensure that forms are up-to-date.

VA Form 22-8794, Page 2

1. NAME AND ADDRESS OF SCHOOL OR TRAINING ESTABLISHMENT (Include ZIP Code)

VA FORM

MAY 2011

4. E-MAIL ADDRESS OF CERTIFYING OFFICIAL(S)

3. FAX NUMBER OF CERTIFYING OFFICIAL(S) (Include Area Code)

FOR VA USE ONLY

2. TELEPHONE NUMBER(S) OF CERTIFYING OFFICIAL(S) (Include Area Code)

(4)

B. THE USE OF THE FOLLOWING FACSIMILE (e.g., rubber stamp) SIGNATURES FOR THE OFFICIALS LISTED IN ITEM 5A ABOVE ARE AUTHORIZED.

(1)

(2)

(3)

(4)

NO. NAME TITLE SIGNATURE

22-8794 EXISTING STOCKS OF VA FORM 22-8794,

JAN 2007, WILL NOT BE USED.

DESIGNATION OF CERTIFYING OFFICIAL(S)

OMB Approved No. 2900-0262

Respondent Burden: 10 Minutes

5. THE FOLLOWING ARE DESIGNATED AS CERTIFYING OFFICIALS OF THIS SCHOOL OR TRAINING ESTABLISHMENT

A. OFFICIALS DESIGNATED TO SIGN VA ENROLLMENT CERTIFICATIONS, CERTIFICATIONS OF CHANGE IN STUDENT STATUS, CERTIFICATIONS OF DELIVERY OF

ADVANCE PAYMENTS, CERTIFICATIONS OF PURSUIT, ATTENDANCE, FLIGHT TRAINING, ON-THE-JOB OR APPRENTICESHIP TRAINING (AS APPLICABLE), OTHER

CERTIFICATIONS OF ENROLLMENT ARE:

(1) (2)

(3)

(See Reverse)

GENERAL INSTRUCTIONS 1. This form MUST ONLY be completed by a responsible official with the authority to designate certifying officials for the school or training establishment. 2. This form must be completed whenever there is a change in any of the information. Include the names, titles, and signatures of all certifying officials, not just the changed information.

SPECIFIC INSTRUCTIONS

1. Item 1: Enter the complete name and address of the school or training establishment.

2. Item 2: Enter the certifying official's telephone number. 3. Item 3: Enter the certifying official's fax number. 4. Item 4: Enter the certifying official's e-mail address. As an alternative, you may enter the e-mail address for the office where the certifying official works. 5. Item 5A: Enter the complete name and title for each designated certifying official. Have each person sign the form on the same line as his or her name and title. If any of the certifying officials have limited jurisdiction, note such limitations in Item 6, "Remarks". Use space below if needed. 6. Item 5B: If facsimile (e.g., rubber stamp) signatures will be used for any certifying officials, enter a sample in the appropriate block. In addition, have the individual initial next to the sample. 7. Item 5C: If veterans and other eligible persons will be claiming individualized tutorial assistance, complete these blocks. 8. Items 7 and 8: Sign and date the form. The person signing the form must be a person of significant authority, i.e., registrar, academic dean, or higher.

PURPOSE: This form is used to provide the names and signatures of those individuals who are authorized to certify enrollment information to the Department of Veterans Affairs.

http://www.vba.va.gov/


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NO. NAME TITLE SIGNATURE

(1)

(2)

6. REMARKS

(3)

C. FOR POSTSECONDARY EDUCATIONAL INSTITUTIONS ONLY - OFFICIALS DESIGNATED TO SIGN THE SCHOOL PORTION OF VA FORM 22-1990T, APPLICATION

AND ENROLLMENT CERTIFICATION FOR INDIVIDUALIZED TUTORIAL ASSISTANCE, ARE:

It is acknowledged that each of the individuals designated as certifying officials must successfully complete online training for new certifying officials prior to being

granted access to VA's certification system. It is hereby certified that the Department of Veterans Affairs will be notified of any changes in the designations shown on

this form as they occur.

7. SIGNATURE AND TITLE OF DESIGNATING OFFICIAL 8. DATE

PENALTY - The law provides that whoever makes any statement of a material fact knowing it to be false shall be punished by fine or imprisonment or both.

5. THE FOLLOWING ARE DESIGNATED AS CERTIFYING OFFICIALS OF THIS SCHOOL

OR TRAINING ESTABLISHMENT (Continued)

PRIVACY ACT NOTICE: VA will not disclose information collected on this form to any source other than what has been authorized under the

Privacy Act of 1974 or Title 38, Code of Federal Regulations 1.576 for routine uses as identified in the VA system of records, 58VA21/22/28,

Compensation, Pension, Education, Vocational Rehabilitation and Employment Records - VA, and published in the Federal Register. An example

of a routine use (e.g., VA sends educational forms or letters with a veteran's identifying information to the veteran's school or training establishment

to (1) assist the veteran in the completion of claims forms or (2) for VA to obtain further information as may be necessary from the school for VA to

properly process the veteran's education claim or to monitor his or her progress during training). Your obligation to respond is required to obtain or

retain education benefits. VA cannot recognize you as the proper certifying official unless the information is furnished as required by existing law

(38 U.S.C. 3680(g)). The responses you submit are considered confidential (38 U.S.C. 5701). Any information provided by applicants, recipients,

and others is subject to verification through computer matching programs with other agencies.

RESPONDENT BURDEN: We need this information to identify you as the certifying official for your school or job training establishment when

reporting pursuit of training for veterans and other eligible persons (38 U.S.C. 3684). Title 38, United States Code, allows us to ask for this

information. We estimate that you will need an average of 10 minutes to review the instructions, find the information, and complete this form. VA

cannot conduct or sponsor a collection of information unless a valid OMB control number is displayed. You are not required to respond to a

collection of information if this number is not displayed. Valid OMB control numbers can be located on the OMB Internet Page at www.reginfo.

gov/public/do/PRAMain. If desired, you can call 1-888-GI-BILL-1 (1-888-442-4551) to get information on where to send comments or suggestions

about this form.

VA FORM 22-8794, MAY 2011


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BACK

APPENDIX E

2. VA FORM 22-8206, EQUAL OPPORTUNTIY


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BACK

APPENDIX E

3. VA FORM 22-1919, CONFLICT OF INTEREST


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BACK

APPENDIX E

(back to curriculum)

4. VA FORM 22-1999, ENROLLMENT CERTIFICATION


App II-60


App II-61

Note: Copy 1 goes to the VA and Copy 2 is retained by the school


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BACK

APPENDIX E

5. VA FORM 22- 1999b, CHANGE IN STATUS


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BACK

6. VA FORM 22-1995, CHANGE IN PROGRAM OR LOCATION


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VA Form 1995, Page Two


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BACK

7. VA FORM FOR REPORTING MODIFICATIONS TO PROGRAMS (back to curriculum)

United States Department of Veterans Affairs (VA)

Notification Form for Modification to Programs

Veterans and other eligible individuals may enroll in any education program they choose, if they meet the school’s requirements for admission. However, Veterans and other eligible individuals who want to receive their GI Bill benefits must enroll in a program of education that has been deemed approved by law or that has been approved by the State Approving Agency (SAA) or the United States Department of Veterans Affairs (VA). Courses deemed approved by Public Law 111-377, Section 203, subject to sections 3875 (b)(1) and (b)(2), 3680A, 3684, and 3696, of Title 38 U.S.C. effective August 1, 2011 are:

Standard college degree programs and non-college degree programs offered at a public or not-for-profit proprietary educational institution accredited by an agency or association recognized for that purpose by the Secretary of Education. (Note: Courses taken that do not count towards a degree or certificate and programs offered under contract are not deemed approved)

Flight training that is approved by the Federal Aviation Administration and offered by a certified pilot school that possesses a valid Federal Aviation Administration pilot school certificate.

Apprenticeship program(s) registered with Office of Apprenticeship of the Employment. Training Administration of the Department of Labor or a State apprenticeship agency recognized by the Office of Apprenticeship.

Programs that lead to a secondary school diploma offered by a secondary school approved in the state in which it is operating

A licensure test offered by a Federal, State, or local government

If a program is not deemed approved by law, the school must submit an application to the SAA requesting approval of the program(s). An education program must be approved before benefits can be paid to the Veteran or other eligible individuals by the VA. Any new institution or facility and existing facilities that have programs that are not deemed approved by law should contact their SAA:

http://www.nasaa-vetseducation.com/contacts/default.aspx

This notification form is to be used for modifications to programs for existing institutions and facilities that have programs deemed approved by law and will assist the VA in ensuring compliance with Title 38, United States Code and appropriate regulations. This form and any questions pertaining to it would be submitted to the VA Education Liaison Representative of jurisdiction: http://www.gibill.va.gov/school-certifying-officials/elr.html NOTE: Modifications to standard college degree programs at accredited public and not-for-profit institutions do not have to be reported (both new and removed standard college degree programs). VA must continue to be notified of new/modifications of non-college degree, flight, licensure, and high school programs in order to properly pay benefits and will approve or deny programs offered under contract.

http://www.nasaa-vetseducation.com/contacts/default.aspx

http://www.gibill.va.gov/school-certifying-officials/elr.html


App II-66

PART I – FACILITY INFORMATION

Date:

Name of School:

Mailing Address:

Physical Address:

Chief Administrative Officer/Title:

Name/Title of Contact:

Tel. # Fax #

Email Address:

School is organized as: Public Entity (City, State, or Federal)

Non-Profit Corporation

Other (specify) ____________________

Accreditation Status: Accredited

(Provide name of accrediting agency below) ________________________________________

Expiration Date of Accreditation: ____________

Non-accredited Facility is: Institution of Higher Learning

Apprenticeship

High School

Flight School

Other: Licensure Test (Federal, State or Local Govt)

Comments: ___________________________________________________________

Please see page applicable to facility type


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INSTITUTION OF HIGHER LEARNING (IHL) (Public or Not-for-Profit)

*Attach additional pages if required

Are you reporting a change in accreditation status?

Yes No If Yes, notify your SAA also

If yes, explain:

Are you removing a non-college degree program?

Yes No

If yes, please list the program here

Are you adding a non-college degree program?

Yes No

If yes, please list the program here and attach the new catalog or an addendum with appropriate page number(s): Note: You must indicate if the program listed is a continuing education program or a program that is offered under contract

Are you modifying an existing non-college degree program?

Yes No

If yes, please document here and attach new catalog or addendum with appropriate page number(s):

Are you reporting other changes?

Yes No

If yes, please specify change(s):

*The last page must be completed and submitted with this notification form


App II-68

HIGH SCHOOLS


Are you reporting modifications to a previously approved education program?

Yes No

If yes, explain:


Yes No

If yes, explain:

*The last page must be completed and submitted with this notification form


App II-69

LICENSING PROGRAMS (Federal, State or Local Government)


Are you adding a new licensure test?

Yes No

If yes, explain:

Are you making a change to a previously approved test?

Yes No

If yes, explain:


Yes No

If yes, please specify change(s):

*The following must be completed and submitted with this notification form


App II-70

I agree to the following conditions:

To immediately report applicable changes to VA: New and removed non-college degree

programs, accreditation status or air agency certification, address, etc..

To keep adequate records that show the progress and grades of the eligible person or Veteran and

to show that satisfactory standards relating to progress and conduct are enforced. (see 38 USC

3680A (b)(1))

To maintain a written record of the previous education and training of the eligible person or

Veteran that clearly indicates that appropriate credit has been given by the educational institution

for previous education and training, with the training period shortened proportionately. (see 38

USC 3680 (b)(2))

To not certify eligible persons or Veterans in courses precluded such as bartending or personality development courses, courses pursued by radio, and courses avocational or recreational in character, unless the course will be of bonafide use in the pursuit of present or contemplated business or occupation. NOTE: The listing is not all-inclusive. (see 38 USC 3680A and the Code of Federal Regulations 21.4252)

To report enrollment and any interruption or termination without delay of the education of the

eligible person or Veteran. The listing is not all-inclusive.

(see 38 USC 3684)

The institution must not engage in enrollment practices of any type, which are erroneous,

deceptive, or misleading either by actual statement, omission, or intimidation.

To make students’ files available for review by representatives of the

U.S. Department of Veterans Affairs and State Approving Agencies.

To provide a certified copy of the school’s catalog to VA, when changes are made. (if applicable

– high schools are not required to submit catalogs)

The school will select an employee to act as the contact person for VA, and will inform VA and

complete a new VA Form 22-8794, Designation of Certifying Official when a new employee is

selected.

I certify that: The information contained in this notification form is true and correct in content and policy and I am aware that the institution or facility must comply with applicable statues and regulations and that failure to comply may lead to suspension or withdrawal of programs by the VA. ________________________________________________________ (Signature of Administrative Official) (Date)

(Name and Title of Administrative Official)


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BACK

APPENDIX F – ABBREVIATED LIST OF ACCREDITING BODIES (back to curriculum)

PLEASE NOTE: The following information is abbreviated and current as of October, 2007. Please refer to the Department of Ed’s web site on Accreditation for further details including points of contact, etc.

REGIONAL AND NATIONAL INSTITUTIONAL ACCREDITING AGENCIES

The dates specified for each entry are the date of initial listing as a recognized agency, the date of the Secretary's most recent grant of renewed recognition, and the date of the agency's next scheduled review for renewal of recognition by the National Advisory Committee on Institutional Quality and Integrity. (Note: S = Spring meeting and F =Fall meeting.)

Note: The U.S. Department of Education does not have the authority to accredit private or public elementary or secondary schools, and the Department does not recognize accrediting bodies for the accreditation of private or public elementary and secondary schools. However, the U.S. Department of Education does recognize accrediting bodies for the accreditation of institutions of higher (postsecondary) education. If an accrediting body which is recognized by the Department for higher education also accredits elementary and secondary schools, the Department's recognition applies only to the agency's accreditation of postsecondary institutions.

Accrediting Commission of Career Schools and Colleges of Technology 1967/2004/F2009 Scope of recognition: the accreditation of private, postsecondary, nondegree-granting institutions and degree-granting institutions in the United States, including those granting associate, baccalaureate and master's degrees, that are predominantly organized to educate students for occupational, trade and technical careers, and including institutions that offer programs via distance education.

Accrediting Council for Continuing Education and Training 1978/2002/F2007 Scope of recognition: the accreditation of institutions of higher education throughout the United States that offer non-collegiate continuing education programs and those that offer occupational associate degree programs and those that offer such programs via distance education.

Accrediting Council for Independent Colleges and Schools 1956/2006/S2011 Scope of recognition: the accreditation of private postsecondary institutions offering certificates or diplomas, and postsecondary institutions offering associate, bachelor's, or master's degrees in programs designed to educate students for professional, technical, or occupational careers, including those that offer those programs via distance education.

Council on Occupational Education 1969/2007/F2011 Scope of recognition: the accreditation and preaccreditation ("Candidacy Status") throughout



App II-72

the United States of postsecondary occupational education institutions offering non-degree and applied associate degree programs in specific career and technical education fields, including institutions that offer programs via distance education.

Distance Education and Training Council, Accrediting Commission 1959/2006/F2011 Scope of recognition: the accreditation of postsecondary institutions in the United States that offer degree programs primarily by the distance education method up to and including the professional doctoral degree, and are specifically certified by the agency as accredited for Title IV purposes; and for the accreditation of postsecondary institutions in the United States not participating in Title IV that offer programs primarily by the distance education method up through the professional doctoral degrees.

Middle States Association of Colleges and Schools, Commission on Higher Education 1952/2007/S2012 Scope of recognition: the accreditation and preaccreditation ("Candidacy status") of institutions of higher education in Delaware, the District of Columbia, Maryland, New Jersey, New York, Pennsylvania, Puerto Rico, and the U.S. Virgin Islands, including distance education programs offered at those institutions.

Middle States Commission on Secondary Schools 2004/2006/F2011 Scope of recognition: the accreditation of institutions with postsecondary, non-degree granting career and technology programs in Delaware, Maryland, New Jersey, New York, Pennsylvania, the Commonwealth of Puerto Rico, the District of Columbia, and the U.S. Virgin Islands including those that offer all or part of their educational programs via distance education modalities.

New England Association of Schools and Colleges, Commission on Institutions of Higher Education 1952/2002/F2007 Scope of recognition: the accreditation and preaccreditation ("Candidacy status") of institutions of higher education in Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, and Vermont that award bachelor's, master's, and/or doctoral degrees and associate degree-granting institutions in those states that include degrees in liberal arts or general studies among their offerings, including the accreditation of programs offered via distance education within these institutions. This recognition extends to the Board of Trustees of the Association jointly with the Commission for decisions involving preaccreditation, initial accreditation, and adverse actions.

New England Association of Schools and Colleges, Commission on Technical and Career Institutions 1952/2005/S2007 Scope of recognition: the accreditation and preaccreditation ("Candidate status") of secondary institutions with vocational-technical programs at the 13th and 14th grade level, postsecondary institutions, and institutions of higher education that provide primarily vocational/technical education at the certificate, associate, and baccalaureate degree levels in Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, and Vermont. This recognition extends to the Board of Trustees of the Association jointly with the Commission for decisions involving preaccreditation, initial accreditation, and adverse actions.


App II-73

New York State Board of Regents, and the Commissioner of Education 1952/2007/S2012 Scope of recognition: the accreditation of those degree-granting institutions of higher education in New York that designate the agency as their sole or primary nationally recognized accrediting agency for purposes of establishing eligibility to participate in HEA programs.

North Central Association of Colleges and Schools, The Higher Learning Commission 1952/2002/F2007 Scope of recognition: the accreditation and preaccreditation ("Candidate for Accreditation") of degree-granting institutions of higher education in Arizona, Arkansas, Colorado, Illinois, Indiana, Iowa, Kansas, Michigan, Minnesota, Missouri, Nebraska, New Mexico, North Dakota, Ohio, Oklahoma, South Dakota, West Virginia, Wisconsin, and Wyoming, including schools of the Navajo Nation and the accreditation of programs offered via distance education within these institutions. This recognition extends to the Institutional Actions Committee jointly with the Board of Trustees of the Commission for decisions on cases for continued accreditation or reaffirmation, and continued candidacy. This recognition also extends to the Review Committee of the Accreditation Review Council jointly with the Board of Trustees of the Commission for decisions on cases for continued accreditation or candidacy and for initial candidacy or initial accreditation when there is a consensus decision by the Review Committee.

North Central Association Commission on Accreditation and School Improvement, Board of Trustees 1974/2006/F2011 Scope of recognition: the accreditation and preaccreditation ("Candidacy status") of schools offering non-degree, postsecondary education in Arizona, Arkansas, Colorado, Illinois, Indiana, Iowa, Kansas, Michigan, Minnesota, Missouri, Nebraska, New Mexico, North Dakota, Ohio, Oklahoma, South Dakota, West Virginia, Wisconsin, Wyoming, and in the Navajo Nation.

Northwest Commission on Colleges and Universities 1952/2002/F2007 Scope of recognition: the accreditation and preaccreditation ("Candidacy status") of postsecondary educational institutions in Alaska, Idaho, Montana, Nevada, Oregon, Utah, and Washington and the accreditation of such programs offered via distance education within these institutions.

Southern Association of Colleges and Schools, Commission on Colleges 1952/2006/S2011 Scope of recognition: the accreditation and preaccreditation ("Candidate for Accreditation") of degree-granting institutions of higher education in Alabama, Florida, Georgia, Kentucky, Louisiana, Mississippi, North Carolina, South Carolina, Tennessee, Texas, and Virginia, including distance education programs offered at those institutions.

Western Association of Schools and Colleges, Accrediting Commission for Community and Junior Colleges 1952/2002/F2007 Scope of recognition: the accreditation and preaccreditation ("Candidate for Accreditation") of community and junior colleges located in California, Hawaii, the United States territories of Guam and American Samoa, the Republic of Palau, the Federated States of Micronesia, the Commonwealth of the Northern Mariana Islands, and the Republic of the Marshall Islands, and the accreditation of such programs offered via distance education at these colleges.


App II-74

Western Association of Schools and Colleges, Accrediting Commission for Schools 1974/2005/F2008 Scope of recognition: the accreditation and preaccreditation ("Candidate for Accreditation") of adult and postsecondary schools that offer programs below the degree level in California, Hawaii, the United States territories of Guam and American Samoa, the Republic of Palau, the Federated States of Micronesia, the Commonwealth of the Northern Mariana Islands, and the Republic of the Marshall Islands.

Western Association of Schools and Colleges, Accrediting Commission for Senior Colleges and Universities 1952/2006/F2011 Scope of recognition: the accreditation and preaccreditation ("Candidate for Accreditation") of senior colleges and universities in California, Hawaii, the United States territories of Guam and American Samoa, the Republic of Palau, the Federated States of Micronesia, the Commonwealth of the Northern Mariana Islands and the Republic of the Marshall Islands, including distance education programs offered at those institutions.

SPECIALIZED ACCREDITING AGENCIES

The dates specified for each entry are the date of initial listing as a recognized agency, the date of the Secretary's most recent grant of renewed recognition, and the date of the agency's next scheduled review for renewal of recognition by the National Advisory Committee on Institutional Quality and Integrity. (Note: S = Spring meeting and F = Fall meeting)

Accreditation Commission for Acupuncture and Oriental Medicine 1988/2005/F2010 Scope of recognition: the accreditation and preaccreditation ("Candidacy" status) throughout the United States of first-professional master's degree and professional master's level certificate and diploma programs in acupuncture and Oriental medicine, as well as freestanding institutions and colleges of acupuncture or Oriental medicine that offer such programs.

Accreditation Council for Pharmacy Education 1952/2006/S2011 Scope of recognition: the accreditation and preaccreditation of professional degree programs in pharmacy leading to the degree of Doctor of Pharmacy.

Accrediting Bureau of Health Education Schools 1969/2004/F2009 Scope of recognition: the accreditation of private, postsecondary institutions in the United States offering predominantly allied health education programs and the programmatic accreditation of medical assistant, medical laboratory technician and surgical technology programs, leading to a certificate, diploma, Associate of Applied Science, Associate of Occupational Science, or Academic Associate degree, including those offered via distance education.

American Academy for Liberal Education 1995/2001/F2006 Scope of recognition: the accreditation and preaccreditation ("Candidacy for Accreditation") of institutions of higher education and programs within institutions of higher education throughout the United States that offer liberal arts degree(s) at the baccalaureate level or a documented equivalency.


App II-75

NOTE: Effective July 10, 2007, the agency's scope of recognition is restricted to its currently accredited institutions and programs pending the Secretary's decision following the agency's appearance before the December 2007 meeting of the National Advisory Committee on Institutional Quality and Integrity.

American Association for Marriage and Family Therapy, Commission on Accreditation for Marriage and Family Therapy Education 1978/2005/F2010 Scope of recognition: the accreditation and preaccreditation ("Candidacy") throughout the United States of clinical training programs in marriage and family therapy at the master's, doctoral, and postgraduate levels.

American Bar Association, Council of the Section of Legal Education and Admissions to the Bar 1952/2006/S2008 Scope of recognition: the accreditation throughout the United States of programs in legal education that lead to the first professional degree in law, as well as freestanding law schools offering such programs. This recognition also extends to the Accreditation Committee of the Section of Legal Education (Accreditation Committee) for decisions involving continued accreditation (referred to by the agency as "approval") of law schools.

American Board of Funeral Service Education, Committee on Accreditation 1972/2002/S2007 Scope of recognition: the accreditation of institutions and programs within the United States awarding diplomas, associate degrees and bachelor's degrees in funeral service or mortuary science.

American College of Nurse-Midwives, Division of Accreditation 1982/2006/S2009 Scope of recognition: the accreditation and pre-accreditation of basic certificate, basic graduate nurse-midwifery, direct entry midwifery, and pre-certification nurse-midwifery education programs. The accreditation and pre-accreditation of freestanding institutions of midwifery education that may offer other related health care programs to include nurse practitioner programs, and including those institutions and programs that offer distance education.

American Dental Association, Commission on Dental Accreditation 1952/2006/S2011 Scope of recognition: the accreditation of predoctoral dental education programs (leading to the D.D.S. or D.M.D. degree), advanced dental education programs, and allied dental education programs that are fully operational or have attained "Initial Accreditation" status, including programs offered via distance education.

American Dietetic Association, Commission on Accreditation for Dietetics Education 1974/2007/S2012 Scope of recognition: the accreditation and pre-accreditation, within the United States, of Didactic and Coordinated Programs in Dietetics at both the undergraduate and graduate level, post-baccalaureate Dietetic Internships, and Dietetic Technician Programs at the associate degree level, and for its accreditation of such programs offered via distance education.

American Occupational Therapy Association, Accreditation Council for Occupational Therapy Education 1952/2006/F2011


App II-76

Scope of recognition: the accreditation of occupational therapy educational programs offering the professional master's degree, combined baccalaureate/master's degree, and occupational therapy doctorate (OTD) degree; the accreditation of occupational therapy assistant programs offering the associate degree or a certificate; and the accreditation of these programs offered via distance education.

American Optometric Association, Accreditation Council on Optometric Education 1952/2002/F2007 Scope of recognition: the accreditation in the United States of professional optometric degree programs, optometric technician (associate degree) programs, and optometric residency programs and for the preaccreditation categories of Preliminary Approval and Reasonable Assurance for professional optometric degree programs and Candidacy Pending for optometric residency programs in Veterans' Administration facilities.

American Osteopathic Association, Commission on Osteopathic College Accreditation 1952/2005/F2010 Scope of recognition: the accreditation and preaccreditation ("Provisional Accreditation") throughout the United States of freestanding, public and private non-profit institutions of osteopathic medicine and programs leading to the degree of Doctor of Osteopathy or Doctor of Osteopathic Medicine.

American Physical Therapy Association, Commission on Accreditation in Physical Therapy Education 1977/2006/F2011 Scope of recognition: the accreditation and preaccreditation ("Candidate for Accreditation") in the United States of physical therapist education programs leading to the first professional degree at the master's or doctoral level and physical therapist assistant education programs at the associate degree level and for its accreditation of such programs offered via distance education.

American Podiatric Medical Association, Council on Podiatric Medical Education 1952/2005/F2010 Scope of recognition: the accreditation and preaccreditation ("Candidate Status") throughout the United States of freestanding colleges of podiatric medicine and programs of podiatric medicine, including first professional programs leading to the degree of Doctor of Podiatric Medicine.

American Psychological Association, Committee on Accreditation 1970/2004/F2009 Scope of recognition: the accreditation in the United States of doctoral programs in clinical, counseling, school and combined professional-scientific psychology; predoctoral internship programs in professional psychology; and postdoctoral residency programs in professional psychology.

American Speech-Language-Hearing Association, Council on Academic Accreditation in Audiology and Speech-Language Pathology 1967/2002/F2007 Scope of recognition: the accreditation and preaccreditation (Accreditation Candidate) throughout the United States of education programs in audiology and speech-language pathology leading to the first professional or clinical degree at the master's or doctoral level, and the accreditation of these programs offered via distance education.


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American Veterinary Medical Association, Council on Education 1952/2006/F2011 Scope of recognition: the accreditation and preaccreditation ("Reasonable Assurance") in the United States of programs leading to professional degrees (D.V.M. or D.M.D.) in veterinary medicine.

Association for Biblical Higher Education, Commission on Accreditation 1952/2006/F2011 Scope of recognition: the accreditation and preaccreditation ("Candidate for Accreditation") of Bible colleges and institutes in the United States offering undergraduate programs.

Association for Clinical Pastoral Education, Inc., Accreditation Commission 1969/2006/F2011 Scope of recognition: the accreditation of both clinical pastoral education (CPE) centers and CPE and Supervisory CPE programs located within the United States and territories.

Association of Advanced Rabbinical and Talmudic Schools, Accreditation Commission 1974/2007/S2012 Scope of recognition: the accreditation and preaccreditation ("Correspondent" and "Candidate") within the United States of advanced rabbinical and Talmudic schools.

Commission on Acceditation of Healthcare Management Education 1970/2007/S2012 Scope of recognition: the accreditation throughout the United States of graduate programs in healthcare management.

Commission on Accrediting of the Association of Theological Schools 1952/2004/S2009 Scope of recognition: the accreditation and preaccreditation ("Candidate for Accredited Membership") of theological schools and seminaries, as well as schools or programs that are parts of colleges or universities, in the United States, offering post baccalaureate degrees in professional and academic theological education, including delivery via distance education.

Commission on Collegiate Nursing Education 2000/200/F2011 Scope of recognition: the accreditation of nursing education programs in the United States, at the baccalaureate and graduate degree levels, including programs offering distance education.

Commission on English Language Program Accreditation 2003/2005/S2010 Scope of recognition: the accreditation of postsecondary, non-degree-granting English language programs and institutions in the United States.

Commission on Massage Therapy Accreditation 2002/2004/S2009 Scope of recognition: the accreditation of institutions in the United States, that award postsecondary certificates, postsecondary diplomas, and academic Associate degrees, in the practice of massage therapy and bodywork.

Council on Accreditation of Nurse Anesthesia Educational Programs 1955/2007/S2012 Scope of recognition: the accreditation of institutions and programs of nurse anesthesia within


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the United States at the post master's certificate, master's, or doctoral degree levels, including programs offering distance education.

The Council on Chiropractic Education, Commission on Accreditation 1974/2006/S2011 Scope of recognition: the accreditation of programs leading to the Doctor of Chiropractic degree and single-purpose institutions offering the Doctor of Chiropractic program.

Council on Education for Public Health 1974/2007/S2012 Scope of recognition: the accreditation within the United States of schools of public health and public health programs outside schools of public health, at the baccalaureate and graduate degree levels, including those offered via distance education.

Council on Naturopathic Medical Education 2003/2005/S2008 Scope of recognition: the accreditation and pre-accreditation throughout the United States of graduate-level, four-year naturopathic medical education programs leading to the Doctor of Naturopathic Medicine (N.M.D.) or Doctor of Naturopathy (N.D.)

Joint Review Committee on Educational Programs in Nuclear Medicine Technology 1974/2006/S2011 Scope of recognition: the accreditation of higher education programs for the nuclear medicine technologist.

Joint Review Committee on Education in Radiologic Technology 1957/2006/S2011 Scope of recognition: the accreditation of educational programs in radiography, including magnetic resonance, radiation therapy, and medical dosimetry, at the certificate, associate, and baccalaureate levels.

Liaison Committee on Medical Education 1952/2007/S2012 Scope of recognition: the accreditation of medical education programs within the United States leading to the M.D. degree.

Midwifery Education Accreditation Council 2001/2002/F2007 Scope of recognition: the accreditation and pre-accreditation throughout the United States of direct-entry midwifery educational institutions and programs conferring degrees and certificates, including the accreditation of such programs offered via distance education.

Montessori Accreditation Council for Teacher Education, Commission on Accreditation 1995/2003/S2008 Scope of recognition: The accreditation of Montessori teacher education institutions and programs throughout the United States.

National Accrediting Commission of Cosmetology Arts and Sciences 1970/2006/S2008 Scope of recognition: the accreditation of postsecondary schools and departments of cosmetology arts and sciences and massage therapy.


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National Association of Schools of Art and Design, Commission on Accreditation 1966/2002/F2007 Scope of recognition: the accreditation throughout the United States of institutions and units within institutions offering degree-granting and non-degree-granting programs in art and design and art and design-related disciplines.

National Association of Schools of Dance, Commission on Accreditation 1983/2002/F2007 Scope of recognition: the accreditation throughout the United States of institutions, and units within institutions offering, degree-granting and non-degree-granting programs in dance and dance-related disciplines.

National Association of Schools of Music, Commission on Accreditation, Commission on Community/Junior College Accreditation 1952/2002/F2007 Scope of recognition: the accreditation throughout the United States of institutions, and units within institutions, offering degree-granting and non-degree granting programs in music and music-related disciplines, including community/junior colleges and independent degree-granting.

National Association of Schools of Theatre, Commission on Accreditation 1982/2002/F2007 Scope of recognition: the accreditation throughout the United States of institutions, and units within institutions, offering degree-granting and non-degree-granting programs in theatre and theatre-related disciplines.

National Council for Accreditation of Teacher Education 1952/2006/F2011 Scope of recognition: the accreditation throughout the United States of professional education units providing baccalaureate and graduate degree programs for the preparation of teachers and other professional personnel for elementary and secondary schools, including programs offering distance education.

National League for Nursing Accrediting Commission 1952/2006/F2011 Scope of recognition: the accreditation in the United States of programs in practical nursing, and diploma, associate, baccalaureate and higher degree nurse education programs.

Teacher Education Accreditation Council, Accreditation Committee 2003/2005/S2010 Scope of recognition: for the accreditation and pre-accreditation throughout the United States of professional teacher education programs in institutions offering baccalaureate and graduate degrees for the preparation of K-12 teachers..

Transnational Association of Christian Colleges and Schools, Accreditation Commission 1991/2004/F2009 Scope of recognition: the accreditation and preaccreditation ("Candidate" status) of postsecondary institutions in the United States that offer certificates, diplomas, and associate, baccalaureate, and graduate degrees, including institutions that offer distance education.

ACCREDITING AGENCIES RECOGNIZED FOR DISTANCE EDUCATION

The following is a list of accrediting agencies recognized for Distance Education.


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Accrediting Bureau of Health Education Schools

Accrediting Commission of Career Schools and Colleges of Technology Accrediting

Accrediting Council for Continuing Education and Training

Accrediting Council for Independent Colleges and Schools

American College of Nurse-Midwives, Division of Accreditation

American Dental Association, Commission on Dental Accreditation

American Dietetic Association, Commission on Accreditation for Dietetics Education

American Occupational Therapy Association, Accreditation Council for Occupational Therapy Education

American Physical Therapy Association, Commission on Accreditation in Physical Therapy Education

American Podiatric Medical Association, Council on Podiatric Medical Education

American Speech-Language-Hearing Association, Council on Academic Accreditation in Audiology and Speech-Language Pathology

Commission on Accrediting of the Association of Theological Schools

Commission on Collegiate Nursing Education

Council on Accreditation of Nurse Anesthesia Educational Programs

Council on Education for Public Health

Council on Occupational Education

Distance Education and Training Council, Accrediting Commission

Middle States Association of Colleges and Schools, Commission on Higher Education

Midwifery Education Accreditation Council

National Council for Accreditation of Teacher Education

New England Association of Schools and Colleges, Commission on Institutions of Higher Education

North Central Association of Colleges and Schools, The Higher Learning Commission

Northwest Commission on Colleges and Universities

Southern Association of Colleges and Schools, Commission on Colleges

Transnational Association of Christian Colleges and Schools, Accreditation Commission

Western Association of Schools and Colleges, Accrediting Commission for Community and Junior Colleges

Western Association of Schools and Colleges, Accrediting Commission for Senior Colleges


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BACK

APPENDIX G – FUNCTIONS OF THE SAA COMPARED WITH THOSE OF ACCREDITING AGENCIES

2007

Discussion points:

SAAs Accrediting Bodies

Purpose of SAAs is related to the protection of federal funds used for GI Bill benefits and those eligible to use such funds

Accreditation agencies are non-governmental and were established to ensure basic levels of quality in education through peer-evaluation

SAA review prevents fraud, waste, and abuse in the administration of the GI Bill funds

Accreditation is a process by which self-improvement can be made on the part of an institution

SAAs administer laws created by Congress and regulations developed by the VA

Accrediting agencies utilize standards created, in part, by the institutions they are accrediting

SAAs emphasize review of policies, procedures, and programs to ensure compliance with federal requirements for the use of GI Bill benefits

Accrediting agencies tend to emphasize the institutional mission and ability of the institution to achieve the mission

SAAs review programs as they are implemented by an institution to ensure compliance with federal requirements

Accrediting bodies may not do a program review but will review in a general manner to determine that the program is consistent with the mission of the institution

SAAs review policies and procedures as they are introduced and published and make frequent on-site visits – annually or every two years at which time training and/or guidance is provided to the certifying officials.

Regional accrediting bodies generally function on a 10 -year cycle – on-site visit completed every 10 years with a 5-year self-evaluation report. Some national accrediting bodies may do an on-site visit every 3 to 5 years.

SAAs use one set of national standards, defined in federal law and Code, for program, policy, and procedure reviews

Each accrediting body develops their own minimum standards; minimum standards can differ significantly. The schools also play a role in the development of the standards and the oversight activities used

SAAs have professionals trained in the use of federal requirements to evaluate programs, policies, and procedures – they are trained to determine quality based on a set of standards developed by Congress and the VA

Accrediting bodies utilize peer review to conduct visits and evaluations. Peer reviewers are not trained, nor do they look for compliance with federal requirements in the use of GI Bill benefits.

SAA reviews are not subsidized by an institution so they are not placed in a position where they might act as an

Accrediting agencies are funded by fees paid to them by the schools each accredits. This may cause the agency to


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advocate for a school feel the need to act as an advocate for the school they represent

The results of SAA activities may be made known to the general public – they are held accountable to the federal government, state government, and the general public

Accrediting agencies are private, non-governmental entities and are not required to make public their specific findings

SAAs are evaluated annually by a VA and NASAA panel to ensure they are performing at acceptable levels relevant to law, code and contractual requirements

Accrediting agencies are reviewed by the US Department of Education if they represent schools seeking to participate in federal student aid or other federal programs. The Council on Higher Education Accreditation (CHEA) will review an accrediting agency if the school seeks their recognition

SAAs operate at the state level and the designation of an SAA is determined by the Governor of a state – there is no competition between SAAs to evaluate schools

Accrediting agencies are funded by the schools they represent – there could be attempts to compete for schools so that their financial support is not reduced

NOTE: The above excerpts are taken from a document created by Michael Ball, Director of the SAA for Washington State, and former President of NASAA


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BACK

APPENDIX H – CATALOG CHECKLISTS return to curriculum

INSTITUTIONS OF HIGHER LEARNING

Institution:

Facility Code:

Date of Analysis:

Catalog year & identifying data:

Certified by:

Last visit date:

President:

Provost/VP for Academic Affairs:

Certifying Official:

Address:

Telephone - general:

Telephone - certifying official:

School Fax:

E-mail:

AREA PAGE TEXT/COMMENTS

Accredited by:

Academic Calendar:

Mission/Purpose of Institution:

Veterans benefits approval statement:

Names of governing body and administration:

Names and qualifications of faculty:

Description of facilities

Map:

Facilities:

Housing:

Other:

Description of support services

Academic advising:

Financial aid:

Counseling services:

Veterans services:

Other:

Admissions policies and procedures:

Evidence of ability to benefit from enrollment:

Minimum GPA required:


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AREA PAGE TEXT/COMMENTS

Admission:

Graduation:

Prior learning credits policy:

Statement of transfer:

Standards of conduct

Student responsibilities:

Attendance:

Other:

Schedule of fees, deposits & other charges:

Special tuition & fees for veterans:

Satisfactory refund policy:

Grading system:

Page:

Letter or numerical:

Non-punitive grades: =

=

=

=

Progress records

Grade reports:

Transcripts:

Permanent records:

Program completion and graduation requirements are clear and understandable:

Standards of progress:

Requirements for reinstatement:

Branch Campuses:

Types of instruction:

Distance Education:

Cooperative: (VAR 21.4233)

Field experience: (VAR 21.4265)

Independent study: (VAR 21.4267)


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CATALOG ANALYSIS CHECKLIST For NCD SCHOOLS ONLY

NAME OF SCHOOL

Location:

Catalog Certified by: Catalog Publication Date:

Required Information Page Text/Comments

Accredited by:

Catalog certification statement: (see below)

“Catalog certified as true and correct for content and policy.” Include signature and date. This statement can be written on or in catalog or affixed on a label and attached to the catalog.

Veterans benefits approval statement: If you are marketing your program(s) to veterans and eligible beneficiaries, you must place this statement in your catalog or marketing materials, or attach as an addendum to your catalog:

"Selected programs of study at "Your School's Name" are approved by the Workforce Training and Education Coordinating Board's State Approving Agency (WTECB/SAA) for enrollment of those eligible to receive benefits under Title 38 and Title 10, USC."

Names of owners with 10% or more equity ownership, and officers including: governing body and administration:

Description of facilities and equipment used for training, maximum class size, and average student/teacher ratio:

Description of Program(s):

Names and qualifications of faculty:

Admissions Policies and Procedures:

Academic Calendar: Must include start and end dates of your program(s), hours of operation, holidays, etc.:

Policy for granting credit for prior education/experience:

Description of support services:

Academic advising:

Counseling services:

Financial aid:

Placement Services:


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Standards of progress including grading system, minimum grades considered satisfactory, conditions for interruption for unsatisfactory grades, probationary period, conditions for re-entrance for students dismissed for unsatisfactory progress:

Grade Reports:

Transcripts:

Permanent Records:

School’s policy relative to tardiness, absences, makeup work, and interruptions for unsatisfactory attendance:

School’s policy regarding student conduct including cause for dismissal and conditions for readmission:

Program completion and graduation requirements:

Program Costs: Tuition, fees, deposits, & other charges:

Special tuition & fees for veterans, if any:

Satisfactory refund policy:

Types of Instruction:

Classroom Lecture:

Hands-on:

Lab:

Internship/externship:

Field experience:

Independent study:


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BACK

APPENDIX I – VISIT CHECKLIST (return to curriculum)

1. Texas

_____________________________________________________________


VISITS

Texas Veterans Commission


Austin, Texas 78711-2277 (512) 463-3168 or (877) 898-3833 Toll-Free

SAA-VISITS 10/01/06

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TEXAS VETERANS COMMISSION VETERANS EDUCATION

P.O. BOX 12277 AUSTIN, TEXAS 78711-2277

(512) 463-3168 or (877) 898-3833 Toll-Free

* STATE APPROVING AGENCY (SAA) VISIT REPORT *

IHL (38 CFR 21.4253) - Accredited Date of Visit

NCD (38 CFR 21.4254) - Nonaccredited Type of Visit Compliance VA Requested Follow-up Complaint

Visit Conducted By Facility Code

Institution

Address

City

Zip

Person Contacted Title Phone Total School Enrollment Current VA Student

Enrollment

Semester/Quarter/Term Semester/Quarter/Term

Approval Notice Effective Date

Catalog(s) Effective Date(s)

Previous Discrepancy Files Examined VA Requested Files Examined

NCD Files Examined Terminated/Graduated Files Examined (Nonaccredited)

Undergraduate (Degree) Files Examined Graduate (Degree) Files Examined

Total files reviewed Total number of files with discrepancies

RECOMMENDED CORRECTIVE ACTIONS Discrepancies were found in the following areas and we recommend that the school develop or modify and implement procedures to ensure that: PREVIOUS EDUCATION (38 CFR 21.4203, 21.4253, 21.4254)

Transcripts and records of previous education from all postsecondary schools previously attended are obtained and evaluated

Evaluations of prior credit are available and based on the current objective

Credit granted is reported to the Department of Veterans Affairs (DVA) prior to the first enrollment but not later than 30 days after the end of the second semester/quarter or 24 weeks (accelerated) after the student is certified

Prior credit is reported when:

It is the student's initial enrollment

The student has changed her/his objective reported on the VA Form 22-1999

The student has interrupted training for one or more long semesters/quarters/terms (NCD schools only)

Only credit which applies to the objective is reported on the VA Form 22-1999

Total hours of prior credit are accurately reported to the DVA (excluding prerequisites, remedial, F grades, and repeats)

ACADEMIC RECORDS (38 CFR 21.4203, 21.4253, 21.4254)


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Admission requirements are met

Adequate academic records are maintained to show progress, pursuit, grades

Permanent records show pursuit at the rate for which the student is certified (Full, 3/4, 1/2, less than 1/2 time)

Records include a final grade for each term, quarter, or semester

Only courses required by the degree or certificate (per the approved catalog/addendum) are certified

No repeat courses (in which a satisfactory grade has been made or prior credit awarded) are certified

Only degree/certificate programs described in the catalog/addendum and identified on the amended approval notice are certified

Degree and/or certificate programs are correctly stated (per the catalog/addendum) on the VA Form 22-1999

Certification of developmental/remedial/deficiency courses (approved only) are based on need as justified by test results

Records show enrollment in subjects from which there was a withdrawal

All changes in enrollment (credit or clock hours) are correctly reported to the DVA within 30 days of the date on which the change(s) occurs

All non-punitive grades are reported to the DVA within 30 days of the date on which they occur

School adheres to catalog policy concerning "I" (incomplete) grades

SATISFACTORY PROGRESS (38 CFR 21.4203, 21.4253, 21.4254, 21.4277)

The school enforces the SAA approved progress policy

Violations of the approved satisfactory progress policy are reported to the DVA on VA Form 22-1999b

ENROLLMENT CERTIFICATION FORM (VA Form 22-1999 or Electronic VA Certification Form)

Correct "Type of Training" is indicated

Correct certification dates (per approved catalog/addendum) are reported

Training time is reported for GRADUATE AND ADVANCED PROFESSIONAL ONLY

Undergraduate and graduate courses are identified separately on the enrollment certification

Complete documentation (per regulation 38 CFR 21.4252) is obtained for parent institution certifications

Developmental/remedial/deficiency courses are correctly certified

The first and last days of attendance are correctly reported on the enrollment certification

Credit and/or clock hours are accurately reported in the applicable blocks of the enrollment certification form

NONACCREDITED (38 CFR 21.4209, 21.4252, 21.4254, 21.4255)

Accurate attendance records are maintained and available

Leaves of absence are properly documented (approved) and reported on VA Form 22-1999b to DVA within 30 days

Violations of the approved attendance policy are reported to DVA on VA Form 22-1999b within 30 days

Forms 005 and/or 010 are available and correctly completed

Refunds are processed on a pro rata basis for VA students (refer to VA refund policy)

Refunds are correctly computed/paid within 40 days after student termination

The school does not exceed its enrollment limitations as approved by the SAA

Financial ledger information is correct and up-to-date (e.g., prior credit awarded)

OTHER

All advertisements are in compliance with 38 CFR 21.4252(h) (not misleading or erroneous)

Course changes in content, length, schedule, tuition, fees, equipment are approved (all catalog changes)

VA eligible students are charged the same as non-VA students

Individual schedules are available


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TECHNICAL ASSISTANCE/CORRECTIVE ACTION INITIATED SCHOOL

The following school officials were debriefed:

____________________________________ ___________________________ Name or Signature Title Date ______________________________________ ___________________________ Name or Signature Title Date ______________________________________ __________________________ Name or Signature Title Date

I certify that technical assistance was provided in the following manner:

All findings, discrepancies, and violations found during the visit were discussed with appropriate school officials;

Applicable regulations, circulars, samples, etc. were discussed with school officials and copies provided

as needed;

An appropriate number of VA/academic student files were reviewed with school officials to provide training;

Procedures were suggested to prevent recurrence of the types of discrepancies cited in this report, and

Inquiries on certification procedures were answered to the school's satisfaction or will be provided in

writing after consultation with the Department of Veterans Affairs. I also certify that the school was provided a copy of this PRELIMINARY REPORT. This report is subject to change after an in-depth analysis of the findings and a review by the State Approving Agency (SAA) Director. A FINAL REPORT to include specific discrepancies will be mailed to the institution within forty (40) days after this visit.

Signature VA Certifying Official

Visit conducted by Signature(s) Date


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(512) 463-3168 or (877) 898-3833 Toll-Free

* STATE APPROVING AGENCY (SAA) VISIT REPORT *

Original (All Applicable Sections) IHL (38 CFR 21.4254)

Modification (Off-Campus Location - B, Change of Address ACDE, NCD (38 CFR 21.4253)

as applicable, inspection of facilities & equipment for new program)

Technical Assistance (Sections A, D, E applicable)

Facility Code

Visit Conducted By Date of Visit

Institution

Address

City

Zip

Person Contacted

Title Phone

A. Inspection

38 CFR 21.4253(d) The school has/has not met the following approval criteria (ACCREDITED for VA Purposes):

Catalogs and materials necessary for approval.

Progress policy that defines grading system, minimum grades considered satisfactory, conditions for interruption or a probationary period, conditions for reentrance.

The educational institution keeps adequate records, as prescribed by the State Approving Agency, to show the progress and grades of the eligible person or veteran and to show that satisfactory standards relating to progress and conduct are enforced.

Progress records furnished the student.

Policy/regulations relating to student conduct and conditions for dismissal for unsatisfactory conduct.

The education institution maintains a written record of the previous education and training of the eligible person or veteran that clearly indicates that appropriate credit has been given by the educational institution for previous education and training, with the training period shortened proportionately.

The school maintains adequate attendance records for persons enrolling in resident courses not leading to a standard college degree.

There is in the school adequate space, equipment, instructional material, and instructor personnel to provide training of good quality.

The courses, curriculum, and instruction are consistent in quality, content, and length with similar courses in public schools and other private schools in the State, with recognized accepted standards.

38 CFR 21.4254(c) The school has/has not the following approval criteria (NONACCREDITED for VA Purposes):

The courses, curriculum, and instruction are consistent in quality, content, and length with similar recognized accepted standards.

There is in the school adequate space, equipment, instructional material, and instructor personnel to provide training of good quality.

Educational and experience qualifications of directors, administrators and instructors are adequate.

The school maintains a written record of previous education and training of the veteran or eligible person and clearly indicates that appropriate credit has been given for previous education and training, with the training period shortened proportionately, and the veteran or eligible person and the Department of Veterans Affairs so notified. [Form 010 Record of Previous Education and Training]


App II-93

A copy of the course outline, schedule of tuition, fees, and other charges, regulations pertaining to absences, grading policy, and rules of operation and conduct will be furnished the veteran or eligible person upon enrollment. [Form 005 Receipt of Enrollment Policies]

Upon completion of training, the veteran or eligible person is given a certificate by the school indicating the approved course and indicating that training was satisfactorily completed.

Adequate records as prescribed by the State approving agency are kept to show attendance and progress or grades, and satisfactory standards relating to attendance, progress, and conduct are enforced.

The school complies with all local, city, county, municipal, State, and Federal regulations, such as fire codes, building, and sanitation codes. The State Approving Agency may require such evidence of compliance as is deemed necessary.

The school is financially sound and capable of fulfilling its commitments for training.

The school does not utilize advertising of any type which is erroneous or misleading, either by actual statement, omission, or intimation.

The school does not exceed its enrollment limitations as established by the State Approving Agency.

The school administrators, directors, owners, and instructors are of good reputation and character.

The school has and maintains a policy for the pro rata refund of the unused portion of tuition, fees and charges if the veteran or eligible person fails to enter the course or withdraws or is discontinued from it before completion.

Such additional reasonable criteria as may be deemed necessary by the State Approving Agency.

Remarks or Deficiencies

B. Verification of Two-Year Period of Operation (NCD Programs - Educational Institution) 38 CFR 21.4251

Two-Year Verification (attached) Verified Not Verified

C. Change of Address/Change of Ownership 38 CFR 21.4251

An inspection of the school at the current address shows that the school has

retained substantially the same faculty, student body, & courses Yes No

D. Documentation and Records

The following are documents and data that must be maintained by the school and must be available for each student receiving VA educational benefits (to be discussed with school official). This includes, but is not limited to:

admissions documents (HS diploma, etc.)

enrollment agreement or contract (nonaccredited only)

evaluation of previous education and training

copies of transcripts from schools previously attended

receipt of enrollment policies (nonaccredited only)

current permanent progress records (transcript from the present school)

attendance policies (nonaccredited only, check records)

financial ledgers and tuition receipts (nonaccredited only)

refund calculations for VA eligible students (nonaccredited only)

documentation for remedial courses approved through testing

departmental approval for course substitutions and electives where applicable

leave of absence policies, etc.

VA Form 22-1999 Enrollment Certification, VA Form 22-1999b Notice of Change in Student Status


App II-94

OPTIONAL: VA Form 22-1990, VA Form 22-5490, VA Form 22-1995, VA Form 22-5495

E. Other items that may be required:

VA Form 27-8206 - Civil Rights Compliance (original, non-public approvals only)

VA Form 22-8794 - Designation of Certifying Official(s)

VA Form 22-1919 - Conflicting Interest Certification (original, non-public approvals, changes in proprietary status)

Power of Attorney Certification (if not already on file)

Request for Waiver 85/15 Percent (if not already on file)

Advance Pay Certification

Are there VA eligible persons awaiting approval of this institution?

Date Enrolled

RECOMMENDED APPROVAL EFFECTIVE DATE

I certify that I have been briefed on the content of this visit report, appropriate VA certification procedures, and on the approval criteria described in: _____ 38 CFR 21.4253 or _____ 38 CFR 21.4254. I also have been briefed on the approval notice contents and certification requirements to be met by the school. _____________________________________________________________________________________________________ School Official Signature Visit Conducted By (Signature) Date


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(512) 463-3168 or (877) 898-3833 Toll-Free

38 CFR 21.4251 2-YEAR PERIOD OF OPERATION - Program / Educational Institution (transfer data to body of report narrative)

INSTITUTION

ADDRESS

Non-College Degree Programs Only

Student Name Dates of Enrollment (Month, Day, Year)

If the name of the program has changed during the 2-year period of operation, indicate the previous name.

Use beginning and ending dates.

Has there been a change of ownership during the 2-year period? Yes No

If there has been a change of ownership during the 2-year period, the school must retain essentially the same faculty, student body, and courses as before the change in ownership. Does it qualify?

Yes

No

Period of operation should be verified through the date of the visit. If there is a break of 30 days or less, that period can be added to the end of the 2-year (once verified), post-visit.

REMARKS

SAA Representative Date


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SAMPLE DISCREPANCY CITES

(Note: Individual, specific corrective action can be indicated at the end of each discrepancy. This way, when the school provides a response or we conduct next visit, it is easy to determine if the correction was adequate.) Previous Education The student previously attended the University of Texas, but there is no transcript or evaluation available. The student initially enrolled Fall 2005 (8/29/05-12/16/05, 22-1999 dated 9/1/05), but there was no report of prior credit awarded. The student changed programs from BA History to BS Engineering effective the Fall 2005 semester, but the school did not report the amount of prior credit awarded for this new objective on the enrollment certification. For the period 1/09/06-5/12/06 (22-1999 dated 1/10/06) the school reported 47 hours in Block 7A, but the transcript and degree plan indicate that 32 hours should have been reported effective or as of 1/09/06. Academic Records There is no documentation on file indicating that the student has met admissions requirements. For the above student, no record of progress (transcript) was available. The student was certified for 12 hours for the period 1/10/06-5/15/06 (22-1999 dated 1/13/06), but the official transcript shows only 8 hours were completed. School should report a reduction effective the first day of the enrollment period. For the period 1/09/06-5/12/06 (22-1999 dated 1/13/06), the student was certified for 12 hours, four (4) of which are not required for the certified objective (ARTH 2410). For the period 1/09/06-5/12/06 (22-1999 dated 1/13/06), the student was certified for 12 hours, three (3) of which were a repeat from Fall 2005 (PSYC 1301, final grade B). For the period 8/10/06-12/29/06 (22-1999 dated 8/10/06), the school certified "BS Engineering" in Block 6. The correct program title should be "BS Engineering Mechanics." On VA Form 22-1999b dated 8/12/06, the school reported a reduction of 12 to 8 hours, effective 4/2/06, which is not timely. The student received a nonpunitive "NC" for MATH 1310 (3 hrs) at the end of the semester, but the school has yet to report to DVA (1/09/06-5/12/06, 22-1999 dated 1/13/06, 12 hrs certified). Satisfactory Progress The student violated the approved progress policy at the end of the Spring 2006 semester, but the school has not reported this to DVA. The student was placed on academic suspension effective 5/15/06 but the school has not reported this to DVA. The student was placed on academic suspension effective 5/15/06 but the school did not report to DVA until 7/28/06 which is not timely. Certification Per the approved academic calendar, the certification dates should be 1/09/06-5/12/06.

For the above graduate program, the school failed to enter the training time in Block 12 of VAF 22-1999.


App II-97

For the period 1/09/06-5/12/06 (22-1999 dated 1/13/06), the school certified the student for an objective at Texas A&M University, but there was no parent institution documentation available. (12 hours certified)

For the period 1/09/06-5/12/06 (22-1999 dated 1/13/06), the school certified the student for an objective at Texas A&M University but the parent institution documentation on file did not list the 12 hours certified.

For the period 8/26/06-12/20/06 (22-1999 dated 9/1/06), the student was certified for 12 hours, three (3) of which were a remedial course (MATH 0301) but there are no test results available to justify enrollment.

NCD

No attendance records were available for the above student.

The school certified the first date of attendance as 1/2/06, but the official attendance records show that the actual date should have been 1/17/06.

The above student took a leave of absence from 2/4/06-2/18/06, but there is no documentation showing this was approved.

The above student took an approved leave of absence from 2/4/06-2/18/06, but this was never reported to DVA on VA Form 22-1999b.

For the period 1/10/06-10/10/06 (22-1999 dated 1/10/06), the school certified the student in credit hours instead of 40 clock hours in Block 10. The program is approved in clock hours.

The above student's last date of attendance was 3/23/06. The refund processed on 3/25/06 was not calculated on a pro rata basis.

The above student's last date of attendance was 1/20/06. This termination was reported to DVA on 1/24/06, but the refund was not paid until 4/11/06, which is not timely.

The school currently has 78 students enrolled which exceeds the approved enrollment limitation of 54.

The school has changed the program length and course cost but these changes have not been submitted to TVC for approval.

The student received 200 hours of prior credit at a cost of $1300.00. This credit is not reflected on the financial ledger.

A review of a non-veteran file shows that VA students are being charged more than non-VA students.

Apprenticeship/OJT

There were no wage and attendance records available for the above trainee.

A review of a non-veteran trainee files shows that VA trainees are being paid less wages than non-VA trainees.

The above trainee was terminated by the instructor for unsatisfactory job performance but this has not been reported to DVA.

The training establishment has not reported any hours worked to DVA.

The training agreement indicates the trainee should have started 5/1/06 at a wage of $15.75 per hour. Payroll records show the trainee is still being paid $14.25 per hour.


App II-98

VISIT PROCEDURES

TELEPHONE CONTACTS

Check with the respective DVA to determine if a compliance survey was done recently or is scheduled for a future visit this fiscal year. If conducted, check on discrepancies noted for review and verification.

Contact VA certifying official to schedule visit (at least one week in advance)

Identify the type of visit to be conducted (for Original Visits Private-Profit or Non-Profit NCD, ensure that the school official is aware that 2 years of continuous student enrollment will need to be verified and to have files ready.)

Verify that the school/training establishment has had at least one (1) non-Chapter 31 VA eligible person enrolled and certified during the current fiscal year (10/1 - 9/30)

Settle on a date and approximate time for the visit (am/pm) and get school office hours

Obtain a figure of approximate number of VA eligible persons currently enrolled and certified

Instruct official that all VA and/or academic files must be available for TVC representative to make a random selection. For NCD programs and Career Schools, instruct school to have available all attendance and progress records for currently enrolled VA eligible persons. For any terminations/graduations, the school should have all attendance, ledger, certificate and refund calculation information available and ready, in addition to the individual VA student file. For OJT/APP, payroll and progress records should be available.

DO NOT ALLOW THE SCHOOL OFFICIAL TO SELECT THE RANDOM SAMPLE IN ADVANCE.

Instruct official to have files ready of previous discrepancies from last TVC visit and/or VA requested files

For military facilities, obtain instructions for entering base.

Determine if there have been personnel changes which may require technical assistance (will affect the amount of time to be spent at the school/training establishment)

Identify any address changes

Identify location of VA files at the school/training establishment (building)

Identify current president or director

Check on parking arrangements

Have the VA certifying official notify supervisors, vice presidents, presidents, directors, etc. about your visit

DURING THE VISIT

Arrive at the school/training establishment ON TIME

Visit the president’s, director's, or Education Service Officer's (military facility) office. Make yourself available if president wants to speak with you or be involved in the debriefing. If the president or director is not available, leave your business card. Go to the person who supervises the VA function. Go to the VA certifying official's office or where VA files are kept. Have official pull all files. Do not physically retrieve them yourself. Do not interfere with or disturb their files. Types of files that should be pulled for the types of visits include:

Files of students continuously enrolled for a 2-year period of operation verification (original or modification request) (approval requirements of 38 CFR 21.4253 and/or 21.4254 should be observed in these files also) All files cited in VA Request Letter (see below for in office procedures) All previous discrepancies cited in last SAA visit (discrepancies involving overpayments are NEVER historical) Sample of files of students terminated with refund calculations (Nonaccredited) since our last visit Sample of files of students graduated (Nonaccredited) since our last visit; verify certificate of completion issued A file or two of non-VA enrollees to verify that VA eligible persons are not being charged more than non-VA NCD, Career Schools)

Have the VA certifying official go through one file to acquaint yourself with the file setup and contents

ORIGINAL VISIT (NCD) - Recommend 2-year verification be conducted first to ensure visit can be completed.


App II-99

If institution is to be recommended for approval, ensure officials are briefed on certification requirements. FILE REVIEW

Total Current Vet Enrollment % Files to be Reviewed Special Instructions 0-20 100% Review all files

20-50 40% Review sample of 20 or less 50-200 20% Review sample of 20 Stop-gap of 30* 200 + 10% Review sample should be 10% of total enrollment with a stop-gap of 30*

*Stop-gap used when no significant discrepancies have been found ___ After your inspection, go through each discrepancy with the VA certifying official to verify validity

and/or give the official an opportunity to clarify or provide documentation that may not be readily

available in the file. However, all valid discrepancies should be cited. CURRENT DISCREPANCIES

ARE NOT HISTORICAL DURING THE VISIT, UNLESS THE SCHOOL CORRECTED THEIR OWN

ERROR PRIOR TO OUR VISIT. Also, use this opportunity to discuss with the VA certifying official the

items that will be brought up during the debriefing.

___ The general debriefing should be conducted with the VA certifying official, her/his immediate

supervisor, or at least the next highest school official. As a rule, cover the areas/types of

discrepancies found and the corrective action necessary. Obtain all necessary signatures on the preliminary report and leave a copy with the school officials. Do not leave the institution or training establishment without obtaining these signatures.

DO’S AND DON’TS DO CONDUCT YOURSELF IN A PROFESSIONAL MANNER give specific cites or examples when asked answer all relative questions regarding applicable regulations give school the benefit of your experiences at other schools with regard to the types of corrective action they can take provide the school officials with technical assistance as needed commend school/establishment officials on a good job make yourself available after the visit for further questions leave your business card DON'T get into arguments with school/establishment officials hesitate to call back to the office for clarification on any situation or discrepancy ever leave the school/establishment without thoroughly debriefing all necessary officials take gratuities (this includes meals) fail to identify the seriousness of discrepancies make derogatory statements about SAA or DVA personnel, or other state or federal offices even if the school/establishment official does discuss "SAA office business" with school/training establishment officials make sweeping evaluations/judgments about school, state of VA files, VA certifying official, etc. that aren't based on actual facts MAKE JOKES


App II-100

BACK

APPENDIX I

2. WASHINGTON STATE HECB/SAA (back to curriculum)

IHL VISIT REPORT

Visit day & time: Date: Time in: Time out:

Time Spent (Minutes) Travel: Visit: Total:

Institution:

Facility Code:

Address:

POC:

Phone:


Last catalog on file:

Type of visit: Compliance Inspection Other

Veterans enrolled by Chapter

30 1606 1607 35 32 31 Other Total

VA ONCE is used Yes No COMMENTS:

Work Study Assistance is Used Yes No COMMENTS:

DISTANCE LEARNING: Yes No

Courses are offered by DL

Programs are offered by DL exclusively

Programs are offered in which more than 50% of coursework is by DL

Faculty-student interaction is adequate

Faculty receive specialized training to deliver instruction through DL

Students are assessed for their suitability to DL

Forms of Distance Learning: Yes

Interactive Television (2-way)

Satellite Teleclasses (1-way)

Open-circuit television

Telecourses (video)

Computer Based Training (Packaged)

Online courses

COMMENTS:

POLICIES: Yes No

Policies regarding conduct are acceptable and enforced

Tuition and refund policies are acceptable and enforced

Policies regarding student progress are acceptable and enforced (including DL)

Student support services are adequate (including those for DL)

COMMENTS:

INSTRUCTION: Yes No


App II-101

Courses and curricula are valid in quality, content and length

Instruction is valid in quality, content and length

Expected outcomes for courses/curricula delivered on campus or by DL are consistent

COMMENTS:

FACILITIES: Yes No

Adequate space is available

Adequate equipment is available

Adequate instructional materials are available

COMMENTS:

PERSONNEL: Adequate educational and experience qualifications for Yes No

directors & administrators

Adequate educational and experience qualifications for instructors

Adequate number of instructor personnel

COMMENTS:

Institution does not use false or misleading statements in Yes No

student information publications

COMMENTS:

Institution adheres to degree titles as required by Washington State law Yes No

COMMENTS:

CERTIFICATION PROCEDURES: Yes No

Registration information is received in a timely manner

Certifications are completed in a timely manner

Changes of registration are monitored throughout the term

COMMENTS:

FILE MAINTENANCE: Yes No

Chapter is placed on file(s)

Information in file(s) is placed in chronological order

Transcript(s) are available showing grades

Written record(s) of prior education & training are in file(s)

Record of credits awarded for prior credit or training are in file(s)

Justification for remedial/deficiency courses

Program(s) of study are monitored in file(s)

All certifications are in student file(s)

COMMENTS:

FILE(S) REVIEWED:

Student Discrepancies found

VA Form 22-1999 Consistent errors or omissions found

VA Form 22-1999b Consistent errors or omissions found

NARRATIVE:


App II-102

SAA ACTION(S) TO BE TAKEN:

Staff Date

DISTRIBUTION:

Education Liaison Representative, DVA

Veterans Certifying Official,

The following page(s) for SAA file only RECORDS REVIEW:

School

Date

Semester Quarter Other

Name ID

Program Chapter Prior Credits

Credits Certified Credits Earned

Year Term

IN FILE:

COMMENTS:

Name ID

Program Chapter Prior Credits

Credits Certified Credits Earned

Year Term

IN FILE:

COMMENTS:


App II-103

APPENDIX J1 (back to curriculum)

BACK

1. PROCEDURAL ADVISORY: FY2014 COMPLIANCE SURVEY SCHEDULING August 27, 2013

Background: The FY 2013 compliance survey guidance focused on compliance surveys at all schools with 300 or more students in receipt of VA education benefits and all non-college degree granting institutions. This guidance changed the requirements noted in the M22-4 part X in order to comply with 38 USC 3693(a). After consultation with VA’s General Counsel, it was determined the Director, Education Service, may act for the Secretary and may waive compliance surveys at institutions with a demonstrated record of compliance. VA will continue to comply with 38 USC 3693(a), but will exercise the authority provided in 38 USC 3693(b) in determining the required number of compliance surveys. The FY 2013 Compliance Survey Scheduling guidance dated October 9, 2012 is rescinded effective October 1, 2013. Compliance Survey Requirements:

The fiscal year compliance survey schedule will be developed based on the April RCS 0259/0260 report.

Compliance visits will be waived in the following institutions due to the long standing demonstrated record of compliance:

High Schools

Federal on-the-job training (OJT) and Apprenticeships

All other institutions will be considered for a waiver of compliance per 38 USC 3693 (b) if a demonstrated record of compliance is met. The following factors will be used:

For the purpose of a waiver consideration, a compliance survey conducted during the previous three (3) fiscal years, and one fiscal year (1) for OJTs/Apprenticeships will be reviewed. In the event that a facility was not surveyed each of those fiscal years, a “demonstrated record of compliance” can be determined if any records reviewed included three previous years of training.

10 or less records reviewed – 0 errors

15- 20 records reviewed – 1 error

25- 35 records reviewed –2 errors 1.

40 - 45 records reviewed – 3 errors

Error: For the purpose of a waiver assessment, an error is defined as a reporting error that results in an under or over-payment.

Item 26 and 27 on the VA Form 22-1934 that supports the waiver consideration must indicate “yes.”


App II-104

No institution will be considered for a waiver for more than two years in a row (other than high schools and federal OJTs and APPs).

Attachment A and the VA Form 22-1934 will be provided to the CELO if an institution was determined to have demonstrated a history of compliance based on the factors above. The CELO will develop the proposed waiver listing and will forward to the Education Officer for review and concurrence. The Regional Processing Office Director will then forward the listing of institutions recommended for waiver to VAVBAWAS/CO/223C no later than September 13, 2013. The list will be reviewed, and if accepted for a waiver of compliance, will be signed by the Director, Education Service. VACO will notify the RPO regarding acceptance of the listing and RPO staff will finalize the fiscal year compliance survey listing, excluding the approved waived institutions and will apply the following minimum percentages for the schedule development:

60% of facilities with 300 or more students

60% of non-college degree Granting facilities

25% of active OJT and Apprenticeship facilities

50% of active Flight Schools

An appropriate sample of Foreign Institutions as determined by the RPO Director and coordinated with Education Service (Remote surveys will be completed)

Additional surveys as identified by RPO Directors or as directed by VACO

Note: If there are fewer than 5 institutions or facilities in a category, the minimum requirement noted above does not have to be met, if one or more have been selected for a waiver.

Institutions will be surveyed based on the schedule that was developed per waiver acceptance and the April RCS 0259/0260, even if there are no active students at the time of the visit. If a facility was scheduled to be surveyed in the previous year and the survey was not completed, that facility will not be surveyed in the current year unless it meets the above guidance.

Remote Compliance Surveys:

On-site compliance surveys are preferred. Remote surveys are allowable based on concurrence of the Education Officer or designee. Remote surveys can only be conducted on institutions other than Flight and Correspondence.

Principles of Excellence:

In order to ensure Veteran’s educational benefits and programs are providing service members, Veterans, spouses, and other family members with the information, support, and protections they deserve, RPO Directors, or their designated representatives, and VACO should attempt to schedule additional compliance surveys. Additional compliance surveys, technical visits or special reviews will be scheduled based on risk assessments performed by RPO personnel, VACO and State Approving Agency personnel consistent


App II-105

with Executive Order 13607, Principles of Excellence, or available information on a facility that indicates possible failure to comply with VA reporting requirements. The intent is to ensure education institutions provide service members, Veterans, spouses, and other family members the opportunity to pursue a high-quality education and gain the skills and training they need to fill the jobs of tomorrow.

Schedule of Compliance Surveys:

The compliance survey schedule should reflect 40 surveys per available compliance survey FTE, or proportion thereof, plus the required amount per State Approving Agency (SAA) staffing. The available capacity created by any waived facilities should be used to conduct surveys at institutions not visited since 2009 and institutions with risk factors in the judgment of the RPO (up to the available VA and SAA staffing capacity).

Schedule required surveys in accordance with percentages shown above and waiver guidance and include each newly approved school (not training establishment) when it becomes active for the first time.

Any Community Colleges with contracted flight courses should be included in the compliance survey schedule.

As directed by VACO, Risk-Based Reviews and Principles of Excellence reviews will be given priority and the RPO will adjust the compliance survey schedule as needed.

The RPO Director or designee will approve the final compliance survey schedule and will provide a copy to Education Service through VAVBAWAS/CO/223C.

Sample Size: (unchanged from last fiscal year)

The initial sample size will be developed in accordance with the following table:

VA Student Population Records to Review

0 to 99 10

100 to 199 15

200 to 299 20

300 to 399 25

400 to 499 30

500 to 599 35

600 to 699 40

700 or more 45

If review of the initial sample reveals overpayment errors in 30 percent or more of the cases, or discrepancies of any type in 50 percent or more of the cases reviewed, the survey will be expanded using a sample equal to the size of the initial sample. The survey specialist after conferring with CELO may exercise his/her discretion in the decision to expand the survey in cases of repeated minor errors. However, adjustments will not be


App II-106

forwarded to RPOs until conferring with the CELO of jurisdiction regarding potential school liability.

When establishing a sample of student records to be reviewed, student records from the three prior academic years will be included if the facility had a student attending in that school year or the date of the last survey, if that record was included in the sample. For the purposes of this paragraph, “student” is any individual receiving VA education benefits. Samples for review will be proportionally distributed by benefit usage at the facility (i.e. If 70% of students received chapter 33 benefits, 10% chapter 30 benefits, 5% chapter 35 benefits, 5% chapter 1606, 5% chapter 1607, 5% VRAP then the proportional distribution of sample files selected for review will reflect the same percentages by benefit).

Equal Opportunity Reviews:

Equal Opportunity reviews will continue to be completed in accordance with the attached guidance which will be incorporated into the M22-4. This guidance is the same as the guidance that was outlined in the historical M27-1, chapter 14. SAA Compliance Survey Assistance:

As authorized by Public Law 111-377, section 203, the SAAs will also schedule and conduct compliance surveys. VA and SAA personnel will work in partnership to plan and coordinate the SAA compliance visit schedule and compliance activity consistent with applicable statute, regulations, manuals and procedures each fiscal year.

Reporting Requirements: Monthly reporting requirements are under review and will be forwarded when available.

/s/ Robert M. Worley II Director, Education Service

http://www.benefits.va.gov/WARMS/docs/admin27/m27_1/part3/section3/ch14.doc


App II-107

ATTACHMENT A

CONSIDERATION OF WAIVER FROM COMPLIANCE SURVEY

SCHOOL NAME: ________________________________________________________ Facility Code: _________________________________________________________ Type of Facility: ___ 300+ NCD OJT/APP Flight Correspondence

# Records Reviewed # Payment Errors Found __________ __________

Use the following chart as a guide to determine if the school qualifies for a waiver:

Records reviewed: Allowable Errors 10 or less 0 15-20 1 25-35 2 40-45 3

Survey Period included in review: __________________________________________ VA Form 22-1934 Item 26 and 27 indicates yes: ____________ Does this institution meet the waiver criteria? _____ Yes ______No

Do you recommend this school for a waiver? ______Yes _______No (If no, explain below) Comments: ELR:________________________________________

CELO Concurrence: ________Yes _________No

ATTACHMENT A


App II-108

APPENDIX J (back to curriculum)

BACK

2. NOTIFICATION LETTER TX State Approving Agency PO Box 6895 Bigtown, TX 78738 October 3, 2013 Canyon College, Ms. Ellen Minster, 2345 E River St Austin, TX 78718 Dear Ms Minster: The State Approving Agency is required to periodically survey the records of those receiving veterans’ training benefits under Chapters, 30, 32, 33, and 35, Title 38, US Code and Chapters 1606 and 1607, title 10 US Code. The purpose of this visit is to determine compliance with Department of Veterans Affairs (DVA) reporting requirements. This is to confirm that I will conduct the compliance survey and oversight visit at Canyon College, October 17-18, 2013. I am scheduled to arrive at your facility each day at approximately 9:00 a.m. Please include your certifying official, Glenda Cash, and any other personnel you would like, in the entrance interview, and exit interview. As part of the survey I would like to see the following:

A copy of your most recent catalog. If you have not sent them to the SAA, please have two certified copies of the most current catalog available. A review of the academic programs available to students eligible to receive veterans’ education benefits will be conducted.

Records for the students in the listed in this letter, including VA enrollment forms, registration inforamtion, certification and any change forms, and all prior and current transcripts for those using veterans benefits. The utilization of work-study students in the VA section of the institution will be discussed

For all student records to be reviewed, please have in the file, printed copies of all VAF 22-1999 and VAF 22-199b documents submitted to and processed by the DVA. For Chapter 33 students, each 22-1999 and 22-1999b must have printed and itemized verification of tuition and individual fees reported for the period(s) certified on the form to the DVA

The number of students enrolled in your institution who are receiving VA education benefits by VA Chapter (30, 31, 32, 33, 35, 1606, and 1607)

Please be prepared to discuss the above informaiton and to provide copies of routine, institutionally developed letter, forms, newletters, policies, etc., related to veterans’ activities


App II-109

I may conduct an examiniation of physical facilities, equipement, instructional materials and the education and experience qualifications of directors, administratiors, and instructors, as time allows.

Please have the following trainee files available for review: Geoff Sampson File xxx-xx-3456 Chapter 30 Sandy Moss File xxx-xx-1234 Chapter 30 Richard Cress File xxx-xx 7890 Chapter 30 Bill Waymark File xxx-xx-3321 Chapter 30 Alba Robinett File xxx-xx-2323 Chapter 30 Steven Washington File xxx-xx-3331 Chapter 30 Cory Shultz File xxx-xx-4444 Chapter 30 Steven Witherspan File xxx-xx-7777 Chapter 30 Josy Given File xxx-xx-2222 Chapter 33 Timothy Keystone File xxx-xx-7654 Chapter 33 Anne Lacey File xxx-xx-3333 Chapter 33 Jason Roberts File xxx-xx-4321 Chapter 33 Anthony Howell File xxx-xx-2222 Chapter 33 Kate Zimmer File xxx-xx-8888 Chapter 33 Jack Adams File xxx-xx-5432 Chapter 35 Rose Jackson File xxx-xx-6543 Chapter 35 Brett Blanchard File xxx-xx-1111 Chapter 35 Bob Steeles File xxx-xx-9876 Chapter 1606 Mark Chen File xxx-xx-9988 Chapter 1606 Lauren Gillespie File xxx-xx-9999 Chapter 1607 Examination of records is allowed under the provisions of Titles 38 CFR 4209 and 38 US Code 3690. We do not wish to disrupt your operations during the compliance survey and will only need a small table or desk at which to work. Glenda Cash, or someone who is familiar with your records should be available to answer any questions that may arise. At Enclosure 1 is a form with several items of information and questions that you should complete and return to me by email or mail as soon as possible, but not later than October 25th. If you have any questions prior to the survey, please feel free to contact me at: 832-246-6789 or e-mail me at [email protected]. Sincerely yours, Debbie Maxwell

Debbie Maxwell SAA Consultant Enclosures: 1 as


App II-110

Enclosure 1 COMPLIANCE REVIEW QUESTIONS

IHL/NCD Example (back to curriculum)

FACILITY NAME: Canyon College

FACILITY CODE: 3-1-4000-XX

DATE: October 3, 2013 Total Enrollment:___________ Total VA Students Enrolled:__________________

CH 30______CH 33______CH 35_______CH 1606______CH 1607______ Where are student files maintained? List the documents maintained in the student files. How is the certifying official notified of changes in enrollment such as leaves of absence, changes in schedule or program, etc.? How and when are grades issued to students? How does the school monitor for satisfactory progress for both grades and attendance? Are these policies approved by the SAA? How is prior credit obtained and reported? Have current catalog, addenda, tuition & fees, term dates, etc., been sent to SAA for approval? Please use additional sheets if necessary. Respond and return to New Jersey SAA by email or mail, as soon as possible, but not later than: October 10, 2013


App II-111

APPENDIX J

3. SAA STUDENT COMPLIANCE WORKSHEET (NASAA/SAA)

(back to curriculum) BACK

Source: NASAA developed


App II-112

APPENDIX J

4. Compliance Survey Worksheet (VA)


BACK


App II-113

APPENDIX J 5. Examples of completed student worksheets


Example of a compliance worksheet completed before the compliance survey visit to a school


App II-114

Example of a compliance survey worksheet completed while conducting the review during the visit

5/31/13 29

1st 100% Prior Credit: Credit Granted:

2nd

Name of Facility: UNIVERSITY OF OKLAHOMA Facility Code: 1-1-8011-36 Period Covered by Survey: 8/1/10 thru 1/12/12

Instate

Tuition

Max:

Instate Fee

Max:

BAH:

Year: 09-10 $151.00 $11,546.30 $954.00

Year: 10-11 $188.60 $15,058.05 $978.00

Year: 11-12 $978.00

Date of 1999:

9/15/10

Certified: 8/23/10 12/17/10 12 12 $1,471.20 $1,575.50

Findings: 8/23/10 12/17/10 12 12 $1,471.20 $1,575.50 $3,046.70

99 dated 10-4-10 -- reported tuition & fees

ROP: >50% GPA: 2.75 Courses Apply to Degree: yes B&S: 75B Refund

Date of 1999:

1/12/11

Certified: 1/18/11 5/13/11 9 9 $1,103.40 $1,178.75

Findings: 1/18/11 5/13/11 9 9 $1,103.40 $1,193.75 $2,297.15 note : va correctly paid revised fees

99 dated 10-4-10 -- reported tuition & fees

99 dated 2-8-11 -- revised fees to $1,193.75)

ROP: >50% GPA: 2.92 Courses Apply to Degree: yes B&S: 75B Refund

Date of 1999:

Certified:

Findings:

ROP: GPA: Courses Apply to Degree: B&S: 75B Refund

Date of 1999:

Certified:

ROTC

Yellow

Ribbon

TA

$

MYCAA

Dist. Tuition Fees

Yellow

Ribbon

TA

Rm/Clk

VA Paid GETATuition Fees MYCAARm/Clk

ROTC

$500.00

Rm/Clk

Other

$

$375.00 $

Yellow

Ribbon VA Paid GETA

$

Compliance Survey Worksheet

Chapter(s): CH 33

P revB enefit:CH 30

Eligibility

Level

Name of Student: IMA G. VETERAN Program of Study: BACHELORS - MIS

Kicker Elig: no

SSN: 444-55-6666

C H33E lectionD ate:8/1/09

Dist. Fees

Tuition Fees

Changes in 30 days:

Begin

Date End Date

Amount of Benefits Transferred:TOE Status:

GETA ROTC

VA Paid ROTC

End Date

Begin

Date End Date

Total

Hours

Begin

Date End Date

Total

Hours In-Res.

Changes in 30 days: n/a

Begin

Date

CH 33 Information

Changes in 30 days: n/a

Remarks:

MYCAA TA OtherVA Paid

GETA

Total

Hours In-Res.

Dist.

Dist.

Total

Hours In-Res.

$

$

TA

In-Res. OtherRm/Clk

Yellow

RibbonTuition OtherMYCAA

Update the w/s to reflect the findings

of your review…make notes in the

remarks section


App II-115

APPENDIX J 6. Blank Compliance Survey Report – VAF 22-1934



App II-116

Compliance Survey Report, Page 2


App II-117

7. COMPLIANCE SURVEY REPORT – COMPLETED EXAMPLE (Back to Curriculum)

BACK


App II-118

8. SAMPLE NARRATIVE REPORT (back to curriculum)

BACK

Note: The following is a shortened version of a Narrative Report to show you format and provide

an example of how a report might be completed. If you make this a template for a form, all applicable line numbers corresponding to VAF 22-1934 would be used.

NARRATIVE REPORT Compliance Survey Canyon College Bigtown, TX Facility Code: 31-4000-xx Date of Survey: October 17-18, 2013

I. General This survey was conducted as required by VBA M22-4, Part X, dated May 6, 1988, as part of the regular Texas SAA contracted visit schedule. The survey was scheduled and conducted on October 17-18, 2013 The number of cases to be reviewed was determined from information provided by the Texas ELR, William Blackstone. Canyon College showed a veteran student population of 231 students. This indicated that the initial sample should include 20 records (per DVA Procedural Advisory: FY13 Compliance Survey Scheduling). The names of the students whose records reviewed were randomly obtained from the student population list in VA ONCE. A separate folder is maintained for each VA-supported student and contain:

VAF 22-1990 and/or 22-1995

Certificate of Eligibility

Requests for VA certification (not in all files)

VAF 22-1999 and 22-1999b

Unofficial transcripts with prior credit noted by the school

Degree audit worksheets

Term registration sheets showing courses taken, changes and credits by source The student records included in the sample were reviewed to determine compliance with VA laws and regulations, and to determine accuracy of processing with RPO. The 20 records reviewed included 7 discrepant records, of which 4 resulted in an overpayment of benefits. The overall discrepancy rate was less that 50%, and the overpayment rate was less than 30%. Therefore, a review of an expanded sample under provisions of M-22-4, Part X was not necessary. II. Discrepancies (VA Form 22-1934: Areas of Review)


App II-119

Line 1: The Facility provided the records and accounts of VA beneficiaries and other students for examination (38 CFR 21.4209).

Finding: All requested records were provided. One non-VA student file (Peter Gold) was reviewed. Evaluation: Requirement met Recommendation/Other Action: None

Line 3: VA beneficiaries are enrolled in and pursuing the approved program as certified (38 CFR 21.3030, 21.5131, 21.7130, 21.7630) Finding:

Lacey:

Term with dates of 5-21 to 7-16-13; 3 credits were certified for a course that was outside of the degree program (Art 650). Term with dates of 8-28 to 12-13-12; 3 credits were certified for a course that was outside of the degree program (Art 595). Compliance survey referral submitted resulted in overpayment to student in the amount of $3,585.

Evaluation: Degree Audit not consistently checked before student certified.

Recommendation/Other Action: Before any student is certified to the DVA, a Degree Audit must be checked to ensure course to program applicability. Prior credit must also be taken into account and noted on Degree Audit.

Line 4: The facility maintains a record of previous education and training of VA beneficiaries, has granted appropriate credit, and has reported the grant to VA and the beneficiaries (38 CFR 21.4253, 21.4254, 21.4263). Finding:

All files contain transcripts, which show prior credit evaluated by number of credits and from what institution. At the onset of the visit, degree worksheets were not found to be consistently in student files. During the course of the visit the school did place degree worksheets in files reviewed to show prior credit noted in appropriate courses.

Evaluation: Requirement met for purposes of this review, but not prior to review.

Recommendation/Other Action:


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Ensured that degree audit worksheets were completed. Canyon College assured the SAA that they will make it a standard practice to place a degree plan worksheet in each VA file and to consult it before certifying any courses to the DVA. Line 6: The facility accurately and promptly reported enrollment, lessons serviced, flight training hours or APP/OJT hours (38 CFR 21.4203(e)(f)(g), 21.4204). Finding:

Lacey Term with dates of 5-23 to 7-20-11; student certified for 3 credits in residence. Student actually took 3 credits in residence and 3 credits via distance. All credits were applicable to the degree program.

Evaluation: Incorrect reporting, file not monitored throughout the term or after the term ended.

Recommendation/Other Action:

Suggest that a registration form for each student be run prior to certification. Highlight all current tuition and fee changes, subtracting any non Title IV aide that directly pays only tuition and fees. If changes are necessary, a 22-1999b needs to be submitted within 30 days of the change. A mid-term check should be done on all VA files to again check for any changes made during the session. An end of term check should be done for all VA certified students. This is the time to check for non-punitive grades and failures due to non-attendance. If needed, any 22-1999b.

Line 10: Changes to VA beneficiaries for tuition and fees were the same or less than the charges to other similarly circumstanced students (38 CFR 21.4202(a), 38 USC 3690(a)). Finding:

One non-VA file reviewed. Evaluation: All students charged same rate (discount rates apply at military installations). Recommendation/Other Action: None III Summary The exit interview was conducted with the registrar and certifying official. Glenda has been the certifying official for Canyon College for 2 years and has an adequate understanding of the certification and reporting requirements for VA students. John Ford is new to the school and will be a back-up certifying official for Glenda. A new 22-8794 was provided during the visit to update the Veterans Certifying Officials and include John.


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Main areas of concern for the Texas SAA:

Prior to the visit, not all VA student files contained a degree audit worksheet to verify course to program applicability. This resulted in student overpayment with students taking courses outside their degree program requirements.

Files are not consistently checked after certifications are submitted to DVA for changes in enrollment. Results included changes not being reported.

Finance and Accounting office has returned funds to the DVA for student drops without waiting for a debt letter to state official amount the VA is requesting be returned. I advised Glenda that the school should not return funds to the DVA until they have received a letter stating the exact amount that should be returned.

The above issues, and all other issues found during the survey were discussed at length with those at the exit briefing. The school is considering changes in personnel and policy changes as a result of the survey to mitigate further errors by the school. The SAA will schedule a follow-up visit to review actions taken by the school. It is recommended that the next survey be conducted in FY14 as part of the regular schedule. Debbie Maxwell SAA Consultant Texas State Approving Agency


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9. COMPLIANCE SURVEY REFERRAL EXAMPLE (back to curriculum)

BACK

COMPLIANCE SURVEY REFERRAL (pg 1 of 1)

Survey Conducted By: Debbie Maxwell, TX SAA

Phone #: 832-234-5678 Fax #: email: dmaxwell@xxxx

Name of School: Canyon College Code: 31-4000-xx

Date of Survey: October 17, 2013

Student Name: Anne Lacey Student SSN: xxx-xx-3333 Chapter 33

Issue Number 1 (Line 2)

Reported:

Begin: 5-21-13 End: 7-16-13 Residence hrs: 6 Distance hrs: 00.00 Clock hrs:

R/D hrs: Tuition & Fees: $2,760.00 Yellow Ribbon: TT: FT:

CS Found – Adjust to:

Begin: 5-21-12 End: 7-16-12 Residence hrs: 3 Distance hrs: 00.00 Clock hrs:

R/D hrs: 0 Tuition & Fees: $1,380.00 Yellow Ribbon: TT: FT:

Reason for Adjustment: Student certified for course outside program requirements

Last Date of Attendance/Effective Date: Last Date Credit Accrued:

Remarks (MC):

Student was certified for ART 650, which was outside of program requirements.

Issue Number 2 (1,2,3,4…)

Reported:

Begin: 8-28-12 End: 12-13-12 Residence hrs: 6 Distance hrs Clock hrs:

R/D hrs: Tuition &Fees: $4,410 Yellow Ribbon: TT: FT:


Begin: End: Residence hrs: Distance hrs: Clock hrs:

R/D hrs: Tuition & Fees: $ 2,205 Yellow Ribbon: TT: FT:

Reason for Adjustment: Student certified for course outside of program requirements.


Remarks (MC)

Student was certified for ART 595, which was outside of program requirements.


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Issue Number 3 (1,2,3,4…)

Reported:

Begin: 5-23-11 End: 7-20-11 Residence hrs: 3 Distance hrs Clock hrs:

R/D hrs: Tuition & Fees: $735.00 Yellow Ribbon: TT: FT:


Begin: End: Residence hrs: Distance hrs: Clock hrs:

R/D hrs: Tuition: $ 4,410 Fees: $60 Yellow Ribbon: TT: FT:

Reason for Adjustment: Resident and remedial credits not reported correctly


Remarks (MC)

With term dates of 5-23-11 to 7-20-11 student certified for 3 credits in residence. She actually took 3 credits in residence and 3 credits via distance learning. All credits were degree applicable. Possible underpayment may exist.


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APPENDIX J 10. Final Letter to School with Areas of Discrepancy (if any)

(back to Curriculum) BACK November 17, 2013 Canyon College, Ms. Ellen Minster, 2345 E River St Austin, TX 78718 Dear Ms Minster: Debbie Maxwell, SAA Consultant for the Texas State Approving Agency, conducted a compliance survey of your veteran’s programs on October 17-18, 2013. The purpose of this review was to determine compliance with the Department of Veterans Affairs (DVA) reporting requirements. HOW DO WE SELECT THE RECORDS TO BE REVIEWED? We randomly select the record(s) reviewed from a list of veteran students at your facility. The review includes student enrollments (and changes to that enrollment), transcripts, progress reports, and evaluation of prior credit. Attendance records are also reviewed if applicable. WHAT DID WE FIND? Areas of discrepancies noted were as follows: VA beneficiaries are enrolled in and pursuing the program as certified (38 DFR 21.3030, 21.5131, 21.7130, 217630) Two discrepancies were noted: Prior to the visit, not all VA student files contained a Degree Audit worksheet to verify course to program applicability. One file reviewed showed student was certified for courses not needed to satisfy a degree requirement. These were reported to VA for adjudication and the result was one student with overpayment in the amount of $3,585.00. The facility accurately and promptly reported enrollment, lessons serviced, flight raining hours or APP/OJT hours (38 CFR 21.4203(e)(f)(g), 21.4204) Three discrepancies noted: Files are not being consistently checked after cetifiations have been submitted to the DA for changes of enrollment in terms of credits, tuition, fees and/o residence vs. online coursework taken. Of the three discrepancies noted, two files reviewed showed students certified for resident courses that were actually taken on-line. These were reported to VA for adjudication and the result was overpayments in the amounts of $2,834.75 and $987.50. Other discrepancies were noted, but did not require any further action. The facility promptly (within 30 days) and accurately notified VA when beneficiaries terminated or interrupted training (38 CFR 21.4203) Two discrepancies were noted: Mid-term and end of term checks are not being consistently conducted by the school to check for student withdrawals non-attendance and non-punitive grades. Student terminations are required to be reported to the DVA (regardless of the reason). Of the two discrepancies noted, one was reported ot VA for adjudicationand the result was a student with overpayment in the amount of $2,357.00. Other discrepancies were noted, but did not require any further action.


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Ms Ellen Minster Canyon College

Novermber 23, 2013 VA issued a policy letter on December 28, 2011 with the following guidance: “You should not send any funds to DMC until your school receives a collection letter from the DMC.” (Copy of letter enclosed). The Finance and Accounting office at Canyon College has returned funds to the DVA for student drops without waiting for a debt letter that states the official amount the VA is requesting to be returned. One file reviewed had a payment to the DVA in error of $600.00, that should be returend to the school. WHAT SHOULD YOU DO NOW? A visit will be scheduled with the veterans’ Certifying Official and Registrar of Canyon College to follow up with the school on policies and procedures instituted as a result of the survey to ensure the school remains in compliance with federal regulations. You may have other staff from the school attend. You will be contacted to set up a day and time for the visit. Thank you for the cooperation shown our representative during the visit. If you have any questions or comments about this survey, please contact me at 823- 246-6789. Sincerely,

Debbie J Maxwell

Debbie J Maxwell SAA Consultant Texas State Approving Agency Enclosure: as Cc: John Smith, Registrar


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APPENDIX J

11. FY14 Compliance Clarification Advisory (back to curriculum)

BACK June 20, 2013

Subject: Compliance Clarification

SAA Directors:

This is written to provide some clarification on compliance surveys:

If no referral is necessary - An SAA has a maximum of 35 days from the date of the visit to send the completed compliance folder (full survey is complete, all appropriate paperwork completed correctly in accordance with established compliance procedures and training and is included in the folder) with compliance survey report -1934, narrative, worksheet – the 1936 or other worksheet that applies to each student, close-out letter to the school and the end product has been taken by the SAA.

If a referral is necessary - An SAA has a maximum of 35 days from the date of the survey to submit the referral to the RPO for adjustment.

If a referral was submitted to the RPO – An SAA has a maximum of 35 days from the date they are notified by the RPO that the referral action has been completed to send the completed compliance folder (full survey is complete, all appropriate paperwork completed correctly in accordance with established compliance procedures and training and is included in the folder) with compliance survey report 1934 -narrative, worksheet, (1936 or other worksheet that applies to each student), close-out letter to the school, documents to support the discrepancy/referral including transcript when necessary and the end product has been taken by the SAA.

Note: Capture information/email into the compliance folder to show the date the RPO advised you the referral action was complete. VA prefers the SAA make referrals to the RPO and close out folders as soon as possible. Delayed referrals can cause increased debts.

A compliance survey is considered closed when there is no further action required to be taken and the EP has been taken.

We indicated that for the purposes of Quarterly Report that you may place in the “supervisory visit section surveys that had been conducted as well as reporting the conducted surveys to CELOs for their reports to OFO. A survey is not complete until an EP has been taken and the ELR has the properly completed folder.

For surveys completed during the month of September, we will count a conducted survey for SAA evaluation purposes, only if there is a referral action pending. All surveys conducted through July should be able to be closed by September 30 or no later than the date required for the SAA Self-evaluation and ELR assessment. In the instance of a referral in September, an SAA is still required to follow through on the survey completion/close-out at the beginning of the fiscal year. All other surveys should be closed out and if they are not, an SAA should report why it is not on their self-evaluation.

An SAA should immediately contact their CELO with any unresolved VA system access problems or with assistance in processing referrals.


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For further information regarding compliance survey procedures, see previous compliance training documents provided and M22-4, Part 10, chapter 7 and 8. Thank you,

VACO Contract Management Team


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BACK

APPENDIX K LICENSING AND CERTIFICATION

(return to curriculum)

Washington State HECB/SAA General Information for the

Approval of Licensing and Certification Tests Public Law 106-419 established a provision in which veterans or other persons eligible for benefits under Chapters 30,32, and 35 of title 38 and section 903 of PL 96-342 could be reimbursed for testing costs for licenses and certifications. The licensing and certification provision of the law became effective march 1, 2001. Only tests taken on or after that date are eligible for payment. The maximum payment per test was established as $2,000. VA will only pay for the cost of testing, not for other costs of the licensing or certification process. There is no limitation on the number of tests that may be taken except that an individual may not exceed his or her maximum entitlement. Reimbursement is not dependent on an individual passing a test. Reimbursement will be made if a test is retaken after a failure. Pertinent terminology is defined as follows:

A licensing test is a test offered by a State, local, or federal agency that is required by law to practice an occupation. Some States may refer to such tests as “certification” tests. A certification test is a test designed to provide an affirmation of an individual’s qualifications in a specified occupation. Certification is required to practice an occupation except where the occupational licensing requirements include certification as part of those requirements. State Approving Agencies (SAA) are agencies in each State authorized by Title 38, Chapter 36, to approve courses for veterans and other eligible persons. “Organization offering a test” refers to an organization that offers the test and will issue the license of certification. It is the organization that “owns” a test and not the organization that merely administers or proctors a test.

SAAs make licensing ad certification decisions for State and local licensing boards located within their state and for organizations offering certification tests whose headquarters are located within their state. Just organizations that “offer” a test in the sense described above will be approved. Only the SAA in the state where the organization offering a test is headquartered will determine if approval may be granted. Once an SAA has approved a certificate and accompanying test(s), that approval is effective worldwide. Individuals may take the test at any location and receive reimbursement if he/she is eligible.


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Washington State has two State Approving Agencies. The SAA with the Higher Education coordinating Board (HECG/SAA) is responsible for the review and approval of certification tests. The SAA at the Workforce Training & Education Coordinating Board (WTECB) is responsible for the review and approval of licensing tests. The law requires an organization certify the following be true for approval to be granted: (1) Your certification test or tests are generally accepted, in accordance with relevant government, business, or industry standards, employment policies, or hiring practices as attesting to a level of knowledge or skill required to enter into, maintain or advance in employment in a particular vocation or profession. (2) Your organization is licensed, chartered, or incorporated in a State and has offered such tests for a minimum of 2 years before the date on which you sign this application. (3) Your organization employs, or consults with, individuals with expertise or substantial experience with respect to all areas of knowledge or skill that are measured by the test and that are required for the license or certification issued. (4) Your organization has no direct financial interest in— the outcome of a test; or organizations that provide the education or training of candidates for licenses or certificates require for vocations or professions. The second rule only applies if your certification is “required” by law for vocations or professions. If your certification is required for employment and your organization provides training to obtain the certification of your organization owns or partly owns an organization that provides such training, then you would not meet this requirement. (5) Your organization maintains appropriate records with respect to all candidates who take such a test for a period prescribed by VA, but in no case for a period of less than 3 years. (6) (i) Your organization promptly issues notice of the results of the test to the candidate for the license or certificate. (ii) Your organization has in place, a process to review complaints submitted against the organization with respect to a test your organization offers or the process for obtaining a license or certificate required for vocations or professions. It is recognized that “promptly” varies because of a variety of circumstances (7) Your organization will furnish VA the details of individual tests upon request including personal identifying information, fee payment, and test results. Such information shall be furnished in the form prescribed by VA and may include submission by paper, email, or other electronic means.


App II-130

VA may ask the organization about particular individuals as claims are received. If the organization requires the individual to authorize release of this data, VA will obtain such authorization. (8) Upon request, your organization will make all appropriate records pertaining to the test data of veterans or other eligible person under Title 38, United States Code, available for examination by VA or its representative. An SAA or the VA may require documentation relating to the areas shown above. For more information contact: Return application materials to:


App II-131

Washington State HECB/SAA Application for Approval of Certificate Programs

Form A – Organizational Information

Organization Name

Abbreviated Organization Name (if applicable)

Tax ID Number

Organization Address

Organizational Type Governmental or Non-Governmental

Organization Website (if applicable)

Name of Primary Point of Contact (POC) (1)

Title of POC

Telephone for POC

FAX for POC

Email for POC

(1)

This individual will be responsible for responding to requests for testing information by the

HECB/SAA and/or the Department of Veterans Affairs. Therefore, this person must have access to test result information


App II-132

Washington State HECB/SAA Application for Approval of Certificate Programs

Form B – Certificate Information

Please provide this information for each certificate for which the organization is seeking HECB/SAA approval (Make additional copies as needed)

Name of Certification

Abbreviation of Certification (if applicable)

Name of test(s) required for this Certification

Fee Charged for testing Include only actual testing cost. Do not include instructional cost or other fees

Description and purpose of test

Prerequisite education and/or training to take the test

Testing requirements Include such applicable items as: Passing score Provisions/requirements for retesting

Entities that recognize the certificate

Period of time certificate is valid

Requirements for maintaining or renewing the certification

Organizations authorized by our organization to proctor the tests Applicable if your organization as owner of the tests does not provide the testing directly

Approximate time needed to issue test results


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BACK

STUDENT APPLICATION FOR REIMBURSEMENT OF TESTING FEES (return to curriculum)


App II-134


App II-135


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BACK

APPENDIX L

1. APPLICATION FOR APPROVAL OF ENTREPRENEURSHIP PROGRAMS


Higher Education Coordinating Board/State Approving Agency Public Law 108-183 and Entrepreneurship Courses

Information Sheet

Section 305 of Public Law 108-183 allows individuals to use VA educational assistance for non-degree, non-credit entrepreneurship courses offered by Small Business Development Centers and The Veterans Corporation. These courses may be pursued under the Montgomery GI Bill (chapter 30), the Veterans Assistance Program (chapter 32), the Montgomery GI Bill-Selected Reserves (chapter 1606) and section 903 of Public Law 96-342, but not under the Dependents’ Educational Assistance program (chapter 35). The provision of law is intended to help the veteran start or enhance a small business. A State Approving Agency (SAA) may approve entrepreneurial courses retroactively from the date the law was signed, which was December 16, 2003. Each course and location must be approved by an appropriate State Approving Agency (SAA) prior to veterans receiving benefits. The SAA in the state or territory where the course is being offered has jurisdiction. There is no national approval for the courses. The law describes three approval criteria an SAA will use as part of the approval review process. The courses, curriculum, and instruction are consistent in quality, content, and length with similar courses in public schools and other private schools in the State, with recognized accepted standards. There is in the institution adequate space, equipment, instructional material, and instructor personnel to provide training of good quality. Educational and experience qualification of directors, administrators, and instructors are adequate. The National Association of State Approving Agencies (NASAA) appointed a task force to review selected courses and make a recommendation regarding criteria number 1 to the NASAA membership. It is to be noted it is at the discretion of each SAA to decide if the recommendations will be accepted for the courses within their jurisdiction. The task force recommended approval of the following courses: FastTrac NewVenture FastTrac Planning FastTrac Manufacturing FastTrac Tech NxLevel for Business Start-ups NxLevel for Existing Businesses


App II-137

NxLevel for Alternative Agriculture Other Approval Issues: Two-Year Rule: The two-year rule, as provided in 38 U.S.C. 3680(e), applies to all proprietary profit and non-profit educational institutions. The rule will not be applied to the qualified providers named in the law unless there is a change of status that results in that organization becoming a private, profit or non-profit organization. Reports and Records Keeping: An approved organization must be able to make the necessary reports required by CFR 21.4203(a) concerning enrollment and changes in enrollment. The organization must submit the usual forms, which are VA Form 22-1999, Enrollment Certification, and VA Form 22-1999b, Notice of Change in Student Status, as needed. The organization must also be able to produce records required by 38 CFR 21.4209. 85/15 Ratio: The 85/15 Rule means that not more than 85% of the students enrolled in a course can be receiving VA benefits unless the organization has received a waiver of the 85/15 Rule from the Department of Veterans Affairs, Director, Education Services. A separate waiver request to the Director, Education Services is required each time training is offered and the 85/15 rule is not met. Dual Objectives: Some individuals may want to take entrepreneurship courses concurrently with other programs. Programs leading to dual objectives must be specifically approved by an SAA on a case-by case basis. Responsibilities of a Certifying Official Act as the organizational point of contact for the SAA Provide general information regarding the certification process to the eligible student Complete and forward applicable certification documents to the DVA Regional Processing Office Maintain the eligible student’s file File Requirements Maintain a copy of all VA Form 22-1999, Enrollment Certification, submitted to the VA Maintain a copy of any VA Form 22-1999b, Notice of Change in Student Status, submitted to the VA Maintain a record of all registration information Maintain a record of all course withdrawal or course completion information. Veterans needing information on eligibility should contact the VA at 888-442-4551 Organizational officials needing approval information should contact the Washington Student Achievement Council ‘s State Approving Agency at: Phone: 360-753-7868 Fax: 360-753-7807 P.O. Box 43430 Olympia, WA 98504-3430


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Application for WASC/SAA Approval of Entrepreneurship Course(s) Offered by Small Business Development Centers

or The Veterans Corporation

Under the provisions of Section 305, Public Law 108-183 (effective 12/16/03)

For persons eligible Under Title 38, United States Code, Chapters 30 and 32 and Chapters 1606 and 1607 of Title 10, United States Code

This document is provided in an MS Word format. Please complete, print, sign, and return

Qualified Provider: Small Business Development Center (SBDC)

The Veterans Corporation

Organizational Information: Center Name:

Center Address:

Phone Number:

Fax Number:

Course Information: Place an “X” in the far left column if you are seeking approval for the following courses and include the number of clock hours for each course. Course Clock Hours

FastTrac New Venture

FastTrac Planning

FastTrac Manufacturing

FastTrac Tech

NxLevel for Business Start-ups

NxLevel for Existing Businesses

NxLevel for Alternative Agriculture

For all additional courses, provide the course name and clock hours. Include as an attachment an Outline of Instruction or Syllabus for each course listed in this section. Course Clock Hours

Provide a list of Administrators for this site and include, as an attachment, a current vitae/resume. Administrators Name Position


App II-139

Provide a list of all faculty members and the course each is approved to teach. Include as an attachment to this application a current vitae/resume. Faculty Name Course(s) Approved to Teach

Provide a brief description of the facilities used where the courses are taught.

Provide the following information for the individual assigned to act as the Certifying Official. The Certifying Official will be responsible for certifying enrollment and changes in enrollment to the U.S. Department of Veterans Affairs and maintaining student files. Name:

Title:

Address:

Phone Number:

E-mail Address:

I certify that the information in this Application and attachments is true and correct in content and policy. __________________________________________ Printed Name __________________________________________ Date: ____________ Signature Return by U.S.P.S. to: Higher Education Coordinating Board State Approving Agency P.O. Box 43430 Olympia, WA 98504-3430


App II-140

BACK

APPENDIX L2 (back to curriculum)

2. Request for WASC/State Approving agency Approval of A Multiple objectives Program

SMALL BUSINESS DEVELOPMENT CENTERS THE VETERANS CORPORATION

General Information

Veterans using VA educational assistance benefits for a course offered by a Small Business Development Center or The Veterans Corporation, while concurrently receiving benefits in another educational or training program, must apply to the HECB/SAA for approval of a multiple objectives program.

Approval Requirements

The HECB/SAA must determine that the separate objectives are reasonably related to a single career field or career objective. (38 CFR § 21.7020(23), §21.3021(h), §21.5021(q), §21.7520(17))

Application Procedures

The student must submit, by letter to the institutional Certifying Official, a request that states why the combination of programs is necessary to meet the requirements for a predetermined educational, professional, or vocational objective. The request must include a description of the single career field to which the combination of programs relates. The request must also state how the combination of programs will enhance their employability. The letter is to be signed by the student.

The institution’s Certifying Official must complete the Multiple Objective Program Approval application form.

The Certifying Official is to submit all information (student letter and Multiple Objective Program Approval application form) to:

Higher Education Coordinating Board State Approving Agency P.O. Box 43430 Olympia, WA 98504-3430


App II-141

WASC/SAA Application for Multiple Objective Program Approval Small Business Development Centers and

The Veterans Corporation

This document is provided in an MS Word format. Please complete, print, sign, and return Complete front and back of form

Date:

Student Information

Name:

Social Security Number:

VA Chapter being used:

Small Business Development Center or The Veterans Corporation Information

Center Name:

Center Address:

VA Facility Code:


Phone Number:

Enrollment Information

Small Business Development Center or The Veterans Corporation

Course Name:

Course Dates:

Clock Hours:

Other Institution at which the student is concurrently enrolled and receiving VA educational assistance benefits

Institution Name:

Name of program of study or training identified to the VA at this institution:

I certify that, to the best of my knowledge, the information given above is true and correct. __________________________________________ Date: _____________________ Signature of Certifying Official


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BACK

APPENDIX L3 (back to curriculum)

3. ENTREPENEURSHIP VA CIRCULAR NOTE: The VA web site for Circulars is no longer available. At the date of publication of this NTC, the VA was in the initial stages of revising and re-writing the M22-4 Manual which will eventually contain the information found in the Circular. This Circular is offered as supporting or guidance information. Please check for current directives or publication of M22-4.

___________________________________________

Veterans Benefits Administration Circular 22-04-01 Department of Veterans Affairs Change 1 Washington, D.C. 20420 April 21, 2004

ENTREPRENEURSHIP COURSES

1. PURPOSE. This change issues appendix A to give formal procedures for the Entrepreneurship Courses offered as a result of section 305 in Public Law 108-183, the Veterans Benefits Act of 2003. 2. CHANGES. Add this change (Appendix A) to circular 22-04-01. Page numbering represents appendix A numbers. By Direction of the Under Secretary for Benefits

Jack McCoy Director, Education Service

Distribution: CO: RPC 2904 SS (225A) FLD: VBAFS, 1 each (Reproduce and distribute as needed with 1 each for ELRs, VBCs, and VCEs and VCMs at RPOs) EX: ASO and AR, 1 each

LOCAL REPRODUCTION AUTHORIZED

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April 21, 2004 Circular 22-04-01 Change 1 Appendix A

ENTREPRENEURSHIP COURSES

TABLE OF CONTENTS PARAGRAPH PAGE

BACKGROUND 1. Background ............................................................................................................ A-1

COURSE APPROVAL ISSUES 2. Approved Providers of Entrepreneurship Courses ................................................. A-1 3. SAA Approval Issues .............................................................................................. A-3

CLAIMS PROCEDURES 4. Claims Procedures .................................................................................................. A-6 5. Questions ........................................................... A-7 EXHIBIT A. EXCEL Spreadsheet to Record Approved Facilities .............................................. A-8

LOCAL REPRODUCTION AUTHORIZED

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April 21, 2004 Circular 22-04-01 Change 1

Appendix A ENTREPRENEURSHIP COURSES

BACKGROUND 1. Background a. New Provision. Section 305 of Public Law 108-183 allows individuals to use VA educational assistance for non-degree, non-credit entrepreneurship courses offered by designated organizations called “qualified providers.” These courses may be pursued under the Montgomery GI Bill (chapter 30), the Veterans’ Educational Assistance Program (chapter 32), the Montgomery GI Bill-Selected Reserve (chapter 1606) and section 903 of Public Law 96-342, but not under the Dependents’ Educational Assistance program (chapter 35). (1) The qualified providers identified in the legislation that may provide this training are any SBDC (Small Business Development Center) and the National Veterans Business Development Corporation, also known as “The Veterans Corporation.” Although there are several organizations established by federal statute for the purpose of providing entrepreneurial courses, only these are named in this legislation. (2) This provision of law is intended to help the veteran start or enhance a small business. Previously the law did not permit approval of entrepreneurial or business owner courses except those required by the Small Business Administration to obtain a loan as noted in M22-4, part III, paragraph 6.02c (38 U.S.C. 3452(b)). b. Effective Date. SAAs (State Approving Agencies) may approve entrepreneurial courses retroactively from the date the law was signed, which is December 16, 2003. c. Significance. This provision expands the types of courses for which veterans or members of the Selected Reserve can use educational benefits. They can now take courses in business ownership or take courses to help them build small businesses.

COURSE APPROVAL ISSUES 2. Approved Providers of Entrepreneurship Courses. The qualified providers listed above are now considered “educational institutions” under all chapters except chapter 35. These organizations offer entrepreneurship courses that train a claimant to plan, develop, and operate a small business. They also provide other services, such as offering business loans, counseling, and technical assistance. Note: These qualified providers typically subsidize the cost of their courses so that their students are not charged the full cost of the course. However, they do not pay the student’s tuition which is only a part of the cost.


Appendix A

App II-145

a. SBDCs. The Small Business Administration administers and partially funds the SBDC program. There are 63 lead (regional) SBDCs located throughout the United States. There is one lead center in every state, and larger states may have several lead centers. The SBDC program also has established about 1,100 service locations throughout the United States. These locations employ administrative personnel with the ability to keep records and make enrollment certifications to VA. Service locations may be located at colleges, universities, community colleges, vocational schools, chambers of commerce and economic development corporations. The SBDC program offers several standard courses, and almost every state offers some non-standard courses. Some of the

commonly offered standard courses are NxLevel, FastTrac New Venture and

FastTrac Planning. All the standard courses last an average of 12 weeks in length. The SBDCs keep attendance records and provide a certificate of completion for the standard courses. The SBDC program also offers several short courses and other types of short training sessions designed to help train small business owners. The SBDC courses are available to veterans and non-veterans. Note: For more information on SBDCs go to www.sba.gov/sbdc/, call 1-800-8-ASK-SBA, or fax (202) 205-7064. b. Veterans Corporation. The Veterans Corporation is a federally chartered non-profit organization which is partially federally funded through fiscal year 2004. Current law provides for privatization after fiscal year 2004. Since The Veterans Corporation is relatively new, it is currently operating in only a few states but intends on expanding throughout the United States in the near future. The Veterans Corporation employs an administrative staff that certifies courses and manages changes in student status in each state where they provide training; such staff is not necessarily located at each site where training is offered. Each state and region keeps records of attendance and issues certificates of completion for the standard courses, and the headquarters in Virginia also maintains a copy of the state or regional records. The Veterans Corporation may not offer all courses in permanent locations and may conduct training in hotels, schools, and business conference rooms. They may change training locations regularly. The Veterans Corporation offers two of the

same standard courses (FastTrac New Venture and FastTrac Planning) as the SBDCs offer. Note: For more information on The Veterans Corporation go to www.veteranscorp.org or call Desiree Linson at (703) 739-5554.


Appendix A

App II-146

3. SAA Approval Issues a. Section 3675 Issues. The law changes section 3675 of title 38 U.S.C., allowing an SAA to approve entrepreneurship courses and defining the term “entrepreneurship course” as “a non-degree, non-credit course of business education that enables or assists a person to start or enhance a small business …” Criteria for approval of courses given in 38 U.S.C. 3675(b)(1) and (2) do not apply when considering approval of the newly defined entrepreneurship courses. Criteria set forth in 38 U.S.C. 3675(c) do continue to apply, however, and this section further refers to section 3676(c), paragraphs (1), (2), and (3), which follow:

“(1) The courses, curriculum, and instruction are consistent in quality, content, and length with similar courses in public schools and other private schools in the State, with recognized accepted standards. (2) There is in the institution adequate space, equipment, instructional material, and instructor personnel to provide training of good quality. (3) Educational and experience qualifications of directors, administrators, and instructors are adequate.”

(1) The SAA is thus required to approve entrepreneurship courses based on section 3676(c), subparagraphs (1), (2) and (3) and not based on any of the other eleven approval criteria listed in subparagraph (c). Each SAA will follow its own policies and procedures regarding these 3 approval criteria. Note: Title 38 does not override state laws such as those that require educational institutions to obtain state business licenses or state licenses to offer courses. (2) The NASAA (National Association of State Approving Agencies) will appoint a task force to evaluate whether the standard courses offered by the SBDCs and The Veterans Corporation meet the requirements of section 3676(c), paragraph (1). NASAA will notify SAAs of any courses which it recommends for approval. Each SAA will then determine whether the courses meet the requirements of section 3676(c), paragraphs (2) and (3). Ultimately, each state will determine the approval of courses operating at each site within that state. This process will save time for the various SAAs and allow them to concentrate on section 3676(c), paragraphs (2) and (3). Note: If there are courses that vary from courses recommended by NASAA under section 3676(c), paragraph (1), then the SAA should review each of the three criteria in section 3676(c) to determine if such courses should be approved.


Appendix A

App II-147

Other Approval Issues (1) Two-Year Rule. The two-year rule, as provided in 38 U.S.C. 3680A(e), applies to all proprietary profit and non-profit educational institutions. Currently, the rule does not apply to the qualified providers since they are not private. However, the status of The Veterans Corporation will change at the end of fiscal year 2004 to that of a non-profit private organization. The two-year rule will then become an issue for that organization. Education Service will propose legislation through appropriate channels that would eliminate the requirement to apply the two-year rule in this situation.

(2) Reports and Record Keeping. The qualified providers must be able to make the necessary

reports required by 38 CFR 21.4203(a) concerning enrollment and changes in enrollment. The qualified providers must submit the usual forms, which are VA Form 22-1999, Enrollment Certification, and VA Form 22-1999b, Notice of Change in Student Status, as needed. The qualified providers must also be able to produce records required by 38 CFR 21.4209, even though record keeping is not specifically listed as an approval requirement for entrepreneurship courses.

Note 1: The VA General Counsel’s staff has stated that SAAs may require that qualified providers meet additional criteria provided the criteria does not attempt to make the qualified provider comply with 38 U.S.C. 3675(a) and (b)(1) and (2), which they are specifically exempt from by law. Thus, the SAAs may require the qualified providers to implement a record keeping and reporting system sufficient to make reports required by 38 U.S.C. 3684(a)(1) as a matter of policy. If an SAA declines to do this, then the ELR (Education Liaison Representatives) must perform this function. Note 2: The charges reported on the enrollment certification form should be the actual charges to the veteran and not the total cost of the course.

(3) 85/15 Ratio. It is possible that the courses offered by qualified providers will not meet the 85/15 percent ratio requirement ( 38 U.S.C 3680A(d)), since it is possible that more than 85 percent of the students enrolled will have all or part of their tuition and fees paid by the educational institution or VA. SAAs should advise and assist qualified providers regarding this issue. SAAs are encouraged to assist qualified providers in requesting a waiver of the 85/15 percent rule from the Director, Education Service at the time of initial approval if the issue exists at that time. (Note: A separate waiver request to the Director, Education Service is required each time training is offered and the 85/15 rule is not met.) Education Service will propose legislation through appropriate channels that would eliminate the 85/15 percent rule for qualified providers. (4) Dual Objectives. Some individuals may want to take entrepreneurship courses concurrently with other programs. Programs leading to dual objectives must be specifically approved by the SAA on a case-by-case basis in the usual manner.


Appendix A

App II-148

c. ELR Procedures (1) ELRs will review proposed approvals with accompanying documentation and accept or reject them in the usual manner. If the SAA has not obtained assurance that the qualified providers will maintain a record keeping and reporting system sufficient to make the required reports, the ELR should contact the organization to resolve the issue. If the ELR cannot obtain assurance that the qualified providers will maintain the necessary record keeping and reporting system, then the ELR will not accept the approval from the SAA. (2) ELRs will enter each separate approval in OLAF (On-Line Approval File) in the usual manner. For SBDC facility codes, assign “Z” as the third position. For The Veterans Corporation facility codes, assign “Y” as the third position. As additional SBDC and The Veterans Corporation facility codes are assigned, use consecutive numbers starting with “000.” ELRs should use 429 (Other business and commerce, N.E.C.) as the course code for entrepreneurship courses. ELRs should use the Remarks field to record the approval of any dual objective. The end product code is either 850 or 860 depending on whether the approval action is substantive or ancillary. Note: The effective date of approval for these courses shown in OLAF should not be more than one year before the date of receipt of the approval notice from the SAA. The earliest possible approval date is December 16, 2003.

(3) ELRs must follow all standard procedures concerning measurement of training and assignment of facility codes. Clock hours measurement should apply to entrepreneurship courses, since they are non-degree courses offered by non-IHLs (Institutions of Higher Learning). Eighteen clock hours per week will be considered full-time attendance. Note: Separate facility codes will be assigned for each approved location.

(4) ELRs must independently maintain the facility codes assigned to the SBDC or The Veterans Corporation facilities. ELRs will use the enclosed EXCEL Spreadsheet “Circular 22-04-01 Appendix A.xls” to record approved facilities. ELRs will send the completed workbook with the required cumulative data quarterly on December 31, March 31, June 30, and September 30. Please send the completed workbook via e-mail directly to the 225B mailbox – “VAVBAWAS/CO/225B”. (a) Column A – Station Code: Enter the 3-digit station code. For example, Buffalo would be 307. (b) Column B – Facility name: Enter the name of the facility. For example, SBDC. (c) Column C – City: Enter the City where the facility is located.


Appendix A

App II-149

(d) Column D – State: Enter the 2-digit abbreviation for the state where the facility is located. (e) Column E – Zip Code: Enter the 5-digit zip code where the facility is located. (f) Column F – I – Facility Code: Enter the 8-digit facility code corresponding to the 4 columns as listed: Profit Status – (1); Type of Facility – (5); Name of Facility – (4-digit code assigned by the ELR, i.e., Z###); Location of Facility (enter the appropriate state code found in M22-4, Part II Para 9.20a). (g) Column J – Approval Date: Enter the date the program was approved by the State Approving Agency. (h) Column K – Withdraw Date: Enter the date the program was withdrawn by the State Approving Agency.

(i) Column L – Title of Approved Program: Enter the full title of the program.

(5) ELRs will receive guidance on conducting compliance surveys at a later date. (6) ELRs may receive inquiries from other organizations that feel they should be qualified to provide courses under this section of law. For example, women’s business centers supported by the SBA are not qualified providers. ELRs should send a letter to the organization explaining that the law only identifies two qualified providers who are able to participate in this program.

CLAIMS PROCEDURES

4. Claims Procedures. Claims procedures will closely follow those currently in place for individuals seeking NCD (Non-college Degree) training. a. Claimants Application. An individual must apply for education benefits in the usual manner, and Veterans Claims Examiners (VCEs) must determine his or her eligibility for benefits. b. OLAF. VCEs should check OLAF to ensure that the courses certified are approved at the particular location where the student is enrolled. c. Considered Qualified. The law specifically states that a person will not be considered by VA to be already qualified for the objective of a program of education offered by a qualified provider of an entrepreneurship course solely because the person is the owner or operator of a business. VCEs should not deny a claim for these courses because the claimant is already qualified for the objective of the program (see M22-4, pt. III, par. 7.06 for the rules pertaining to “already qualified”).


Appendix A

App II-150

d. Repetition of Courses. A person can take an entrepreneurship course more than once because there are no grades and no way to determine if the person has completed the course satisfactorily. The usual rule in M22-4, part III, paragraph 7.07b does not apply. e. Award Issues. It is anticipated that enrollments for entrepreneurship courses will be for quarter-time and less than quarter-time training since these courses are typically offered only three hours a week and the full-time measurement will be 18 clock hours per week. Therefore, only tuition and fees will be reimbursed for the MGIB, which should be paid in a lump sum. Payment would be at the quarter-time rate for VEAP, MGIB-SR and section 903. Use BDN (Benefits Delivery Network) to make payments for this training. f. Dual Objectives. If a person wishes to take entrepreneurship courses and courses in a different program at the same time, the dual objectives must be specifically approved by the SAA as noted above in paragraph 3b(4). If dual objectives are approved and the entrepreneurship courses overlap with IHL courses, see M22-4, part VII, paragraph 6.12, for information on calculating training time when combining IHL and clock hour courses. 5. Questions. Refer questions to the following staffs: a. Policy or Procedures. Refer these issues to the Policy and Legislative Development team by e-mail to VAVBAWAS/CO/225A or by calling (202) 273-7187. b. Strategy Development. Refer questions on the ELR spreadsheet to the Strategy Development Team by e-mail to VAVBAWAS/CO/225B or by calling (202) 273-7187.


Appendix A

App II-151

EXHIBIT A

EXCEL SPREADSHEET TO RECORD APPROVED FACILITIES

Facility Code Station Code

Facility name

City State Zip Code

Pro Status (#)

Type Facility (#)

Facility Name (####)

Location (##)

Approval date

mm/dd/yy

Withdraw date

mm/dd/yy

Title of Approved Program

307 SBDC Rye NY 06000 1 5 Z001 32 03/05/04 Basic Skills


Appendix A

App II-152

BACK

APPENDIX L4 (back to Curriculum)

Veterans Benefits Administration Circular 22-04-01 Department of Veterans Affairs January 27, 2004 Washington, D.C. 20420

EDUCATION PROVISIONS OF PUBLIC LAW 108-183

TABLE OF CONTENTS PARAGRAPH PAGE 1. Background .......................................................................................................................... 1 2. Retention of Chapter 35 Benefits By Surviving Spouses Remarrying After Age 57 (Section 101) ............................................................................ 2 3. Payment of Benefits Due and Unpaid at Time of Death (Section 104) .................................. 2 4. Self-Employment Training (Section 301) .......................................................................... 3** 5. Increase In Chapter 35 Rates (Section 302) ........................................................................ 4 6. Chapter 35 Delimiting Date Extension (Section 303) ........................................................... 4 7. Rounding Down of Certain Cost-of-Living Increases (Section 304) ...................................... 5 8. Entrepreneurship Courses (Section 305) ......................................................................... 5** 9. Repeal of Education Loan Program (Section 306) ............................................................... 6 10. Extension of Veterans’ Advisory Committee on Education (Section 307) ........................... 6 11. Time Limitations on Receipt of Claim Information Pursuant To VA Requests (Section 701) ......................................................................................... 7 12. Forfeiture of Benefits for Subversive Activities (Section 705) .............................................. 7 13. Questions ............................................................................................................................ 8

EXHIBITS

EXHIBIT PAGE 1. VA Form 22-0325, Increased Educational Assistance Allowance Under Chapter 35 ............................................................................................................... 9


Appendix A

App II-153

EDUCATION PROVISIONS OF PUBLIC LAW 108-183

1. BACKGROUND a. Purpose. This circular describes how the education provisions of PL (Public Law) 108-183, the Veterans Benefits Act of 2003, affect chapters 30, 32, and 35 of title 38 U.S. Code, chapter 1606 of title 10, and section 903 of PL 96-342. This law was signed on December 16, 2003. Where indicated, the instructions are for immediate implementation. b. Who Should Read: (1) ELRs (Educational Liaison Representatives), (2) Education VCEs (Veterans Claims Examiners) and Education VCMs (Veterans Case Managers) at the RPOs (Regional Processing Offices), and (3) SAA (State approving agency) officials. c. Text of Public Law. To view the text of this public law on the Internet, do the following: (1) Go to the Internet web site "http://thomas.loc.gov" (2) Under Legislation, click on "Public Laws" (3) Click to highlight the appropriate range of public law numbers ("108-151 - 108-199" in this case). Click on “Search” (4) Scroll down to "108-183." Click on "H.R.2297" (5) Scroll down and click on "Text of Legislation" (6) Click on "HR 2297ENR". The sections of this law are displayed. Click on the section desired to see the text of that section.


Appendix A

App II-154

2. RETENTION OF CHAPTER 35 BENEFITS BY SURVIVING SPOUSES REMARRYING AFTER AGE 57 (SECTION 101) a. Previous Provision. Previous law required the termination of chapter 35 benefits when a surviving spouse remarried, regardless of the spouse's age at the time of the remarriage. Benefits could not be reinstated while the surviving spouse was remarried. b. New Provision. PL 108-183 allows surviving spouses who remarry after their 57th birthday and on or after January 1, 2004, to retain their eligibility for chapter 35 benefits. There is a special rule for surviving spouses who remarried after turning age 57 and before the enactment of PL 108-183 (December 16, 2003). These surviving spouses have until December 16, 2004, to apply in writing for reinstatement of benefits. If they apply timely, they are entitled to benefits from January 1, 2004. If they do not apply timely, they are not entitled to reinstatement of benefits at all. NOTE: There is nothing in this law that extends a surviving spouse's delimiting date.

c. Implementation. For immediate implementation. All claims for reinstatement of benefits must be in writing. There is no specific form used to apply for reinstatement of education benefits. Upon receipt of a written application, determine the surviving spouse’s date of birth from evidence in the claimant’s education folder. Use the date of birth, the date of the remarriage, and the date of the application to determine whether the surviving spouse qualifies for reinstatement of benefits. Notify the claimant of any decision. For additional information, see the Compensation and Pension Service’s Fast Letter 04-01, dated January 8, 2004. This letter requests that the surviving spouse complete VA Form 21-686C, Declaration of Status of Dependents. NOTE: For reinstatement of education benefits, the surviving spouse does not have to complete this form. 3. PAYMENT OF BENEFITS DUE AND UNPAID AT TIME OF DEATH (SECTION 104) a. Previous Provision. The law (38 U.S.C. 5121(a)) and regulations (38 CFR 3.1000(a)) previously restricted the payment of accrued benefits to a maximum of two years of benefits that were due and unpaid at the time of an individual's death.


Appendix A

App II-155

b. New Provision. PL 108-183 eliminates this two-year time limitation. For example, if a beneficiary had been entitled to receive three years of retroactive education benefits had he or she lived, and those benefits are due and unpaid at the time of death (providing that the beneficiary dies on or after the date the law was enacted), all three years of education would be potentially payable as accrued. c. Significance. This provision allows a beneficiary’s survivor to receive the full amount of accrued benefits in all cases. d. Implementation. For immediate implementation. This provision of law applies to deaths occurring on or after December 16, 2003. 4. SELF-EMPLOYMENT TRAINING (SECTION 301) a. New Provision. PL 108-183 amends 38 U.S.C. 3452(e) to allow on-the-job training of less than six months for certain self-employment training programs. This training can be used under the Montgomery GI Bill (chapter 30), the Veterans’ Educational Assistance Program (chapter 32), the Montgomery GI Bill-Selected Reserve (chapter 1606) and section 903 of PL 96-342, but not under the Dependents’ Educational Assistance program (chapter 35). (1) The definition of "training establishment" in title 38, except for chapter 35 purposes, now includes an establishment that provides full-time self-employment training for less than six months that is: (a) Needed or accepted for obtaining licensure to engage in a self-employment occupation or (b) Required for ownership and operation of a franchise that is the objective of the training. (2) Such training must meet the existing approval requirements for on-the-job training given in 38 U.S.C. 3677, except for the requirement that the training program be at least six months long. b. Effective Date. The effective date of this provision is six months after the date of its enactment into law. Since the law was signed on December 16, 2003, this provision is effective June 16, 2004. c. Significance. Veterans and members of the Selected Reserve can use their benefits for on-the-job training of less than six months in certain self-employment training programs provided by approved establishments.


Appendix A

App II-156

d. Implementation. Education Service is unaware of the existence of on-the-job training programs meeting title 38 requirements that are established for the purpose of training a person for self-employment or for franchise ownership. If an SAA encounters a possible candidate, they should contact their ELR before approving it. The ELR should then contact the Education Service (225A) before the SAA approves any candidate. 5. INCREASE IN CHAPTER 35 RATES (SECTION 302) a. New Provision. PL 108-183 increases the chapter 35 rates effective July 1, 2004. The full-time rate is increased to $788 per month. See exhibit 1 for all new rates. b. Significance. This is a 13% increase over the chapter 35 rates effective October 1, 2003. c. Implementation. This is a future rate increase. Education Service will have these rates programmed into BDN (Benefits Delivery Network) and will revise VA Form 22-0325, Increased Educational Assistance Allowance Under Chapter 35, to inform chapter 35 claimants of the new rates and effective date. 6. CHAPTER 35 DELIMITING DATE EXTENSION (SECTION 303) a. Background. PL 107-103 extended the delimiting date for reservists or National Guard personnel eligible for chapter 35 benefits who have been called to active duty on or after September 11, 2001 under sections 688, 12301(a), 12301(d), 12301(g) 12302, or 12304 of title 10, U.S. Code. These persons have had their delimiting dates extended by an amount equal to the period of active duty plus 4 months. Such individuals are not subject to the age 31 limitation on receiving benefits. b. New Provision. PL 108-183 expands the PL 107-103 provision so that it includes persons eligible for chapter 35 who are involuntarily ordered to full-time National Guard duty under section 502(f) of title 32, U.S. code. The delimiting date for such persons is extended by an amount equal to the period of active duty plus 4 months. Such individuals are not subject to the age 31 limitation. c. Effective Date. Retroactive to September 11, 2001. d. Implementation: For immediate implementation. See Circular 22-02-01, paragraph 4(e) for procedures.


Appendix A

App II-157

7. ROUNDING DOWN OF CERTAIN COST-OF-LIVING INCREASES (SECTION 304) a. Previous Provision. Previously, cost of living increases were rounded to the nearest dollar. b. New Provision. PL 108-183 establishes a temporary change in the computation of certain cost-of-living increases. Specifically, it requires VA to round down the cost-of-living increases for basic educational assistance under chapter 30 and for chapter 35 (except for apprenticeship and on-the-job training under chapter 35) from October 1, 2004 to October 1, 2013. c. Effective Date. December 16, 2003. d. Significance. The provision temporarily changes the formula for computing cost-of-living increases for chapters 30 and 35. e. Implementation. Education Service will change the COLA computation formula for future rate increases starting with October 1, 2004. 8. ENTREPRENEURSHIP COURSES (SECTION 305) a. Background. PL 108-183 allows State approving agencies to approve non-degree, non-credit entrepreneurship courses offered by a Small Business Development Center (SBDC) or the National Veterans Business Development Corporation. These courses may be pursued under the Montgomery GI Bill (chapter 30), the Veterans’ Educational Assistance Program (chapter 32), the Montgomery GI Bill-Selected Reserve (chapter 1606) and section 903 of PL 96-342, but not under the Dependents’ Educational Assistance program (chapter 35). VA is prohibited from considering a claimant as already qualified for the objective of a program of education offered by a qualified provider of entrepreneurship courses solely because he or she is the owner or operator of a small business. Approvals under this section are authorized to take effect as of the date of enactment of the law. b. Effective Date. SAAs may approve these courses retroactively to the date the law was signed, December 16, 2003, once complete instructions are issued. c. Significance. This section allows for the approval of new types of courses for which veterans or members of the Selected Reserve can use educational benefits. Now they can take courses in business ownership or that will help them build small businesses when offered by a Small Business Development Center or the National Veterans Development Corporation. Previous law did not permit payment for business-development courses except when they are required by the Small Business Administration to obtain a loan.


Appendix A

App II-158

d. Implementation. VA is coordinating with both training provider organizations and the NASAA (the National Association of State Approving Agencies) to ensure all parties understand this new section of law and can implement course approval. A separate appendix to this circular will be published on this section. 9. REPEAL OF EDUCATION LOAN PROGRAM (SECTION 306) a. Current Provision. Before enactment of PL 108-183, RPOs could award education loans to chapter 35 spouses and surviving spouses who met certain criteria set by law. b. New Provision. PL 108-183 amends 38 U.S.C. 3698 to terminate VA’s education loan program. Effective December 16, 2003, RPOs may not make any VA education loans. On the 89th day after enactment, VBA will transfer any remaining funds in the Education Loan Fund to the VA Readjustment Benefits Account. On the 90th day after enactment, the VA education loan program is repealed (subchapter III of chapter 36 of title 38 is deleted). c. Effective Date. December 16, 2003. d. Significance. While this section terminates the VA Education Loan Program, only the DMC (Debt Management Center) will be primarily affected. The immediate impact upon the RPOs should be negligible. NOTE: if necessary, the DMC may contact the RPOs for information. e. Implementation. For immediate implementation. The DMC will discontinue the collection of all remaining debts in the education loan program. VBA Finance will arrange for the transfer of remaining funds in the Education Loan Fund. 10. EXTENSION OF VETERANS’ ADVISORY COMMITTEE ON EDUCATION (SECTION 307) a. Background. This long-established advisory committee affords the Secretary the ability to seek advice regarding the administration of all VA education benefits. Its members are school officials, veterans of former wars and conflicts, and persons eminent in the fields of education, labor, and management. Previous law permitted this committee to remain in existence only through December 31, 2003. b. New Provision. PL 108-183 extends this committee's existence until December 31, 2009. c. Effective Date. December 16, 2003. d. Significance. This change allows the committee to continue advising the VA regarding education benefits.


Appendix A

App II-159

e. Implementation. There is no RPO implementation of this provision of law. 11. TIME LIMITATIONS ON RECEIPT OF CLAIM INFORMATION PURSUANT TO VA REQUESTS (SECTION 701) a. Background. Based on a recent court decision, the C & P Service advised all field stations in its Fast Letter 03-27, dated September 26, 2003, not to deny any claim for which the claimant fails to submit requested information until a full year had elapsed from the date of the letter requesting that evidence. b. New Provision. PL 108-183 allows the Secretary to decide a claim in less than a full year if the claimant fails to prosecute his or her claim. Claimants may still submit evidence for up to one full year and retain their original date of claim. c. Effective Date. Retroactive to November 9, 2000. d. Significance. This law overturns the court decision that caused the C & P Service to issue Fast Letter 03-27.

e. Implementation. For immediate implementation. Education Service has determined that RPOs may now adjudicate an education claim after 30 days if information requested from a claimant is not received within that time period. RPOs should process all claims which were pending on December 16, 2003 as indicated in RPO Letter 22-03-14, dated December 19, 2003.

12. FORFEITURE OF BENEFITS FOR SUBVERSIVE ACTIVITIES (SECTION 705) a. Background. This provision expands the list of crimes and activities, which result in forfeiture of all VA benefits, including education benefits. b. New Provision. PL 108-183 requires forfeiture of all VA benefits for: commission of prohibited activities involving biological and chemical weapons, weapons of mass destruction, and nuclear materials; genocide; false certification by a Consular Officer; and specified acts of terrorism. c. Effective Date. This provision is effective December 16, 2003. d. Significance. The provision will have minimal RPO impact. e. Implementation. For immediate implementation. NOTE: Education Service does not process forfeiture of benefits independently from other services. See M21-1, part IV, chapter 36 for complete forfeiture procedures.


Appendix A

App II-160

13. QUESTIONS. Refer questions to the following staffs in the Education Service: a. Policy or Procedures: Refer these issues to the Policy and Legislative Development team by e-mail to VAVBAWAS/CO/225A or by calling (202) 273-7187. b. Systems. Refer these issues to the Project Development team by e-mail to: VAVBAWAS/CO/225D or by calling (202) 273-7187. By Direction of the Under Secretary for Benefits Dennis B. Douglass Acting Director, Education Service Distribution: CO: RPC 2904 SS (225A) FLD: VBAFS, 1 each (Reproduce and distribute as needed with 1 each for ELRs, VBCs, and VCEs and VCMs at RPOs) EX: ASO and AR, 1 each


Appendix A

App II-161

DRAFT

INCREASED EDUCATIONAL ASSISTANCE ALLOWANCE UNDER CHAPTER 35

Congress has passed legislation increasing education benefits for trainees under the Survivors' and Dependents' Educational Assistance Program (Chapter 35 of title 38, U.S.C.). The following monthly rates are effective June 1, 2004. YOU NEED TAKE NO ACTION. However, if for some reason your payment for the month of January does not reflect the increased rate, contact us at 1-888-GI-BILL1 (1-888-442-4551). You can also contact us on the Internet at "www.gibill.va.gov".

NEW MONTHLY RATES FOR PERSONS TRAINING UNDER

THE SURVIVORS' AND DEPENDENTS' ASSISTANCE PROGRAM

TYPE OF TRAINING

FULL TIME

THREE-QUARTER

TIME

HALF-TIME

INSTITUTIONAL

$788 $592 $394

LESS THAN HALF TIME

Tuition Cost. Not to Exceed the rate of $394 for Less Than Half Time But More Than One-Quarter Time and

$197 for One-Quarter Time.

FARM COOPERATIVE

$636 $477 $319

CORRESPONDENCE

Entitlement Charged at Rate of One Month for each $788 Paid.

APPRENTICESHIP

ON-THE JOB TRAINING

$574 $429 $285 $144

First 6 months

Second 6 months Third 6 months

Remainder of Program

SPECIAL RESTORATIVE

TRAINING

Accelerated Charges - Cost of Tuition and Fees in Excess of

Entitlement Reduced 1 day for Each

$788

$247

$26.27 (1/30th of Full Time Rate)

VA FORM

22-0325 Supersedes VA Form 22-0325,

Sep 2002 which will not be used