Application for Approval to Participate in Federal Student Financial Aid Programs

U.S. Department of Education, Federal Student Aid, Program Compliance, School Eligibility Service Group, School Participation Management Division

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	General Instructions		U.S. Department of Education Contacts
Section A	Section B	Section C	Section D	Section E
Section F	Section G	Section H	Section I	Section J
	Section K	Section L	Section M
	Submitting the Application		Status

General Instructions

The Electronic Application is password protected. You must have an 8-digit OPE ID assigned by the U.S. Department of Education (ED) to use as your "User name" preceded by “ED” (example ED09999900). Your password is your 9-digit Taxpayer Identification Number (TIN) preceded by “ED” (example ED999999999). Refer to your Program Participation Agreement (PPA) or Eligibility and Certification Approval Report (ECAR) to get your OPE ID and TIN. If you still need help, contact the School Participation Division for your state. The contact numbers are provided in the Introduction. If this is a change in ownership and if you have a new TIN, you must get the user name and password from the previous owner.
Please fill out Section A before continuing to the rest of the application.
Information that you have previously given to the U.S. Department of Education will be displayed on the application. You can update any of this data, except your OPE ID number.
Some information is purposely not pre-populated, and must be filled out, if applicable, on each application you send. (This includes Questions 1 and 4 in Section A, Section G, Section H, Questions 41-45, 50, 52-57 in Section I, Section K, and Section L)
Each page has an "OK/Save Data" button at the bottom. Some sections have a "Go to..." next section button in the middle of the page that you can use if the rest of the section does not apply to you. After entering all of your data on the page, click either button to save the changes and display the next page of the form.
If you click a hot link to leave a page, any changes you made will not be saved. You can use your browser's Back button to return to the page and then click on the "OK/Save Data" button to save your changes.
YOU MUST CLICK ON THE "OK/SAVE DATA" or a "GO TO..." BUTTON ON EACH PAGE TO SAVE YOUR DATA.
Each page also has a "Restore Original Values" button. As long as you have not saved your changes, clicking this button will remove any changes you made on the page and redisplay the data as it was retrieved from the Postsecondary Education Participants System (PEPS).
If you did not make any changes on a page, you do not need to click the "OK/Save Data" button. There is a hot link available at the bottom of each page to return to the Application Index.
You do not need to completely fill out a page to save any changes you have made. If you start a page and do not wish to complete it at the time,

Click the "OK/Save Data" button to save any changes you have made.
Note: You may receive "edit" messages informing you of areas that must still be completed or are inconsistent with the information entered.
You can return to the page later to complete it and make any corrections indicated by the messages displayed.
Select "Check here to perform the action selected below even if there are edit errors on this page." (Note: These errors must be corrected before you submit the application.)
The earlier changes entered and edits will be displayed on the page.

If the purpose of your application (which you checked in Question 1) is only to update your information for the U.S. Department of Education, you do not need to complete Sections G and K. All other applicants must fill out these sections.
The application will not be considered submitted to the U.S. Department of Education until you use the Submit Application page to submit it.
Section M will list the attachments you need to send separately to the U.S. Department of Education. Refer to the Introduction for instructions on mailing the signature page and attachments. You do not need to mail the U.S. Department of Education a copy of this application.
If the only changes you make are to phone numbers, fax numbers, or internet addresses and the purpose of your application is “Gen List Update”, you do not need to complete Section L or send any attachments. All other applicants must complete Section L, print it, sign it, and send it to the U.S. Department of Education with the rest of your supporting documentation.

Page Navigation

Use the TAB key or your mouse to navigate from field to field on each page of the application. Do not use the ENTER key. (Note: If your web browser is MS IE, pressing the ENTER key will perform the same action as clicking the "OK/Save Data" button.
If your web browser is MS IE and you make changes on a page and then click on a hot link to leave that page, the changes you made will be lost.
On every page you have three options to choose regarding the data you entered.

Check here if you are satisfied with your entries on this page. (This is the defaulted option and is used in most cases)
Check here to perform the action selected below even if there are edit errors on this page. (Use this option if you receive an edit and you do not have the information readily available to clear the edit. Remember, these errors must be corrected before you submit the application.)
Check here if you do not want to update your data or start an application. (Use this option if all you wish to do is review your data.)

When you click the "OK/Save Data" button, by default the next page of the application will be displayed. However, if you have selected “Update Information” and selected only one reason from the pick-list, the appropriate section of the application will be displayed after you select “OK/Save Data”. Other options that may be available for you to choose:

Click the "Redisplay this page" option if you would like to redisplay the page to see data displayed from PEPS (and you have not previously saved the information).
Click the "Go to Section" option and enter the Section you would like to skip to in the box next to it.
Click the "Return to Index" option if you wish to select a different option from the Index.
Click the "Submit the Application" option if you have finished entering data on the application and would like to proceed directly to the "Submit Application" page.

Data Entry

All dates must be entered in mm/dd/yyyy format. For example June 15, 2005 would be entered as 6/15/2005.

High order 0's on the month and day are not required.
All four digits of the year must be entered.
Slashes (/) are required to separate the month, day, and year.

If you enter a change to a person's name anywhere in the form,

Check the "For name changes, check here if this is a new person" box, if this is the name of a different person.
If you are just correcting a person's name, do not check the box.

A complete address is required for all entries where address fields are included. A complete address includes:

Street Address
City Name
State and Zip Code or Country Name
(Zip code and Zip+4 must be entered for U.S. addresses. Foreign addresses should have the Foreign Postal Code entered.)
Note: Zip+4 are required for your main and additional locations for U.S. schools.
Phone Number
Email address

Fax Numbers are optional entries for the address.

Data Edits

JavaScript is used to provide interactive data checking for dates, numeric, fixed length fields, and required entries. If JavaScript detects an invalid entry, a pop-up box with an alert message will display. Please read the alert message and correct the data.
Additional edit checks will be performed on each page when the "OK/Save Data" button is clicked. If any invalid data entries are detected, the page will redisplay with message(s) at the top indicating the question whose data needs to be corrected and the correction to be made. Make the changes indicated by the message(s) displayed and click the "OK/Save Data" button to save them.

U.S. Department of Education Contacts

If your questions are specific to the school, including its password, please contact the School Participation Division responsible for the state in which your institution is primarily authorized to offer instruction. The phone number for your division is listed in the Introduction.
If you have specific questions about the receipt of the supporting documentation for your application, please contact the School Participation Division responsible for the state in which your institution is primarily authorized to offer instructions. The phone number for your division is listed in the Introduction.
If you have problems connected with accessing the electronic application, other than the password, please contact the PEPS staff via email at FSA_PEPS@ed.gov.
If you have assistive technology needs, you can email the School Participation Management Division staff at CaseTeams@ed.gov for assistance.

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Section A

This section contains general questions about your institution. All schools must fill out this section.

Due to its large size, this section has been divided into three pages. Questions 1-9 are on the first page of Section A, questions 10-12 are on the second page, and questions 13 and 14 are on the third page.

Question 1: Purpose of Application

At least one purpose box must be checked.
If the purpose for your application is not one of those described, you can either:

Click the "Update Information" checkbox and select a purpose from the pick-list.
OR if your reason is not in the pick-list,
Click the "Other" checkbox and enter the purpose in the field next to the checkbox.

Question 2: Name of your institution

This is a required entry. Do not abbreviate unless necessary. Do not enter your corporate name here. Do not include "Incorporated" or "Inc." as part of your school's name.

Question 3: Other Name for your institution

Check "No" if you do not have another name under which you legally do business as a postsecondary educational institution.
Check "Yes" and enter the name if you have another name.
Do not abbreviate unless necessary. Do not enter your corporate name here. Do not include "Incorporated" or "Inc." as part of your school's other name.

Question 4: School Mergers

If you are an institution resulting from a merger, check the box and enter the OPE ID of the former institution(s).
The TIN and school name will display when you redisplay the page.
The OPE ID number must be a valid ID number.

Question 5: OPE ID

This is a display only question.

Question 6a: TIN number

Enter your institution's Taxpayer Identification Number (TIN).
This is a required entry for U.S. schools.
This field will not display if this is a Foreign school.
If you change your TIN and the reason for submission of the application is not "change in institutional ownership or structure", provide an explanation in question 69.

Question 6b: DUNS number

Enter your institution's DUNS number.
This is a required entry for all schools.
If you change your DUNS and the reason for submission of the application is not "change in institutional ownership or structure", provide an explanation in question 69. (If you do not have a DUNS number, you can contact Dun & Bradstreet at 1-800-333-0505 to have a number assigned.)

Question 7 and 8: Award Years

Award years are displayed for you based on the current date.
If these dates are not correct for your school, you may replace them with the correct year(s).
All four digits of the year are required.

Question 9: Home Page

Enter your Internet website (home page) address if you have one.

Question 10: CEO/President/Chancellor – This must be a school official

The name of the CEO/President/Chancellor must be entered along with a job title, complete address, and phone number.
If there is no address provided for Questions 11-14, a checkbox will be displayed to allow you to copy the address from Question 10 for the official if they are the same, rather than typing in the address over again.

If you check the box, the street address, city, state or country, and mail code will be copied after you click the "OK/Save Data" button.
Phone and fax numbers and internet addresses will not be copied from Question 10 to the other questions.

Question 11: Chief Fiscal/Financial Officer – This must be a school official

The name of the chief fiscal/financial officer must be entered along with a job title, complete address, and phone number.

Question 12: Financial Aid Director – This must be a school official

The name of the financial aid director must be entered along with a job title, complete address, and phone number.

Question 13: "Ongoing Correspondence" – This must be a school official

Check a box if the person who is to receive all ongoing correspondence with the U.S. Department of Education is the same as the person entered in Question 10 or 12 and leave the name and address fields blank.
If it is not the same person, check the "If neither of these people" option and enter the name along with a job title, complete address, and phone number.

Question 14: School Contact – This must be a school official

Check a box if the person who is the application contact is the same as the person entered in Question 10 or 12 and leave the name and address fields blank.
If it is not the same person, check the "If neither of these people" option and enter the name along with a job title, complete address, and phone number.

Note: You may report the contact that is not a school official in question 70(a).

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Section B

This section is used to enter your accreditation and state authorization. This section is required for all non-foreign schools. Pick-lists are available in this section for selecting new agencies. These pick-lists will not display when agency information is displayed from PEPS.

Accrediting information that you have previously submitted to the U.S. Department of Education will be displayed for you to update.
You must have at least one primary accrediting agency, unless you are a foreign school.
If you are a foreign school, check the box at the beginning of the section to skip Section B and go to Section C.
If you have institution-wide accreditation, enter your accrediting information in Question 15.
If you have more than one institution-wide accrediting agency, you must indicate which agency's accreditation is the primary accreditation you wish the U.S. Department of Education to use in determining your eligibility for federal student financial aid programs.
If you do not have institution-wide accreditation but have program accreditation, enter your accrediting information in Question 15.
The year the accrediting agency accredited you is required and must be entered as a four-digit year.
If your accreditation is no longer valid (the year last accredited + the number of years accredited for is less than the current year), you must provide an explanation in Question 69 in Section K.
Existing accrediting agency codes cannot be updated.
Do not attempt to clear the fields for an accrediting agency. If you have NOT saved information you started to enter, click the "Restore Original Values" button. If you have already saved the information, enter a date in the "End Date" field to indicate that this information is not valid for your school.
To indicate that an accrediting agency listed no longer accredits your school, enter the date the accreditation ended in the "End Date" field.
If you added an accrediting agency in error, select “delete this accrediting agency”.
To add additional accrediting agencies,

select "Click here to add a new accreditor"
Select the appropriate agency from the pick-list of agencies.

To review and/or change information for any agency which currently accredits you,

click on the "Update/Review accreditor" hot link
Section B will redisplay with this accrediting agency
If you add an accreditor in error and want to delete it, select "delete this accreditor".

Question 16: Flight Programs

If do not have a flight program, check the box at the beginning of the question.
If you offer a flight program, enter your certification number and expiration date.

Question 17: State Authorizations

You must enter a state authorizing agency unless:

You are a foreign school.
You are a public institution and do not provide at least 50% of an educational program outside your state. Please click option "a." for question 17.
Your programs are not required to be authorized or licensed by a state agency (you must send a copy of the basis for that determination). Please click option "d." for question 17.

If you are entering a new state authorization and you wish to see a list of state authorizing agencies:

Select "Click here to add a new state authorizing agency".
You may click on the "Click here for a list of State Authorizing Agencies" hot link at the beginning of Question 17. (This hot link will not appear if the fields are currently populated from PEPS.)
Click on the state code for any state to display its agencies.
Click on your browser's back button to return to Section B.

Do not attempt to clear the fields for an authorizing agency. If you have NOT saved information you started to enter, click the "Restore Original Values" button. If you have already saved the information, enter a date in the "End Date" field to indicate that this information is not valid for your school.
If you added a state agency in error, select “delete this state agency”.
To indicate that an authorizing agency listed no longer authorizes your school, enter the date in the "End Date" field that the authorization ended.
To review and/or change information for any current state authorizing agency:

Click on the "Update/Review State Authorization Agency" hot link
Section B will redisplay with this state authorization agency
If you add an agency in error and want to delete it, select "delete this state authorization agency".

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Section C

This section is used to indicate your institutional control and structure. This section is required for all schools.

Question 18: Institution Type

Check your type of institutional structure.

Question 19: Change of Structure

If your institutional structure in Question 18 has changed since you were last certified or if you have entered merger information in Question 4, you must enter the date of the change.

Public institutions do not need to fill out Questions 20 and 21. All other institutions must complete both questions.

Question 20: Board of Trustees or Board of Directors

Check whether you have a board of trustees or board of directors.
Check if you have over 10 members on your board.
Enter the names of the board members, or if you have more than ten, enter only the board's executive committee.
Do not attempt to clear out the name of former board members. If a board member listed is no longer on your board, enter the date the member left the board in the End Date field.
If you need to enter additional board members, click the "Redisplay this page option" and the "OK/Save Data" button at the bottom of the page

Question 21: Recording Secretary

If you provided only the board's executive committee in question 20, enter your board's recording secretary.
The name, job title, complete address, and phone number are required for the board's recording secretary.

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Section D

This section is used by for-profit institutions and for non-for-profit institutions with a change in control.

Due to its large size, this section has been divided into two pages. Questions 22-24 are displayed on the first page and question 25 is displayed on the second page.

Note: You must provide the U.S. Department of Education with the Social Security Number (SSN) and home address for each of the owners. Due to security concerns, the U.S. Department of Education is not collecting SSNs or home addresses over the Internet at this time. However, you must submit your SSNs and home addresses to the U.S. Department of Education by writing them on Section M. Please refer to the Introduction for Privacy Act Information.

Question 22: Ownership Type

You must check the type of ownership you have.

If you check "corporation" in question 22:

Fill in information about the corporation registered agent for each corporation in question 23,
Check the "a corporation" option in question 24,
Fill in information about the corporation in question 24a,
And then enter information about the corporation owners, if any, in question 24b and 24c, and leave 24d blank.

If you check "proprietorship" in question 22:

Check "an individual" in question 24a,
Leave question 23, 24b and 24c blank,
And enter information about the individual(s) who own the school in question 24d.

Ownership Tree

If you wish to view all the owners reported on the application at one time, select “Click here to see what the U.S. Department of Education’s records show as the ownership tree of your institution.

Question 23: Corporation Registered Agent

If the owner is a corporation, you must enter the contact person, or registered agent, with a complete address and phone number.

Question 24: Owners

Question 24a.

Check the type of owner.
This information must be consistent with the information provided in Question 22.

Question 24b.

Fill in this section for all owners that are business entities (either incorporated or unincorporated), if any, with at least a 25% interest in your institution.
Following the corporation information, enter the persons, if any, who own a 25% or greater interest in the business entity.

Question 24c.

If you checked "an individual" in Question 24a, list the individuals who are owners with at least a 25% interest in your institution.

You must enter a complete address and phone number for each owner.
You must enter the home address for each owner.
The percentage of ownership and date ownership began are required entries.
The total percentage of ownership for all owners of your institution cannot be over 100%.
If the total percentage of ownership for all owners of your institution that you entered in Question 24 is less that 76%, you must enter an explanation in Question 69, in Section K.
To indicate that an owner listed no longer has an ownership interest in the school, enter the date the ownership ended in the "End Date" field.
Do not attempt to clear the fields for an owner. If you have NOT saved the information you started to enter, click the "Restore Original Values" button. If you have already saved the information, enter a date in the "End Date" field to indicate that this information is not valid for your school.
To add additional institution owners, select:

Click here to add a new Person owner of your institution, or
Click here to add a new (not yet displayed) Entity owner of your institution

To review/change information about an owner of your institution,

Click on the "Update/Review this owner" hot link.
The page will display with the information about that owner.
If you add an owner in error and want to delete it, select "delete this owner".

To review/change information about the owner of an entity,

Click on "Redisplay" Page with owners (of entity name).

Question 25: Other entities owned

If any of the owners of your school individually or together with a family member or in combination with others, such as a voting trust, have owned:

At least 25% or more of another institution which is now/was Title IV eligible

A third-party servicer

Check “Yes” and then fill in the appropriate boxes in the chart.

If an individual currently having substantial control at your school (e.g. board member, chief executive officer, president, etc.) has held a position of substantial control at another institution which is now/was Title IV eligible, check Yes and then fill in the appropriate boxes in the chart.
To indicate that an owner listed no longer has an ownership interest in the school, enter the date the ownership ended in the "End Date" field.

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Section E

This section is used to enter additional information about programs that you want to be eligible to participate in federal student financial aid programs.

Due to its large size, Section E has been divided into three pages. Question 26 is on the first page. The second page, Question 27, must contain a list of your non-degree programs. Question 28, contracts with an organization or ineligible institution, is on the third page.

Question 26: Types of Programs

Check all boxes that describe programs provided by your institution.

Question 27: Non-degree Programs

The application will allow you to enter more than one program with the same CIP code.

Section E page 2 contains a table of the non-degree programs offered by your institution.
To update information about one of your programs, click on the "Update/Review Program" hot link. A page containing all of the information about this program will be displayed.
If required information is missing for one of your programs, a red * will display in the "Need More Info" column.
If you need to add another non-degree program, click on the hot link "Click here to add a new program".
To display a list of valid CIP codes and program names, click on the "A list of CIP codes accompanies this application" hot link.
To copy a CIP code into Question 27,

Highlight the CIP code.
Press Control-C to copy the code.
Use your browser's back button to return to Section E.
Click on the CIP code field in Question 27.
Press Control-V to paste the code into Question 27.

If you checked box e. in Question 26, you must fill out section 27a for each graduate non-degree program.
If you checked box g. or h. in Question 26, you must fill out section 27b for each undergraduate non-degree program.
If you checked box i. in Question 26, you must fill out section 27c for each short-term undergraduate non-degree program.
If you did not check box e., g., h., or i. in Question 26, do not enter any school programs in Question 27.
You must enter the number of clock hours for each program, unless it is exempt from the clock to credit hour formula. If the program is offered in credit hours, you must enter the number of hours and the type of credit hours must be checked.
The information about school programs that the U.S. Department of Education has for your school is displayed with the exception of completion rate and placement rate in Question 27c. These rates must be re-filled in on each application for each program you have entered in 27c.
To indicate that a program is no longer offered by your school, enter the date it ended in the "End Date" field.
Do not attempt to clear the fields for a school program. If you have NOT saved the information you started to enter, click the "Restore Original Values" button. If you have already saved the information, enter a date in the "End Date" field to indicate that this information is not valid for your school.
If you added a program in error, select “delete this program”.

Enter information about organizations or ineligible institutions that provide more than 25% of any of your programs.
You must answer "Yes" or "No" to Question 28. If you answer "Yes", you must enter information about the ineligible institution(s) providing programs for your school.
You must enter the program name.
You must enter a complete address for the ineligible institution.
To indicate that an organization or ineligible institution listed is no longer providing programs for your school, enter the date it ended in the End Date field.
If you are a proprietary school, enter any owner of your institution who also owns or controls 25% or more of this ineligible institution in Question 28b.
You must answer "Yes" or "No" to Question 28c.

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Section F

This section is used to enter information about your locations. This section must be filled out by all schools.

Do not enter a post office box in the business street address
You must enter a complete address for all locations.
Do not abbreviate the name or address unless limited by space.

Question 29: Principal Location

Use this question to enter information about your principal location’s legal street address.
If you are a domestic school, you must enter the ZIP+4 for your principal location.

Question 30: Additional Location(s)

Use this question to enter information about your secondary locations. An indication of whether or not this location is currently approved by the U.S. Department of Education, will display above the location.
To review and/or change information for any location you, click on the "Update/Review location" hot link
To add additional locations, select "Click here to add a new location". If you add a location in error and want to delete it, select "delete this location".
To indicate that one of your additional locations is no longer valid, enter the appropriate date in the "End Date" field. Do not attempt to clear the fields for a location. If you have NOT saved the information you started to enter, click the "Restore Original Values" button. If you have already saved the information, enter a date in the "End Date" field to indicate that this information is not valid for your school.

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Section G

This section is used to answer questions about tele/corr courses, ability-to-benefit students, and incarcerated students.

This section must be filled out by all schools, unless the purpose of your application is only to send the U.S. Department of Education updated information.
You must answer "Yes" or "No" to each question. You may enter an explanation for any answer in Question 69.
The information in this section must be completed each time you submit a full application to the U.S. Department of Education.
Information entered on previous applications will not be displayed here.

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Section H

This section must be filled in by schools submitting an application for initial eligibility, designation as an eligible institution, a change in ownership or structure, merger, or schools seeking reinstatement. Also if a currently certified school wants to be determined to be eligible for another Title IV program, it must answer Question 37.

Question 35:

You must check the reason you are filling out this application.

Question 36:

The number of clerical and professional full time staff is required and must be completed.

Question 37:

Check all of the financial aid programs in which you are seeking approval to participate.

Question 38:

This enrollment information is required and must be completed.

Questions 39 and 40 are only for schools seeking initial approval and reinstatement.

Question 39:

The enrollment and dropout numbers are required and must be completed.

Question 40:

The school programs that you entered in Question 27 will be displayed here with a box to check “yes” if the programs have been provided continuously for at least 24 months.

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Section I

This section is filled in by foreign schools.

You must check "Yes" or "No" for each of these questions.
Information sent to the U.S. Department of Education on previous applications will not be displayed here, it must be completed each time you submit an application to the U.S. Department of Education.

You must check "Yes" or "No" to indicate if you use U.S. administrative or recruiting offices.
If you have U.S. administrative or recruiting offices, you must enter the office name, complete address, and phone number.
If you have more than one U.S. administrative or recruiting office, select “Click here to add a U.S. administrative office”.

Enter the name of the medical facility at which you provide graduate medical educational program instruction in your country. This is a required entry.
Enter the name, complete address, and phone number for your medical facility.
If you have more than one medical facility, select “Click here to add a foreign medical facility”.

Enter the name of the entity in your country that is authorized to evaluate your medical educational programs. This is a required entry.
Enter the name, complete address, and phone number for your evaluating entity.
If you have more than one evaluating entity, select “Click here to add the entity which is legally authorized to evaluate your programs”.

You must check "Yes" or "No" to indicate if you are approved by the entity listed in Question 48.

You must enter the number of months of graduate clinical and medical instruction.
This information must be completed each time you send a full application to the U.S. Department of Education. Information entered on previous applications will not be displayed here.

You must check "Yes" or "No" to indicate if any part of your medical program instruction is offered in the U.S.
If you check "No", do not fill out the rest of Question 51.
If you check "Yes",

Enter the facility name, complete address, and phone number in Question 51a.
Check the part(s) of the program offered in Question 51b.
If you check "Other" in Question 51b, you must specify the part of the program training in the blank next to it. Enter the Medical licensing boards and evaluating bodies in the U.S. that currently approve this part of you medical program in Question 51c. You must check "Yes" or "No" to both questions in 51d.

Question 52

Enter the dates and number of graduates who graduated within the past three 12-month periods. This is a required entry.
This information must be completed for each application you submit to the U.S. Department of Education. Information entered on previous applications will not be displayed here.

You must provide an answer for each of these questions.
This information must be completed for each application you submit to the U.S. Department of Education. Information entered on previous applications will not be displayed here.

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Section J

This section is used to enter your third-party servicers and your ability to benefit (ATB) testers. This section must be filled in by all schools with third-party servicers and ATB testers.

If you don't contract with any third-party servicers or have an ATB tester, check the box at the beginning of the section and continue to Section K.
A complete address and phone number are required for each servicer and ATB tester.
You must check at least one service provided by each third-party servicer.
Do not attempt to clear the servicer name and address for a third-party servicer. You may update the contact name and job title, if the contact name displayed is not applicable for your institution. If you have NOT saved the information you started to enter, click the "Restore Original Values" button. If you have already saved the information, enter a date in the "End Date" field to indicate that this information is not valid for your school.
To indicate that you no longer use a third-party servicer listed or ATB tester, enter the date your contract with the servicer ended in the "End Date" field.
To add additional third-party servicers, select "Click here to add a new servicer/ATB tester". Then select the appropriate agency from the pick-list of servicers.
To review and/or change information for your third-party servicers, click on the "Update/Review Servicer/Tester" hot link.
If you add a third-party servicer/ATB tester in error and want to delete it, select "delete this servicer".
Enter the name and job title of your contact person.
You may select your third-party servicer from the pick-list, or if your servicer is not on the list, enter the servicer name and complete address.

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Section K

This section is used to answer questions about your administrative capability and financial responsibility. This section must be filled out by all schools, unless the purpose of your application is only to send the U.S. Department of Education updated information.

The information in this section must be completed each time you send a full application to the U.S. Department of Education. Information entered on previous applications will not be displayed here.
Question 64 does not apply to foreign schools.
If you do not answer "Yes" to any of the questions 59-68, you must enter an explanation in Question 69.
Question 69 can be used to enter additional information about any question in the application.
If you cannot fit all of your comments in Question 69, please include additional comments with the application attachments you send to the U.S. Department of Education.

Question 71 Reporting of Foreign Gifts, Contracts and Relationships.

Section 117 of the Higher Education Act of 1965 (HEA), as amended, requires most institutions that participate in the Title IV student assistance programs to submit to the Secretary disclosure reports containing information about gifts received from any foreign source, contracts with a foreign entity, and any ownership interests in or control over the institution by a foreign entity. We want to remind institutions of the importance of complying with this provision of the HEA.

The following information is presented in a Question & Answer (Q&A) format to provide details about the reporting requirement.

General -

Q1 How do I know if my institution is required to submit a report of foreign gifts, contracts, or ownership and control?

A1 All domestic institutions that receive any Federal financial assistance (directly or indirectly) and that offer a bachelor's degree or higher, or that offer a transfer program of not less than two years that is acceptable for credit toward a bachelor's degree, are required to report. [See HEA section 117(h)(4)]

Q2 What are the conditions that require reporting?

A2 An institution must submit a report if the total of all gifts from and contracts with a foreign source exceeds $250,000 in any calendar year or it is owned or controlled by a foreign source. [See HEA section 117(a)]

Q3 Is the foreign gift, contract, and ownership information my institution reports made public?

A3 Yes, consistent with the law, all disclosure reports are public records and are available for inspection and copying. [See HEA section 117(e)]

Q4 What happens if my institution does not comply with the foreign gift, contract, or ownership reporting requirements?

A4 If an institution fails to comply with the reporting requirement in a timely manner the Secretary may recommend that the Department of Justice undertake a civil action in Federal District Court to ensure compliance. In addition, the institution must reimburse the government for the full costs of obtaining compliance following a knowing or willful failure to comply. [See HEA section 117(f)]

When and How to Report -

Q5 When must my institution submit its foreign gift, contract, and ownership or control report?

A5 An institution must report no later than the January 31 or July 31, whichever is sooner, that immediately follows the activity that triggers the need for a report as discussed in Q&A #2. [See HEA section 117(a)]

Q6 What if I have missed filing a required report?

A6 You should immediately file all of the missed reports.

Q7 If my institution meets the "ownership or control" criteria noted in Q&A #2, must we continue to report that condition every six months?

A7 No, an institution must only report when there is a substantive change to a previously reported ownership or control status, or in the institution's program or structure, as it relates to a foreign source.

Q8 How does my institution report foreign gift, contract, or ownership and control information to the Secretary?

A8. Foreign gift, contract, and ownership or control reports must be submitted to the Department of Education Federal Student Aid (FSA), Program Compliance, School Eligibility Service Group, School Participation Division using Federal Student Aid's electronic application process (E-App) (www.eligcert.ed.gov). Go to Section K, Question 71, and enter the appropriate information about the foreign gift, contract, or ownership and control, then go to Section L, to complete the signature page. Submit the report electronically and mail in the signature page to the address provided.

Contents of Reports -

Q9 In the case of an institution that meets the "contract" or "gift " criteria noted in Q&A #2, what information is required to be included in the report?

A9 For gifts received from or contracts entered into with a foreign government the report must include the identity of the foreign country and the aggregate amount of such gifts and contracts received from each foreign government. [See HEA section 117(b)(2)]

For gifts received from or contracts entered into with a foreign source other than a foreign government the report must include the name of the foreign state to which the contract(s) or gift(s) is attributable and the aggregate dollar amount of such gifts and contracts attributable to a particular country. [See HEA section 117(b)(1)]

Q10 In the case of an institution that meets the "ownership or control" criteria noted in Q&A #2, what information is required to be included in the report?

A10 For such an institution each disclosure report must contain the identity of the foreign entity, the date on which the foreign entity assumed ownership or control, and a description of any substantive changes to previously reported ownership or control, or in institutional program or structure resulting from the change in ownership or control. [See HEA section 117(b)(3)]

Q11 What additional information must be included in the report about restricted or conditional gifts or contracts?

A11 Whenever an institution receives a restricted or conditional gift or contract from a foreign government it must disclose the name of the country, the amount of the gift or contract, the date of the gift or contract, and a description of all conditions or restrictions as defined below. [See HEA section 117(c)(2)]

Whenever an institution receives a restricted or conditional gift or contract from a person it must disclose the citizenship, or if unknown, the principal residence for that person, the amount of the gift or contract, the date of the gift or contract, and a description of all conditions or restrictions as defined below. [See HEA section 117(c)(1)]

Whenever an institution receives a restricted or conditional gift or contract from a legal entity other than a foreign state or an individual it must disclose the country of incorporation, or if unknown, the principal place of business for that foreign source, the amount of the gift or contract, the date of the gift or contract, and a description of all conditions or restrictions as defined below. [See HEA section 117(c)(1)]

Alternative Reporting -

Q12 What if my state requires similar reporting of foreign gifts, contracts, and ownership?

A12 If the state has provided the Secretary assurances that the institution has met the requirements for public disclosure under State law the institution may submit a copy of the disclosure report filed with the State in lieu of the report required by the Secretary. [See HEA section 117(d)(1)]

Q13 What if another Federal agency requires similar reporting of foreign gifts, contracts, and ownership?

A13 If an institution has filed a report substantially similar to the report required under section 117 of the HEA with any other agency of the Federal Government it may submit a copy of that report in lieu of the report required by the Secretary.
[See HEA section 117(d)(2)]

Definitions regarding Foreign gift-

Q15 What is the definition of a "foreign source"?

A15 The HEA defines the term "foreign source" as -

§ A foreign government, including an agency of a foreign government;
§ A legal entity created solely under the laws of a foreign state or states;
§ An individual who is not a citizen or national of the United States; and
§ An agent acting on behalf of a foreign source.

[See HEA section 117(h)(2)]

Q16 What is the definition of a "contract"?

A16 The HEA defines the term "contract" as any agreement for the purchase, lease, or barter of property or services. [See HEA section 117(h)(1)]

Q17 What is the definition of a "gift"?

A17 The HEA defines the term "gift" as any gift of money or property. [See HEA section 117(h)(3)]

Q18 What is the definition of the term "restricted or conditional gift or contract" used in Q&A #11?

A18 For purposes of the reporting required by section 117 of the HEA, "restricted or conditional gift or contract" means any endowment, gift, grant, contract, award, present, or property of any kind which includes provisions regarding -

§ The employment, assignment, or termination of faculty;
§ The establishment of departments, centers, research or lecture programs, or new faculty positions;
§ The selection or admission of students; or
§ The award of grants, loans, scholarships, fellowships, or financial aid restricted to students of a specified country, religion, sex, ethnic origin, or political opinion.

[See HEA section 117(h)(5)]

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Section L - Signature Page

This section must be completed by all schools, unless your application purpose was to update data and the only fields you changed were phone numbers, fax numbers or internet addresses. This section must be printed and signed by the appropriate person in authority and submitted to U.S. Department of Education. If you are using Internet Explorer, the "print" button on the bottom of the page of Section L will not work. You need to go to "file" and then select "print". The date signed must be entered before the application can be submitted. The current date will be displayed for you in this field. If the person who is signing the application was entered in Question 10 (CEO/President/Chancellor), check the box and do not fill out the rest of the page. Otherwise, the name, job title, complete address, and phone number of the person who is signing the application must be entered here.

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Section M

Use this section to verify the supporting documentation that you are required to send separately to the U.S. Department of Education .
If your application purpose is to update information and the only information you changed were phone numbers, fax numbers, or internet addresses, you do not need to send the U.S. Department of Education a signature page or any supporting documentation.
The supporting documentation you are required to send to the U.S. Department of Education, based on application type and school type, will be listed here.
If you are a for-profit institution, your individual owners will print out on Section M. You must write in the Social Security Number for each individual listed on Section M. You must then submit them to the U.S. Department of Education along with the other required documents.
You must print out Section L and send it to the U.S. Department of Education (unless your application purpose was to update information and the only information changed was phone numbers, fax numbers, or internet addresses.) You do not need to send other sections of the application.
If you are not a foreign school, you must send a current letter of accreditation.
If you are not a foreign school or a public institution (with additional locations only in your state), you must send a valid state license or other state authorization.
If you are a private nonprofit institution, you must send your 501(c)(3) designation from the IRS unless the U.S. Department of Education already has a copy on record.
If your institution contracts with ineligible institutions to provide more than 25% of any educational program, you must send a copy of the approval from your accrediting agency for contracting this program.
If you are an initial application, seeking reinstatement, or an institution with a change in ownership or structure, you must send:

Audited financial statements for the two most recently completed fiscal years.
Audited financial statements of the institution's new owner's two most recently completed fiscal years that are prepared in accordance with Generally Accepted Accounting Principles (GAAP) and audited in accordance with Generally Accepted Government Auditing Standards (GAGAS) or equivalent information for that owner that is acceptable to the Secretary.
The default management plan, if the plan is not the plan recommended by the Secretary.
If your default management plan is the plan recommended by the Secretary, click the checkbox and then click the "Click Here" button so that the U.S. Department of Education will know that you will not be sending a default management plan.
If you are exempt under 487(a)(14)(C) of the HEA from providing a default management plan, click the "Click Here" button so that the U.S. Department of Education will know that you will not be sending a default management plan.

If you are an institution with a change in ownership or structure, you must send an audited balance sheet showing the financial condition of the institution at the time of the change.
If you are a foreign institution, you must send:

For private nonprofit institution - a certified English translation of nonprofit designation status
Most recent catalog and its certified English translation of all sections dealing with degrees and programs provided at your institution
Legal authorization and its certified English translation to provide an educational program beyond the secondary school level in the country where you are located
Legal authorization and its certified English translation to award a degree that is equivalent to a degree awarded in the United States
Legal authorization and its certified English translation to provide graduate medical education, if you are a foreign graduate medical school.

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Submitting the Application

After you have finished entering the data on the application, click on the "Submit Application" hot link from the index page or click the "Submit the Application" option from any application page and click the "OK/Save Data" button.
The Application Submission form will be displayed.

If there are any edit errors on the application or if any required fields have not been entered, messages will display to indicate what changes are required with hot links to follow to access the appropriate section of the application directly.
If there are no edit errors on the application and all required fields have been entered, a "Submit Application" button will be displayed.

Click on this button to submit the application.
A page will display with the message, "Application has been submitted to the U.S. Department of Education." verifying that the application has been submitted.

If you need to make additional changes to your application after it is submitted the first time, follow this same process to resubmit the application after completing the changes.
Note: You will be allowed to make changes to the application after submitting the application up until the reviewer actually begins to review the data on the application. After that you will not be allowed to make changes, unless the reviewer notifies you that changes need to be made. At the time you are notified that changes need to be made, you will be given five days to enter changes to the application.
If you need to submit a new application for update, but cannot because your current application shows "Review in Process," contact the School Participation Division responsible for the state in which your institution is primarily authorized to offer instruction. The phone number for your School Participation Division is listed in the Introduction.
Remember to print out a copy of the application for your records, but DO NOT send a copy of the application to the U.S. Department of Education. You can print a copy of the application by clicking on the “Display Application” hotlink.

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Application Status

Click on the Status hot link from the Index page after you have submitted your application to display information about the status of your application.

If you do not have a current application, then the status displayed will be:

"No application pending, you may begin entering one."

If you have begun entering an application, but have not yet submitted it to the U.S. Department of Education, the status displayed will be:

"Application entry in process. The application you started has not been submitted to the ED."

If the application has been submitted but all of the required supporting documentation has not been received by the U.S. Department of Education, the status displayed will be:

"Application was submitted on [date]. Awaiting supporting documentation."

If the application has been submitted and the U.S. Department of Education has requested supporting documentation because not all supporting documentation has been received, the status displayed will be:

"Application submitted on [date]. Supplemental documentation has been requested by SPD on [date]."

If the supporting documentation has been received by the U.S. Department of Education and the application is currently in the review process, the status displayed will be:

"Review in process."

>If the application has completed the review process, the status displayed will be:

"Document preparation in process."

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