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

Page Navigation

Data Entry

Data Edits

U.S. Department of Education Contacts

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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

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

Question 4: School Mergers

Question 5: OPE ID

This is a display only question.

Question 6a: TIN number

Question 6b: DUNS number

Question 7 and 8: Award Years

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

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

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

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.

Question 16: Flight Programs

Question 17: State Authorizations

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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

Question 21: 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.

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 25: Other entities owned

OR

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

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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

Question 27: Non-degree Programs

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

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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.

Question 29: Principal Location

Question 30: Additional Location(s)

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Section G

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

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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:

 

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Section I

This section is filled in by foreign schools.

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

Question 52

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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.

 

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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.


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

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Submitting the Application

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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.

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

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

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

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

"Review in process."

"Document preparation in process."


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