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(GEN-97-06) How to report changes to the information you provided on your Application for Approval to Participate in Federal Student Financial Aid Programs.

DCLPublicationDate: 8/1/97
DCLID: GEN-97-6
AwardYear:
Summary: How to report changes to the information you provided on your Application for Approval to Participate in Federal Student Financial Aid Programs.


Dear Colleague:

We are pleased to announce a streamlined process for
submitting requests for institutional changes to the Department.
We have made this process available through our ongoing
commitment to minimize the administrative burden to
institutions. The letter below (GEN-97-6) describes the process
for submission of required updates to the information that was
provided in the Application for Approval to Participate in
Student Financial Aid Programs ("Application"). By separately
listing those substantial changes which require not only
notification but explicit approval of the Department from those
changes which require notification only, we believe this letter
will assist your institutional officials in determining more easily
how to comply with regulatory requirements.

In addition, by having the institution complete only those
sections of the Application which pertain to the particular
institutional changes, rather than an entirely new Application,
we have reduced the time it will take to submit and process
changes. The Application question numbers which are referred
to in the instructions are taken from the current version of the
Application. You may obtain a copy of the current Application
from the Department's World Wide Web hompage at the
address noted in the letter
(http://www.ed.gov/offices/OPE/Professionals/pubs.html).
Complete and submit only those pages (along with any
required supporting documents) which are pertinent to the
changes your institution is making. You may also contact the
appropriate Case Team to obtain photocopies of the relevant
pages and instructions for submission.

We hope the process outlined in the letter will assist you in this
important matter. Future enhancements will include an entirely
electronic application process which we will be announcing .

Sincerely,


Elizabeth M. Hicks



August 1997

GEN-97-6

SUMMARY: How to report changes to the information you
provided on your Application for Approval to
Participate in Federal Student Financial Aid
Programs.


Dear Colleague:

U.S. Department of Education (ED) regulations require you to
update certain information provided on your Application for
Approval to Participate in Federal Student Financial Aid
Programs (ED Form E40-34P) AS CHANGES OCCUR. Please
note that the application is available on ED's Web page at--

http://www.ed.gov/offices/OPE/Professionals/pubs.html

The charts enclosed with this letter tell you what information
must be updated, how to update the information, and what
supporting documentation (if any) is required.

ENCLOSED CHART 1: In instances where the change involves a
substantial modification to your program or structure, you must
complete the appropriate question on the application and submit
required supporting documentation. (In some instances, such as
for change in ownership, ED will then notify you that you
must submit a full application.) For all substantial changes,
written approval from ED is required before you are authorized
to disburse funds on the basis of the change. Chart 1 lists the
changes where ED's written approval is required.

ENCLOSED CHART 2: In other instances, you are required only to
notify ED of the change. This is done by completing the appropriate
question on the application and (if required) providing supporting
documentation. Chart 2 lists those changes.

ATTACHMENT A amplifies Chart 1 by describing when and how to
report proposed changes in your institution-wide accreditation. Note
that you must notify ED when you begin the process of obtaining
accreditation from a different agency.

Information from the application that is not listed on these
charts is to be updated when you next apply for recertification.

Note: Two changes are not listed on the application. If you
close or if you file for bankruptcy, you must notify us within
10 calendar days by sending us a letter on your school's letterhead.
Tell us the date you closed (or plan to close) or the date you filed
for bankruptcy.

IF SENT BY U.S. POSTAL SERVICE, SEND ALL CHANGES TO THE FOLLOWING ADDRESS

U.S. Department of Education
Institutional Participation and
Oversight Service
P.O. Box 44805
L'Enfant Plaza Station
Washington, DC 20026-4805


IF SENT BY COMMERCIAL OVERNIGHT MAIL/COURIER
DELIVERY, SEND ALL CHANGES TO THE FOLLOWING
ADDRESS

U.S. Department of Education
Institutional Participation and
Oversight Service
7th and D Streets, SW
GSA Building, Room 3522
Washington, DC 20407

We hope that this information will help you comply with our
regulatory reporting requirements. If you have any questions, please
call the case management team responsible for the state in which you
are primarily authorized to offer instruction. The teams are listed in
ATTACHMENT B; the teams also are listed in the Introduction to
the application beginning on page 5.

Sincerely,



Elizabeth M. Hicks
Deputy Assistant Secretary for
Student Financial Assistance Programs

Enclosures:
Charts 1 and 2
Attachment A: Reporting Proposed Changes to Institution-Wide
Accreditation
Attachment B: Case Management Team Contacts


CHART 1 -- CHANGES THAT REQUIRE WRITTEN APPROVAL


CHANGES YOU MUST REPORT TO US, FOLLOWED BY THE
QUESTION NUMBER FROM THE APPLICATION. FOR THESE
CHANGES, YOU MUST RECEIVE OUR WRITTEN APPROVAL
OR ACKNOWLEDGMENT BEFORE YOU DISBURSE FEDERAL
STUDENT FINANCIAL AID ON THE BASIS OF THE
CHANGES.

TO REPORT A CHANGE IN... USE...

Accrediting agency (see below)* Question 15

State authorizing agency Question 17

Institutional structure Question 18

Educational programs outside the scope
of your current approval Question 26

Addition of non-degree programs outside
the scope of your current approval Question 27

Changing from or to clock or credit hours Question 27

Addition of a location Question 30

Addition of a federal student financial aid program Question 37
(such as the Direct Loan Program or the Federal
Family Education Loan Program) (see below )**

FOR for-profit institutions only

Type of ownership Question 22

Ownership Question 24


Notifying us of any of these changes is a two-step process.

1. No later than 10 calendar days after the change is made, you
must send us a letter on your school's letterhead notifying us of
the change and the date the change was made.

2. As soon as you have received approvals for the change from
your accrediting agency and state authorizing agency, you must
send us:

- a letter on your school's letterhead stating the change you are
reporting, your 8-digit Office of Postsecondary Education
Identification (OPE ID) number, and your 9-digit Employer
Identification Number (EIN);

- copies of the approvals for the change;

- the completed portion of the application relevant to the
change; and

- (Include any documentation asked for in the question. If
necessary, use the space provided in Question 69 to
supply additional information or explanations.)

- Section L of the application that contains the original
signature of the appropriate person.

We expect that within 35 days after we receive all of your
information, either we will send you a letter of approval or
acknowledgment, or we will ask you to submit a new application.

Note: Two changes are not listed on the application. If you close or
if you file for bankruptcy, you must notify us within 10 calendar
days by sending us a letter on you school's letterhead. Tell us the
date you closed (or plan to close) or the date you filed for
bankruptcy.

* Notify us when you BEGIN making ANY change that deals with
your school's institution-wide accreditation. See Attachment A for
details.
** Approvals from your accrediting agency and state authorizing
agency are NOT required for this change.

CHART 2 - CHANGES THAT REQUIRE ONLY NOTIFICATION


-- CHANGES YOU MUST REPORT TO US, FOLLOWED BY
THE QUESTION NUMBER FROM THE APPLICATION. FOR
THESE CHANGES, YOU DO NOT NEED OUR WRITTEN
APPROVAL OR ACKNOWLEDGMENT BEFORE YOU
DISBURSE FEDERAL STUDENT FINANCIAL AID ON THE
BASIS OF THE CHANGES.


TO REPORT A CHANGE IN... USE...

Name of institution (see below)* Question 2
Name of CEO/president/chancellor Question 10

Name of chief fiscal officer/financial officer Question 11

Principal location--address change only Question 29
(see below)*

Other locations--address change only Question 30
(see below)*

Third-party servicers that deal with federal Question 58
student financial aid

For private nonprofit and for-profit institutions (NOT public institutions)

Board of directors (but NOT trustees) Question 20

For foreign schools only (including foreign graduate medical schools)

Postsecondary authorization Question 42

Degree authorization Question 43

Program equivalence Question 44

Program criteria Question 45

U.S. administrative and/or recruitment Question 46
offices

For foreign graduate medical schools only

Facility at which you provide graduate Question 47
medical instruction

Authorizing entity Question 48

Approval of authorizing entity Question 49

Length of program Question 50

Programs located in the U.S. Question 51


Notify us of any of these changes no later than 10 calendar days after
the change is made. Send us:

- a letter on your school's letterhead stating--

- the change you are reporting,

- the date the change was made,

- your 8-digit Office of Postsecondary Education

Identification (OPE ID) number, and

- your 9-digit Employer Identification Number (EIN);

- the completed portion of the application relevant to the change;
and

- (Include any documentation asked for in the question. If
necessary, use the space provided in Question 69 to supply
additional information or explanations.)

- Section L of the application that contains the original signature
of the appropriate person.

*As soon as you have received approvals for the change from your
accrediting agency and state authorizing agency, you must send us
copies of the approvals for the change. We expect that within
35 days after we receive all of your information, we will send you a
letter saying that we have updated our records.



Augus 1997 GEN-97-6



ATTACHMENT A:
Additional Information on Reporting Proposed Changes
to Institution-Wide Accreditation



This attachment tells you when and how to report proposed changes to the information you provided about your institution-wide accreditation on your Application for Approval to Participate in Federal Student Financial Aid Programs (ED Form E40-34P).

Reporting a proposed change in your primary institution-wide accreditation

If you decide to change your primary accrediting agency, you must notify the U.S. Department of Education (ED) when you begin the process of obtaining accreditation from a different agency. As part of the notice, you must submit to us materials about your current accreditation AND materials demonstrating reasonable cause for changing your accreditation.

NOTE: If you fail to notify us of the proposed change to your primary institution-wide accreditation, or if you do not provide the materials described here, the U.S. Secretary of Education will no longer recognize your existing accreditation. This means you would no longer have accredited status, and you would no longer be eligible to award federal student financial aid or take part in other programs under the Higher Education Act of 1965, as amended (HEA).

Reporting proposed accreditation by more than one institution-wide accrediting agency


If you decide to become accredited by more than one institution-wide accrediting agency, you must notify us when you begin the process of obtaining additional accreditation. As part of the notice, you must submit to us (and to your current institution-wide accrediting agency and the prospective institution-wide accrediting agency) the reasons you wish to be accredited by more than one accrediting agency.

NOTE: If you obtain the additional institution-wide accreditation and fail to notify us of the reasons for that additional accreditation, the U.S. Secretary of Education will not recognize your accredited status with either agency. This means you would no longer have accredited status, and you would no longer be eligible to award federal student financial aid or take part in other programs under the HEA.

If you become accredited by more than one institution-wide accrediting agency, you must tell us which agency's accreditation is the primary accreditation you wish us to use in determining your eligibility for federal student financial aid programs.

We hope that this information will help you comply with our reporting requirements. If you have any questions, please call the appropriate case management team listed in Attachment B; the teams also are listed in the Introduction to the application beginning on page 5.


[[This file contains the "Attachment B - Case Management Team Contacts" in Portable Document Format (PDF). It can be viewed with version 3.0 or greater of the free Adobe Acrobat Reader software.]]

Last Modified: 07/31/1997