| PublicationDate: 4/23/97 Summary: ED's Process for Handling Recertification Applications Author: IPOS - Institutional Participation and Oversight Service Dear Colleagues: Recently a number of student aid administrators have expressed an interest in learning about the process for handling recertification applications at the Department. We understand the anxiety associated with this important process and want to share with you what we are doing to assure timely and efficient handling of your institutions' materials. These applications were mailed to institutions in several large cohorts with common due dates. Therefore, the Department typically receives them back from institutions in large batches on the same day. When the Application Is Received The Department has prepared for the increased number of recertifications by development of the "Document Receipt and Control Center" (DRCC) for the purpose of, among other things, logging, tracking and performing pre-screening of applications for their completeness. Because this process involves a skilled review by trained staff, and is not simply a logging of the documents, we cannot guarantee that your institution's application will be logged the day it is received. We estimate it will take 2-3 weeks to pre-screen and log this latest cohort which is due April 23rd. The Date of Receipt The application is logged as received after it has had an initial screening. However, the DATE of receipt is the day the substantially complete application is stamped as received in the mailroom. (For example an application received March 24 and reviewed April 4 is logged as having been received March 24.) If an institution has a certified receipt or other proof of receipt signed by someone at the Department, be assured that this receipt date is the date which is used, provided the application was substantially complete at that time. An Acknowledgment Will Be Sent Once an application has been screened by the DRCC and appears to be materially complete (that is all relevant sections are completed, documents are present and their dates have not expired), an acknowledgment letter is sent. The complete status of the application is reported to the appropriate Case Team for further review and decision. If the application appears to be incomplete, the institution is generally contacted by phone and a request is made to promptly submit missing materials. In some instances, the application will be returned with a follow-up letter which provides information about what is needed to make the application complete. The status will be noted "application returned," and the date will not be the date of receipt, but rather the date of return to the institution. When the application is received back again in complete form it will be considered as submitted according to the later date, that is, the date the application was received in materially complete form. Tips For Ensuring Proper Handling 1. Addresses: To ensure proper handling, for applications not yet due, always use one of the two addresses given to you when you were notified of the requirement of recertification. For U. S. Mail (postal service) delivery: U. S. Department of Education Institutional Participation & Oversight Service PO Box 44805 L'Enfant Plaza Station, Washington, D. C. 20026-4805 or For Overnight mail or courier service: U. S. Department of Education Institutional Participation and Oversight Service 7th & D Streets. SW GSA Building ROB 3, Room 3522 Washington, D. C. 20407 Either address is sufficient. The only difference is which one of the two mailrooms handles the delivery to the DRCC. For responding to requests for additional information, follow the specific instructions you are given. Do not try to circumvent these address options by sending it directly to an individual in Washington or to the Case Team, unless you are specifically directed to do so. This is the only way we can assure the accuracy of our tracking system. 2. Proof: Use a means of delivery which provides for proof of receipt. Federal Express, courier delivery and registered mail are among the means which cannot be sent to a P. O box, so use the street address if you choose one of these means. 3. Duplicates: DO keep a duplicate for your file, because record retention requirements mandate it and, in the unlikely event we need to ask you for duplicate submission, you will have it readily available. DO NOT send a duplicate copy unless specifically requested and, even then, clearly mark it as a duplicate submission with some note as to why it is being sent at this time. 4. Always include the institution's OPE ID number on ANYTHING that is being sent to the Department. This includes supplemental information or separate pages which are part of the application submission. 5. If an authorization (state or accreditation letter) will be expiring shortly, send information about the status of its upcoming renewal. This should be something official and not just a note of explanation. By taking this extra step you could save additional follow-up time and expedite the handling of the application by providing this information. How Long Does the Review Take? The review will take several months. This is because between now and April 23rd the Department will have received all the recertification applications which are due for expiring Program Participation Agreements and staff will be involved in the review of thousands of documents. Once an application is determined to be materially complete, it is called for further review by the appropriate Case Team, as the current workload of that team permits. As we have noted in our various letters, if an institution's recertification application was submitted by the due date and was materially complete at the time of submission, eligibility will continue for the institution, and the locations which were previously approved as eligible, on a month-to-month basis until a decision has been made. When to Call So that we can continue the review of the application materials as our first priority, we would prefer that you call only if it is necessary to do so. But if you decide you need to call or if your institution has not received an acknowledgment or follow-up letter within three weeks of the submission of the application, call the DRCC at 202 205-1935. To expedite the answer to your inquiry, have the following information available (or you may leave it on voice-mail and someone will get back to you): 1) your institution's full name, state of primary location and OPE ID number, 2) the deadline the application was due (this identifies which cohort group the application was mailed with), 3) by what means was the application mailed (this identifies the mailroom responsible for delivering it), 4) the date it was mailed, 5) the name of any person you may have spoken to previously. For questions concerning your institution's Program Participation Agreement or status after you have received the acknowledgment referred to above, contact the Case Team responsible for the state in which your institution's main campus is located: CT, ME, MA, NH, RI, VT: (617) 223-9338 NJ, NY, PR, VI: (212) 264-4022 DE, DC, MD, PA, VA, WV: (215) 596-0247 AL, FL, GA, KY, MS, NC, SC, TN: (404) 562-6315 IA, KS, MO, NE: (816) 880-4053 IL, IN, MI, MN, OH, WI: (312) 886-8767 CO, MT, ND, SD, UT, WY: ( 303) 844-3677 AK, ID, OR, WA: (206) 287-1770 AR, LA, NM, OK, TX: (214) 767-3811 AZ, CA, HI, NV, American Samoa, Guam, Micronesia, Palau, Marshall Islands, Northern Marianas: (415) 437-8276 We hope this information is helpful to you and that we have communicated the care the Department is taking with this important event in the life of your institution's participation in the Federal student aid programs. Please help us to help you by being patient. This whole process is not unlike the financial aid awarding process and the anxious time students go through when they are applying for aid and are calling to ask the status of their awards. The phones are ringing and the faxes flying and you know that there is an administrative and management process which you have worked hard to implement to assure that their concerns will be addressed. Please give us that opportunity. Sincerely yours, Marianne R. Phelps Director, Institutional Participation and Oversight Service |