Reporting and Disclosure Requirements for Institutions of Higher Education to Participate in Federal Student Aid Programs Under Title IV of the Higher Education Act
Congressional research reportAug 31, 2009
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Reporting and Disclosure Requirements for
Institutions of Higher Education to Participate
in Federal Student Aid Programs Under
Title IV of the Higher Education Act
(name redacted)
Specialist in Education Policy
August 31, 2009
Congressional Research Service
7-....
www.crs.gov
R40789
CRS Report for Congress
Prepared for Members and Committees of Congress
Reporting Requirements for IHEs to Participate in Federal Student Aid Programs
Summary
The Higher Education Act of 1965 (HEA; P.L. 89-329), as amended, authorizes a broad array of
federal student aid programs that assist students and their families with paying for or financing
the costs of obtaining a postsecondary education. These federal student aid programs are
authorized under Title IV of the HEA. Requirements applicable to the administration of Title IV
federal student aid programs are specified in Title I of the HEA, as well as in Title IV. The HEA
also authorizes many other types of programs, including programs that make federal aid and
support available to institutions of higher education (IHEs). The Department of Education
administers programs authorized under the HEA. In 2008, the HEA was reauthorized under the
Higher Education Opportunity Act (HEOA; P.L. 110-315); and in 2009 technical amendments to
the HEA were made under P.L. 111-39.
Institutions that participate in one or more Title IV programs, or that seek to begin participating in
these programs, are subject to a wide range of requirements under the act to report or disclose
information to the Secretary of Education, to students, to the public, or to other entities. As part of
the amendments made to the HEA, the HEOA added numerous additional requirements for the
reporting and disclosure of information, many of which are applicable to IHEs. This has resulted
in a sizable expansion of the reporting and disclosure requirements with which IHEs must comply
as a condition of their participation in HEA, Title IV federal student aid programs.
This report responds to requests by Members of Congress for an in-depth examination of the
reporting and disclosure requirements applicable to IHEs that participate in Title IV federal
student aid programs. Specifically, it identifies and describes the reporting and disclosure
requirements specified under Title I and Title IV of the HEA that applied to institutions prior to
the enactment of the HEOA and those that were amended or newly established by the HEOA. It
has been prepared to serve as a resource to assist Members of Congress and their staff in
overseeing the Department of Education’s implementation of amendments to the HEA made by
the HEOA. It is designed to be comprehensive, though not necessarily exhaustive, in scope. It
will not be updated.
Congressional Research Service
Reporting Requirements for IHEs to Participate in Federal Student Aid Programs
Contents
Title I—General Provisions.........................................................................................................3
Definition of Institution of Higher Education (Title I, Part A) ................................................4
Definition of IHE for Participation in Title IV Programs (HEA, § 102)............................4
Disclosures of Foreign Gifts (Title I, Part B) .........................................................................6
Drug and Alcohol Abuse Prevention (Title I, Part B) ........................................................... 10
Participation in Data Collection by ED (Title I, Part C) ....................................................... 13
Reporting Requirements Relating to College Affordability and Transparency ................ 13
Consumer Information Reporting Requirements............................................................ 17
State-by-State Student Aid Recipient Survey (NPSAS).................................................. 21
Textbook Information Program ..................................................................................... 22
Institution Requirements Relating to Education Loans (Title I, Part E)................................. 24
Title IV, Part G—General Provisions......................................................................................... 30
Student Eligibility ............................................................................................................... 30
General Institutional Information and Financial Assistance.................................................. 33
Entrance Counseling and Exit Counseling ........................................................................... 41
Athletically Related Student Aid and Athletic Programs ...................................................... 47
Campus Security, Campus Crime, Fire Safety, and Missing Person Procedures.................... 51
Campus Security and Campus Crime Measures ............................................................. 51
Fire Safety Standards and Measures .............................................................................. 51
Missing Person Procedures............................................................................................ 52
Program Participation Agreement........................................................................................ 60
Title IV, Part H—Program Integrity........................................................................................... 68
State Authorization.............................................................................................................. 68
Accreditation ...................................................................................................................... 68
Eligibility and Certification................................................................................................. 72
Financial and Compliance Issues......................................................................................... 75
End of Participation in Title IV Programs ............................................................................ 76
Title IV Program-Specific Requirements ................................................................................... 77
Federal Student Loan Programs (FFEL and DL Programs) .................................................. 77
Federal Family Education Loan Program (Part B) ......................................................... 77
William D. Ford Federal Direct Loan Program (Part D)................................................. 77
Campus-Based Programs (FSEOG, FWS, & Federal Perkins Loans).................................... 88
Fiscal Operations Report and Application to Participate (FISAP)................................... 88
FWS—Job Location and Development Program............................................................ 88
Requirements for IHEs as Lenders of Federal Perkins Loans ......................................... 97
Tables
Table 1. Reporting Requirements for IHEs Relating to the Disclosure of Foreign Gifts ................8
Table 2. Reporting Requirements for IHEs Relating to Drug and Alcohol Abuse
Prevention.............................................................................................................................. 11
Table 3. Reporting Requirements for IHEs Relating to the Cost of Higher Education................. 14
Table 4. Reporting Requirements for IHEs Relating to Consumer Information........................... 18
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Reporting Requirements for IHEs to Participate in Federal Student Aid Programs
Table 5. Disclosure Requirements for IHEs Relating to Textbook Information ........................... 23
Table 6. Reporting Requirements for IHEs Relating to Education Loans.................................... 25
Table 7. Reporting Requirements for IHEs Relating to Student Eligibility ................................. 31
Table 8. Reporting and Disclosure Requirements for IHEs Relating to Institutional
Information and Financial Assistance ..................................................................................... 34
Table 9. Reporting Requirements for IHEs Relating to Entrance Counseling, Exit
Counseling, and NSLDS ........................................................................................................ 42
Table 10. Reporting Requirements for IHEs with Respect to Athletically Related Student
Aid and Athletic Programs ..................................................................................................... 48
Table 11. Reporting Requirements for IHEs Relating to Campus Security, Campus Crime,
Fire Safety, and Missing Persons Procedures .......................................................................... 53
Table 12. Reporting Requirements for IHEs with Respect to Program Participation
Agreements............................................................................................................................ 61
Table 13. Reporting Requirements That May Apply to IHEs with Respect to
Accreditation ......................................................................................................................... 70
Table 14. Institutional Information Collected on the Application for Approval to
Participate in Federal Student Financial Aid Programs (E-App) .............................................. 73
Table 15. Reporting and Disclosure Requirements for IHEs with Respect to FFEL
Program Loans....................................................................................................................... 79
Table 16. Reporting and Disclosure Requirements for IHEs with Respect to DL Program
Loans..................................................................................................................................... 81
Table 17. Federal Supplemental Educational Opportunity Grant Program FISAP
Reporting Requirements......................................................................................................... 89
Table 18. Federal Work-Study Program FISAP Reporting Requirements ................................... 91
Table 19. Federal Perkins Loan Program FISAP Reporting Requirements.................................. 94
Table 20. Reporting and Disclosure Requirements for IHEs as Lenders of Federal Perkins
Loans..................................................................................................................................... 98
Table A-1. Reporting Requirements for IHEs with Respect to IPEDS ...................................... 105
Appendixes
Appendix. IPEDS and Other Postsecondary Education Data Collections ................................. 103
Contacts
Author Contact Information .................................................................................................... 115
Acknowledgments .................................................................................................................. 115
Congressional Research Service
Reporting Requirements for IHEs to Participate in Federal Student Aid Programs
T
he Higher Education Act of 1965 (HEA; P.L. 89-329), as amended, authorizes a broad
array of federal student aid programs that assist students and their families with paying for
or financing the costs of obtaining a postsecondary education. These federal student aid
programs are authorized under Title IV of the HEA. Requirements applicable to the
administration of Title IV federal student aid programs are specified in Title I of the HEA, as well
as in Title IV. The HEA also authorizes many other types of programs, including programs that
make federal aid and support available to institutions of higher education (IHEs). The Department
of Education (ED) administers programs authorized under the HEA. In 2008, the HEA was
reauthorized under the Higher Education Opportunity Act (HEOA; P.L. 110-315);1 and in 2009
technical amendments to the HEA were made under P.L. 111-39.
Institutions that participate in one or more Title IV programs, or that seek to begin participating in
these programs, are subject to a wide range of requirements under the act to report or disclose
information to the Secretary of Education (the Secretary), to students, to the public, or to other
entities. As part of the amendments made to the HEA, the HEOA added numerous additional
requirements for the reporting and disclosure of information, many of which are applicable to
IHEs. This has resulted in a sizable expansion of reporting and disclosure requirements with
which IHEs must comply as a condition of their participation in HEA, Title IV federal student aid
programs.
This report responds to requests by Members of Congress for an in-depth examination of the
reporting and disclosure requirements applicable to IHEs that participate in Title IV federal
student aid programs. Specifically, it identifies and describes the reporting and disclosure
requirements specified under Title I and Title IV of the HEA that applied to institutions prior to
the enactment of the HEOA and those that were amended or newly established by the HEOA.2 It
has been prepared to serve as a resource to assist Members of Congress and their staff in
overseeing the Department of Education’s implementation of amendments to the HEA made by
the HEOA.
This report is designed to provide a thorough presentation of provisions in the HEA that require
IHEs to report or disclose information, while also highlighting those provisions that were added
or amended by the HEOA. In general, the organization of this report follows the statutory
framework of the HEA. With respect to a number of subject areas, substantially similar
requirements for the reporting or disclosure of information are specified in more than one part or
section of the HEA. For example, similar requirements for the disclosure of information about
student loans are specified in several areas of the HEA; and certain requirements for the reporting
or disclosure of information may be specified in the Program Participation Agreement, as well as
in other sections of the HEA. While the Secretary has latitude to streamline similar requirements
in implementation, in this report, such requirements are generally identified as they appear in the
act.
This report attempts to be comprehensive, but not necessarily exhaustive, in its scope. It is
designed to identify and describe requirements in the HEA for IHEs to report or disclose
1
For additional information on the HEA and amendments made under the HEOA, see CRS Report RL34654, The
Higher Education Opportunity Act: Reauthorization of the Higher Education Act, by (name redacted) et al.
2
This report is current through the enactment of P.L. 111-39, which makes technical corrections to the HEA, including
a limited set of adjustments to reporting requirements enacted under the HEOA. Hence, while the report focuses on
changes adopted through the HEOA, it also reflects changes to HEA reporting and disclosure requirements that were
made through P.L. 111-39.
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Reporting Requirements for IHEs to Participate in Federal Student Aid Programs
information. It does not attempt to identify every instance in which an IHE may be required to
respond to a federal statutory or regulatory requirement. For example, it does not examine all
requirements that are primarily operational in nature for IHEs to provide information related to
federal student aid programs, such as the exchange of information through ED’s Common
Origination and Disbursement (COD) system, nor the requirement of IHEs to verify student aid
application information. It also does not examine requirements for IHEs to retain documentation
of their compliance with HEA or regulatory provisions that have no associated requirement for
them to report or disclose information.
This report also does not address response burden, nor non-HEA requirements and regulations
that may impact IHEs. The HEOA requires the Secretary to enter into an agreement with the
National Research Council to conduct a study to determine the number and scope of all the
federal regulations and reporting requirements applicable to IHEs, and the associated response
burden. 3 The HEOA also requires the Government Accountability Office (GAO) to conduct a
study on IHEs’ time and cost burdens associated with completing the Integrated Postsecondary
Education Data System (IPEDS) surveys.4 Both of these studies are required to be completed by
August 2010.
The Secretary of Education ultimately is responsible for determining which HEA reporting and
disclosure requirements are applicable to IHEs that participate in Title IV and for promulgating
regulations to implement those requirements. In July and August, 2009, ED published proposed
regulations to implement the HEOA amendments to the HEA in the Federal Register.5
The HEOA also amended the HEA, effective July 1, 2010, to require the Secretary to provide
IHEs with a list of all the reports and disclosures required under the act.6 The list that must be
prepared by the Department of Education must include the following:
3
4
•
the date the report or disclosure is required to be completed and submitted, made
available, or disseminated;
•
the required recipients;
•
any required methods for transmittal or dissemination;
•
a description of the content of each report or disclosure sufficient to allow the
IHE to assign responsibility to staff;
•
references to applicable statutes, regulations, and guidance; and
HEOA, § 1106.
HEOA, § 1103.
5
Department of Education, “Federal Perkins Loan Program, Federal Family Education Loan Program, and William D.
Ford Federal Direct Loan Program; Proposed Rule,” 74 Federal Register 36555-36602, July 23, 2009, at
http://www.ifap.ed.gov/fregisters/attachments/FR07232009.pdf; “Institutions and Lender Requirements Relating to
Education Loans, Student Assistance General Provisions, Federal Perkins Loan Program, Federal Family Education
Loan Program, and William D. Ford Federal Direct Loan Program,” 74 Federal Register 37431-37494, July 28, 2009,
at http://www.ifap.ed.gov/fregisters/attachments/FR07282009.pdf; “Institutional Eligibility Under the Higher
Education Act of 1965, as Amended, and the Secretary’s Recognition of Accrediting Agencies; Proposed Rule,” 74
Federal Register 39497-39533, August 6, 2009, at http://www.ifap.ed.gov/fregisters/attachments/FR08062009.pdf; and
“General and Non-Loan Programmatic Issues; Proposed Rule,” 74 Federal Register 42379-42463, August 21, 2009, at
http://www.ifap.ed.gov/fregisters/attachments/FR082109NPRM.pdf.
6
HEA, § 482(e).
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Reporting Requirements for IHEs to Participate in Federal Student Aid Programs
•
any other pertinent information relating to the reporting or disclosure
requirement.
The remainder of this report identifies and describes requirements for institutions to report or
disclose information to the Secretary, to students, to the public, or to other entities, such as
lenders, guaranty agencies, and consumer reporting agencies, as specified in the HEA and
Department of Education regulations. 7 It begins with generally applicable requirements as
specified in HEA, Title I—General Provisions; Title IV, Title G—General Provisions; and Title
IV, Part H—Program Integrity, and concludes with Title IV program-specific requirements for the
federal student loan and campus-based programs. Information on requirements to report or
disclose information as part of the IPEDS surveys is presented in the Appendix.
The report generally follows the statutory framework of the HEA, and is organized by Title and
Part. Brief general descriptions are provided for each of the major requirements for IHEs to report
or disclose information. These descriptions are followed by tables which present the pre-HEOA
requirements for IHEs to report or disclose information, a statutory or regulatory citation for the
requirement, and the designated recipient of the information. The tables also show any
corresponding changes made by the HEOA to these requirements.8 For instance, the tables
highlight additional new requirements, as well as changes to the content of what was required to
be reported under previously exiting requirements.
Title I—General Provisions
Prior to the reauthorization of the HEA in 2008, Title I of the HEA included four parts, which
established general provisions for the remainder of the HEA: (1) Part A: Definition of an
Institution of Higher Education, (2) Part B: Additional General Provisions, (3) Part C: Cost of
Higher Education, and (4) Part D: Administrative Provisions for Delivery of Student Financial
Assistance. Several of the provisions included in Title I specifically affected IHEs’ participation
in the Title IV federal student aid programs. Only Part B, however, included specific reporting
requirements for institutions. Part C included implicit reporting requirements such as those
related to IPEDS, which is an annual series of surveys administered by ED. The requirement for
institutions to participate in IPEDS was and continues to be included in the Program Participation
Agreement (PPA) requirements included in HEA, § 487.9
The HEOA amends the institutional reporting requirements included in Part A, Part B, and Part C.
The HEOA adds a new set of institutional reporting requirements to Part C with a focus on
transparency in college costs for consumers and textbook information. The HEOA also adds a
new Part E: Lender and Institution Requirements Relating to Education Loans, which contains a
series of requirements for IHEs to disclose information about student loans, which are in addition
to requirements specified separately under Title IV, Part B—the Federal Family Education Loan
(FFEL) program; Title IV, Part D—the William D. Ford Federal Direct Loan (DL) program; and
Title IV, Part E—the Federal Perkins Loan program.
7
In this report, the terms “institutions of higher education” and “institutions” are used interchangeably.
8
The tables presented in this report are designed to allow the reader to make comparisons between pre-HEOA and
current reporting requirements. However, these tables are not intended to display each pre-HEOA and current reporting
and disclosure requirement in a side-by-side framework.
9
The specific data reporting requirements related to IPEDS are discussed in the Title IV, Part G section of this report.
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This section of the report examines the reporting requirements specified in Title I, Part A, Part B,
and Part C of the HEA prior to and after enactment of the HEOA. It also examines requirements
specified in Title I, Part E of the HEA that were enacted by the HEOA amendments.
Definition of Institution of Higher Education (Title I, Part A)
The HEA includes two definitions of IHEs. The first definition, specified in § 101, applies for
institutional participation in programs other than those authorized under Title IV. The second
definition, specified in § 102, applies for institutional participation in Title IV programs, the focus
of this report. The § 101 definition recognizes as IHEs those institutions that are legally
authorized by the state, are accredited or pre-accredited by an agency or association recognized
by ED, are nonprofit institutions, award a bachelor’s degree or provide at least a two-year
program that is accepted as credit toward the completion of a bachelor’s degree, and enroll as
regular students only individuals who have graduated from a secondary institution or hold the
equivalent of a high school diploma. The § 101 definition also recognizes institutions offering not
less than a one-year program of training in preparation for employment and institutions admitting
students beyond the age of compulsory secondary school attendance.
Definition of IHE for Participation in Title IV Programs (HEA, § 102)
The HEA, § 102 definition of an IHE, which applies for participation in Title IV programs,
includes all institutions recognized as IHEs under HEA, § 101, and also proprietary institutions,
postsecondary vocational institutions, and institutions located outside of the United States (i.e.,
foreign institutions). Proprietary institutions are defined as those institutions that provide training
in preparation for gainful employment in a recognized occupation; are legally authorized by the
state; are accredited by an agency or association recognized by ED; admit as regular students only
individuals who have graduated from a secondary institution or hold the equivalent of a high
school diploma, or who are past the age of compulsory attendance in the state in which the
institution is located; and have been in existence for at least two years.10 In addition, until
enactment of the HEOA, proprietary institutions were required to derive at least 10% of school
revenue from non-Title IV funds. Under the HEOA, this requirement—commonly referred to as
the 90/10 rule—was removed from the § 102 definition of an IHE and made part of the
requirements for institutional program participation agreements, specified under HEA, Title IV,
Part G (described below). Postsecondary vocational institutions must meet criteria similar to
those applicable to proprietary institutions with two exceptions: (1) they must be nonprofit
institutions, and (2) they are not subject to the 90/10 rule.
In addition, to be eligible to participate in Title IV programs, institutions must meet certain
requirements based on course of study or enrollment. Institutions are required to report
compliance with the following four requirements as part of their Application for Approval to
Participate in Federal Student Financial Aid Programs (E-App) (described below under Title IV,
Part H).
10
To be eligible to receive federal student aid, students who are beyond the age of compulsory attendance but do not
have a high school diploma must meet ability-to-benefit requirements or meet the student eligibility criteria for home
schooled students (Section 484(d)).
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1. No more than 50% of an institution’s courses, other than a postsecondary career
and technical institution, 11 may be correspondence courses (excluding courses
offered by telecommunications) (§ 102(a)(3)(A)).
2. No more than 50% of an institution’s students may be enrolled in correspondence
courses (excluding courses offered by telecommunications) (§ 102(a)(3)(B)).12
3. No more than 25% of an institution’s enrollment may be comprised of students
who are incarcerated (§ 102(a)(3)(C)).13
4. No more than 50% of enrollment at an institution that does not provide a twoyear or four-year course of study (or both) leading to an associate’s or bachelor’s
degree may be comprised of students who do not possess a high school diploma
or its equivalent (§ 102(a)(3)(D)). 14
Foreign Institutions
In general, foreign institutions are currently eligible to participate in the Federal Family
Education Loan (FFEL) program if they meet the same requirements as an IHE under § 101 and
have been approved by ED to participate in the FFEL program.15 Foreign medical and veterinary
institutions, however, must meet additional requirements to participate in the FFEL program.
Foreign institutions must report information demonstrating that they meet the terms of these
requirements on the E-App. (see below). Foreign medical institutions must meet one of the
following two sets of additional criteria (§ 102(a)(2)(A)).
1. At least 60% of the students, and at least 60% of the graduates of a graduate
medical school located outside of the United States, must not be U.S. citizens or
permanent residents; and at least 60% of the students or graduates of a graduate
medical school located outside of the United States or Canada taking
examinations administered by the Educational Commission for Foreign Medical
Graduates must receive a passing score.
2. The graduate medical school must have a clinical training program that was
approved by a state as of January 1, 1991.
For foreign for-profit veterinary institutions to be eligible to participate in the FFEL program,
they must require their students to complete their clinical training at an approved veterinary
school located in the United States.
The HEOA amended eligibility requirements for foreign medical institutions and veterinary
institutions, and added eligibility requirements for foreign nursing schools to participate in the
FFEL program, effective July 1, 2010. It is expected that when these new requirements become
11
This exception applies to institutions that meet the definition of the term “area career and technical education
school,” in § 3(3)(C) of the Carl D. Perkins Career and Technical Education Act of 2006 (20 U.S.C. § 2302(3)(C)).
12
The Secretary may waive this requirement for “good cause” for an IHE providing a two-year and/or four-year course
of study leading to an associate’s or bachelor’s degree, respectively.
13
The Secretary may waive this requirement for a nonprofit institution providing a two-year and/or four-year course of
study leading to an associate’s degree, bachelor’s degree, or postsecondary diploma.
14
The Secretary may waive this requirement if the institution has federal, state, or local government agency contracts
that result in the institution serving significant numbers of students lacking a secondary school credential.
15
The FFEL program is the only Title IV program in which foreign institutions may participate.
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Reporting Requirements for IHEs to Participate in Federal Student Aid Programs
effective, foreign institutions would be required to report information demonstrating that they
meet these requirements on the E-App.
Foreign for-profit graduate medical institutions. Effective July 1, 2010, foreign medical
institutions will be required to meet one of the following two sets of additional criteria to
participate in the FFEL program.
1. At least 60% of the students, and at least 60% of the graduates of a graduate
medical school located outside of the United States, must not be U.S. citizens or
permanent residents; and at least 75% of the students or graduates of a graduate
medical school located outside of the United States or Canada taking
examinations administered by the Educational Commission for Foreign Medical
Graduates must receive a passing score.
2. The graduate medical school must have a clinical training program that was
approved by a state as of January 1, 1991; and must continue to operate a clinical
training program in at least one state that is approved by that state.
Foreign veterinary institutions. The HEOA made no changes to the requirements for these
institutions to participate in the FFEL program.
Foreign nursing schools. In accordance with amendments enacted in the HEOA and P.L. 111-39,
effective July 1, 2012, foreign nursing schools can become eligible to participate in the FFEL
program, but will be required to meet the following five eligibility requirements.
1. The school must have an agreement with either a hospital or accredited school of
nursing located in the United States at which the school’s students are required to
complete their clinical training.
2. The school must have an agreement with an accredited school of nursing located
in the United States which provides that its students will also receive a degree
from the school in the United States upon graduation.
3. The school may certify only FFEL program loans for its students.
4. The school must reimburse the Secretary for the costs of any loan defaults for
current and former students included in the calculation of its cohort default rate
for the preceding fiscal year.
5. At least 75% of students or graduates from the school who, during the preceding
year, took the National Council Licensure Examination for Registered Nurses
must have received a passing score.
Disclosures of Foreign Gifts (Title I, Part B)
In accordance with HEA, § 117, institutions that are owned or controlled by a foreign source or
that receive a gift from or enter into a contract with a foreign source valued at $250,000 or more,
when considered alone or in combination with other gifts from or contracts with that foreign
source within a calendar year, must file a disclosure report with the Secretary. The report must be
filed on January 31 or July 31, whichever date is closest following receipt of the gift. Institutions
that are required to publicly disclose gifts from or contracts with foreign sources under state laws
that are substantially similar to the requirements of HEA, § 117, or that are required by any
executive branch agency to prepare a report on gifts from or contracts with foreign sources
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according to requirements that are substantially similar to the requirements of HEA, § 117, may
file a copy of such disclosure report in lieu of separately filing a disclosure report with the
Secretary.
If an institution fails to comply with these requirements, the Secretary may request the Attorney
General to bring a civil action to request the court to compel compliance. Institutions that
knowingly or willfully fail to comply with the requirements of this section must repay the United
States for the full costs of obtaining compliance. The HEOA did not amend the HEA
requirements for the disclosure of foreign gifts. Reporting requirements for IHEs relating to the
disclosure of foreign gifts are presented in Table 1.
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Table 1. Reporting Requirements for IHEs Relating to the Disclosure of Foreign Gifts
HEA, Title I-B, § 117
Requirements in the HEA prior to the enactment of the HEOA
Requirement
Citation
Report the aggregate dollar
amount of gifts and contracts
attributable to a foreign country
for gifts received from or
contracts entered into with a
foreign source other than a
foreign government.
§ 117(b)(1)
Report the aggregate dollar
amount of gifts and contracts
attributable to a foreign country
for gifts received from or
contracts entered into with a
foreign government.
§ 117(b)(2)
For institutions owned or
controlled by a foreign source:
report the identity of the foreign
source, the date on which
ownership or control was
assumed, and any resulting
changes in program or structure.
§ 117(b)(3)
For IHEs that receive a restricted
or conditional gift from or enter
into a contract with a foreign
source (other than a foreign
government): disclose the amount,
the date, and a description of any
conditions or restrictions of the
gift or contract; and the country
of citizenship, or principal
residence, country of
incorporation, or principal place
of business of the foreign source.
§ 117(c)(1)
CRS-8
Recipient of information
The Secretary; and
Changes to requirements made by the HEOA
Requirement
Citation
Recipient of information
No changes.
No changes.
No changes.
No changes.
No changes.
No changes.
No changes.
No changes.
information must be made
available to the public.
The Secretary; and
information must be made
available to the public.
The Secretary; and
information must be made
available to the public.
The Secretary; and
information must be made
available to the public.
Requirements in the HEA prior to the enactment of the HEOA
Requirement
Citation
For IHEs that receive a restricted
or conditional gift from or enter
into a contract with a foreign
government: disclose the amount,
the date, and a description of any
conditions or restrictions, and
name of the foreign government.
§117(c)(2)
Recipient of information
The Secretary; and
Changes to requirements made by the HEOA
Requirement
No changes.
Citation
Recipient of information
No changes.
information must be made
available to the public.
Source: Prepared by CRS based on an analysis of the Higher Education Act (HEA) of 1965, as amended prior to August 2008; amendments to the HEA made by the
Higher Education Opportunity Act (P.L. 110-315) and P.L. 111-39; and applicable regulations.
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Reporting Requirements for IHEs to Participate in Federal Student Aid Programs
Drug and Alcohol Abuse Prevention (Title I, Part B)
The HEA includes several institutional reporting requirements related to the prevention of drug
and alcohol abuse, most of which had been incorporated into the HEA prior to the enactment of
the HEOA. As a condition of eligibility to receive funds or any form of financial assistance under
any federal program, institutions are required to certify to the Secretary that they have adopted
and implemented a program to prevent the use of illicit drugs and the abuse of alcohol. An
institution failing to provide this certification is not eligible to receive funds or any other form of
financial assistance under any federal program. Institutions must distribute information about
drug and alcohol abuse and prevention to students and employees on an annual basis. This
includes standards of conduct, applicable legal sanctions, a description of health risks, a
description of available counseling, treatment, or rehabilitation programs, and a description of
institutional sanctions. Institutions must also make this information available to the Secretary and
the public upon request. In addition, institutions are required to conduct a biennial review of the
effectiveness of their programs, to implement changes to the programs if necessary, and to ensure
that required sanctions are consistently enforced. (HEA, §§ 120 and 487(a); and 34 CFR §
668.14).
Part B of the HEA, as amended by § 107 of the HEOA, retains all of the aforementioned
reporting requirements. However, the requirements for the biennial review have been expanded to
include a determination of the number of drug and alcohol-related violations and fatalities that
occur on campus or as part of the institution’s activities that are reported to campus officials, and
the number and types of sanctions imposed by the institution in response to these violations and
fatalities. Reporting requirements for IHEs relating to drug and alcohol abuse prevention are
presented in Table 2.
Congressional Research Service
10
Table 2. Reporting Requirements for IHEs Relating to Drug and Alcohol Abuse Prevention
HEA, Title I-B, § 119
Requirements in the HEA prior to the enactment of the HEOA
Requirement
Citation
Certify that it has adopted and
implemented a program to
prevent illicit drug use and alcohol
abuse by students and staff.
§ 120(a)
The Secretary.
No changes.
No changes.
As part of its program, the IHE
must annually distribute:
§ 120(a)(1)
Each student and employee
(annual distribution required); and
No changes.
No changes.
Standards of conduct
prohibiting the unlawful
possession, use, or
distribution of illicit drugs and
alcohol by students and
employees on the IHE’s
property or as part of any
institutional activities;
A description of legal
sanctions under federal,
state, and local law for the
unlawful possession or
distribution of illicit drugs or
alcohol;
A description of the health
risks associated with illicit
drug use and alcohol abuse;
A description of drug or
alcohol counseling or
treatment programs available
to students and staff; and
A statement that the IHE will
impose sanctions on students
and staff for violating its drug
and alcohol policies; and a
description of the sanctions.
CRS-11
Recipient of information
Changes to requirements made by the HEOA
The Secretary and the public
(upon request).
Requirement
Citation
Recipient of information
Requirements in the HEA prior to the enactment of the HEOA
Requirement
Citation
As part of its program, the IHE
must provide the results of a
biennial review of its drug and
alcohol abuse prevention program
to determine program
effectiveness, to implement
needed changes, and to ensure
required sanctions are
consistently enforced.
§ 120(a)(2)
Recipient of information
The Secretary and the public
(upon request).
Changes to requirements made by the HEOA
Requirement
As part of its program (and
program report), the IHE must
also:
Citation
§ 120(a)(2)
Recipient of information
The Secretary and the public
(upon request).
Determine the number of
drug and alcohol-related
violations and fatalities that
occur on campus or as part
of the IHE’s activities, and the
number that are reported to
campus officials; and
Determine the number and
types of sanctions imposed
by the IHE as a result of
violations and fatalities that
occur on campus or as part
of its activities.
Source: Prepared by CRS based on an analysis of the Higher Education Act (HEA) of 1965, as amended prior to August 2008; amendments to the HEA made by the
Higher Education Opportunity Act (P.L. 110-315) and P.L. 111-39; and applicable regulations.
CRS-12
Reporting Requirements for IHEs to Participate in Federal Student Aid Programs
Participation in Data Collection by ED (Title I, Part C)
Under Title I, Part C, the Department of Education collects a broad array of information about
institutions. On an annual basis, the Commissioner of Education Statistics is required to collect
information from (at least) all institutions participating in Title IV programs. Examples of
information collected include data on tuition and fees, costs of attendance (COA), and the average
amount of financial assistance received by undergraduate students by type of assistance required
to be collected under HEA, § 131(a). These data are annually collected by ED through IPEDS.
Institutions must participate in IPEDS to retain their Title IV eligibility. Institutions are also
required to participate in any other federal postsecondary institution data collection in a timely
manner (e.g., the National Postsecondary Student Aid Survey (NPSAS)). 16 Under the HEOA
amendments to the HEA, these reporting requirements were retained and expanded to reflect the
addition of new data elements to IPEDS (see Title IV, Part G, and Table 16, below), and a new
requirement that NPSAS data be representative for each state. Reporting requirements that relate
to college affordability and transparency, IPEDS, NPSAS, and college textbook information are
summarized below.
Reporting Requirements Relating to College Affordability and Transparency
Under HEA, § 131(a), IHEs are required to annually report information on undergraduate tuition
and fees, cost of attendance, the number of undergraduate students receiving specified forms of
financial assistance, and the average amount of financial assistance received. Institutions have
been required to report this information through IPEDS.
The HEOA amended the HEA by establishing a requirement for ED to annually publish six lists
relating to college affordability by sector (e.g., public four-year institutions):
1. the 5% of institutions with the highest tuition and fees;
2. the 5% of institutions with the highest net price;
3. the 5% of institutions with the largest percentage increase in tuition and fees over
the last three academic years;
4. the 5% of institutions with the largest percentage increase in net price over the
last three academic years;
5. the 10% of institutions with the lowest tuition and fees; and
6. the 10% of institutions with the lowest net price.
Institutions listed on the third or fourth lists are also subject to reporting requirements related to
the reasons for cost increases and steps being taken to reduce costs, unless their increase in tuition
and fees or net price over the three-year period was less than $600. Reporting requirements for
IHEs relating to the cost of higher education are presented in Table 3.
16
HEA §§ 131(a) and 487(a); and 34 CFR § 668.14.
Congressional Research Service
13
Table 3. Reporting Requirements for IHEs Relating to the Cost of Higher Education
HEA, Title I-C, §§ 131 & 132
Requirements in the HEA prior to the enactment of the HEOA
Requirement
Citation
Report the following information
applicable to the IHE for academic
year 2000-2001, and annually
thereafter:
§ 131(a)(3)
Tuition and fees for a fulltime undergraduate student;
Cost of attendance (COA)
for a full-time undergraduate
student;
The number of
undergraduate students
receiving the following types
of financial assistance, and the
average amount received:
Pell Grant aid;
AC/SMART Grant aid;a
FSEOG aid;b
FWS aid;c
Perkins Loan aid;
Veterans’ education
benefits;
Other scholarship aid;
Other grant aid;
Other loan aid;
Fellowships; and
Institutional aid and
other assistance.
CRS-14
Recipient of information
The Secretary.
Changes to requirements made by the HEOA
Requirement
No changes.
Citation
Recipient of information
No changes.
Requirements in the HEA prior to the enactment of the HEOA
Requirement
Not applicable.
Citation
Not
applicable.
Recipient of information
Not applicable.
Changes to requirements made by the HEOA
Requirement
Citation
Recipient of information
Report the following information
for first-time, full-time
undergraduate studentsd:
§ 132(a)
The Secretary.
§ 132(e)(1)
The Secretary; and the public
(summary information only).
Average annual cost of
tuition, fees, room and
board, books, supplies, and
transportation (COA);
COA, minus the average
amount of need-based and
merit-based grant aid from
federal, state, and
institutional sources received
by students receiving such aid
(net price); and
Average annual cost of
tuition and fees (tuition and
fees).
Not applicable.
Not
applicable.
Not applicable.
The 5% of IHEs by sector that
have the largest increase in tuition
and fees or net price over the last
three academic years and do not
qualify for the $600 exemption
must submit a report containing:
A description of the major
areas in the IHE’s budget
with the greatest cost
increases;
An explanation for the
aforementioned cost
increases;
A description of the steps the
IHE is taking to reduce costs
in these areas;
CRS-15
Requirements in the HEA prior to the enactment of the HEOA
Requirement
Citation
Recipient of information
Changes to requirements made by the HEOA
Requirement
Citation
Recipient of information
If the IHE has been on the
top 5% list for two or more
consecutive years:
A description of
progress made in
implementing the steps
to reduce costs;
If the determination of any
cost increase mentioned as
an area in which cost
increases were the greatest is
not within the exclusive
control of the IHE:
An explanation of the
IHE’s role in
determining such cost
increase;
Identification of the
agency of state
government responsible
for determining such
cost increase; and
Any other information
the IHE considers
relevant.
Source: Prepared by CRS based on an analysis of the Higher Education Act (HEA) of 1965, as amended prior to August 2008; amendments to the HEA made by the
Higher Education Opportunity Act (P.L. 110-315) and P.L. 111-39; and applicable regulations.
Notes:
a.
American Competitiveness Grant, and National Science and Mathematics Access to Retain Talent Grant program aid.
b.
Federal Supplemental Educational Opportunity Grant program aid.
c.
Federal Work-Study program aid.
d.
For public institutions, COA and net price must be determined with respect to first-time, full-time undergraduate students who are residents of the state in which the
IHE is located.
CRS-16
Reporting Requirements for IHEs to Participate in Federal Student Aid Programs
Consumer Information Reporting Requirements
The HEOA amended the HEA to require ED to make available various information about
institutions, such as data concerning student enrollment, graduation rates, cost of attendance,
student aid, and specific services offered by the institution. Many of these items were already
collected in some form through IPEDS or other data collection efforts maintained by ED. As
discussed later in the Title IV, Part G section of this report, the Program Participation Agreement
requires all institutions to participate in IPEDS, and other postsecondary education data collection
efforts as designated by the Secretary, in a timely manner and “to the satisfaction of the
Secretary.”17
The HEOA amended the HEA by adding new requirements relating to transparency in college
tuition for consumers (HEA, § 132(i)). This amendment requires the Secretary to make an array
of consumer information publicly available on the College Navigator website.18 It may be
presumed that much of this information will be collected through IPEDS if it is not already being
collected through another data collection effort. Table 4 presents an analysis of the new consumer
information reporting requirements and identifies for each data element, whether it was being
collected through IPEDS or another source prior to the enactment of the HEOA, or whether it is a
new data collection requirement. 19 Prior to enactment of the HEOA, the HEA generally did not
specify data elements on which the Secretary must publicly report—with the exception of data
related to tuition and fees and cost of attendance (§ 131(a) and (b), discussed above)—and, for the
most part, the HEA did not specify data elements that institutions must provide to the Secretary.
Thus, the comparisons made in Table 4 primarily focus on the differences between specific
requirements included in § 132(i) and IPEDS data collection requirements in effect prior to the
enactment of the HEOA.
The HEOA also amended the HEA by adding a new requirement for the Secretary to develop a
multi-year tuition calculator for use by current and prospective students, their families, and others
in estimating prices for tuition and fees in future years for each year during the normal duration of
a program of study (HEA, § 132(j)). The multi-year tuition calculator will use tuition and fee
information reported by IHEs as required under HEA, § 132(i). For institutions that offer multiyear tuition guarantee programs, the calculator must also allow individuals to obtain estimates of
tuition and fees in future years based on the provisions of the tuition guarantee program.
17
Requirements for Program Participation Agreements are specified at HEA, § 487.
18
The U.S. Department of Education, National Center for Education Statistics, College Navigator website is available
at http://nces.ed.gov/collegenavigator/.
19
Detailed information on data collected through IPEDS is presented in Appendix Table A-1.
Congressional Research Service
17
Table 4. Reporting Requirements for IHEs Relating to Consumer Information
Relationship between new Consumer Information Data Elements Specified under HEA, § 132(i) and current IPEDS data elements
New Consumer Information Data Elements
HEA, Title I-C, § 132(i)
Data currently included in IPEDS data collections, or that could be derived
from current IPEDS data collections
Statement of institution’s mission.
Included.
Total number of undergraduate students who applied, were admitted, and enrolled.
Partially included—collected for first-time, degree/certificate-seeking undergraduate
students.
Where applicable, reading, writing, mathematics, and combined scores on the SAT or
ACT for the middle 50 percent range of the freshman class.
Included.
Number of first-time, full-time, and part-time students enrolled at the undergraduate
and (if applicable) graduate levels.
Included.
Number of degree- or certificate-seeking undergraduate students who have
transferred from another institution.
Included.
Percentage of male and female undergraduate students enrolled.
Included—collected for the number of male and female undergraduate students.
(Percentages could be derived from these numbers.)
Percentage of first-time, full-time, degree- or certificate-seeking undergraduate
students from the same state as the IHE, from other states, and from other countries.
Partially included (data are collected for full-time and part-time students combined—
data cannot be disaggregated for full-time students only).
Percentages of first-time, full-time, degree- or certificate-seeking students by race and
ethnic background.
Included—collected for the number of undergraduate students by race and ethnic
background. (Percentages could be derived from these numbers.)
Percentage of undergraduate students who are formally registered with the office of
disability services (or the equivalent office) as students with disabilities.a
Not included.
Percentages of first-time, full-time, degree- or certificate-seeking undergraduate
students who obtain a degree or certificate within:
Partially included—for all institutional levels, completion rates are calculated at 150%
of normal time for full-time, first-time undergraduate students; while for four-year
institutions only, completion rates are also calculated for four, five, and six years for
full-time, first-time students seeking a bachelor’s or equivalent degree. Data are not
collected on completions within the normal time for other programs. No data are
collected on completions within 200% of normal time.
The normal time for completion of, or graduation from, the student’s program;
150% of the normal time for completion of, or graduation from, the student’s
program; and
200% of the normal time for completion of, or graduation from, the student’s
program.
Number of students who obtained certificates, or associate’s, bachelor’s, master’s,
professional, or doctoral degrees.
Included.
Undergraduate major areas of study with the highest number of degrees awarded.
Included—data collected for all major areas of study (not limited to highest number of
degrees awarded).
CRS-18
New Consumer Information Data Elements
HEA, Title I-C, § 132(i)
Data currently included in IPEDS data collections, or that could be derived
from current IPEDS data collections
Student-faculty ratio, number of full-time and part-time faculty, and number of
graduate assistants with primarily instructional responsibilities.
Included.
Cost of attendance for first-time, full-time undergraduate students who:
Included.
Live on campus,
Live off-campus, and
For students attending a public institution, such costs for in-state and out-of-state
students who live on- and off-campus.
Average annual grant amount (including federal, state, and institutional aid) awarded to
a first-time, full-time undergraduate student who receives financial aid.
Partially included—data are collected for degree/certificate-seeking undergraduate
students only; data are not available for all first-time, full-time undergraduate students.
Average annual amount of federal student loans provided through the institution to
undergraduate students.
Partially included—data are collected for degree/certificate-seeking undergraduate
students only; data are not available for all undergraduate students.
Total annual grant aid awarded to undergraduate students from federal, state,
institutional, and other sources known by the institution.
Not included—data are not collected, but could potentially be approximated for fulltime, first-time, degree/certificate-seeking undergraduate students by multiplying the
number of these students by the average grant amount for each type of grant, and
summing the result.
Percentage of first-time, full-time undergraduate students receiving federal, state, and
institutional grants, student loans, and any other type of student financial assistance
known by the institution, provided publicly or through the institution (e.g., FWS
funds).
Partially included—collected for full-time, first-time, degree/certificate-seeking
undergraduate students receiving Pell grants, other federal grants, state/local
government grants, institutional grants, federal loans, and other loans.
Number of students enrolled receiving Pell Grants.
Included.
Institution’s cohort default rate, as defined under § 435(m).
Not included in IPEDS—collected by ED through other data collection efforts.
Information on campus safety required to be collected under HEA, § 485(f).
Not included in IPEDS—collected by ED through other data collection efforts.
Links to sections of the institution’s website that provide information on:
Partially included—data are collected on intercollegiate sports and on whether the
following services are offered:
Student activities offered by the institution;
Services offered by the institution for individuals with disabilities;
Career and placement services offered by the institution to students during and
after enrollment; and
Policies of the institution related to transfer of credit from other institutions.
CRS-19
remedial services, academic/career counseling services, employment services for
current students, placement services for program completers, and on-campus
daycare for children of students. (No additional information is collected about
these services.)
New Consumer Information Data Elements
HEA, Title I-C, § 132(i)
Data currently included in IPEDS data collections, or that could be derived
from current IPEDS data collections
Link to the appropriate section of the Bureau of Labor Statistics (BLS) website that
provides information on regional data on starting salaries in all major occupations.
Not included in IPEDS—ED may be able to add these links without the involvement of
institutions.
Tuition and fees for each of the three most recent academic years.
Included—depending on how tuition and fee data are calculated. Tuition and required
fee data are collected annually for full-time undergraduate students living in-district, instate, and out-of-state. (Published tuition and fee data are available for full-time, firsttime undergraduate students, while average tuition and fees are collected for full-time
undergraduate students.)
Net price for each of the three most recent academic years.
Not included in IPEDS.
From July 1, 2010, to June 30, 2013, the net price for students receiving federal
student aid disaggregated by five income categories for the most recent academic year.
Not included in IPEDS.
Beginning July 1, 2013, the net price for students receiving federal student aid
disaggregated by five income categories for the three most recent academic years.
Not included in IPEDS.
Average annual percentage change and average annual dollar change in tuition and fees
for the three most recent preceding academic years.
Included (depending on how tuition and fee data are calculated)
Average annual percentage change and average annual dollar change in net price for
the three most recent preceding academic years.
Not included in IPEDS.
Report related to cost increases for institutions in the top 5% of institutions by sector
for increase in tuition and fees or net price over the most recent three-year period.
It does not appear that this report would be collected through IPEDS. (See previous
discussion in text.)
Availability of alternative tuition plans (e.g., guaranteed tuition plans).
Included.
Provisions of multi-year tuition guarantee program for use in multi-year tuition
calculator.
Not included in IPEDS.
Tuition and required fee data collected annually for full-time undergraduate
students living in-district, in-state, and out-of-state. (It is important to note that
published tuition and fee data are available for full-time, first-time undergraduate
students, while average tuition and fees are collected for full-time undergraduate
students. In both cases, percentage changes over time could be calculated for
three years using data from multiple surveys.)
Source: Prepared by CRS based on an analysis of the Higher Education Act (HEA) of 1965, as amended prior to August 2008; amendments to the HEA made by the
Higher Education Opportunity Act (P.L. 110-315) and P.L. 111-39; applicable regulations; and IPEDS.
Note:
a.
CRS-20
If the percentage of such students is less than 3%, the institution is required to report “3% or less.”
Reporting Requirements for IHEs to Participate in Federal Student Aid Programs
State-by-State Student Aid Recipient Survey (NPSAS)
Prior to the enactment of the HEOA, § 131(d) of the HEA required the Secretary to conduct a
triennial, nationally representative survey of individuals who receive federal student aid under
Title IV. The survey was required to be representative of students from all types of institutions, as
well as full-time students, part-time students, undergraduate students, graduate students,
professional students, current students, and former students. The specified purposes of the survey
were to identify the population of federal student aid recipients; to determine their income
distribution and socioeconomic characteristics; to describe the combinations of federal, state, and
private aid received by students; and to describe loan recipients’ debt burden and their capacity to
repay their education debts. This information has been collected through the National
Postsecondary Student Aid Study (NPSAS), authorized under the Education Sciences Reform Act
of 2002, Title I, Part D, §153(a)(1)(E).
The HEOA amends the HEA at § 132(k) to require ED to conduct a quadrennial survey, on a
state-by-state basis, of individuals who receive federal student financial aid under Title IV.20 The
state-by-state survey must be representative of students from all types of institutions, as well as
full-time students, part-time students, undergraduate students, graduate students, professional
students, current students, and former students. The specified purposes of the survey were
expanded to also include describing the impact of students’ education debt burden on their
courses of study and post-graduation plans, and describing how the costs of textbooks and other
instructional materials affect the costs of postsecondary education. It appears that the new stateby-state representative sample of students and former students may be implemented as a
modification to the NPSAS, through which similar information on students is currently collected.
While NPSAS respondents are students or former students, institutions are required to provide
ED with certain information about sampled students through a two-stage process. In the 2008
NSPAS, about 1,900 IHEs were included in the sample of institutions. These IHEs were asked to
provide ED with enrollment lists that included the names of all students enrolled at a certain date,
as well as information including date of birth, social security number, education level, major, and
contact information. From the enrollment lists, ED then selected approximately 140,000 students
to include in their survey sample. ED also requested additional information from the IHEs on
sampled students, including demographic information, admission information (for
undergraduates), enrollment status, the degree the student is working toward, and tuition,
financial aid, and scholarship information.21
The HEOA did not change the types of information to be collected from IHEs for the NPSAS.
However, the new requirement for data to be representative by state will increase the number of
20
The HEOA also amends the HEA to prohibit the development, implementation, or maintenance of a federal database
of personally identifiable information on individuals who receive assistance under the HEA, who attend institutions that
receive assistance under the HEA, or who are involved in any studies or data collections under the HEA, unless the
system (or successor system) is necessary for the operation of programs authorized under Titles II, IV, or VII of the
HEA and was in use by the Secretary (or a contractor) the day prior to enactment. (HEA, § 134.)
21
For more information, see the U.S. Department of Education, National Center for Education Statistics, National
Postsecondary Student Aid Study, available online at https://surveys.nces.ed.gov/npsasschool/index.aspx. The valid
OMB control number for the NPSAS information collection is 1850-0666. Forms can be found online at
https://surveys.nces.ed.gov/npsasschool/content/documents.aspx. See “Student List Preparation Instructions” and
“Student Record Abstraction Data Elements.”
Congressional Research Service
21
Reporting Requirements for IHEs to Participate in Federal Student Aid Programs
students and IHEs required to be included in the NPSAS sample. The increase will be especially
acute in states with a relatively small number of students, as a large portion of these students will
have to be included in a sample to ensure it is representative of the state.
Textbook Information Program
The HEOA prospectively amends Title I, Part C of the HEA by adding a new § 133, which
establishes new requirements concerning information about textbooks. 22 Under the new
requirements, information provided by publishers to faculty members who are in charge of
selecting course materials at Title IV participating institutions must include certain price
information and copyright dates of previous editions. The new provision also will require
textbook publishers to “unbundle” materials, except under certain circumstances, and to make
textbooks and each supplement to a textbook available as separate items.
In accordance with the new provision, IHEs that receive federal financial assistance will be
required, to the maximum extent possible, to publish as part of online course pre-registration and
registration materials, the International Standard Book Number (ISBN) for all materials that will
be used in each class, as well as the retail price of required and recommended course materials for
each course listed in the institution’s course schedule. Institutions will also be required to make
available to the college bookstores they operate, or with which they are affiliated, upon request,
their course schedule for the subsequent academic period, the aforementioned information about
course materials, and enrollment information for each class. In addition, under the new provision,
IHEs will be encouraged to disseminate information to students regarding the availability of
renting textbooks, purchasing used textbooks, guaranteed textbook buy-back programs, and
alternative ways to obtain course content. Requirements for IHEs that receive federal financial
assistance to disclose certain information about college textbooks are presented below in Table 5.
22
The effective date of HEA, § 133, Textbook Information, is July 1, 2010.
Congressional Research Service
22
Table 5. Disclosure Requirements for IHEs Relating to Textbook Information
HEA, Title I-C, § 133
New requirements established under the HEOA
Requirement
Citation
Recipient of information
To the maximum extent practicable, each IHE receiving federal financial assistance must disclose for each course
listed on its Internet course schedule for preregistration and registration purposes:
§ 133(d)
Students at each IHE.
§ 133(e)
College bookstores.
§ 133(f)
Students.
The ISBN and retail price information of required and recommended textbooks and supplemental materials;
except
If the ISBN is not available, the IHE must include the author, title, publisher, and copyright date for such
materials; and
If the IHE determines that it is not practicable to provide the aforementioned information for a textbook or
supplemental material, it may provide the designation “To Be Determined” in lieu of such information.
To the maximum extent practicable, each IHE receiving federal financial assistance must include a notice that
textbook information is available on its Internet course schedule, and the Internet address, (if applicable).
Upon request, an IHE receiving federal financial assistance must make available to a college bookstore that is
operated by the IHE, or is affiliated with the IHE:
The IHE’s course schedule for the subsequent academic period; and
For each course or class offered for the subsequent academic period:
The ISBN and retail price information of each required and recommended textbook and supplemental
material;
The number of students enrolled in the class or course; and
The maximum student enrollment for such class or course.
Each IHE receiving federal financial assistance is encouraged (but not required) to disseminate information about:
Available institutional programs for renting textbooks or purchasing used textbooks;
Available institutional guaranteed textbook buy-back programs;
Available institutional alternative content delivery programs; and
Other available institutional cost-saving strategies.
Source: Prepared by CRS based on an analysis of the Higher Education Act (HEA) of 1965, as amended prior to August 2008; amendments to the HEA made by the
Higher Education Opportunity Act (P.L. 110-315) and P.L. 111-39; and applicable regulations.
CRS-23
Reporting Requirements for IHEs to Participate in Federal Student Aid Programs
Institution Requirements Relating to Education Loans
(Title I, Part E)
The HEOA adds a new Part E to Title I which establishes new requirements for lenders and
institutions with respect to federal student loans made under Title IV, as well as private student
loans. For institutions that participate in preferred lender arrangements—in which the IHE
recommends, promotes, or endorses the student loan products (e.g., FFEL program loans and
private student loans) of certain lenders—new requirements specify that IHEs must disclose or
report certain information, including the maximum amount of Title IV grant and loan aid
available to students; detailed information about the terms and conditions of loans; that under the
FFEL program, the institution is required to process applications to obtain a loan from any
eligible lender; and a detailed explanation of why the IHE entered into a preferred lender
arrangement with the lender.
Institutions that participate in preferred lender arrangements also must inform prospective
borrowers of private student loans that they may qualify for federal student aid under Title IV, and
that the terms and conditions of federal student loans may be more favorable than the terms and
conditions of private student loans. Institutions may make the required disclosures about student
loans and preferred lender arrangements on model disclosure forms developed by the Secretary
and the Board of Governors of the Federal Reserve System, 23 or on forms developed by the
institution.
Institutions that participate in the DL program must make publicly available a completed model
disclosure form for DL program loans containing information comparable to what must be
disclosed by IHEs with respect to FFEL program loans. The Secretary will be required to provide
completed model disclosure forms for DL program loans to IHEs that participate in the DL
program. Institutions will be required to post this information on their websites and to include it
in informational materials about financial aid that are distributed to prospective students and their
families.
The HEOA also amended the HEA to establish a requirement for borrowers of private student
loans to self-certify their eligibility for these loans. The provisions for self-certification require
institutions to disclose to prospective borrowers of private student loans certain information
necessary for completion of the form, including their cost of attendance, their expected family
contribution, and the estimated financial assistance they will receive. Detailed information on
reporting requirements for institutions with respect to student loans is presented in Table 6.
23
Not later than 18 months after the date of enactment, the Secretary, in coordination with the Board of Governors of
the Federal Reserve System, is required to determine the minimum information that entities participating in preferred
lender arrangements must make available to borrowers. Subsequently, they must develop a model disclosure form that
may be used by IHEs and lenders for purposes of disclosing information about FFEL and DL program loans and
private education loans to prospective borrowers.
Congressional Research Service
24
Table 6. Reporting Requirements for IHEs Relating to Education Loans
HEA, Title I-E
New requirements established under the HEOA
Requirement
Citation
Recipient of information
Disclosure requirements for IHEs that participate in preferred lender arrangements with lenders of FFEL program loans
IHEs that participate in a preferred lender arrangement with one or more
FFEL program lenders must disclose the following information:
The maximum amount of Title IV grant and loan aid available to students;
A statement that the IHE is required to process applications for FFEL
program loans from any eligible lender a student selects;
The following information for each type of FFEL program loan offered
pursuant to a preferred lender arrangement (this information may be
provided on a model disclosure form designed by the Secretarya or on a
form designed by the institution):
The information required to be disclosed on the model disclosure
formsb developed by the Board of Governors of the Federal
Reserve System under § 128(e) of the Truth in Lending Act (TILA),
for private education loans (see below) modified as necessary to
apply to such loans; and
Any of the following, if determined by the Secretary to merit
required disclosure:
Loan terms and conditions for the next award year (including
interest rate, deferment, and loan forgiveness provisions);
Any applicable loan charges (e.g., origination and default fees),
and whether they will be deducted from the proceeds of the
loan, paid by the borrower, or paid by the lender;
Annual and aggregate loan limits;
The average amounts borrowed from the lender the preceding
year for all students, and disaggregated by individuals
completing degree or certificate programs at the IHE;
CRS-25
§§ 152(a)(1)(A), and 153;
and
TILA, § 128(e)
Submit to the Secretary as an annual report; make publicly
available by posting on the website of the institution and its
affiliates; and include in informational materials (publications,
mailings, and electronic messages) about financial aid
opportunities that are distributed to prospective and current
students and their families.
New requirements established under the HEOA
Requirement
Citation
Recipient of information
Estimated repayment amounts (based on average loans made
by the lender to students graduating from the IHE the
preceding year) for borrowers of Subsidized Stafford Loans,
borrowers of Unsubsidized Stafford Loans and PLUS Loans
who pay interest while in school, and borrowers of
Unsubsidized Stafford Loans or PLUS Loans who do not pay
interest while in school;
The consequences of defaulting on a loan (including limitations
on discharging loan in bankruptcy);
Contact information for the lender; and
Other information as the Secretary may require based on
consultation with students and their families, representatives of
IHEs, IHE-affiliated organizations, guidance counselors, lenders,
loan servicers, and guaranty agencies; and
A detailed explanation of why the IHE entered into a preferred lender
arrangement with the lender, including why the terms, conditions, and
provisions of each type of FFEL program loan offered pursuant to the
arrangement are beneficial to the students attending the IHE, or the
families of such students, as applicable.
Disclosure requirements for IHEs that participate in preferred lender arrangements with lenders of private education loans
IHEs that participate in a preferred lender arrangement with one or more
private education loan lenders must disclose the following information about
each type of private education loan offered as part of a preferred lender
arrangement:
The maximum amount of Title IV grant and loan aid available to students;
A statement that the IHE is required to process applications for FFEL
program loans from any eligible lender a student selects;
The information required to be disclosed on the model disclosure formsb
developed by the Board of Governors of the Federal Reserve System
under § 128(e) of the Truth in Lending Act (TILA) for private education
loans (see below); and
CRS-26
§§ 152(a)(1)(A) and 153;
and
TILA, § 128(e)
Submit to the Secretary as an annual report; make publicly
available by posting on the website of the institution and its
affiliates; and include in informational materials (publications,
mailings, and electronic messages) about financial aid
opportunities that are distributed to prospective and current
students and their families.
New requirements established under the HEOA
Requirement
Citation
Recipient of information
A detailed explanation of why the IHE entered into a preferred lender
arrangement with the lender, including why the terms, conditions, and
provisions of each type of private student loan offered pursuant to the
arrangement are beneficial to the students attending the IHE, or the
families of such students, as applicable.
Disclosure requirements for IHEs that provide information to prospective borrowers about private education loans
IHEs that participate in a preferred lender arrangement must disclose the
following information about FFEL program loans, DL program loans, and
private education loans (with information about private education loans
distinct from FFEL and DL program loans):
That the prospective borrower may qualify for loans or other assistance
under Title IV and that the terms and conditions of loans made, insured,
or guaranteed under Title IV may be more favorable than those for
private education loans; and
The following information required to be disclosed on the model
disclosure formsb developed by the Board of Governors of the Federal
Reserve System under § 128(e) of the Truth in Lending Act (TILA):
The potential range of applicable interest rate;
Whether the applicable interest rate is variable or fixed;
Any limitations on the frequency and amount of interest rate
adjustments, or lack thereof;
Any requirements for a co-borrower;
Any potential finance charges, late fees, penalties, and adjustments
to principal, based on defaults or late payments;
Any applicable fees and the range of such fees;
The term of the loan;
Whether interest will accrue while the student on whose behalf the
loan was made is enrolled;
Any options for deferment of repayment;
General eligibility criteria;
CRS-27
§§ 152(a)(1)(B); and
TILA, § 128(e)
(See also §§ 487(a)(27)
and 487(h))
Post on the website of the institution and its affiliates; and include
in informational materials (publications, mailings, and electronic
messages) about financial aid opportunities that are distributed to
prospective and current students and their families.
New requirements established under the HEOA
Requirement
Citation
Recipient of information
§§ 152(a)(1)(A), 153, and
154; and
Post on the website of the institution and its affiliates; and include
in informational materials (publications, mailings, and electronic
messages) about financial aid opportunities that are distributed to
prospective and current students and their families.
An example of the total cost of the loan over the life of the loan,
calculated using the principal amount and maximum interest rate
offered; and both with and without the capitalization of interest if
the option to postpone interest payments is offered;
That an IHE may have school-specific loan terms and benefits not
detailed on the disclosure form;
That the borrower may qualify for federal student aid under Title IV
in lieu of or in addition to a private education loan and that the
terms and conditions of loans made under Title IV may be more
favorable than those for private education loans;
The interest rates available with respect to federal student loans
made under Title IV;
That borrowers shall have the right to accept the terms of their
loan and consummate the transaction at any time within 30 days of
loan approval and receipt of disclosure documents (during this
period, loan terms, including the interest rate or interest rate
formula may not be changed);
That prior to consummation of a private education loan, borrowers
must complete, sign, and return to the lender a self-certification
form containing specified information to be provided by the financial
aid office of their IHE;
That the borrower may obtain additional information concerning
federal student aid from the IHE or at a Department of Education
website; and
Such other information as necessary or appropriate for consumers
to make informed borrowing decisions.
Disclosure requirements for IHEs that participate in the DL program
Each IHE that participates in the DL program must disclose the following
information:
A completed model disclosure form, prepared by the Secretaryc, for DL
program loans containing information comparable to what will be
required to be disclosed by IHEs for FFEL program loans (see above); and
CRS-28
TILA, § 128(e)
New requirements established under the HEOA
Requirement
Citation
Recipient of information
If the IHE provides information to prospective borrowers about private
education loans (see above), the model disclosure form for DL program
loans must be provided concurrently with such information.
Self-Certification Form for Private Education Loans
Upon the request of an applicant seeking to borrow a private education loan,
an IHE must make available a self-certification formd for private education
loans which contains a place to provide information on:
§ 155
Applicants for private education loans.
The applicant’s COA at the IHE, as determined by the IHE under Title
IV, Part F;
The applicant’s estimated financial assistance (EFA), including amounts of
financial assistance used to replace the expected family contribution
(EFC), as determined by the IHE, in accordance with Title IV, for
students who have completed the Free Application for Federal Student
Aid (FAFSA); and
The difference between the above amounts, as applicable.
Source: Prepared by CRS based on an analysis of the Higher Education Act (HEA) of 1965, as amended prior to August 2008; amendments to the HEA made by the
Higher Education Opportunity Act (P.L. 110-315) and P.L. 111-39; applicable regulations; and the Truth in Lending Act (TILA).
Notes:
a.
Not later than 18 months after enactment of the HEOA, the Secretary, in coordination with the Board of Governors of the Federal Reserve System, is required to
determine the minimum information that must be reported on the model disclosure form. The model disclosure form for loans offered by lenders participating in
preferred lender arrangements with IHEs must be similar in format to the model disclosure form developed by the Board of Governors of the Federal Reserve System
for use by lenders in disclosing information about private student loans.
b.
Not later than two years after enactment of the HEOA, the Board of Governors of the Federal Reserve System, in consultation with the Secretary, is required to
develop and issue model disclosure forms for use by lenders of private education loans to meet the requirements of the TILA, § 128(e).
c.
Not later than 180 days after development of the model disclosure form developed for FFEL program loans (see footnote a, above), the Secretary must provide IHEs
participating in the DL program with a completed model disclosure form for DL program loans containing information comparable to what will be required to be
disclosed by IHEs for FFEL program loans.
d.
The Secretary, in consultation with the Board of Governors of the Federal Reserve System, is required to develop a self-certification form for private education loans
which may be used by applicants to provide required information to lenders of private education loans. Student completion of the form will require some information
that will be provided by IHEs.
CRS-29
Reporting Requirements for IHEs to Participate in Federal Student Aid Programs
Title IV, Part G—General Provisions
Title IV, Part G includes a broad array of requirements and other provisions applicable to
institutions that participate in Title IV programs. Part G provisions which establish requirements
for IHEs to report or disclose information may be categorized into the following major areas.
•
Student eligibility requirements applicable to the receipt of federal student aid,
including determination of eligibility and need, and verification of immigration
status.
•
Information about the institution and its programs; the availability of, procedures
to apply for, and descriptions of federal student aid programs; the institution’s
transfer of credit policies; and penalties for drug-related offenses.
•
Entrance and exit counseling for borrowers of FFEL and DL program loans; and
verification of borrower information in the National Student Loan Data System
(NSLDS).
•
Information on athletic programs and students who receive athletically related
student aid; and completion or graduation rates, both for recipients of athletically
related aid and for all students.
•
Information on campus security, campus crime, fire safety, and missing persons
procedures.
•
Information required as part of program participation agreements, including the
reporting or disclosure of institutional and financial assistance information,
information collected as part of the IPEDS surveys, information on student loan
codes of conduct, and information on student loan preferred lender lists.
This part of this report identifies and describes provisions specified in Title IV, Part G that require
the reporting or disclosure of information by institutions that participate in Title IV programs.
Student Eligibility
Under Title IV, Part G, institutions are required to provide students with a determination of
eligibility and need for federal aid. They are also required to provide information concerning
individuals who are determined to be ineligible for federal student aid due to their immigration
status to the U.S. Citizenship and Immigration Services (USCIS); and information concerning
individuals determined to be ineligible for federal student loans to applicable lenders and
guaranty agencies. Reporting requirements for IHEs relating to student eligibility are presented
below in Table 7.
Congressional Research Service
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Table 7. Reporting Requirements for IHEs Relating to Student Eligibility
Requirements in the HEA prior to the enactment of the HEOA
Requirement
Citation
Institutions must provide student
loan applicants with a
determination of eligibility or
ineligibility for a Pell Grant award.
§ 484(b)(1)
Student loan applicants.
No changes.
No changes.
With respect to FFEL program
loans made under voluntary
flexible agreements with guaranty
agencies, institutions must provide
student loan applicants with a
determination of need for a loan
under § 428(a)(2)(B).
§ 484(b)(2)
Student loan applicants.
No changes.
No changes.
Institutions must transmit copies
of the immigration documents of
individuals who are not citizens or
nationals of the United States to
the Immigration and
Naturalization Service.
§ 484(g)(4)
U.S. Citizenship and Immigration
Services (previously, this agency
was called the Immigration and
Naturalization Service).a
No changes.
No changes.
Institutions that make a
determination that a federal
student loan has been made to an
individual who has subsequently
been determined to be ineligible
to receive a loan due to
unsatisfactory immigration status
must notify and instruct the entity
making the loan to cease further
payments on the loan.
§ 484(i)
Lenders of federal student loans.
No changes.
No changes.
CRS-31
Recipient of information
Changes to requirements made by the HEOA
Requirement
Citation
Recipient of information
Requirements in the HEA prior to the enactment of the HEOA
Requirement
Citation
Recipient of information
With respect to the FFEL
program, if the Secretary
determines that the Social
Security Number provided by a
student to the institution is
incorrect, the IHE must notify and
instruct the guaranty agency and
the lender to cease further
disbursements of the loan.
§ 484(p)(3)
Guaranty agencies and lenders.
Changes to requirements made by the HEOA
Requirement
No changes.
Citation
Recipient of information
No changes.
Source: Prepared by CRS based on an analysis of the Higher Education Act (HEA) of 1965, as amended prior to August 2008; amendments to the HEA made by the
Higher Education Opportunity Act (P.L. 110-315) and P.L. 111-39; and applicable regulations.
Note:
a.
CRS-32
The Secretary is required to compensate each IHE for 100% of the costs incurred in implementing and operating the immigration status verification system. It is
presumed that IHEs must report their costs to the Secretary in order to receive compensation.
Reporting Requirements for IHEs to Participate in Federal Student Aid Programs
General Institutional Information and Financial Assistance
Prior to enactment of the HEOA, HEA, § 485 required each institution whose students participate
in HEA Title IV programs to disseminate multiple pieces of information through various means,
upon request, to enrolled students and to prospective students. In addition, compliance with the
requirements of § 485 has been a component of the Program Participation Agreement into which
IHEs must enter with the Secretary for initial and continuing eligibility to participate in Title IV
programs. (Program Participation Agreements are discussed below.) All enrolled students must be
provided an annual notification about what information is available and how it may be obtained.
The types of information that institutions must provide include information about available
financial assistance programs, how to obtain financial aid, and conditions for receiving aid; costs
of attendance; specific program costs; the institution’s academic program; facilities and services
available to individuals with disabilities; the institution’s accreditation; standards for satisfactory
student progress; completion or graduation rates; the ability of students to enroll in a study-abroad
program that may still qualify them for federal student aid; and campus crime. An institution
whose mission includes the preparation of students to enroll in another eligible institution also
must provide the transfer-out rate of its certificate- or degree-seeking, full-time undergraduate
students.
The HEOA added several disclosure and regulatory requirements to the HEA. As previously
mentioned, institutions are required, upon request, to disclose various information to current and
prospective students. The HEOA expanded on these requirements to include additional
information that must be disclosed, such as institutional policies and sanctions related to
copyright infringement, information about student body diversity, and the placement in
employment of the institution’s graduates. Additional requirements were added related to the
disaggregation of completion and graduation rates, emergency response and fire safety, transfer of
credit, missing person procedures, drug policy notifications, and reimbursements paid to any
employees for service on advisory boards. For example, under the new transfer of credit policies,
institutions must publicly disclose any criteria used to make transfer of credit determinations, and
the institutions with which it has established an articulation agreement. Under the new policies
relating to drug-related offenses, institutions must notify students about penalties for drug
violations, including notifying students who have lost their eligibility for federal student aid due
to a drug violation of the options to regain eligibility. Previously existing and new reporting
requirements are detailed below in Table 8.
Congressional Research Service
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Table 8. Reporting and Disclosure Requirements for IHEs Relating to Institutional Information and Financial Assistance
Requirements in the HEA prior to the enactment of the HEOA
Requirement
Citation
Recipient of information
Changes to requirements made by the HEOA
Requirement
Citation
Recipient of information
Disclosure of institutional information
IHEs must annually provide all
enrolled students a list of the
information that is required to be
provided under HEA, § 485 (see
below) and FERPAa; and the
procedures for obtaining such
information.
§ 485(a)
Enrolled students.
No changes.
Information that must be made
available upon request to enrolled
or prospective students includes:
§ 485(a)
Upon request, information must
be provided to enrolled and
prospective students.
Additional information that must
be made available upon request
to enrolled or prospective
students includes:
Information about student
financial assistance programs
available to students;
Methods by which student
financial aid is distributed to
student recipients;
Process for applying for
student financial assistance;
Rights and responsibilities of
students receiving Title IV
student aid;
Cost of attending the
institution including tuition
and fees, books and supplies,
estimates of room and board
costs or typical commuting
costs, and additional costs of
the specific program in
which the student is enrolled
or interested;
CRS-34
Any plans of the IHE for
improvement of its
academic program;
Institutional copyright
infringement policies
including: (1) an annual
disclosure to students
explicitly stating that they
may be subject to civil or
criminal penalties related to
the unauthorized
distribution of copyrighted
material; (2) a summary of
the penalties for violating
federal copyright laws; and
(3) a description of the
IHE’s policies regarding
unauthorized peer-to-peer
file sharing, including related
disciplinary actions for
unauthorized distribution of
copyrighted materials on its
technology system;
§ 485(a)
No changes.
Requirements in the HEA prior to the enactment of the HEOA
Requirement
Statement of the
requirements of any refund
policy with which the
institution must comply for
the return of Title IV grant
or loan assistance, and for
withdrawing from the
institution;
Information about the
academic program of the
institution, including degree
and educational and training
programs, physical plant
facilities that relate to the
academic program, and
faculty and other
instructional staff;
Information about which
staff are designated as
financial assistance
information personnel and
methods by which and
locations in which these
individuals can be contacted;
Special facilities and services
available to disabled
students;
Names of agencies,
associations, or
governmental entities that
accredit, approve, or license
the institution and its
programs and how
documents describing the
institution’s accreditation,
approval, or licensing can be
obtained;
CRS-35
Citation
Recipient of information
Changes to requirements made by the HEOA
Requirement
Student body diversity,
including information on the
percentage of enrolled, fulltime students who (1) are
male, (2) are female, (3)
receive a Pell Grant, and (4)
are a self-identified member
of a major racial/ethnic
group;
Placement in employment
of, and types of
employment obtained by,
graduates of degree or
certificate programs
gathered from relevant
sources;
Types of graduate and
professional education in
which graduates of fouryear degree programs
enrolled, gathered from
relevant sources;
Fire safety report (see
discussion below);
Retention rate of
certificate- or degreeseeking, first-time, full-time
undergraduate students;
and
Institutional policies
regarding vaccinations.
Citation
Recipient of information
Requirements in the HEA prior to the enactment of the HEOA
Requirement
Standards students must
maintain to be considered to
be making “satisfactory
progress”;
The completion or
graduation rate of
certificate- or degreeseeking, full-time,
undergraduate students;
Terms and conditions under
which students receiving
federal student loans may
obtain a deferral of
repayment of the principal
and interest or a partial
cancellation of the loan for
service in the Peace Corps
or a comparable
organization;
Information that enrollment
in a study-abroad program
approved for credit may be
considered as enrollment in
the home institution for
purposes of federal student
aid; and
The campus crime report
(see below).
CRS-36
Citation
Recipient of information
Changes to requirements made by the HEOA
Requirement
Information required to be
provided about the completion
or graduation rate of certificateor degree-seeking, full-time,
undergraduate students
(required prior to HEOA) must
be disaggregated by:
Gender;
Each major racial and ethnic
subgroup;
Recipients of a Pell Grant;
Recipients of a Subsidized
Stafford Loan who did not
receive a Pell Grant; and
Students who neither
received a Pell Grant nor a
Subsidized Stafford Loan.
The provision that information
be provided on the terms and
conditions under which students
receiving federal student loans
may obtain a deferral of
repayment of the principal and
interest or a partial cancellation
of the loan for service in the
Peace Corps or comparable
organizations is amended to
require information to be
provided on the terms and
conditions of loans that students
receive under Title IV Part B
(FFEL), Part D (DL), and Part E
(Perkins Loans).
Citation
Recipient of information
Requirements in the HEA prior to the enactment of the HEOA
Requirement
Citation
Recipient of information
Changes to requirements made by the HEOA
Requirement
Citation
The statute is amended to also
require the provision of the
following:
§ 485(d)(1)
Recipient of information
Department of Education descriptions of federal student aid programs
The following information,
required to be made available by
the Secretary, must be provided
by institutions to students any
time an institution provides
information regarding the
availability of loans:
Descriptions of federal
assistance programs,
including the rights and
responsibilities of student
and institutional participants;
Information to enable
students and prospective
students to assess the debt
burden and monthly and
total repayment obligations
that will be incurred as a
result of receiving Title IV
loans of various amounts;
Information to enable
borrowers to assess the
practical consequences of
loan consolidation, including
differences in deferment
eligibility, interest rates,
monthly payments, and
finance charges, and samples
of loan consolidation profiles
to illustrate such
consequences;
CRS-37
§ 485(d)(1)
Students.
Information on the various
payment options available
for student loans, including
income-sensitive and
income-based repayment
plans for FFEL program
loans, and income-sensitive
and income-based
repayment plans for DL
program loans.
Students.
Requirements in the HEA prior to the enactment of the HEOA
Requirement
Citation
Recipient of information
Changes to requirements made by the HEOA
Requirement
Citation
Recipient of information
Information on the specific
terms and conditions under
which students may obtain
partial or total cancellation
or may defer repayment for
certain types of employment
or service, and the maximum
compensation a borrower
may earn (expressed in
terms of the federal
minimum wage) to qualify for
a deferment; and
Information on loan
forbearance, including the
increase in debt that results
from capitalization of
interest.
Transfer of credit policies
Not applicable.
Not applicable.
Not applicable.
Each IHE must disclose a
statement of its current transfer
of credit policies, which at a
minimum, must include:
§ 485(h)
Information must be publicly
disclosed.
§ 485(k)(1)
Newly enrolled students.
Any established criteria the
IHE uses regarding the
transfer of credit from
another institution; and
A list of institutions with
which it has established an
articulation agreement.
Penalties for drug-related offenses
Not applicable.
CRS-38
Not applicable.
Not applicable.
Each institution must provide to
each student, upon enrollment, a
“separate, clear, and conspicuous
written notice” that details the
penalties related to drug-related
offenses.b
Requirements in the HEA prior to the enactment of the HEOA
Requirement
Not applicable.
Citation
Not applicable.
Recipient of information
Not applicable.
Changes to requirements made by the HEOA
Requirement
Citation
Recipient of information
For each student who loses
eligibility for any Title IV grant,
loan, or work study assistance as
a result of a drug-related offense,
the IHE must provide a
“separate, clear, and conspicuous
written notice,” in a timely
manner, that notifies that
student of the loss of eligibility
and details the ways in which the
student can regain eligibility
under §484(r)(2).c
§ 485(k)(2)
Students who lose their
eligibility for any Title IV grant,
loan, or work-study assistance
as a result of a drug-related
offense.
IHEs must annually report any
reasonable expenses paid or
provided to reimburse any
employee of its financial aid
office or who otherwise has
responsibilities with respect to
student loans or financial aid for
reasonable expenses incurred
for service on an advisory board,
commission, or a group
established by a private
educational lender, including the
following:
§ 485(m);
The Secretary.
Disclosures of reimbursement for service on advisory boards
Not applicable.
Not applicable.
Not applicable.
The amount for each
specific instance of
reasonable expenses paid or
provided;
The name of the individual
to whom the expenses
were paid or provided;
The dates of the activity for
which expenses were paid
or provided; and
CRS-39
TILA, §
140(d)
Requirements in the HEA prior to the enactment of the HEOA
Requirement
Citation
Recipient of information
Changes to requirements made by the HEOA
Requirement
Citation
Recipient of information
A brief description of the
activity for which expenses
were paid or provided.
Source: Prepared by CRS based on an analysis of the Higher Education Act (HEA) of 1965, as amended prior to August 2008; amendments to the HEA made by the
Higher Education Opportunity Act (P.L. 110-315) and P.L. 111-39; applicable regulations; and the Truth in Lending Act (TILA).
a.
Section 444 of the General Education Provisions Act (GEPA) is commonly referred to as The Family Educational Rights and Privacy Act (FERPA). For additional
information on the requirements of FERPA, see CRS Report RS22341, The Family Educational Rights and Privacy Act (FERPA): A Legal Overview, by (name redacted).
b.
For more information on drug-related offenses, see § 484(r).
c.
A student may regain eligibility for Title IV aid by completing a drug rehabilitation program or if the conviction is reversed, set aside, or otherwise negated.
CRS-40
Reporting Requirements for IHEs to Participate in Federal Student Aid Programs
Entrance Counseling and Exit Counseling
According to statutory and regulatory provisions in effect prior to the enactment of the HEOA,
IHEs are required to ensure that student borrowers of FFEL and DL program loans receive initial
counseling and exit counseling. Department of Education regulations specify requirements for
initial counseling, while statutory provisions specify requirements for exit counseling.24
Initial counseling, or entrance counseling, must be provided before the first disbursement of the
loan. The counseling must include an explanation of the Master Promissory Note (MPN), the
significance of the borrower assuming an obligation to repay a student loan, the consequences of
default, sample repayment schedules, the borrower’s rights and responsibilities with respect to the
loan, and the terms and conditions of the loan.
Exit counseling must be provided before a student who has borrowed a FFEL or DL program loan
leaves school. Exit counseling includes a review of the information provided during entrance
counseling; an estimate of average anticipated monthly payments based on the borrower’s actual
student loan debt or the average student loan debt of borrowers in the same program at the same
school; available repayment options; debt management strategies; options for deferment,
forbearance, forgiveness, and discharge; notification that the borrower’s loan history is available
through NSLDS; and information about whom the borrower may contact regarding questions
about the terms and conditions of his or her loan (i.e., the Department of Education Student Loan
Ombudsman).
The HEOA amended the HEA to specify statutory requirements for entrance counseling and to
add additional statutory requirements for exit counseling. New requirements for exit counseling
include the provision of information about the option to pay the interest as it accrues on
Unsubsidized Stafford Loans and PLUS Loans while the borrower is in school; the importance of
contacting the IHE in the case of early withdrawal so that exit counseling can be provided; the
effects of consolidating one or more FFEL, DL, or Perkins Loans into a Consolidation Loan on
the terms and conditions of the underlying loan or loans; and a description of tax benefits
available to borrowers.25
The HEOA also amended the HEA by adding a requirement that institutions inform borrowers of
loans made under the FFEL, DL, and Perkins Loan programs that information about their loans
will be submitted to NSLDS and will be accessible to guaranty agencies, lenders, and institutions
that are determined by the Secretary to be authorized users of NSLDS.
Information on requirements applicable to institutions with respect to the disclosure of
information as part of entrance counseling, exit counseling, and NSLDS is presented in Table 9.
24
HEA, § 485(l); and 34 CFR §§ 682.204, 682.204, and 685.304.
25
Additional information on the various types of FFEL and DL program loans is presented in CRS Report R40122,
Federal Student Loans Made Under the Federal Family Education Loan Program and the William D. Ford Federal
Direct Loan Program: Terms and Conditions for Borrowers, by (name redacted).
Congressional Research Service
41
Table 9. Reporting Requirements for IHEs Relating to Entrance Counseling, Exit Counseling, and NSLDS
Requirements in the HEA prior to the enactment of the HEOA
Requirement
Changes to requirements made by the HEOA
Citation
Recipient of information
Requirement
34 CFR §§
682.604(f),
682.603(d),
and 685.304(a)
First-time borrowers of FFEL and
DL program loans (other than
Parent PLUS Loans and
Consolidation Loans).
The HEOA establishes statutory
requirements for entrance counseling.
(Prior requirements were specified in
regulations.) Institutions must provide
entrance counseling on the terms and
conditions of loans and the
responsibilities of borrowing to firsttime borrowers of FFEL and DL
program loans. The following
information must be provided in a
simple and understandable manner:
Citation
Recipient of information
Entrance counseling
With respect to FFEL and DL
program loans, institutions must
ensure that initial counseling is
conducted with each first-time
borrower of a Stafford Loan or a
PLUS Loan prior to the first
disbursement. The initial counseling
must:
Explain the use of a Master
Promissory Note;
Emphasize the seriousness and
importance of the repayment
obligation the student
borrower is assuming;
The effect that accepting the loan
will have on the borrower’s
eligibility for other forms of
student aid;
Describe the likely
consequences of default,
including adverse credit
reports, federal offset, and
litigation;
An explanation of the use of the
Master Promissory Note;
Emphasize the obligation to
repay the full amount of the
loan even if the borrower does
not complete the program, is
unable to obtain employment
upon completion of the
program, or is otherwise
dissatisfied with or does not
receive the educational or
other services purchased from
the school;
CRS-42
Information on how interest
accrues and is capitalized during
periods when it is not paid by
either the borrower or the
Secretary;
The option to pay the interest
that accrues on Unsubsidized
Stafford Loans and PLUS Loans
while the borrower is in school;
The institution’s definition of halftime enrollment during regular
and summer terms, and the
consequences of not maintaining
half-time enrollment;
§ 485(l)
First-time borrowers of
FFEL and DL program loans
(other than Parent PLUS
Loans and Consolidation
Loans).
Requirements in the HEA prior to the enactment of the HEOA
Requirement
Provide sample monthly
repayment amounts based on a
range of student levels of
indebtedness or on the average
indebtedness of Stafford loan
borrowers, or borrowers with
Stafford and PLUS loans,
depending on the types of
loans the borrower has
obtained at the same school or
in the same program of study
at the same school; and
Provide graduate and
professional students who
previously borrowed Stafford
Loans with a comparison
between Stafford Loans and
PLUS Loans with respect to
the maximum interest rate,
periods when interest accrues,
and when repayment begins.
In addition, with respect to DL
program loans, initial counseling
must;
Review available repayment
plan options and loan
consolidation; and
Review the conditions for
obtaining loan deferment,
forbearance, forgiveness, and
discharge benefits.
CRS-43
Citation
Recipient of information
Changes to requirements made by the HEOA
Requirement
An explanation of the importance
of contacting the institution in the
case of withdrawing prior to the
completion of a program of study
so that exit counseling can be
provided;
Sample monthly repayment
amounts based on a range of
levels of indebtedness of
borrowers and the average
cumulative indebtedness of
borrowers in the same program;
The obligation of the borrower to
repay the loan in full regardless of
whether the borrower completes
the program within the regular
time for program completion;
The likely consequences for
default, including adverse credit
reports, federal delinquent debt
collection procedures, and
litigation;
Information on the National
Student Loan Data System
(NSLDS; see below) and how the
borrower can access his or her
records; and
The name and contact
information for whom the
borrower may contact with any
questions about his or her rights
and responsibilities, or the loan’s
terms and conditions.
Citation
Recipient of information
Requirements in the HEA prior to the enactment of the HEOA
Requirement
Citation
Recipient of information
Changes to requirements made by the HEOA
Requirement
Citation
Recipient of information
The HEOA amended the HEA to
specify that the exception to the
requirement to make available exit
counseling applies to borrowers of
Parent PLUS Loans and Consolidation
Loans.
§ 485(b)(1)
Borrowers of federal
student loans (other than
Parent PLUS Loans and
Consolidation Loans)
Exit counseling
Institutions must make available exit
counseling to borrowers of federal
student loans made under the FFEL,
DL, and Perkins Loan programs,
(other than PLUS Loans) prior to
the completion of their studies or at
their departure from the institution.
Exit counseling must:
Provide sample monthly
repayment amounts based on a
range of student levels of
indebtedness or on the average
indebtedness of Stafford loan
borrowers, or borrowers with
Stafford and PLUS loans,
depending on the types of
loans the borrower has
obtained at the same school or
in the same program of study
at the same school;
Review available repayment
plan options, and loan
consolidation;
Suggest debt management
strategies designed to facilitate
debt repayment;
Review the conditions for
obtaining loan deferment,
forbearance, forgiveness, and
discharge benefits;
Require the borrower to
provide current contact
information as specified in
§ 485(b)(2) (see below);
CRS-44
§ 485(b)(1); 34
CFR §§
682.604, and
685.304
Borrowers of federal student
loans (other than PLUS Loans)
The HEOA also amends the HEA to
require that exit counseling include the
following statutory provisions:
The repayment plans available,
including a description of the
different features of each plan and
sample information showing
average monthly payments and
differences in interest paid and
total payments under each plan;
Debt management strategies
designed to facilitate debt
repayment;
An explanation that borrowers
may prepay each loan, pay each
loan on a shorter schedule, and
change repayment plans;
A description of the terms and
conditions of Title IV programs
under which borrowers may
obtain full or partial loan
forgiveness, cancellation of
principal and interest, or
forbearance, including a copy of
information on such provided by
the Secretary under § 485(d) (see
below);
Requirements in the HEA prior to the enactment of the HEOA
Requirement
Review information on the
availability of the Student Loan
Ombudsman’s office; and
Inform the borrower of the
availability of Title IV student
loan information in NSLDS.
Citation
Recipient of information
Changes to requirements made by the HEOA
Requirement
The consequences of defaulting
on a loan, including adverse credit
reports, delinquent debt
collection procedures under
federal law, and litigation;
Information on the effects of using
a FFEL or DL program
Consolidation Loan to discharge
the borrower’s FFEL, DL, or
Perkins Loan program loans,
including:
The effects of consolidation
on length of repayment and
total interest and fees paid;
The effects of consolidation
on underlying loan benefits,
including grace periods, loan
forgiveness, cancellation, and
deferment opportunities;
The option to prepay or
change repayment plans; and
That borrower benefit
programs may vary among
different lenders.
A general description of tax
benefits available to borrowers;
and
A notice about the availability of
NSLDS and how to use it to
obtain information on the status
of the borrower’s loans.
CRS-45
Citation
Recipient of information
Requirements in the HEA prior to the enactment of the HEOA
Requirement
Institutions must collect the
following information from students
during exit counseling and, within 60
days, forward such information to
the applicable guaranty agency:
Citation
Recipient of information
Changes to requirements made by the HEOA
Requirement
§ 485(b)(2)
Guaranty agencies.
No changes.
Not
applicable.
Not applicable.
Institutions that enter into an
agreement with a potential student,
student, or parent of a student
regarding a loan under the FFEL, DL,
or Perkins Loan programs must inform
the student or the parent of the
following about the loan:
Citation
Recipient of information
No changes.
The borrower’s expected
permanent address; the name
and address of the borrower’s
expected employer; the
address of the borrower’s next
of kin; and any corrections to
the IHE’s records relating to
the borrower’s name, address,
SSN, references, and driver’s
license number.
National Student Loan Data System
Not applicable.
§ 485B(d)(4)
Borrowers of federal
student loans.
The loan will be submitted to
NSLDS; and
The loan will be accessible to
guaranty agencies, lenders, and
IHEs that are determined by the
Secretary to be authorized users
of NSLDS.
Source: Prepared by CRS based on an analysis of the Higher Education Act (HEA) of 1965, as amended prior to August 2008; amendments to the HEA made by the
Higher Education Opportunity Act (P.L. 110-315) and P.L. 111-39; and applicable regulations.
CRS-46
Reporting Requirements for IHEs to Participate in Federal Student Aid Programs
Athletically Related Student Aid and Athletic Programs
Institutions at which students receive athletically related student aid are required to annually
report to the Secretary by July 1 on the number of participating students by sport, race, and sex;
completion or graduation rates by race and sex in specific sports for the current year and average
of the four most recent years; and the completion or graduation rate for all students by race and
sex for the current year and average of the four most recent years. The information must also be
provided to prospective athletically related aid recipients and their parents, guidance counselors,
and coaches. These requirements may be waived by the Secretary for an institution that is a
member of an athletic association or conference that voluntarily publishes completion or
graduation rate data (or has agreed to publish such data), if the Secretary determines the published
information is comparable to the aforementioned information (HEA § 485(e); and 34 CFR §§
668.41 and 668.48).
Any coeducational institution participating in Title IV programs and that has an intercollegiate
athletic program must annually report information on team composition, operating expenses,
coaches, the ratio of athletically related aid for men versus women, revenues for men’s and
women’s teams, and related data. A report on athletic program participation rates and financial
support data must be made available to students and potential students, upon request, and to the
public. Enrolled students must be informed of their right to request the information. The report
must be provided to ED within 15 days of the institution making the report available to students
and the public.26 (HEA § 485(g); and 34 CFR 668.14, 668.41, and 668.47; OMB No. 18450010).) Reporting requirements for IHEs with respect to athletically related student aid and
athletic programs are presented in Table 10.
26
For more information, see the U.S. Department of Education’s Equity in Athletics Disclosure Act website at
http://surveys.ope.ed.gov/athletics/index.aspx. A facsimile of the online collection instrument is available at
http://surveys.ope.ed.gov/athletics/BlankFormsView.aspx?id=1.
Congressional Research Service
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Table 10. Reporting Requirements for IHEs with Respect to Athletically Related Student Aid and Athletic Programs
Requirements in the HEA prior to the enactment of the HEOA
Changes to requirements made by the HEOA
Requirement
Citation
Recipient of information
Requirement
Each institution that has students
receiving athletically related aid must
report:
§ 485(e)(1)
Report must be submitted
to the Secretary annually.
All of the required information
included in the HEA prior to the
enactment of the HEOA must be
disaggregated by:
The number of students who
received athletically related aid by
race and sex for students
participating in basketball, football,
baseball, cross country/track, and
all other sports combined;
Total number of students by race
and sex;
Completion or graduation rate for
students who received athletically
related aid by race and sex for
students participating in
basketball, football, baseball, cross
country/track, and all other sports
combined;
Completion or graduation rate for
all students by race and sex;
The average completion or
graduation rate for the four most
recent completing or graduating
classes of students who received
athletically related aid by race and
sex for students participating in
basketball, football, baseball, cross
country/track, and all other sports
combined; and
The average completion or
graduation rate for the four most
recent completing or graduating
classes of students by race and
sex.
CRS-48
Report must also be
provided to any student to
whom athletically related aid
is offered and the student’s
parents, guidance counselor,
and coach.
Gender;
Each major racial and ethnic
subgroup;
Recipients of a Pell Grant;
Recipients of a Subsidized
Stafford Loan who did not
receive a Pell Grant; and
Students who received
neither a Pell Grant nor a
Subsidized Stafford Loan.
Citation
§ 485(a)(7)
Recipient of information
No changes.
Requirements in the HEA prior to the enactment of the HEOA
Requirement
Citation
Recipient of information
Each coeducational institution that has
an intercollegiate athletic program
must report the following information:
§ 485(g)(1),
§ 485(g)(3),
and
§ 485(e)(4)
Report must be submitted
to the Secretary annually.
Number of male and female fulltime undergraduates;
Listing of the varsity teams that
competed in intercollegiate
athletic competitions, and for
each team provide: (1) total
number of participants by team as
of the first scheduled event for
each team, (2) total operating
expenses attributable to each
team, (3) gender of the head
coach and whether the head
coach is employed full time or
part time, and (4) number and
gender of assistant coaches and
whether each coach is employed
full time or part time;
Total amount of money spent on
athletically related student aid;
Ratio of athletically related
student aid awarded to male
athletes to athletically related
student aid awarded to female
athletes;
Total expenditures on recruiting
for men’s teams and women’s
teams overall;
Total annual revenues generated
across all men’s teams and all
women’s teams;
CRS-49
Report must be made
available to students and
potential students, upon
request, and to the public.
Students must be informed
of their right to request the
report.
Changes to requirements made by the HEOA
Requirement
No changes.
Citation
Recipient of information
No changes.
Requirements in the HEA prior to the enactment of the HEOA
Requirement
Citation
Recipient of information
Changes to requirements made by the HEOA
Requirement
Citation
Recipient of information
Average annual institutional salary
of head coaches of men’s teams
(across all sports) and the average
annual institutional salary of head
coaches of women’s teams
(across all sports);
Average annual institutional salary
of assistant coaches of men’s
teams (across all sports) and the
average annual institutional salary
of assistant coaches of women’s
teams (across all sports);
Total revenues, and the revenues
from football, men’s basketball,
women’s basketball, all other
men’s sports combined, and all
other women’s sports combined;
and
Total expenses, and the expenses
attributable to football, men’s
basketball, women’s basketball, all
other men’s sports combined, and
all other women’s sports
combined.
Source: Prepared by CRS based on an analysis of the Higher Education Act (HEA) of 1965, as amended prior to August 2008; amendments to the HEA made by the
Higher Education Opportunity Act (P.L. 110-315) and P.L. 111-39; and applicable regulations.
CRS-50
Reporting Requirements for IHEs to Participate in Federal Student Aid Programs
Campus Security, Campus Crime, Fire Safety, and
Missing Person Procedures
Statutory requirements related to campus crime and security are specified in HEA, § 485(f).
Institutions must certify that they have established a campus security policy and have complied
with the disclosure of campus security policy and campus crime statistics requirements.
Institutions must provide detailed information about campus security policies and crime statistics,
including statistics on the types of crimes committed by category, a description of programs to
inform current and prospective students and employees about the prevention of crimes, crime
statistics, and various policy statements. Institutions must distribute an annual security report to
enrolled students and current employees by October 1 of each year. Statistics about the number of
criminal offenses by category also must be reported annually to ED.27 In addition, institutions are
required to make timely reports to the campus community about any crimes considered to be a
threat to students or employees. Institutions also are required to develop and distribute materials
about their sex offense policies, prevention measures, reporting procedures, and penalties. Any
institution with a police or security department must maintain a daily crime log that includes the
nature, date, time, and general location of each crime, as well as the disposition of the complaint,
if known. Institutions that substantially misrepresent the number, location, or nature of crimes
may be subject to civil penalties under HEA § 487(c)—Audits; Financial Responsibility;
Enforcement of Standards. (HEA §§ 485(f) and 487(a); and 34 CFR 668.14, 668.41, and 668.46.)
Campus Security and Campus Crime Measures
The HEOA adds several requirements related to campus crime and security. For example, it
expands the list of crimes for which institutions must indicate whether the crime committed was a
“hate crime” to include crimes such as simple assault and intimidation. It also modifies current
reporting requirements related to the relationship between campus law enforcement and other
security personnel. The HEOA requires institutions to inform current and prospective students
and employees about campus policies related to immediate emergency response and evacuation
procedures, including the use of electronic or cellular communication. (HEA, § 485(f).)
Fire Safety Standards and Measures
The HEOA amends the HEA by establishing a requirement that institutions publish an annual fire
safety report, to be available to the public and submitted to the Secretary, that contains
information about fire safety practices and standards at the institution and provides data on fires
that occurred in on-campus housing facilities. (HEA, § 485(i).)
27
Criminal offenses must be reported in the following categories: murder; sex offenses, forcible or non-forcible;
robbery; aggravated assault; burglary; motor vehicle theft; manslaughter; arson; and arrests or persons referred for
disciplinary action for liquor law violations, drug-related violations, and weapons possession. With the exception of the
last category of criminal offenses, if the victim in any of the other types of crimes was deliberately selected due to the
individual’s actual or perceived race, gender, religion, sexual orientation, ethnicity, or disability, the crime must be
reported as a hate crime. The statistics must be compiled according to the definitions used in the uniform crime
reporting system of the Department of Justice, Federal Bureau of Investigation, and the modifications of these
definitions included in the Hate Crimes Statistics Act. (See 34 CFR 668.46 for related regulatory requirements.)
Congressional Research Service
51
Reporting Requirements for IHEs to Participate in Federal Student Aid Programs
Missing Person Procedures
The HEOA amends the HEA by establishing requirements related to missing student notification.
Each institution is required to have a policy for students residing in on-campus housing that
informs them that they each have the option to identify someone to be contacted if they are
determined to be missing. The policy must also specify contact requirements for students under
the age of 18 who are determined to be missing, and indicate that law enforcement will be
contacted within 24 hours of a student being determined to be missing (§485(j)(1)). Prior to the
enactment of the HEOA, the HEA did not include reporting requirements related to missing
person procedures. (HEA, § 485(j).)
Reporting requirements applicable to institutions with respect to campus security, campus crime,
fire safety, and missing persons procedures are presented in Table 11.
Congressional Research Service
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Table 11. Reporting Requirements for IHEs Relating to Campus Security, Campus Crime, Fire Safety, and
Missing Persons Procedures
Requirements in the HEA prior to the enactment of the HEOA
Requirement
Citation
Changes to requirements made by the HEOA
Recipient of information
Requirement
Annual security report must
be made available to all
current students and
employees.
The HEOA modifies the statement
of current policies concerning
campus law enforcement, including
the relationship between campus
law enforcement and state and local
law enforcement agencies and
policies to promote the accurate
and prompt reporting of all crimes
to campus police and appropriate
law enforcement agencies to
require:
Citation
Recipient of information
§ 485(f)
No changes.
Campus Security and Campus Crime
Institutions must prepare an annual
report that includes:
A statement of current campus
policies regarding procedures for
the reporting of criminal actions
or other emergencies occurring
on campus and the institution’s
response to these reports;
A statement of current policies
concerning security and access to
campus facilities, including
residence halls;
A statement of current policies
concerning campus law
enforcement, including the
relationship between campus law
enforcement and state and local
law enforcement agencies, and
policies to promote the accurate
and prompt reporting of all
crimes to campus police and
appropriate law enforcement
agencies;
A description of the type and
frequency of programs designed
to inform students and employees
about campus security procedures
and to encourage them to be
responsible for their own security
and the security of others;
CRS-53
§ 485(f)
Annual security report must
be made available to any
prospective students or
employees (upon request).
A statement of the law
enforcement authority of
campus security personnel;
The working relationship of
campus security personnel with
state and local law
enforcement, including whether
agreements have been
established with such agencies
regarding the investigation of
alleged criminal offenses; and
Policies which encourage
accurate and prompt reporting
of all crimes to the campus
police and appropriate law
enforcement agencies.
Requirements in the HEA prior to the enactment of the HEOA
Requirement
Citation
Changes to requirements made by the HEOA
Recipient of information
Requirement
The annual security report
must be made available to all
current students and
employees.
The HEOA expands the list of
crimes for which the institution
must report whether the victim was
intentionally selected due to race,
gender, religion, sexual orientation,
ethnicity, or disability status to
include larceny-theft, simple assault,
intimidation, and destruction,
damage, or vandalism of property.
Citation
Recipient of information
§ 485(f)
No changes.
A description of programs
designed to inform students and
employees about crime
prevention;
A statement of policy concerning
the monitoring and recording of
criminal activity of off-campus
student organizations which are
recognized by the institution,
including those organizations with
off-campus housing;
A statement of policy regarding
the possession, use, and sale of
alcoholic beverages and the
possession, use, or sale of illegal
drugs; and
A statement indicating where
information about registered sex
offenders may be obtained.
The annual report must also include
statistics on criminal offenses reported
to campus security or local police
agencies that occurred on campus, in
dormitories or other student
residential facilities on campus, in or
on non-campus buildings or property,
and on public property during the
most recent calendar year and two
preceding calendar years for which
data are available for the following
criminal offenses reported to campus
security or local policy agencies:
Murder;
Sex offenses, forcible and
non-forcible;
Robbery;
CRS-54
§ 485(f)
The annual security report
must be made available to any
prospective students or
employees (upon request).
Data on crime statistics must
be submitted annually to the
Secretary.
Requirements in the HEA prior to the enactment of the HEOA
Requirement
Changes to requirements made by the HEOA
Citation
Recipient of information
Requirement
Citation
Recipient of information
§ 485(f)(1)
Annual security report must
be made available to all
current students and
employees.
Foreign institutions are no longer
required to distribute an annual
report on campus crime statistics.
§ 485(f)(1)
No reporting required.
Aggravated assault;
Burglary;
Motor vehicle theft;
Manslaughter;
Arson; and
Arrests or persons referred for
campus disciplinary actions for
drug, alcohol, or weapons
violations.
Whether the victim of any of these
crimes was intentionally selected due
to race, gender, religion, sexual
orientation, ethnicity, or disability
status; statistics must be disaggregated
based on where the crime occurred
(e.g., in a dormitory)
The annual report requirements apply
to all IHEs.
Annual security report must
be made available to any
prospective students or
employees (upon request).
Data on crime statistics must
be submitted annually to the
Secretary.
Each IHE must make timely reports to
the campus community regarding
crimes considered to be a threat to
students and employees with respect
to the aforementioned crimes that are
reported to campus police or local law
enforcement.
CRS-55
§ 485(f)(3)
Students and employees.
(Note: The HEOA only eliminated
the requirement that foreign
institutions prepare the annual
crime report. They are still required
to make timely warnings of crimes
considered to be a threat to the
campus community and to maintain
a daily log of crimes.)
No changes.
No changes.
Requirements in the HEA prior to the enactment of the HEOA
Changes to requirements made by the HEOA
Requirement
Citation
Recipient of information
An institution with a police or security
department must maintain a daily log of
all crimes reported to such police or
security department, including the
nature, date, time, and general location
of each crime; and the disposition of
the complaint (if known). Information
may be withheld if it would jeopardize
the confidentiality of a victim or an
ongoing investigation.
§ 485(f)(4)
Log must be publicly available.
No changes.
No changes.
The annual report must also include a
statement of policy regarding the
institution’s sexual assault prevention
programs and procedures that will be
followed if a sexual offense has
occurred, including prevention
programs; policies followed once a sex
offense occurs; relevant education
programs; possible sanctions;
procedures students should follow if a
sex offense occurs; procedures for oncampus disciplinary actions;
information on students’ options to
notify the appropriate authorities;
notification of counseling, mental
health, and student services available to
victims of sexual assault; and
notification of options for changing
academic and living situations.
§ 485(f)(8)
Annual security report must
be made available to all
current students and
employees.
No changes.
No changes.
Not applicable.
CRS-56
Requirement
Citation
Recipient of information
Annual security report must
be made available to any
prospective students or
employees (upon request).
Not applicable.
The HEOA establishes a
requirement that the annual security
report must include a statement of
current policies regarding immediate
emergency response and evacuation
procedures, including the use of
electronics and cellular
communication (if appropriate).
These policies must include
§ 485(f)
Information on immediate
emergency response and
evacuation procedures must
be made available to all
current students and
employees.
Information on immediate
emergency response and
evacuation procedures must
Requirements in the HEA prior to the enactment of the HEOA
Requirement
Citation
Recipient of information
Changes to requirements made by the HEOA
Requirement
Citation
procedures to:
Recipient of information
be made available to any
prospective students or
employees (upon request).
“immediately notify the campus
community” about a significant
emergency or dangerous
situation occurring on campus
that involves an immediate
threat to the health and safety
of students or staff;
publicize these procedures on
an annual basis in a manner
designed to reach students and
employees; and
conduct annual tests of
emergency response and
evacuation procedures.
Fire Safety
Not applicable.
Not applicable.
Each institution that maintains oncampus student housing facilities
must publish an annual fire safety
report that contains information
with respect to the institution’s
campus fire safety practices and
standards, including:
For each on-campus student
housing facility, statistics on
The number of fires and
the cause of each fire;
The number of injuries
related to a fire that
resulted in treatment at a
medical facility;
The number of deaths
related to a fire; and
The value of property
CRS-57
§ 485(i)(1)
and
§ 485(i)(2)
Report must be publicly
disclosed.
Fire statistics must be
submitted to the Secretary
annually.
Requirements in the HEA prior to the enactment of the HEOA
Requirement
Citation
Recipient of information
Changes to requirements made by the HEOA
Requirement
Citation
Recipient of information
§ 485(i)
Information on fires recorded
in the log must be publicly
disclosed to the campus
community on an annual
basis.
damage caused by a fire;
A description of each oncampus housing facility fire
safety system;
The number of regular
mandatory supervised fire
drills;
Policies or rules on
portable electrical
appliances, smoking, and
open flames;
Procedures for
evacuation;
Policies regarding fire
safety education and
training programs for
students, faculty, and staff;
and
Plans for future
improvements in fire
safety, if determined
necessary by the IHE.
Not applicable.
CRS-58
Not applicable.
Each institution must make, keep,
and maintain a log of all fires that
occur in on-campus student housing
facilities that includes the nature,
date, time, and general location of
each fire. In addition, each
institution must make annual
reports to the campus community
about fires recorded in the log.
Requirements in the HEA prior to the enactment of the HEOA
Requirement
Citation
Recipient of information
Changes to requirements made by the HEOA
Requirement
Citation
Recipient of information
§ 485(j)
Information must be provided
to students living in oncampus housing.
Missing Person Procedures
Not applicable.
Not applicable.
Institution must establish a missing
student notification policy for
students who reside in on-campus
housing that:
Informs each student of their
option to identify a person to
be contacted by the institution
within 24 hours should the
student be determined to be
missing,
Informs each student under the
age of 18 that their custodial
parent or guardian will be
contacted by the institution
within 24 hours should the
student be determined to be
missing, and
Informs each such student
residing in on-campus housing
that the institution will notify
the appropriate law
enforcement agency within 24
hours of determining that a
student is missing.
Source: Prepared by CRS based on an analysis of the Higher Education Act (HEA) of 1965, as amended prior to August 2008; amendments to the HEA made by the
Higher Education Opportunity Act (P.L. 110-315) and P.L. 111-39; and applicable regulations.
CRS-59
Reporting Requirements for IHEs to Participate in Federal Student Aid Programs
Program Participation Agreement
The Program Participation Agreement (PPA) is a document that each institution is required to
sign in order to participate in federal student aid programs, and which also contains general
reporting requirements for institutions. In some instances, these requirements may be redundant
with those specified in other sections of the HEA, while in other instances they may add new
requirements, or provide clarification of or additional information about a requirement that is
mentioned elsewhere in the HEA. For example, the PPA requires that if an institution uses job
placement rates as a means of attracting students, it must make the most recent employment
statistics, graduation statistics, and other information available to substantiate the advertised rates,
as well as relevant state licensing requirements for the state in which the institution is located
related to any jobs for which the program is designed to prepare students. This requirement is not
stated clearly elsewhere in the HEA, although this is information that accrediting agencies are
required to review. (HEA § 487(a); and 34 CFR § 668.14.) Provisions of PPAs that require the
reporting or disclosure of information are presented in Table 12.
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Table 12. Reporting Requirements for IHEs with Respect to Program Participation Agreements
Requirements in the HEA prior to the enactment of the HEOA
Requirement
Citation
Recipient of information
Changes to requirements made by the HEOA
Requirement
Citation
Recipient of information
Contents of program participation agreements
Institutions must establish and
maintain administrative and fiscal
procedures and records to ensure
the efficient administration of
federal student aid funds.
§ 487(a)(3)
Upon request, institutions must
provide relevant information to
the Secretary, the appropriate
guarantee agency, and the
appropriate accrediting agency.
No changes.
No changes.
Institutions must submit reports
to the Secretary and to holders of
loans (if the institution participates
in the FFEL or Perkins Loan
programs) “at such times and
containing such information as the
Secretary may reasonably require
to carry out the purpose” of
Title IV.
§ 487(a)(5)
Secretary and holders of loans
(for institutions participating in
the FFEL or Perkins Loan
programs).
No changes.
No changes.
Institutions must comply with
HEA, § 485, which includes
multiple reporting requirements
related to institutional and
financial assistance information for
students, as well as data on crime
and student athletic aid (see
above).
§ 487(a)(7)
See above discussion of data
requirements for § 485.
No changes.
No changes.
CRS-61
Requirements in the HEA prior to the enactment of the HEOA
Changes to requirements made by the HEOA
Requirement
Citation
Recipient of information
Institutions that advertise job
placement rates as a way to
recruit students must make
available the most recent data
concerning employment statistics,
graduation rates, and other data
needed to verify the truthfulness
of the advertisements, as well as
relevant state licensing
requirements for the state in
which the institution is located for
any job for which the course of
instruction prepares students.
§ 487(a)(8)
Prospective students at or before
the time they apply.
No changes.
No changes.
Institutions that participate in the
FFEL or DL loan programs must
inform all eligible borrowers
about the availability of and their
eligibility for state grant assistance
from the state in which the
institution is located and must
inform eligible borrowers from
other states where they may
obtain information about grant
assistance from those states.
§ 487(a)(9)
Information must be provided to
all eligible borrowers.
No changes.
No changes.
Institutions must certify operation
of a drug abuse prevention
program that is accessible to any
officer, employee, or student at
the institution.
§ 487(a)(10)
Based on § 120; certification is
made to the Secretary.
No changes.
No changes.
Institution must certify the
establishment of a campus security
policy and compliance with the
disclosure requirements in §
485(f) related to campus security.
§ 487(a)(12)
Certification is presumably made
to the Secretary.
No changes.
No changes.
CRS-62
Requirement
Citation
Recipient of information
Requirements in the HEA prior to the enactment of the HEOA
Changes to requirements made by the HEOA
Requirement
Citation
Recipient of information
Institutions must develop a
Default Management Plan as part
of their initial application for
certification in order to
participate in the FFEL or DL
programs.
§ 487(a)(14)
Plans must be submitted to the
Secretary for approval.
No changes.
No changes.
Institutions that undergo a change
in ownership or a change in status
as a parent or subordinate
institution must develop a Default
Management Plan in order to
participate in the FFEL or DL
programs.
§ 487(a)(14)
Plans must be submitted to the
Secretary for approval.
No changes.
No changes.
Institutions must respond to
IPEDS or any other federal
postsecondary institution data
collection effort in a timely
manner and to the satisfaction of
the Secretary. (A separate
discussion of current
postsecondary education data
collections appears in the
Appendix to this report.)
§ 487(a)(17)
Survey administrator designated
by ED.
No changes.
No changes.
Institutions must meet the
requirements of § 485(g), which
require reporting on data related
to intercollegiate athletic
programs at coeducational
institutions.
§ 487(a)(18)
Report must be submitted to the
Secretary annually.
No changes.
No changes.
Institutions must comply with
requirements established by the
Secretary and accrediting agencies
or associations, and must provide
evidence that they are authorized
to operate within a state.
§ 487(a)(21)
No changes.
No changes.
CRS-63
Requirement
Citation
Recipient of information
Report must be made available to
students and potential students,
upon request, and to the public.
Students must be informed of
their right to request the report.
Secretary.
Requirements in the HEA prior to the enactment of the HEOA
Changes to requirements made by the HEOA
Requirement
Citation
Recipient of information
Requirement
Citation
Institutions located in states to
which certain provisions of the
National Voter Registration Act
do not apply, must made a good
faith effort to distribute mail voter
registration forms to all students
and to make mail voter
registration forms widely available.
§ 487(a)(23)
All students enrolled in a degree
or certificate program or
physically in attendance at the
institution.
The HEOA amends this
requirement to allows institutions
to comply with the voter
registration requirements by
electronically transmitting a
message containing a voter
registration or a link to a voter
registration form if the electronic
message only addresses voter
registration with respect to
general and special elections for
federal office and state chief
executive.
§ 487(a)(23)
No changes.
Not applicable.a
Not applicable.
Proprietary institutions must
derive not less than 10% of their
revenue from non-Title IV
sources of funds as calculated
according to provisions specified
at HEA, § 487(d). While not
explicitly stated in statutory
language, each proprietary
institution must report the results
of this calculation.
§ 487(a)(24)
Secretary.
Not applicable.
Not applicable.
Institutions that participate in a
Title IV loan program must
develop a code of conduct with
respect to student loans and with
which the institution’s officers,
employees, and agents must
comply. The code of conduct
must prohibit conflicts of interest
with the responsibilities of such
individuals with respect to
student loans and must include
provisions specified at § 487(e).b
§ 487(a)(25)
The code of conduct must be
made publicly available on the
institution’s website.
CRS-64
Recipient of information
All of the institution’s officers,
employees, and agents with
responsibilities for Title IV
loans must be annually informed
about the provisions of the
code of conduct.
Requirements in the HEA prior to the enactment of the HEOA
Requirement
Citation
Recipient of information
Changes to requirements made by the HEOA
Requirement
Citation
Recipient of information
Not applicable.
Not applicable.
Upon written request, institutions
must disclose to the alleged
victim of any crime of violence or
a non-forcible sex offense, the
report on the results of any
disciplinary proceeding conducted
by the institution against a
student who is the alleged
perpetrator of such crime or
offense with respect to such
crime or offense.
§ 487(a)(26)
Alleged victim of such crime or
offense. (If the alleged victim is
deceased as a result of such
crime or offense, the
information must be disclosed
upon request to the victim’s
next of kin.)
Not applicable.
Not applicable.
Institutions that have entered into
a preferred lender arrangement
must, at least annually, compile,
maintain, and make available a list
(in print or other medium) of the
specific lenders for loans made,
insured, or guaranteed under
Title IV, or private education
loans that the institution
recommends, promotes, or
endorses in accordance with such
preferred lender arrangement.
Preferred lender lists must
comply with the requirements of
§ 487(h) (see below).
§ 487(a)(27)
Students attending the
institution and their families.
Not applicable.
Not applicable.
Upon the request of an applicant
for a private education loan,
institutions must provide to the
applicant the form required under
the Truth in Lending Act and the
information required to complete
such form, to the extent the
institution possesses such
information. (See Title I-E, above.)
§ 487(a)(28)
Applicants for private education
loans.
CRS-65
Requirements in the HEA prior to the enactment of the HEOA
Requirement
Citation
Recipient of information
Changes to requirements made by the HEOA
Requirement
Citation
Recipient of information
Audits, Financial Responsibility, and Enforcement of Standards
Institutions must annually have
conducted a financial audit of the
institution with respect to the
financial condition of the
institution in its entirety, and a
compliance audit with regard to
Title IV funds.
§ 487(c)
Results of audits must be
submitted to the Secretary, and
shall be made available to
cognizant guaranty agencies,
eligible lenders, and state
agencies.
Institutions must furnish to the
holder of a loan insured under
Title IV, the latest known address
and enrollment status of any
student who has a loan ensured
under Title IV and who has either
formally terminated enrollment or
has failed to re-enroll on at least a
half-time basis at the institution.
This information must be
provided within 60 days of
termination of enrollment or
failure to re-enroll.
§ 487(c); and
Holders of federal student loans.
The Secretary may modify these
requirements with respect to
foreign IHEs; and may waive these
requirements with respect to
foreign IHEs whose students
receive less than $500,000 in
student loans in the award year
preceding the audit period.
§ 487(c)
No change.
Institutions that have entered into
preferred lender arrangements
must annually compile, maintain,
and make available preferred
lender lists that clearly disclose
the following:
§ 487(h)
Preferred lender lists must be
made available to students
attending the IHE and their
families.
§ 428(a)
Preferred Lender Lists
Not applicable.
Not applicable.
The information relating to
education loans required to
be disclosed under Title I-E,
§ 153(a)(2)(A) (see above);
Why the IHE has entered
into a preferred lender
arrangement with each
CRS-66
Requirements in the HEA prior to the enactment of the HEOA
Requirement
Citation
Recipient of information
Changes to requirements made by the HEOA
Requirement
Citation
Recipient of information
lender on the list,
particularly with respect to
terms and conditions
favorable to borrowers;
The method and criteria
used to select lenders for
preferred lender
arrangements, including
lender-provided borrower
benefits and high-quality loan
servicing; and
That students and their
families do not have to
borrow from a lender on the
preferred lender list.
Preferred lender lists must
contain at least three unaffiliated
lenders of FFEL program loans;
and if an IHE recommends private
education loans, lists must contain
at least two unaffiliated lenders of
private loans; and
Preferred lender lists must
indicate for each preferred lender
whether it is an affiliate of any
other lender on the list; and for
those that are affiliated, details of
the affiliation.
Source: Prepared by CRS based on an analysis of the Higher Education Act (HEA) of 1965, as amended prior to August 2008; amendments to the HEA made by the
Higher Education Opportunity Act (P.L. 110-315) and P.L. 111-39; and applicable regulations.
a.
This requirement was previously included in § 102 of the HEA. The requirement was removed from that section and moved to § 487 by the HEOA.
b.
Codes of conduct must include a ban on revenue-sharing arrangements with lenders; a ban against employees of the financial aid office receiving gifts from lenders,
compensation through consulting arrangements or contracts with lenders, and compensation for service on an advisory board, commission, or group established by a
lender; prohibitions against IHEs steering borrowers to particular lenders, and against delaying or refusing to certify loans based on a borrower’s selection of lender or
guaranty agency; a ban against IHEs receiving funds from lenders for private loans or opportunity pools in exchange for entering into a preferred lender arrangement;
and a ban against financial aid offices receiving staffing assistance from lenders. (HEA, § 487(e)).
CRS-67
Reporting Requirements for IHEs to Participate in Federal Student Aid Programs
Title IV, Part H—Program Integrity
Part H of Title IV specifies the roles and responsibilities for the three aspects of the program
integrity triad: (1) state authorization, (2) accreditation by an accrediting organization recognized
by the Secretary of Education, and (3) eligibility and certification by ED. The triad is intended to
provide balance in assuring the eligibility of institutions for Title IV programs. The state role is
primarily one of consumer protection, while the accrediting agencies are intended to function as a
quality assurance mechanism. These two legs of the triad were developed independently of the
federal government. The federal government has historically relied on them to avoid generating
concerns about federal interference in educational decision-making. ED is responsible for the
third leg of the triad, oversight of compliance; that is, protecting the administrative and fiscal
integrity of the federal student aid programs. Most of the reporting requirements in Part H are
imposed in response to the third leg of the triad. These requirements, however, are generally
specified in regulations rather than statutory language.
State Authorization
The state role in the triad is to provide legal authority for postsecondary institutions to operate in
the state in which they are located. The state provides legal authorization to an institution through
a charter, license, or other written document issued by the appropriate state agency or state
official. Each institution is required to provide evidence to the Secretary that the institution has
authority to operate within a state at the time it is certified as eligible for the Title IV federal
student aid programs (see discussion below). The HEOA did not amend this requirement. (HEA §
495.)
Accreditation
The second aspect of the triad focuses on accreditation. Institutions that want to participate in the
federal student financial aid programs must be accredited by an accrediting agency or
organization recognized by the Secretary. The HEA, both prior to and after the enactment of the
HEOA, includes numerous requirements that accrediting agencies must meet to gain recognition
from the Secretary. These provisions require the accreditors to assess specific aspects of an
institution, such as its success with respect to student achievement, curricula, faculty, and student
support services. While these provisions apply directly to accrediting agencies, they have an
indirect effect on institutions in so far as institutions must provide information and data that
accrediting agencies must examine in order to gain recognition from the Secretary. Therefore, this
section examines potential reporting requirements that may be placed on institutions by
accrediting agencies in response to the requirements accrediting agencies must meet to be
recognized by the Secretary. It is unclear to what extent these requirements are actually reporting
requirements that are placed on institutions. In addition, this section focuses only on potential
institutional reporting in response to the requirements in the HEA. Accrediting agencies may have
their own institutional reporting requirements that are not addressed in the HEA.
Accrediting agencies must consistently apply and enforce standards that ensure that the education
programs, training, or courses of study offered by an IHE are of sufficient quality to meet the
stated objectives for which the programs, training, or courses are offered. The standards used by
the accrediting agency or association must assess student achievement, in relation to the
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Reporting Requirements for IHEs to Participate in Federal Student Aid Programs
institution’s mission, including, as applicable, course completion, passage of state licensing
examinations, and job placement rates. The accrediting organization must also consider the
institution’s curricula, faculty, facilities, fiscal and administrative capacity, student support
services, recruiting and admissions practices, measures of program length, objectives of the
credentials offered, and student complaints received directly by the agency or association or those
that are available to the agency or association. The institution’s record of compliance with the
institutional requirements of Title IV must also be examined with respect to the most recent
student loan default rate data provided by ED, the results of financial or compliance audits,
program reviews, and other information provided to the agency or association by ED. (HEA
§496(a).)
The HEOA amended the HEA by modifying and adding requirements related to accreditors’
assessments of institutions. When consistently applying and enforcing standards, an accrediting
agency must do so in a manner that respects the stated mission of the institution, including
religious missions. The HEOA also requires accrediting agencies to require institutions that offer
distance education or correspondence education to have a process by which the institution is able
to determine that the student who registers for a course is the student who participates in,
completes, and receives credit for the course. When accrediting agencies evaluate the institution’s
success with respect to student achievement, their evaluation may include different standards for
different institutions or programs, as established by the institution. Finally, as part of an
accrediting agency’s review of an institution for accreditation or reaccreditation, the accrediting
agency must confirm that the institution has transfer of credit policies that are publicly disclosed
and include a statement of the criteria used to make transfer-of-credit decisions.
As previously mentioned, this overview of HEA reporting requirements does not focus on the
accreditation process. However, there are two sets of special circumstances in which an institution
must report information directly to the Secretary with respect to a change in accreditation.
Institutions seeking a change in accreditation must provide all materials related to its prior
accreditation or preaccreditation, and materials substantiating the need for the change, to the
Secretary. In addition, institutions seeking multiple accreditations must provide the Secretary and
each accrediting agency with the reasons they seek to do so. (34 CFR § 600.11.) The HEOA did
not amend these requirements.
Table 13 details potential reporting requirements that may be placed on institutions by accrediting
agencies in response to the requirements accrediting agencies must meet to be recognized by the
Secretary. Unlike previous reporting requirements discussed in this report, it is unclear to what
extent these are actually reporting requirements with which institutions must comply.
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Table 13. Reporting Requirements That May Apply to IHEs with Respect to Accreditation
Requirements in the HEA prior to the enactment of the HEOA
Requirement
Citation
Changes to requirements made by the HEOA
Recipient of information
Requirement
Citation
Recipient of information
Requirements for the recognition of accrediting agencies that may be imposed on IHEs
Accrediting agencies must assess the
institution’s:
Success with respect to student
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