Application for Approval to Participate in Federal Student Financial Aid Programs

Application for Approval to Participate in Federal Student Financial Aid
Programs
U.S. Department of Education, Federal Student Aid,
Program Compliance, School Eligibility Service Group

Introduction
What is this document?
When must an institution submit this application?
How is this application organized?
Why is there a glossary?
Paperwork Reduction Statement
Privacy Act Disclosure Notice
How to complete this application
What is your status during our review period?
What if you have questions?

What is this document?
This is an application that a postsecondary educational institution must complete and
submit to the U.S. Department of Education:
•
•

•
•

•

to be approved for the first time (initial certification) to participate in federal student
financial aid programs,
to be approved following a change of ownership, a conversion to a nonprofit institution,
or a merger of two or more institutions (referred to as a "change in ownership or
structure" for the remainder of this application) to participate in federal student financial
aid programs,
to be reapproved (recertification) to participate in federal student financial aid programs,
to be designated as an "eligible institution" under the Higher Education Act of 1965, as
amended (HEA), so that its students may receive deferments under federal student loan
programs, so that the institution may apply to participate in federal HEA programs
including the student financial aid programs, or so that your students may claim an
education tax credit such as the American Opportunity Tax Credit or Lifetime Learning
Credit,
to be reinstated to participate in federal student financial aid programs.

When must an institution submit this application?

An institution (referred to as "you" for the remainder of this application) must submit
this application to the U.S. Department of Education (referred to as "we" for the
remainder of this application) when:
•
•

•

•

You wish to be initially certified to participate in federal student financial aid programs.
You undergo a change of ownership or structure and you wish to participate in federal
student financial aid programs. You must notify us no later than 10 calendar days after
the change becomes effective. If this due date falls on a weekend or a federal holiday,
you may submit the notification no later than the next business day. After you receive
your state and accrediting agency approvals, submit this application and mail copies of
the approvals to us. We encourage you to complete your application and submit it as soon
as possible.
You wish to be recertified to continue to participate in federal student financial aid
programs. You should submit this fully completed application before the expiration date
in your Program Participation Agreement (PPA). If you submit your application to us no
later than 90 calendar days before your PPA expires, your eligibility to participate in
federal student financial aid programs continues until your application is either approved
or denied. This is true even if we do not complete our evaluation of your application
before the PPA expiration date. (For example, if your PPA expires on June 30 and you
submit your application by March 31, you will remain certified during our review period
even if our review extends beyond June 30.) If the 90th day before your PPA's expiration
falls on a weekend or a federal holiday and you submit your application no later than the
next business day, we will consider the application to be submitted 90 calendar days
before your PPA expires.
You wish to become eligible so that your students may receive deferments under federal
student loan programs, so that you may participate in federal HEA programs including
the student financial aid programs, or so that your students may claim an education tax
credit such as the American Opportunity Tax Credit or Lifetime Learning Credit.

or
•

You wish to be reinstated to participate in federal student financial aid programs.

We will consider your date of submission to be the date you used the "Submit
Application" page to electronically submit the application to us.

How is this application organized?
This application is divided into 13 sections, plus a glossary at the end.
•
•
•

Section A through Section D contain general questions about your institution.
Section E and Section F contain questions about your educational programs and
locations.
Section G contains questions about your distance education and correspondence courses,
students enrolled under ability-to-benefit provisions, and incarcerated students.

•
•
•
•
•
•
•

Section H is for institutions that are initial applicants, institutions with a change in
ownership or structure, and institutions seeking reinstatement.
Section I is for foreign institutions, including foreign graduate medical schools.
Section J contains questions about your third-party servicers including your ability to
benefit tester.
Section K contains questions about your administrative capability and your financial
responsibility.
Section L must be signed by your President/CEO/Chancellor and mailed to us.
Section M contains a list of documents you must send to us with the signature page
(Section L).
Glossary

Note: To expand on any of your answers, you may use Question 69.
Why is there a glossary?
We mean a specific definition for many of the words and phrases in this application,
such as "regular student," "award year," and "federal student financial aid programs."
When filling out the application, you must be sure that you know how terms are
defined. The definitions contained in the glossary generally are restatements of
statutory or regulatory definitions.

Paperwork Reduction Statement
According to the Paperwork Reduction Act of 1995, no persons are required to
respond to a collection of information unless such collection displays a valid OMB
control number. Public reporting burden for this collection of information is estimated
to average 17 hours per response, including time for reviewing instructions, searching
existing data sources, gathering and maintaining the data needed, and completing and
reviewing the collection of information. The obligation to respond to this collection is
required to obtain or retain benefit (Higher Education Act of 1965, as amended
(HEA)). Send comments regarding the burden estimate or any other aspect of this
collection of information, including suggestions for reducing this burden, to the U.S.
Department of Education, 400 Maryland Ave., SW, Washington, DC 20210-4537 or
email ICDocketMgr@ed.gov and reference the OMB Control Number 1845-0012.

Privacy Act Disclosure Notice
Thank you for visiting our Web site. Postsecondary institutions use the E-APP to
apply for designation as an eligible institution, initial participation, recertification,
reinstatement, or continued approval after a change in ownership, or to update a
current approval. Updates include changes such as, but not limited to, name or

address change, new location or program, increased level of offering, change of
officials, or mailing address for publications. This includes information about the
school’s name, address, locations, programs, officials, authorizing agencies, owners
and servicers. We only collect information that we need to determine if the institution
is eligible, and if applicable, certified to participate in the Title IV, HEA
programs. The information that is being requested is mandated by the Higher
Education Act and Title 31 as amended by Section 31001 of Public Law 104-134 of
the Debt Collection Improvement Act of 1996. Section 498A(a)(3) of the HEA
requires the Secretary to establish a central database of information on institutional
accreditation, eligibility, and certification that includes all information available to the
Department. Section 498A(c) instructs the Secretary to make this information
available to all institutions of higher education, guaranty agencies, states, and other
organizations participating in the programs authorized under Title IV of the
HEA. Please note: the Application requests the Social Security numbers (SSNs) of
the owners of the institution. The SSNs are used to determine institutional eligibility
and to verify identities. The SSNs are collected under the authority of the Debt
Collection Improvement Act of 1996, Pub. L. 104-134. This act requires Federal
agencies to secure the TIN (the Social Security Number, for individuals) of persons
"doing business with the agency," a term that includes being "in a relationship with
the agency that may give rise to a receivable due that agency." 31 U.S.C. §7701(c)(1),
(2)(E). Due to security concerns, U.S. Department of Education is not collecting SSNs
on this website at this time. Instead, if applicable, you must submit your SSNs to U.S.
Department of Education by writing them on Section M of the application and
including it with your supporting documents.
No cookies or other tracking technology are used on the website.
If you decide to send us an electronic mail message (e-mail), the message will usually
contain our return e-mail address. If you include personally identifiable information
in your e-mail because you want us to address issues specific to your situation, we
may use that information in responding to your request. This information is not
maintained in a privacy act system of records. Also e-mail is not necessarily secure
against interception. Please send only information necessary to help us process your
application.
If you chose not to submit an Application for Approval to Participate in Federal
Student Financial Aid Programs, the institution cannot be determined to be eligible or
continued to be eligible for the Title IV FSA programs.
Please contact us at U. S. Department of Education, Federal Student Aid, 830 First
Street, NE, Washington, DC 20002-5402, or call 1-800 872-5327, or email us

at customerservice@inet.ed.gov to ask any questions regarding our Privacy Policy and
our Privacy Statement.

How to complete this application
Step You must have an OPE ID assigned by the U.S. Department of Education to use the
1:
Electronic Application. Read each section that you are required to complete and identify
the kinds of information and documents you will need to collect. Note that you will not
have to complete every section of the application. Determine the information that you
need from other offices and request it. At the time of your request, also ask those offices
to notify you if the information changes.
Step Gather the information and fill out the application. Refer to the Help Page for additional
2:
assistance in filling out the electronic application.
Step If you have any questions, please contact the appropriate School Participation Division
3:
(listed at the end of this Introduction) by telephone, fax, or Internet.
Step After you have filled out your application, you must submit it electronically. For your
4:
electronic application to be considered submitted to U.S. Department of Education, you
must:
• Click on the Submit the Application link from the Index page or Section M (there
is also a submit option available from the bottom of each application page).
• If there are any edit errors on the application or if any required fields have not
been entered, messages will display to indicate what changes are required with hot
links to follow to access the appropriate section of the application directly.
• If all required entries have been made on your application and all edit errors have
been corrected, a "Submit Application" button will display.
• Click on this button to submit your application to U.S. Department of Education
• A page will display with the message "Your application has been received by
the U.S. Department of Education." to verify that the application has been
submitted.
• If you need to make additional changes to your application after it is submitted the
first time, follow this same process to resubmit the application after completing the
changes.
Step Have the President/CEO/Chancellor of your institution review the application and sign the
5:
signature page (Section L).
Step Keep a copy of the application and the required supporting documentation for your
6:
records (see Section M for a list of attachments required with your application).
Step Send the signature page (Section L) and copies of required supporting documents to us.
7:
Do not mail the rest of the application to U.S. Department of Education.

Send the signature page and copies of required supporting documents to the following
address (To assist in the processing of your application, please send all supporting
documents via commercial overnight delivery.):
U.S. Department of Education
Federal Student Aid
School Eligibility Service Group
830 First Street, NE
Washington, DC 20202-5402
We recommend that you retain proof of when you submit the application.
Step Respond to any additional questions that we might have about your application during our
8:
review period. You will receive any such requests generally within 90 days of our
receiving your application. We might ask for materials, such as your catalog or copies of
contracts with third-party servicers. We also will use information from documents on file
that you already submitted to us.

Depending on the outcome of our review, either we will send you a Program
Participation Agreement to sign (and further instructions) or we will notify you that
your application is denied.

What is your status during our review period?
During our review period, your status will be as follows:
•

If you have never been certified, you will not be considered certified during our review
period.

•

If you change ownership or structure, the Secretary may continue the institution's
participation on a provisional basis, provided that the institution under the new ownership
submits a "materially complete application" that is received by the Secretary no later than
10 business days after the change occurs.

•

If you were certified, you will remain certified during our review period if you submit
your application during the correct time frame described earlier.

•

If you never have been an eligible institution under the HEA, you will not be considered
eligible during our review period.

or

or

or

or
•

If you once participated in federal student financial aid programs but no longer do so, you
will not be considered certified during our review period.

What if you have questions?
For additional help in filling out the Electronic Application, refer to the Help
Document
If you have questions, please contact the appropriate School Participation Division by
telephone, fax or Internet.
If you are a foreign institution or foreign graduate medical school, contact the Foreign
School Participation Division at:
Telephone: (202) 377-3168
Fax: (202) 275-3486
Email: SPD
For all other schools contact the appropriate School Participation Division identified
below.
If you are located in...

Contact the...

by
telephone...

by fax...

or by
Email...

Alabama

Atlanta Division

(404)9749303

(404)9749322

SPD

Alaska

SanFrancisco/Seattle
Division

(206)6152594

(206)6152508

SPD

American Samoa

SanFrancisco/Seattle
Division

(415)4865677

(415)4865676

SPD

Arizona

SanFrancisco/Seattle
Division

(415)4865677

(415)4865676

SPD

Arkansas

Dallas Division

(214)6619490

(214)6619662

SPD

California

SanFrancisco/Seattle
Division

(415)4865677

(415)4865676

SPD

Colorado

Chicago/Denver Division

(303)8443677

(303)8444695

SPD

Connecticut

New York/Boston
Division

(617)2890133

(617)2890153

SPD

Delaware

Philadelphia Division

(215)6566442

(215)6566499

SPD

District of Columbia

Philadelphia Division

(215)6566442

(215)6566499

SPD

Federated States of
Micronesia

SanFrancisco/Seattle
Division

(415)4865677

(415)4865676

SPD

Florida

Atlanta Division

(404)9749303

(404)9749322

SPD

Georgia

Atlanta Division

(404)9749303

(404)9749322

SPD

Guam

SanFrancisco/Seattle
Division

(415)4865677

(415)4865676

SPD

Hawaii

SanFrancisco/Seattle
Division

(415)4865677

(415)4865676

SPD

Idaho

SanFrancisco/Seattle
Division

(206)6152594

(206)6152508

SPD

Illinois

Chicago/Denver Division

(312)7301511

(312)7301520

SPD

Indiana

Chicago/Denver Division

(312)7301511

(312)7301520

SPD

Iowa

Kansas City Division

(816)2680410

(816)2680444

SPD

Kansas

Kansas City Division

(816)2680410

(816)2680444

SPD

Kentucky

Kansas City Division

(816)2680410

(816)2680444

SPD

Louisiana

Dallas Division

(214)6619490

(214)6619662

SPD

Maine

New York/Boston
Division

(617)2890133

(617)2890153

SPD

Maryland

Philadelphia Division

(215)6566442

(215)6566499

SPD

Massachusetts

New York/Boston
Division

(617)2890133

(617)2890153

SPD

Michigan

Chicago/Denver Division

(303)8443677

(303)8444695

SPD

Minnesota

Chicago/Denver Division

(312)7301511

(312)7301520

SPD

Mississippi

Atlanta Division

(404)9749303

(404)9749322

SPD

Missouri

Kansas City Division

(816)2680410

(816)2680444

SPD

Montana

Chicago/Denver Division

(303)8443677

(303)8444695

SPD

Nebraska

Kansas City Division

(816)2680410

(816)2680444

SPD

Nevada

SanFrancisco/Seattle
Division

(415)4865677

(415)4865676

SPD

New Hampshire

New York/Boston
Division

(617)2890133

(617)2890153

SPD

New Jersey

New York/Boston
Division

(646)4283750

(646)4283742

SPD

New Mexico

Dallas Division

(214)6619490

(214)6619662

SPD

New York

New York/Boston
Division

(646)4283750

(646)4283742

SPD

North Carolina

Atlanta Division

(404)9749303

(404)9749322

SPD

North Dakota

Chicago/Denver Division

(303)8443677

(303)8444695

SPD

Northern Marianas

SanFrancisco/Seattle
Division

(415)4865677

(415)4865676

SPD

Ohio

Chicago/Denver Division

(312)7301511

(312)7301520

SPD

Oklahoma

Dallas Division

(214)6619490

(214)6619662

SPD

Oregon

SanFrancisco/Seattle
Division

(206)6152594

(206)6152508

SPD

Pennsylvania

Philadelphia Division

(215)6566442

(215)6566499

SPD

Puerto Rico

New York/Boston
Division

(646)4283750

(646)4283742

SPD

Republic of Palau

SanFrancisco/Seattle
Division

(415)4865677

(415)4865676

SPD

Republic of the Marshall SanFrancisco/Seattle
Islands
Division

(415)4865677

(415)4865676

SPD

Rhode Island

New York/Boston
Division

(617)2890133

(617)2890153

SPD

South Carolina

Atlanta Division

(404)9749303

(404)9749322

SPD

South Dakota

Chicago/Denver Division

(303)8443677

(303)8444695

SPD

Tennessee

Kansas City Division

(816)2680410

(816)2680444

SPD

Texas

Dallas Division

(214)6619490

(214)6619662

SPD

U.S. Virgin Islands

New York/Boston
Division

(646)4283750

(646)4283742

SPD

Utah

Chicago/Denver Division

(303)8443677

(303)8444695

SPD

Vermont

New York/Boston
Division

(617)2890133

(617)2890153

SPD

Virginia

Philadelphia Division

(215)6566442

(215)6566499

SPD

Washington

SanFrancisco/Seattle
Division

(206)6152594

(206)6152508

SPD

West Virginia

Philadelphia Division

(215)6566442

(215)6566499

SPD

Wisconsin

Chicago/Denver Division

(312)7301511

(312)7301520

SPD

Wyoming

Chicago/Denver Division

(303)8443677

(303)8444695

SPD