[Federal Register Volume 81, Number 63 (Friday, April 1, 2016)]
[Notices]
[Pages 18843-18847]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-07411]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF EDUCATION
Free Application for Federal Student Aid (FAFSA[supreg])
Information To Be Verified for the 2017-2018 Award Year
AGENCY: Office of Postsecondary Education, Department of Education.
ACTION: Notice.
-----------------------------------------------------------------------
[CFDA Numbers: 84.007, 84.033, 84.038, 84.063, and 84.268.]
SUMMARY: For each award year, the Secretary publishes in the Federal
Register a notice announcing the FAFSA information that an institution
and an applicant may be required to verify, as well as the acceptable
documentation for verifying FAFSA information. This is the notice for
the 2017-2018 award year.
FOR FURTHER INFORMATION CONTACT: Jacquelyn C. Butler, U.S. Department
of Education, 400 Maryland Avenue SW., Room 6W232, Washington, DC
20202. Telephone: (202) 453-6088.
If you use a telecommunications device for the deaf (TDD) or a text
telephone (TTY), call the Federal Relay Service (FRS), toll free, at 1-
800-877-8339.
Individuals with disabilities can obtain this document in an
accessible format (e.g., braille, large print, audiotape, or compact
disc) on request to the program contact person listed under FOR FURTHER
INFORMATION CONTACT.
SUPPLEMENTARY INFORMATION: The Secretary includes on the applicant's
Institutional Student Information Record (ISIR) flags that indicate (1)
that the applicant has been selected by the Secretary for verification
and (2) the
[[Page 18844]]
Verification Tracking Group in which the applicant has been placed.
This, in turn, indicates which FAFSA information needs to be verified
for that applicant and, if appropriate, for the applicant's parent(s)
or spouse. The Student Aid Report (SAR) provided to the applicant will
indicate that the applicant's FAFSA information has been selected for
verification and direct the applicant to contact the institution for
further instructions for completing the verification process.
The following chart lists, for the 2017-2018 award year, the FAFSA
information that an institution and an applicant and, if appropriate,
the applicant's parent(s) or spouse, may be required to verify under 34
CFR 668.56. The chart also lists the acceptable documentation that
must, under Sec. 668.57, be provided to an institution for that
information to be verified.
------------------------------------------------------------------------
FAFSA Information Acceptable documentation
------------------------------------------------------------------------
Income information for tax For income information listed under
filers: items a through g for tax filers--
a. Adjusted Gross Income (AGI) (1) 2015 tax account information of
b. U.S. Income Tax Paid the tax filer that the Secretary has
c. Untaxed Portions of IRA identified as having been obtained
Distributions from the Internal Revenue Service
d. Untaxed Portions of Pensions (IRS) through the IRS Data Retrieval
e. IRA Deductions and Payments Tool \1\ and that has not been
f. Tax Exempt Interest Income changed after the information was
g. Education Credits obtained from the IRS;
(2) A transcript \1\ obtained from
the IRS that lists 2015 tax account
information of the tax filer; or
(3) A transcript \1\ that was
obtained at no cost from the
relevant taxing authority of a U.S.
territory (Guam, American Samoa, the
U.S. Virgin Islands) or commonwealth
(Puerto Rico and the Northern
Mariana Islands), or a foreign
central government that lists 2015
tax account information of the tax
filer.
------------------------------------------------------------------------
Income information for tax filers (1) For a student or the parent(s) of
with special circumstances: a dependent student who filed a 2015
a. Adjusted Gross Income (AGI) joint income tax return and whose
b. U.S. Income Tax Paid income is used in the calculation of
c. Untaxed Portions of IRA the applicant's expected family
Distributions contribution and who at the time the
d. Untaxed Portions of Pensions FAFSA was completed was separated,
e. IRA Deductions and Payments divorced, widowed, or married to
f. Tax Exempt Interest Income someone other than the individual
g. Education Credits included on the 2015 joint income
tax return--
(a) A transcript \1\ obtained from
the IRS or other relevant taxing
authority that lists 2015 tax
account information of the tax
filer(s); and
(b) A copy of IRS Form W-2 \2\ for
each source of 2015 employment
income received or an equivalent
document.\2\
(2) For an individual who is required
to file a 2015 IRS income tax return
and has been granted a filing
extension by the IRS--
(a) A copy of IRS Form 4868,
``Application for Automatic
Extension of Time to File U.S.
Individual Income Tax Return,'' that
the individual filed with the IRS
for tax year 2015;
(b) If applicable, a copy of the
IRS's approval of an extension
beyond the automatic six-month
extension if the individual
requested an additional extension of
the filing time for tax year 2015;
(c) Confirmation of non-filing from
the IRS or other relevant taxing
authority dated on or after October
1, 2016;
(d) A copy of IRS Form W-2 \2\ for
each source of 2015 employment
income received or an equivalent
document;\2\ and
(e) If self-employed, a signed
statement certifying the amount of
AGI and U.S. income tax paid for tax
year 2015.
Note: An institution may require
that, after the income tax return is
filed, an individual granted a
filing extension submit tax
information using the IRS Data
Retrieval Tool \1\ or by obtaining a
transcript \1\ from the IRS that
lists 2015 tax account information.
When an institution receives such
information, it must be used to
reverify the FAFSA information
included on the transcript .\1\
(3) For an individual who was the
victim of IRS tax-related identity
theft--
(a) A Tax Return DataBase View
(TRDBV) transcript obtained from the
IRS; and
(b) A statement signed and dated by
the tax filer indicating that he or
she was a victim of IRS tax-related
identity theft and that the IRS has
been made aware of the tax-related
identity theft.
Note: Tax filers may inform the IRS
of the tax-related identity theft
and obtain a TRDBV transcript by
calling the IRS's Identity
Protection Specialized Unit (IPSU)
at 1-800-908-4490. Tax filers who
cannot obtain a TRDBV transcript may
instead submit another official IRS
transcript or equivalent document
provided by the IRS if it includes
all of the income and tax
information required to be verified.
Unless the institution has reason to
suspect the authenticity of the
TRDBV transcript or an equivalent
document provided by the IRS, a
signature or stamp or any other
validation from the IRS is not
needed.
(4) For an individual who filed an
amended tax return with the IRS--
(a) A transcript obtained from the
IRS that lists 2015 tax account
information of the tax filer(s); and
(b) A signed copy of the IRS Form
1040X that was filed with the IRS.
------------------------------------------------------------------------
Income information for nontax For an individual who has not filed
filers: and, under IRS or other relevant
a. Income earned from work taxing authority rules (e.g., the
Republic of the Marshall Islands,
the Republic of Palau, the Federated
States of Micronesia, a U.S.
territory or commonwealth or a
foreign central government), is not
required to file a 2015 income tax
return--
(1) A signed statement certifying--
(a) That the individual has not filed
and is not required to file a 2015
income tax return; and
(b) The sources of 2015 income earned
from work and the amount of income
from each source;
[[Page 18845]]
(2) A copy of IRS Form W-2 \2\ for
each source of 2015 employment
income received or an equivalent
document;\2\ and
(3) Confirmation of non-filing from
the IRS or other relevant taxing
authority dated on or after October
1, 2016.
------------------------------------------------------------------------
Number of Household Members...... A statement signed by the applicant
and, if the applicant is a dependent
student, by one of the applicant's
parents that lists the name and age
of each household member for the
2017-2018 award year and the
relationship of that household
member to the applicant.
Note: Verification of number of
household members is not required
if--
For a dependent student, the
household size indicated on the ISIR
is two and the parent is single,
separated, divorced, or widowed, or
the household size indicated on the
ISIR is three if the parents are
married or unmarried and living
together; or
For an independent student,
the household size indicated on the
ISIR is one and the applicant is
single, separated, divorced, or
widowed, or the household size
indicated on the ISIR is two if the
applicant is married.
------------------------------------------------------------------------
Number in College................ (1) A statement signed by the
applicant and, if the applicant is a
dependent student, by one of the
applicant's parents listing the name
and age of each household member who
is or will be attending an eligible
postsecondary educational
institution as at least a half-time
student in the 2017-2018 award year
in a program that leads to a degree
or certificate and the name of that
educational institution.
(2) If an institution has reason to
believe that the signed statement
provided by the applicant regarding
the number of household members
enrolled in eligible postsecondary
institutions is inaccurate, the
institution must obtain
documentation from each institution
named by the applicant that the
household member in question is, or
will be, attending on at least a
half-time basis unless--
(a) The applicant's institution
determines that such documentation
is not available because the
household member in question has not
yet registered at the institution
the household member plans to
attend; or
(b) The institution has documentation
indicating that the household member
in question will be attending the
same institution as the applicant.
Note: Verification of the number of
household members in college is not
required if the number in college
indicated on the ISIR is ``1.''
------------------------------------------------------------------------
High School Completion Status.... The applicant's high school
completion status when the applicant
attends the institution in 2017-
2018.
(1) High School Diploma
(a) A copy of the applicant's high
school diploma;
(b) A copy of the applicant's final
official high school transcript that
shows the date when the diploma was
awarded; or
(c) A copy of the ``secondary school
leaving certificate'' (or other
similar document) for students who
completed secondary education in a
foreign country and are unable to
obtain a copy of their high school
diploma or transcript.
Note: Institutions that have the
expertise may evaluate foreign
secondary school credentials to
determine their equivalence to U.S.
high school diplomas. Institutions
may also use a foreign diploma
evaluation service for this purpose.
(2) Recognized Equivalent of a High
School Diploma
(a) General Educational Development
(GED) Certificate or GED transcript;
(b) A State certificate or transcript
received by a student after the
student has passed a State-
authorized examination (HiSET, TASC,
or other State-authorized
examination) that the State
recognizes as the equivalent of a
high school diploma;
(c) An academic transcript that
indicates the student successfully
completed at least a two-year
program that is acceptable for full
credit toward a bachelor's degree at
any participating institution; or
(d) For a person who is seeking
enrollment in an educational program
that leads to at least an associate
degree or its equivalent and who
excelled academically in high school
but did not finish, documentation
from the high school that the
student excelled academically and
documentation from the postsecondary
institution that the student has met
its written policies for admitting
such students.
[[Page 18846]]
(3) Homeschool
(a) If the State where the student
was homeschooled requires by law
that such students obtain a
secondary school completion
credential for homeschool (other
than a high school diploma or its
recognized equivalent), a copy of
that credential; or
(b) If State law does not require the
credential noted in 3a), a
transcript or the equivalent signed
by the student's parent or guardian
that lists the secondary school
courses the student completed and
documents the successful completion
of a secondary school education in a
homeschool setting.
Note: In cases where documentation of
an applicant's completion of a
secondary school education is
unavailable, e.g., the secondary
school is closed and information is
not available from another source,
such as the local school district or
a State Department of Education, or
in the case of homeschooling, the
parent(s)/guardian(s) who provided
the homeschooling is deceased, an
institution may accept alternative
documentation to verify the
applicant's high school completion
status (e.g., DD Form 214
Certificate of Release or Discharge
From Active Duty that indicates the
individual is a high school graduate
or equivalent.
When documenting an applicant's high
school completion status, an
institution may rely on
documentation it has already
collected for purposes other than
the Title IV verification
requirements if the documentation
meets the criteria outlined above
(e.g., high school transcripts
maintained in the admissions
office).
Verification of high school
completion status is not required if
the institution successfully
verified and documented the
applicant's high school completion
status for a prior award year.
------------------------------------------------------------------------
Identity/Statement of Educational (1) An applicant must appear in
Purpose. person and present the following
documentation to an institutionally
authorized individual to verify the
applicant's identity--
(a) An unexpired valid government-
issued photo identification such as,
but not limited to, a driver's
license, non-driver's identification
card, other State-issued
identification, or passport. The
institution must maintain an
annotated copy of the unexpired
valid government-issued photo
identification that includes--
i. The date the identification was
presented; and
ii. The name of the institutionally
authorized individual who reviewed
the identification; and
(b) A signed statement using the
exact language as follows, except
that the student's identification
number is optional if collected
elsewhere on the same page as the
statement:
Statement of Educational Purpose
I certify that I ________ am
(Print Student's Name)
the individual signing this Statement
of Educational Purpose and that the
Federal student financial assistance
I may receive will only be used for
educational purposes and to pay the
cost of attending ________ for 2017-
2018.
(Name of Postsecondary Educational
Institution)
__________ ______
(Student's Signature) (Date)
__________
(Student's ID Number)
(2) If an institution determines that
an applicant is unable to appear in
person to present an unexpired valid
photo identification and execute the
Statement of Educational Purpose,
the applicant must provide the
institution with--
(a) A copy of an unexpired valid
government-issued photo
identification such as, but not
limited to, a driver's license, non-
driver's identification card, other
State-issued identification, or
passport that is acknowledged in a
notary statement or that is
presented to a notary; and
(b) An original notarized statement
signed by the applicant using the
exact language as follows, except
that the student's identification
number is optional if collected
elsewhere on the same page as the
statement:
Statement of Educational Purpose
I certify that I ________ am
(Print Student's Name)
the individual signing this Statement
of Educational Purpose and that the
Federal student financial assistance
I may receive will only be used for
educational purposes and to pay the
cost of attending ________ for 2017-
2018.
(Name of Postsecondary Educational
Institution)
__________ ______
(Student's Signature) (Date)
__________
(Student's ID Number)
------------------------------------------------------------------------
\1\ An institution may accept a copy of the original 2015 income tax
return for tax filers who are--
(a) Consistent with guidance that the Secretary may provide following
the period after the IRS processes 2015 income tax returns, unable to
use the IRS Data Retrieval Tool or obtain a transcript from the IRS;
(b) Unable to obtain a transcript at no cost from the taxing authority
of a U.S. territory (Guam, American Samoa, the U.S. Virgin Islands) or
commonwealth (Puerto Rico and the Northern Mariana Islands), or a
foreign central government that lists 2015 tax account information of
the tax filer;
[[Page 18847]]
The copy of the 2015 income tax return must include the signature of the
tax filer or one of the filers of a joint income tax return or the
signed, stamped, typed, or printed name and address of the preparer of
the income tax return and the preparer's Social Security Number,
Employer Identification Number, or Preparer Tax Identification Number.
For a tax filer who filed an income tax return other than an IRS form,
such as a foreign or Puerto Rican tax form, the institution must use
the income information (converted to U.S. dollars) from the lines of
that form that correspond most closely to the income information
reported on a U.S. income tax return.
An individual who did not retain a copy of his or her 2015 tax account
information and that information cannot be located by the IRS or other
relevant taxing authority, must submit to the institution--
(a) Copies of all IRS Form W-2s or equivalent documents;
(b) Documentation from the IRS or other relevant taxing authority that
indicates the individual's 2015 tax account information cannot be
located; and
(c) A signed statement that indicates that the individual did not retain
a copy of his or her 2015 tax account information.
\2\ An individual who is required to submit an IRS Form W-2 or an
equivalent document but did not maintain his or her copy should
request a duplicate from the employer who issued the original or from
the government agency that issued the equivalent document. If the
individual is unable to obtain a duplicate W-2 or an equivalent
document in a timely manner, the institution may permit that
individual to provide a signed statement, in accordance with 34 CFR
668.57(a)(6), that includes--
(a) The amount of income earned from work;
(b) The source of that income; and
(c) The reason why the IRS Form W-2 or an equivalent document is not
available in a timely manner.
Other Sources for Detailed Information
We provide a more detailed discussion on the verification process
in the following resources:
2017-2018 Application and Verification Guide.
2017-2018 ISIR Guide.
2017-2018 SAR Comment Codes and Text.
2017-2018 COD Technical Reference.
Program Integrity Information--Questions and Answers on
Verification at http://www2.ed.gov/policy/highered/reg/hearulemaking/2009/verification.html.
These publications are on the Information for Financial Aid
Professionals Web site at www.ifap.ed.gov. Electronic Access to This
Document: The official version of this document is the document
published in the Federal Register. Free Internet access to the official
edition of the Federal Register and the Code of Federal Regulations is
available via the Federal Digital System at: www.gpo.gov/fdsys. At this
site you can view this document, as well as all other documents of this
Department published in the Federal Register, in text or Adobe Portable
Document Format (PDF). To use PDF you must have Adobe Acrobat Reader,
which is available free at the site.
You may also access documents of the Department published in the
Federal Register by using the article search feature at:
www.federalregister.gov. Specifically, through the advanced search
feature at this site, you can limit your search to documents published
by the Department.
Program Authority: 20 U.S.C. 1070a, 1070a-1, 1070b-1070b-4,
1070c-1070c-4, 1070g, 1071-1087-2, 1087a-1087j, and 1087aa-1087ii;
42 U.S.C. 2751-2756b.
Dated: March 29, 2016.
Lynn B. Mahaffie,
Deputy Assistant Secretary for Policy, Planning, and Innovation,
Delegated the duties of the Assistant Secretary for Postsecondary
Education.
[FR Doc. 2016-07411 Filed 3-31-16; 8:45 am]
BILLING CODE 4000-01-P