[Federal Register Volume 61, Number 75 (Wednesday, April 17, 1996)]
[Notices]
[Pages 16824-16830]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-9375]
[[Page 16823]]
_______________________________________________________________________
Part II
Department of Education
_______________________________________________________________________
Federal Pell Grant Program; Notice
Federal Register / Vol. 61, No. 75 / Wednesday, April 17, 1996 /
Notices
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[[Page 16824]]
DEPARTMENT OF EDUCATION
Federal Pell Grant Program
AGENCY: Department of Education.
ACTION: Notice; deadline dates for receipt of applications, reports,
and other documents for the 1995-96 award year.
-----------------------------------------------------------------------
SUMMARY: The Secretary announces the deadline dates for receiving
documents from persons applying for financial assistance under, and
from institutions participating in, the Federal Pell Grant Program in
the 1995-96 award year.
FOR FURTHER INFORMATION CONTACT: Jacquelyn C. Butler, Program
Specialist, Pell and State Grant Section, Grants Branch, Policy
Development Division, Policy, Training, and Analysis Service, Office of
Postsecondary Education, U.S. Department of Education, 600 Independence
Avenue SW. (ROB-3, Room 3045), Washington, DC 20202-5447. Telephone:
(202) 708-4607. Individuals who use a telecommunications device for the
deaf (TDD) may call the Federal Information Relay Service (FIRS) at 1-
800-877-8339 between 8 a.m. and 8 p.m., Eastern time, Monday through
Friday.
SUPPLEMENTARY INFORMATION: The Federal Pell Grant Program provides
grants to students attending eligible institutions of higher education
to help them pay for their educational costs. The program supports
Goals 2000, the President's strategy for moving the Nation toward the
National Education Goals, by enhancing opportunities for postsecondary
education. The National Education Goals call for increasing the rate at
which students graduate from high school and pursue high quality
postsecondary education and for supporting life-long learning.
Authority for the Federal Pell Grant Program is contained in
section 401 of the Higher Education Act of 1965, as amended (HEA), 20
U.S.C. 1070a. Regulations that govern the Federal Pell Grant Program
are codified in 34 CFR parts 690, 668, and 600.
The Federal Pell Grant Program includes a three-step application
process. Under the first step, a student submits an application, i.e.,
the Free Application for Federal Student Aid (FAFSA), to the Secretary
to have his or her expected family contribution (EFC) calculated.
The student may submit a paper or electronic version of that
application. The student submits a paper application directly to a
FAFSA processor. The FAFSA processor in turn transmits that application
to the central processor. FAFSA processors include the Department, the
College Scholarship Service (CSS), the American College Testing (ACT),
and the Pennsylvania Higher Education Assistance Agency (PHEAA).
If the student attends or expects to attend an institution that
participates in the Department of Education's Electronic Data Exchange
(EDE), the student may submit an electronic application to the central
processor through that institution. (Under EDE, using software or
specifications provided by the Department of Education (Department), an
institution electronically transmits the student's application
information to the central processor. The institution may enter the
application information or the institution may have the student enter
that information.)
The Department has developed another type of electronic application
called the ``FAFSA Express.'' If a student uses the FAFSA Express, he
or she submits that application electronically to the central processor
without the involvement of his or her institution or a FAFSA processor.
As an alternative to an original paper or electronic application, a
student may submit a paper or electronic ``renewal application.'' A
renewal application is sent to a student. It is generated by the
central processor using prior year application information to reduce
the amount of new data a student must provide for the next award year.
A renewal application is not available using FAFSA Express.
Under the second step, the central processor determines a student's
EFC based upon the information the student provided in the paper or
electronic application. If the student uses a paper application or
FAFSA Express, the central processor sends the student a Student Aid
Report (SAR) on which the central processor reports the student's EFC
plus the information on which the EFC was based. In addition, the
central processor also sends this information to any institutions
participating in EDE that the student selects on his or her
application.
If the student applies electronically under EDE, the EDE process
enables the institution to receive electronically the student's EFC and
application information. The information contained on this transmission
is called the Institutional Student Information Record or ISIR. A
student who applies electronically through EDE does not get an SAR;
therefore, the institution provides a printed copy of the ISIR
information to the student. All institutions may also receive at their
option ISIRs on a magnetic tape or on a paper roster.
Under the third step, an institution that receives a valid SAR or
valid ISIR determines a student's eligibility for a Federal Pell Grant
award and the amount of that award, and pays the student his or her
award. A valid SAR or valid ISIR is one on which all the information
used to calculate the student's EFC is accurate and complete.
If corrections need to be made to a student's application
information, the central processor must be notified of those
corrections. However, if a student is selected for verification under
34 CFR 668.54, by the Secretary or by the institution, corrections need
not be reported to the central processor if the institution determines
that the relevant provisions of 34 CFR 668.59 apply.
Several alternatives are available for notification to the central
processor. If the institution does not participate in EDE, the student
must make corrections directly on Part 2 of the SAR and then send the
corrected SAR to the student's FAFSA processor, which transmits the
corrected information to the central processor.
If the student attends an institution that participates in EDE, the
institution may transmit electronically the corrected information
directly to the central processor. If the central processor receives
the corrected information electronically, the EDE process enables the
institution to receive a corrected ISIR electronically.
If corrections are made through EDE, the institution must provide
to the student a printed copy of the results of those corrections so
that the student has an opportunity to review the accuracy of his or
her processed application information. The ISIR is valid if it
accurately reflects corrections that are based on signed correction
documentation or documentation submitted under 34 CFR 668.57 and is
processed through the central processor.
An institution that receives valid ISIRs and reports Federal Pell
Grant payment data to the Department by floppy disk, magnetic tape, or
electronic transmission through EDE, may not require a student to
submit an SAR as a precondition to receiving a Federal Pell Grant
award.
I. Summary of Deadline Dates--Table I
The following table is a summary of selected Deadline Dates further
explained in Parts II. through V. of this notice.
[[Page 16825]]
Table I
A. Summary of Deadline Dates for Application Processing and Receipt of
SARs or ISIRs (Explained Further in Parts I. Through III. of This
Notice)
------------------------------------------------------------------------
Who submits? What is submitted? What is the
deadline date?
------------------------------------------------------------------------
Student....................... A paper original/ 5/1/96.
renewal application.
Student or student thru An electronic original/ 5/1/96.
institution. renewal application.
Student....................... Correction Application 8/1/96.
(paper).
Student....................... SAR................... Student's last
date of
enrollment or 7/
1/96 whichever
is earlier.
Student or student thru Corrected SAR or ISIR 8/1/96.
institution. (paper/
electronically).
Student or student thru Written/telephone 8/1/96.
institution. requests for
duplicate SAR.
Student....................... If a student is The earlier of:
selected for (a) 60 days
verification: (1) after the
verification student's last
documentation date of
submitted by the enrollment; or
student and received (b) 8/30/96.
by the institution;
and (2) if necessary,
a reprocessed valid
SAR or valid ISIR
received by the
institution.
------------------------------------------------------------------------
B. Summary of Deadline Dates for Reporting Federal Pell Grant Payment
Data (Explained Further in Parts IV. and V. of This Notice)
------------------------------------------------------------------------
Institution................... IPS and Payment no later than
Voucher data. the closing
date for each
reporting
period.
Reporting Periods
07/01/95 thru 10/15/95 10/15/95.
10/16/95 thru 12/15/95 12/15/95.
12/16/95 thru 02/15/96 02/15/96.
02/16/96 thru 04/15/96 04/15/96.
04/16/96 thru 06/15/96 06/15/96.
06/16/96 thru 08/15/96 08/15/96.
Institution................... Final submission of 9/30/96.
Payment Voucher Data--
Secretary closes the
institution's Federal
Pell Grant account
after 9/30/96 except
as provided in Part
V.B.
Institution................... Administrative relief. 1/31/97.
Institution................... IPS and Payment Requirement to
Voucher data for report, within
downward adjustments. 30 calendar
days, downward
adjustments for
a student with
previously
reported
payments or
expected
payments that
are in excess
of the payments
that the
institution is
paying the
student for the
award year.
II. Applications for Determination of Expected Family
Contribution--Table II
Under the first application step described above, if a student uses
a paper original application, including a paper renewal application, he
or she must submit that application form to the appropriate processor
listed in Table II of this notice, at the address indicated in Table
II. That application must be received at that address no later than May
1, 1996. A paper application may not be hand-delivered.
An approved application form is an application listed in the first
column of Table II. The student must send the application to the
address of the organization whose application is being used. Thus, the
FAFSA printed and distributed by the Department must be sent to the
FAFSA processor in Iowa City, Iowa; forms printed and distributed by
ACT must be sent to ACT; forms printed and distributed by CSS must be
sent to CSS; and forms printed and distributed by PHEAA must be sent to
PHEAA.
If a student submits an electronic application under EDE or FAFSA
Express, that application must be received by the Department's central
processor prior to midnight (Central Daylight Savings Time) on May 1,
1996. (For purposes of this notice, this deadline means that a student
has all of May 1, 1996, to apply.)
For the balance of this notice, the first application submitted by
or on behalf of a student, including a renewal application, shall be
called an ``original application.''
Applications of Students Receiving ``Dependency Overrides''
Under section 480(d)(7) of the HEA, a financial aid administrator
(FAA) may determine that a student qualifies as an ``independent
student'' as a result of unusual circumstances even though the student
does not qualify as an independent student under the other criteria in
section 480(d). This determination, using what is known as
``professional judgment,'' results in a ``dependency override.'' A
student or institution must report a dependency override to the central
processor for purposes of the Federal Pell Grant Program.
The manner in which a student reports a dependency override to the
central processor depends on whether the institution the student is
attending participates in EDE. If the institution does not participate
in EDE, the student reports the dependency override on a paper
application, either an original or renewal application, or on the SAR
that he or she received. In either case, the FAA codes the application
or the SAR with his or her approval of the override and signs the
document.
If the student attends an institution that participates in EDE, the
student may report the dependency override to the central processor as
indicated above.
[[Page 16826]]
In addition, the institution may report the override by encoding the
changes in the student's electronic application information and then
transmitting the changes to the central processor.
III. Other Documents--Table II
Once a student has filed his or her original application, the
student may have to change some information. In some cases, the
processor receiving the original application may request additional
information. In other cases, the student may request the processor to
consider additional or alternative information.
Table II of this notice lists the addresses to which additional
forms and information must be sent and the deadline dates for the
receipt of those forms and information.
A. Correction Application
Correction applications are required only if two or more students
initially apply for Federal aid using the same social security number.
One or more of the students using that SSN must submit a Correction
Application as determined by the Department on a case-by-case basis.
The reporting student or students must include on the Correction
Application all the information necessary to process that application.
A paper Correction Application may be obtained by calling the
Department's Correction Application Coordinator at (202) 260-9988. The
Correction Application must be submitted to the address listed in Table
II and received at that address no later than August 1, 1996.
B. SAR and ISIR
Correction or Confirmation of Information Requested by the
Secretary--If the Secretary returns an SAR to a student for correction
or notifies an institution through an ISIR that a student needs to
correct application information, the student must correct that
information on Part 2 of his or her SAR or through EDE at his or her
institution. The student must submit a corrected SAR to the appropriate
address listed in Table II, and that corrected SAR must be received at
the appropriate address no later than August 1, 1996. If the student
attends an institution that participates in EDE, the corrected
application information may be transmitted electronically to the
central processor. That information must be received by the central
processor prior to midnight (Central Daylight Savings Time) on August
1, 1996.
If the Secretary returns an SAR to a student for confirmation of
certain data items included on the application or notifies an
institution through an ISIR that a student needs to confirm application
information, the student must confirm the information. The student
confirms the information on the SAR or ISIR and returns the SAR in the
same manner as described for required corrections, or the student's
institution transmits the ISIR's corrected application information to
the central processor. This request for confirmation of application
information is separate and apart from the verification requirements
contained in 34 CFR part 668, Subpart E.
Correction of Inaccurate Information--If an SAR or an ISIR
reflects information that was inaccurate when the application was
signed, the student must correct that information on Part 2 of his or
her SAR and send Part 2 of his or her SAR to the appropriate address
listed in Table II or have the institution submit the change
electronically. Part 2 of the student's SAR must be received at the
appropriate address no later than August 1, 1996.
If the student attends an institution that participates in EDE, the
corrected information may be transmitted electronically to the central
processor. That corrected information must be received by the central
processor prior to midnight (Central Daylight Savings Time) on August
1, 1996.
Request for Duplicate SAR--If a student wishes to receive
a duplicate SAR, the student may write to the appropriate processor's
address listed in Table II or call the appropriate processor's
telephone number listed in Table II. All written and telephone requests
must be received no later than August 1, 1996. Individuals at the
processors listed in Table II are not authorized to accept hand-
delivered documents.
C. Deadline for Receipt of a Valid SAR or Valid ISIR
Although corrections and requests for a duplicate SAR will be
processed through August 1, 1996, this deadline date does not extend
the deadline date by which the institution must receive a student's
valid SAR or valid ISIR with an EFC that permits the student to receive
a Federal Pell Grant. If, by his or her last date of enrollment or July
1, 1996, whichever is earlier, the student does not submit a valid SAR
to the institution or the institution does not receive the student's
valid ISIR, he or she will be ineligible for a Federal Pell Grant award
for the 1995-96 award year.
IV. Verification Procedures and Deadline Dates under 34 CFR Part
668, Subpart E
The information provided on an application and included on an SAR
or ISIR may be subject to verification under verification procedures
contained in 34 CFR part 668, Subpart E. In such a case, in order to
receive a Federal Pell Grant award for the 1995-96 award year, the
student--and his or her parents, if applicable--must submit the
necessary verification documents in accordance with the following
procedures and by the deadline dates specified below. These dates do
not conflict with or supersede the deadline dates specified in Table II
of this notice.
A. Verification of Information on Application
If a student is selected to have the information on his or her
application verified under the verification procedures set forth in
Subpart E of the Student Assistance General Provisions regulations (34
CFR part 668, Subpart E), he or she must submit the requested documents
to his or her institution as specified below. The deadline date for the
completion of these steps is the earlier of (a) within 60 days after
the student's last date of enrollment; or (b) August 30, 1996. A
student who will still be enrolled in a course of study in the 1995-96
award year after August 30, 1996, must submit the requested documents
by August 30, 1996. (Documents that are hand-delivered must be received
by the institution within 60 days after the student's last date of
enrollment or on August 30, 1996, whichever is earlier. Documents sent
by mail must be postmarked or demonstrate other comparable proof of
mailing within 60 days after the student's last date of enrollment or
on August 30, 1996, whichever is earlier.)
The verification process is complete when the student:
(1) Submits all requested verification documents to his or her
institution; and
(2) If corrections must be submitted to the central processor--
(i) Makes all necessary corrections using (a) Part 2 of the SAR,
(b) an ISIR, or (c) a Correction Application;
(ii) Either (a) signs the corrected Part 2 of the SAR or completes
and signs a paper Correction Application and submits it to the
appropriate address indicated in Table II so that the addressee
receives either form prior to midnight (Central Daylight Savings Time)
on August 1, 1996; or (b) signs and submits the necessary documentation
for a corrected ISIR to the institution so that the institution can
[[Page 16827]]
transmit the data to the central processor (for those institutions
participating in EDE) prior to midnight (Central Daylight Savings Time)
on August 1, 1996; and
(iii) By August 30, 1996, submits to the institution the corrected
and reprocessed SAR (alternatively, the institution receives the
student's corrected ISIR from the central processor). (34 CFR 668.60)
B. Application Forms and Information
Student aid application forms and information brochures may be
obtained at an institution's financial aid office, at an Educational
Opportunity Center, or by writing or calling the Federal Student Aid
Information Center, P.O. Box 84, Washington, DC 20044. Telephone: 1-
800-4-FED-AID (1-800-433-3243)
Table II.--Deadline Date for Receipt of Original Application Forms for
Determining Expected Family Contributions: May 1, 1996. Deadline Date
for Receipt of Correction Application Forms and Other Documents: August
1, 1996
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For information
Type of form about Contacts
------------------------------------------------------------------------
Free Application for Federal English/Spanish Federal Student Aid
Student Aid (FAFSA) printed Application Information Center
and distributed by ED. request. Box 84, Washington,
DC 20044, (800) 4
FED AID, TTY (800)
730-8913.
Correction (202) 260-9988.
Application
request.
English Federal Student Aid
Application Programs, P.O. Box
submission. 4032, Iowa City, IA
52243-4032.
Renewal Federal Student Aid
Application Programs, P.O. Box
submission. 4051, Iowa City, IA
52243-4051.
Spanish Federal Student Aid
Application Programs, P.O. Box
submission. 4039, Iowa City, IA
52243-4039.
Correction Federal Student Aid
Application Programs, P.O. Box
submission. 1002, Iowa City, IA
52243-1002.
SAR corrections.. Federal Student Aid
Programs, P.O. Box
4037, Iowa City, IA
52243-4037.
Duplicate Federal Student Aid
requests/address Programs, P.O. Box
changes. 4038, Iowa City, IA
52243-4038.
All other Federal Student Aid
correspondence Information Center,
inquiries. P.O. Box 84,
Washington, DC
20044, (800) 4 FED
AID, TTY (800) 730-
8913.
FAFSA Express................. To request (800) 801-0576.
copies, obtain
technical
assistance, or
perform status
checks.
Federal Electronic Application Application or Contact institution's
or Renewal Application of the Renewal financial aid office
Electronic Data Exchange. Application to find out if it
request, participates in the
electronic electronic
corrections, application of EDE.
electronic Electronically
duplicate submitted by the
requests, and institution to the
other inquiries. central processor
via General
Electronic Support
computer network or
Title IV Wide Area
Network.
Diskette and tape National Computer
submission. Systems--Electronic
Application, Box 30,
Iowa City, IA 52244,
(319) 339-6642.
Free Application for Federal Application American College
Student Aid (printed, request. Testing, P.O. Box
distributed, and processed by 1002, Iowa City, IA
ACT). 52243-1002.
Application Federal Student Aid
submission. Programs, P.O. Box
4005, Iowa City, IA
52243-4005.
Renewal Federal Student Aid
Application Programs, P.O. Box
submission. 4027, Iowa City, IA
52243-4027.
SAR corrections.. Federal Student Aid
Programs, P.O. Box
4025, Iowa City, IA
52243-4025.
Duplicate request Federal Student Aid
and address Programs, P.O. Box
changes. 4021, Iowa City, IA
52243-4021.
Free Application for Federal Application College Scholarship
Student Aid (printed, request and Service, P.O. Box
distributed, and processed by other inquiries. 6327, Princeton, NJ
CSS). 08541-6327, (609)
771-7725, TDD (609)
883-7051.
Application Federal Student Aid
submission. Programs, P.O. Box
7320, London, KY,
40742-7320.
Renewal Federal Student Aid
Application Programs, P.O. Box
submission. 7321, London, KY
40742-7321.
SAR corrections.. Federal Student Aid
Programs, P.O. Box
7322, London, KY
40742-7322.
Duplicate request Federal Student Aid
and address Programs, P.O. Box
changes. 7323, London, KY
40742-7323.
Free Application for Federal Application Pennsylvania Higher
Student Aid (printed, request and Education Assistance
distributed, and processed by other inquiries. Agency (PHEAA),
PHEAA). Grants Division,
1200 North 7th
Street, Harrisburg,
PA 17102, (800) 692-
7435 (PA only),
(717) 257-2800 (out
of state).
Application Federal Student Aid
submission. Programs, P.O. Box
8179, Harrisburg, PA
17105-8179.
Renewal Federal Student Aid
Application Programs, P.O. Box
submission. 8178, Harrisburg, PA
17105-8178.
[[Page 16828]]
SAR corrections/ Federal Student Aid
duplicate Programs, P.O. Box
requests/ 8135, Harrisburg, PA
address changes. 17105-8135.
------------------------------------------------------------------------
V. Submissions to the Secretary of Institutional Payment Summary
and Payment Voucher Data
Each institution that participates in the Federal Pell Grant
Program is required by 34 CFR 690.83(b) to submit to the Secretary
reports and information in connection with the Federal Pell Grant funds
the Department makes available to the institution for payment to
students during an award year. One of the reports is the Institutional
Payment Summary (IPS). The IPS accompanies an institution's submission
of Federal Pell Grant Payment Vouchers and summarizes the information
contained on the individual Payment Vouchers. A Payment Voucher is (1)
if paper, Part 3 of an SAR, or (2) an electronic or magnetic student
payment record. The Secretary provides the IPS to the institution to
use at its option.
The institution may also meet this reporting requirement by
submitting IPS and Payment Voucher data to the Department on a floppy
disk, on a magnetic tape, or by an electronic transmission. These
submissions are referred to, respectively, as the Federal Pell Grant
Program Floppy Disk Data Exchange, the Federal Pell Grant Program
Recipient Data Exchange (RDE), and the Electronic Payments Service
under EDE. An institution that wishes to use one of these automated
reporting methods must enter into a written agreement with the
Department and must agree to (1) comply with the Department's
prescribed manner of formatting and presenting the submitted
information, (2) restrict access to the records from which the IPS and
Payment Voucher data is derived, and (3) ensure that only authorized
officials or agents of the institution may enter the data sent in the
submission to the Department.
Note: The 1995-96 award year is the last year that the IPS and
paper Payment Vouchers are being used. The Department recommends
that an institution that has submitted student payment information
using only paper Payment Vouchers begin in the 1995-96 award year to
submit some of its IPS and Payment Voucher data electronically or
magnetically in order to acquire experience in the use of these
media prior to the time the institution will be required to report
all student payment information using an automated data exchange
medium.
The Department credits an institution's Federal Pell Grant account
on the basis of accepted Federal Pell Grant payment data submitted
through the process described in this notice. Such data must be
submitted to the Department in a timely, certified, and acceptable
form. A submission is timely if received by the Department by the
applicable deadline prescribed in Table III in Part V.C. of this notice
and in Part V.D. of this notice; certified if its accuracy is attested
to by the institution in the manner described in Part V.E. of this
notice; and acceptable if submitted in accordance with the directions
provided by the Department for the particular medium of submission used
by the institution.
Failure to meet these reporting requirements may result in
administrative action by the Department under Subpart G of 34 CFR part
668 under which the Department may fine the institution or limit or
terminate its participation in the Federal Pell Grant Program. In
addition, failure to report accurately a student's award amount by the
reporting deadline may render the institution liable for all or part of
a student's Federal Pell Grant payment without the student being liable
for such payment.
A. Data To Be Submitted
In each submission, the institution must supply:
(1) The summary data in Section II of the IPS or the equivalent
under the applicable automated data exchange, including the number and
amount of the Federal Pell Grant payments in the submission and the
institution's total payments to all Federal Pell Grant recipients for
the award year up to the date of the submission; and
(2) Payment Voucher data as defined by the Secretary, that
identify--
(i) Any new Federal Pell Grant recipients identified by the
institution during the reporting period for which the IPS data are
submitted; or
(ii) Any change in enrollment status, cost of attendance, or other
event that occurred during either the reporting period for which the
IPS data are submitted or the reporting period immediately preceding
that reporting period, if that event causes a change in the amount of
the Federal Pell Grant that a student has received or qualifies to
receive for the award year.
The institution may submit IPS data without Payment Voucher data if
(1) the institution had no Federal Pell Grant recipients in attendance
or made no new Federal Pell Grant awards during the reporting period
for which the IPS data are submitted and (2) did not identify any
changes to the awards of previously reported recipients during the
reporting period immediately preceding the period for which the IPS is
submitted. If an RDE institution exercises this option, it must submit
a paper IPS. If an institution that submits recipient data via a floppy
disk or electronic transmission exercises this option, it may use its
usual submission medium or the paper IPS. [Approved by the Office of
Management and Budget under OMB Control Numbers 1840-0132 (SAR) and
1840-0540 (IPS)]
B. Addresses for Delivery
The institution must submit the IPS and Payment Voucher data as
follows:
------------------------------------------------------------------------
Regular mail Courier service
------------------------------------------------------------------------
U.S. Department of Education, Application U.S. Department of
and Pell Processing Systems Division, Education, Application and
PSS, P.O. Box 10800, Herndon, Virginia Pell Processing Systems
22070-7009. Division, PSS, c/o PRC,
Inc., Attn: G-T01 PGRFMS/
DMS 12001 Sunrise Valley
Drive, Reston, Virginia
22091-3423.
------------------------------------------------------------------------
Electronic Transmission
If the institution participates in the EDE Electronic Payment
service, the institution electronically transmits the IPS and Payment
Voucher data to the central processor.
C. Frequency and Schedules for IPS Submissions
Except as provided in Part IV.D. of this notice, an institution
must make a submission of IPS and Payment Voucher data at least once
during each of the
[[Page 16829]]
reporting periods established in Table III. An institution may make
submissions more frequently, up to but not exceeding 60 times during
the entire reporting cycle (July 1, 1995 through September 30, 1996).
For purposes of complying with the reporting requirements of Part
V.A. of this notice, an institution must ensure that the IPS and
Payment Voucher data are received by the Department no later than the
applicable closing date for each reporting period as specified in the
table below. Proof of mailing, such as a date on a U.S. Postal Service
postmark, is not considered confirmation of receipt by the Department.
If an institution submits its IPS and Payment Voucher data
electronically, the transmission must be received at the Department's
central processor prior to midnight (Central Time) of the applicable
closing date for the reporting periods indicated in Table III. For the
1995-96 award year, the closing dates for reporting periods to report
IPS submissions have been combined. This change allows all institutions
to follow the same reporting schedule when submitting their IPS and
Payment Voucher data regardless of their Federal Pell Grant
authorization level.
Table III.--Closing Dates for Reporting Periods
------------------------------------------------------------------------
Reporting periods Closing date for receipt
------------------------------------------------------------------------
July 1, 1995 through Oct. 15, 1995..... Oct. 15, 1995.
Oct. 16, 1995 through Dec. 15, 1995.... Dec. 15, 1995.
Dec. 16, 1995 through Feb. 15, 1996.... Feb. 15, 1996.
Feb. 16, 1996 through Apr. 15, 1996.... Apr. 15, 1996.
Apr. 16, 1996 through June 15, 1996.... June 15, 1996.
June 16, 1996 through Aug. 15, 1996.... Aug. 15, 1996.
------------------------------------------------------------------------
If any closing date for receipt falls on a Saturday, Sunday, or
Federal holiday, submissions received on the next Federal business day
will be considered as received on time.
Note: Institutions will not be penalized for not meeting the
reporting periods before the publication of this notice.
D. Reporting Downward Adjustments of Previously Submitted Student
Payment Information
This notice contains a new reporting requirement relating to
downward adjustments of previously submitted student payment
information. Under this new requirement, an institution must submit
revised payment data to the Department for a student within 30 calendar
days of becoming aware that the previously reported payments or
expected payments for that student exceed the amount that the student
is actually receiving at the institution for the 1995-96 award year.
These submissions of downward adjustments may be combined on a single
IPS and Payment Voucher data submission with other data submissions.
For example, a student initially enrolls for the winter quarter at
an institution and indicates that he or she will be attending the
institution in the spring quarter. The institution submits its IPS and
the student's Payment Voucher data reporting a winter payment of one-
third the student's Scheduled Award and an expected spring payment of
another one-third of the student's Scheduled Award. The student does
not enroll for the spring quarter. The institution, therefore, must
submit the student's Payment Voucher data reducing the expected spring
payment to zero dollars within 30 calendar days of becoming aware of
the student's failure to enroll for the spring quarter.
An institution must ensure that the IPS and accompanying Payment
Voucher data are received by the Department no later than the 30-
calendar-day deadline in accordance with the same procedures in Part
V.C. of this notice for meeting the deadlines for IPS submissions in
Table III, including being able to show proof of mailing or meeting the
deadline for transmission, if data are submitted electronically.
Note: The first time an institution is required to report such a
downward adjustment is not earlier than 30 days after the
publication of this notice.
E. Certification of Accuracy
Institutions participating in the Federal Pell Grant Program must
certify the accuracy of the data with each data submission. An
institution submitting a paper IPS certifies the accuracy of the data
by including on the form an original signature by the official of the
institution accountable for the accuracy of the data submitted. In the
case of an institution submitting data by magnetic tape, the
institution signs the tape transmittal form assuring the accuracy of
the data. An institution submitting an IPS by floppy disk or electronic
transmission certifies the accuracy of the data by including in that
submission a code or signature flag prescribed by the Department for
that certification. By including the prescribed code or signature flag,
an institution certifies that the submitted data have been provided
from a file or record to which only officials with appropriate security
clearance have access and that the data contained in the submission are
accurate.
VI. Annual Deadline for Submission of Payment Voucher Data and
Requests for Adjustments of Federal Pell Grant Accounts
An institution obtains an adjustment to its Federal Pell Grant
account, and the amount of Federal Pell Grant funds for which it is
accountable, by submitting supporting Payment Voucher data under the
procedures described in this notice and the reporting system described
in the regulations. An institution is required by 34 CFR 690.83(a) to
submit all Payment Voucher data for an award year by a specified date
following that award year; for the 1995-96 award year, that date is
September 30, 1996. An institution, therefore, must submit any Payment
Voucher data not previously submitted during the required reporting
periods established in this notice by September 30, 1996, to receive an
adjustment to its Federal Pell Grant account on the basis of these
Payment Voucher data.
Except as provided in Part VI.B. of this notice, after September
30, 1996, the Secretary closes the institution's Federal Pell Grant
account for the 1995-96 award year. The institution's account is closed
on the basis of the information reported by the institution in its
accepted IPS and Payment Voucher data submissions through September 30,
1996, and the data reported on the Federal Cash Transaction Report (ED/
PMS 272A). The final IPS and Payment Voucher data submitted by the
institution must accurately report the institution's total payments to
all Federal Pell Grant recipients for the 1995-96 award year.
A. Timely Delivery for Final Submissions of Payment Voucher Data and
Requests for Adjustments of Federal Pell Grant Accounts: Proof of
Delivery
The Department may require an institution to prove that it mailed
or otherwise submitted its IPS and Payment Voucher data by the
September 30, 1996 deadline date. The Department accepts as proof, if
the documents were submitted by mail or by non-U.S. Postal Service
courier, one of the following:
(1) A legible mail receipt with the date of mailing stamped by the
U.S. Postal Service.
(2) A legibly-dated U.S. Postal Service postmark.
[Note: The U.S. Postal Service does not uniformly provide a dated
postmark.
[[Page 16830]]
Before relying on this method of proof of mailing, an institution
should check with the post office at which it mails its submission. An
institution is strongly encouraged to use First Class Mail.]
(3) A dated shipping label, invoice, or receipt from a commercial
courier.
(4) Other proof of mailing or delivery acceptable to the Secretary.
The Department accepts hand deliveries at the address stated in
Part IV.B. between 8 a.m. and 4:30 p.m. Eastern Time on days other than
Saturday, Sunday, or Federal holidays.
An institution that transmits its IPS and Payment Voucher data
information via the EDE Electronic Payments service must ensure that
its transmission is completed before midnight (local time at the
institution's EDE destination point) on September 30, 1996.
B. Postdeadline Adjustments to Federal Pell Grant Accounts
In accordance with Sec. 690.83(a), Sec. 690.83(c), and
Sec. 690.83(e), the Secretary permits a post-September 30, 1996
adjustment to the Federal Pell Grant account of an institution for the
1995-96 award year under the following circumstances:
(1) Underpayment of previously reported awards An institution may
receive a payment or credit for the full amount of an award made to a
student if--
(i) The institution submitted in a timely manner Payment Voucher
data for a student in accordance with the requirements of this notice
and Sec. 690.83(a);
(ii) The institution did not submit in a timely manner or in an
acceptable form Payment Voucher data necessary to document the full
amount of the award for which that student was eligible;
(iii) The underpayment for that award is or would be at least $100;
and
(iv) A program review or an audit report produced in accordance
with the standards prescribed in 34 CFR 668.23(c) demonstrates to the
satisfaction of the Secretary that the student was eligible to receive
an amount greater than that reported in the Payment Voucher data
submitted in a timely fashion to, and accepted by, the Department.
(2) Decreasing previously reported awards An institution must
report a reduction in a student's Federal Pell Grant award--
(i) If the institution determines that the student's Federal Pell
Grant award amount, as reported on either the Student Payment Summary
that the Department provides to the institution or any subsequent
adjustment to the student's award amount on file with the Department,
is greater than the amount the student actually received; or
(ii) If the institution determines that a student was not qualified
for the amount reported on either the Student Payment Summary or any
subsequent adjustment to the student's award amount on file with the
Department. The institution should make such a report, however, for an
overaward for which it is not liable under Sec. 690.79(a) only if the
student received zero funds or has repaid all or a portion of the
overaward. If a student is repaying an overaward for which the
institution is not liable on an installment plan, the institution must
report periodically the amount repaid.
(3) If the institution demonstrates to the Secretary's satisfaction
that its failure to submit Payment Voucher data on a timely basis and
have them accepted by the Department was caused by a processing or
administrative error made by the Department or one of its contractors,
or was due to unusual circumstances beyond the control of the
institution, the institution may receive payment for the grants
associated with that data.
(4) If an institution demonstrates to the satisfaction of the
Secretary that the institution has provided Federal Pell Grants but has
not received credit or payment for those grants, the institution may
receive payment or a reduction in accountability for those grants if,
in accordance with Sec. 690.83(e), the institution demonstrates that it
qualifies for a credit or payment by means of a finding contained in an
audit submitted in accordance with 34 CFR part 668.23(c).
The Secretary adjusts an institution's Federal Pell Grant account
for an award year on the basis of student award data submissions made
after September 30 following that award year only in these specified
circumstances. Thus, if an institution submits Payment Voucher data for
the 1995-96 award year to the Department after the September 30, 1996
deadline, the institution does not receive additional Federal Pell
Grant funds from the Department unless the institution can demonstrate
to the satisfaction of the Secretary that one of the prescribed
conditions exists. The institution also is liable for Federal Pell
Grant funds that are used to pay grants that are not reported in a
timely manner.
If an institution makes Federal Pell Grant overpayments for which
it is liable under Sec. 690.79(a) of the Federal Pell Grant program
regulations, the Secretary subtracts from any funds the institution may
be entitled to receive under Part VI.B. of this notice the amount of
the institution's unpaid liability. If an institution believes that an
adjustment is warranted on the basis of the above-described conditions,
it should contact the Institutional Financial Management Division at
(202) 708-9807.
If the institution seeks administrative relief on the basis of an
administrative error by the Department or its contractors, the
institution's request must provide a complete description of all
relevant facts, including each student's identifying data and full
Federal Pell Grant payment history. The request must be received by the
Department no later than January 31, 1997. The request must be
delivered to: U.S. Department of Education, Institutional Financial
Management Division, AFMS, P.O. Box 23791, Washington, DC 20026-0791.
C. Request for Duplicate Payment Vouchers or Related Information
To request a duplicate Payment Voucher, Processed Payment Voucher,
or processed payment data, an institution must contact the Federal Pell
Grant Program by fax at (202) 401-0387 or by mail to: U.S. Department
of Education, Institutional Financial Management Division, AFMS, P.O.
Box 23791, Washington, DC 20026-0791.
To receive a duplicate Payment Voucher, an institution must include
with its request a photocopy of either Part 1 or Part 2 of a student's
SAR or a photocopy of that student's ISIR. All requests must be
received no later than August 31, 1996. Requests after that date will
be honored, but untimely receipt of duplicate data may not be used as a
basis for requesting upward adjustments under Part IV.B. of this
notice.
Applicable Regulations
The regulations applicable to this program are the Federal Pell
Grant Program regulations in 34 CFR part 690 and the Student Assistance
General Provisions regulations in 34 CFR part 668.
(Authority: 20 U.S.C. 1070a)
Dated: April 9, 1996.
David A. Longanecker,
Assistant Secretary for Postsecondary Education.
(Catalog of Federal Domestic Assistance No. 84.063, Federal Pell
Grant Program)
[FR Doc. 96-9375 Filed 4-16-96; 8:45 am]
BILLING CODE 4000-01-P