Consumer Information Boot Camp AARON LACEY PARTNER, HIGHER EDUCATION PRACTICE THOMPSON COBURN LLP
Aaron D. Lacey o Partner, Higher Education Practice, Thompson Coburn LLP. Higher Education Practice o Provide regulatory counsel on federal, state, and accrediting agency laws and standards (e.g., Title IV, Title IX, Clery, consumer information). o Assist with postsecondary transactions, contract drafting and negotiation, policy creation, and compliance systems design. o Represent institutions in student and employee litigation, government investigations, administrative proceedings, audits, and reviews.
Prior Experience o Senior Vice President of Regulatory Affairs & Strategic Development for postsecondary institution. Oversaw regulatory, compliance, and government affairs matters for 24 campus locations in Midwest and Southeast United States, as well as for online division. o Attorney in DC Higher Education Practice. Provided regulatory and policy guidance, managed agency proceedings, drafted and negotiated wide variety of agreements.
The Consumer Information Mix Consumer Information Strategy o Comprehensive CI Notice o Annual Security Report o Drug and Alcohol Abuse Prevention Program o Student-Right-to-Know TC Resources
Comprehensive Consumer Info. Notice Annual Security Report DAAPP Disclosures Student Right to Know Disclosures (Disaggregated) Title IX Training and Disclosures Financial Aid Shopping Sheet FERPA Disclosure Notice of FSA Penalties for Drug Violations IPEDS Reporting Voter Registration Information Constitution Day Gainful Employment Disclosures
Why should we be concerned with consumer information? Consumer information has taken on a more important role in the FSA regulatory framework. o ED reviews during program reviews, recertification, and other substantive changes. o Annual Title IV Audits now include much greater focus on CI disclosures. CI-related findings, not surprisingly, have increased significantly. The new administration may not be as aggressive, but it is unlikely the focus on CI will diminish significantly.
What are some good consumer information resources? IFAP Consumer Information Page o CI Disclosures at a Glance (41 Pages; regularly updated) o 11 Training Activities (periodically updated) o http://ifap.ed.gov/qahome/qaassess ments/consumerinformation.html
Higher Education Compliance Alliance o Created by the National Association of College and University Attorneys in partnership with thirty other higher education associations, provides centralized repository of information and resources for compliance with federal laws and regulations. o Includes Resources by Topic and Compliance Matrix o http://www.higheredcompliance.org
Campus Legal Information Clearinghouse o Collaborative effort between American Council on Education and The Catholic University of America's Office of General Counsel. o Resources by Topic o http://counsel.cua.edu
Higher Ed blogs and webinars (from trusted sources) o Offer practical advice and insight to assist postsecondary community to manage regulatory environment. o Cover a range of disclosure, reporting, and training requirements associated with participation in the federal student aid programs.
How can a school manage CI effectively? Consumer information is an institutional responsibility; key data are controlled and produced by a wide range of individuals within the organization. Create systems designed (1) to direct to your attention information or correspondence relating to your CI responsibilities and (2) to facilitate coordination among campuses and administrative verticals.
Implement a regulatory correspondence policy o Require that all substantive correspondence to or from regulators be copied to those responsible for CI Use CI flow charts o CI flow charts help coordinate responsibilities across the school, and help streamline annual processes
Tuition and Fees (for the entire program, assuming normal time completion). This data can be generated from CV in connection with the primary data pull. We agreed that we would use the tuition and fees associated with the most recent version of each program. We also agreed that we would pull the tuition 2013-2014 Gainful Employment Disclosure Template (GEDT) Flow Chart Following, please find a listing of each data element that will be entered into the Gainful Employment Disclosure Template in order to generate the required GE Disclosures for each program at each campus, for the 2012-2013 school year. Each data element is annotated to indicate the source of the required data. Unless otherwise stated, the period under review is July 1, 2012, through June 30, 2013. We are producing GEDT templates only for Title IV eligible programs. 6-Digit OPEID Code. This data can be generated from CV in connection with the primary data pull. 8-Digit OPEID Code. This data can be generated from CV in connection with the primary data pull. CIP Code. This data can be generated from CV in connection with the primary data pull. We agreed that we would use the 6-digit CIP Code associated with the most recent version of each program. Approved Name for Program. This data can be generated from CV in connection with the primary data pull. We agreed that we would use the program name associated with the most recent version of each program. Compliance will quality check the name against the approved program name listed on the ACCSC website, prior to entering the data into the GEDT. Credential Level. This data can be generated from CV in connection with the primary data pull. SOC Codes and Accompanying Occupation Titles. This data can be selected for each program during the data entry process.
Automate monitoring of external resources o My IFAP (Electronic Announcements, DCLs) o NASFAA, NAICU, AACC, CECU o Inside Higher Education, Chronicle Create a compliance calendar
SCHOOL AGENCY SUMMARY OF FILING, RESPONSE, OR REVIEW DUE TO COMPLIANCE DUE TO AGENCY STATUS STATUS COMMMENTS * Indicates that this event has not yet been confirmed for the current year, but occurred in the prior year on this date. Orange coloring denotes an on-site visit by agency personnel. Purple coloring denotes an approval expiration. APRIL School A City X Submit Business License Application to City X upon 4/1/13 receipt of sales tax identification number. School B ACCSC Onsite visit for Paralegal will be scheduled between 4/1/13* 4/1/13 & 7/31/13. (When possible, this entry should be updated to the date set by ACCSC for the visit.) School C City Y Liquor License Renewals due to the City Y. 4/1/13 2/13-Fingerprinting required. School B State of TN Corporate Annual Report due to Secretary of State in 4/1/2013* Tennessee School B TWC Update PS-005 4/1/2013* School A USDE IPEDS Spring Collection Closes. 4/10/13 School D NCCPE Audited Financial statements due to the Nebraska Coordinating Commission for Postsecondary Education (Nebraska State Grant program). 3/15/13 2/25- Fwd Financial Statements upon reciept. School X ACCSC Student Satisfaction Report due to the Accrediting 4/1/12 4/15/13 Commission of Career Schools and Colleges. School A IBHE Annual Renewal Application due to the Illinois Board of Higher Education. School A WIA Quarterly WIA State of Tennessee Report due to the Tennessee Department of Labor and Workforce Development, Division of Workforce Development. All Schools IPEDS Spring IPEDS (Integrated Postsecondary Education Data System) Data Collection closes (Fall Enrollment, Graduation Rates & Finance) closes for Coordinator. School B OSBCCS Agent Permit Renewals due to the Ohio State Board of 4/15/13 2/22- Applications submitted after this date are not guaranteed a response by June 30, 2013. 4/16/2013* 4/25/2013* 4/27/2013* Career Colleges and Schools-Stambaugh & Meleg School C ACCSC Change of Location On-Site Evaluation Visit 4/30/13 1/10 Form and fee due 2/10 School D City X City X Liquor License Expires. 4/31/2013* 9/11/11- Renewal application due to the city 4/1. MAY
Build a resource library o Compliance Calendar o Official Correspondence o Unofficial Correspondence o Current and Past CI Disclosures o Flow Charts and Evidence of CI Distribution o Laws and Regulations o Agency Guidance o Agency Tutorials and Training
Build a CI Website o Post everything! Well, almost everything... o Easier for students and regulators o Easier for staff o Facilitates Notice and Distribution o Mitigates exposure to student litigation
Observe drafting best practices o Include revision date o Include annual distribution date if annual distribution required o Place on company or school letterhead o Include statement regarding consistency between oral statements and written disclosure o Take advantage of opportunity to offer explanatory comments
What are the basic requirements? Must distribute annually to all enrolled students notice of availability of following information: o o o o o o o Annual Security Report (special notice requirements) Student-Right-to-Know rates Retention rate as reported in IPEDS Job placement information (job types and any calculated rates) FERPA Rights (special notice requirements) If applicable, the types of graduate and professional education in which graduates of the institution's four-year degree programs enroll (if applicable) And report on athletic program participation rates and financial support data (if applicable) o Financial assistance available to enrolled students (listed at 668.42) o Institutional characteristics (listed 668.43)
What is the recommended timing? Flexible, can be carried out at any point during year. Review your calendar and find a time where resources are not strained. We recommend September; coincides with fall start and fits neatly between June 30 and October 1 disclosure and reporting requirements.
What are the best practices? Information should be disclosed by posting to CI Website. House (almost) everything on CI website including catalog and FA materials. Create Master CI that satisfies following requirements: o List and briefly describe information and tell the student how to obtain the information; o Include exact electronic address at which the information is posted; and o State that the institution will provide a paper copy of the information on request. Essentially description of what is on CI Website. Once CI Master Notice done, should not bee too much annual change.
Where can I find more information? Applicable regulations: o 34 CFR 668.41(c) Additional resources: o http://ifap.ed.gov/qahome/qaassessments/ consumerinformation.html
What are the basic requirements? Each year, must distribute to all students and employees Annual Security Report, that includes specific policies and crime statistics and, if applicable, annual fire safety report. Prospective students and prospective employees must receive notice of report s availability and receive report upon request.
What is the recommended timing? Updated ASR must be published by October 1. But schools can start early! Gathering crime statistics is most challenging piece, start in March to permit time for agencies, campuses, and security personnel to respond.
What are the best practices? Ensure agency letter is detailed; use ED templates; keep copies of all correspondence; track correspondence and completion of tasks; post ASR to CI Website and distribute notice to new students and employees and annually to all; ensure notice satisfies specific requirements. Remember that new regulations became effective July 1, 2015, and a new Clery Handbook was released in June 2016.
Where can I find more information? Applicable regulations: o 34 CFR 668.41(a) o 34 CFR 668.41(e) o 34 CFR 668.46 o 34 CFR Part 668 Subpart D, Appendix A. Additional resources: o http://www2.ed.gov/admins/lead/safety/campus.html o http://clerycenter.org
What are the basic requirements? Annually distribute a written DAAPP disclosure to each student and employee: o Standards of conduct that clearly prohibit the unlawful possession, use, or distribution of illicit drugs and alcohol by students and employees on the school s property or as part of any of the school s activities o Description of applicable legal sanctions under state, local, and federal law
o Description of health risks o Description of available counseling, treatment, rehabilitation, or re-entry programs o Clear statement that school will impose sanctions for violation of standards of conduct and a description of sanctions Students who enroll or employees who are hired after the annual distribution must receive the information.
Conduct a biennial review of school s DAAPP that: o Determines the effectiveness of the program and implements needed changes o Determines the number of drug and alcohol-related violations and fatalities that occur on the school s campus or as part of the school s activities, and are presorted to campus officials
o Determines the number and type of sanctions that are imposed o Ensures that sanctions are consistently enforced The biennial review must be available to public upon request.
What is the recommended timing? The biennial review can be conducted at any time during the year. We suggest November or December. At this time the GE and ASR reporting obligations are complete, and the most recent ASR data regarding drug and alcohol violations will be available.
What are the best practices? Prepare internal and external policy documents; distribute external documents annually to every student and employee and supply to all new students and employees upon arrival; have students and employees sign evidence of receipt; save annual distribution notices and record results of biennial review; post info to CI Website; policies match ASR.
Where can I find more information? Applicable regulations: o 34 CFR 86 Additional resources: o http://ifap.ed.gov/qahome/qaassessme nts/consumerinformation.html
What are the basic requirements? Must annually make available SR2K completion/graduation rates and, if applicable, transfer-out rate. Must annually circulate detailed notice of availability.
What is the recommended timing? Annual notice can be made at any time, but must make available most recent SR2K data by July 1 of each year. Data needed for the annual notice is reported annually in IPEDS Graduation Rate Survey, which typically closes in early spring). We recommend updating the disclosures in May or June.
What are the best practices? Be aware that the old model disclosure from ED is no longer sufficient (see next slide). Leave time to produce disaggregated data; make sure disclosure explains data; post data to CI Website and circulate detailed notice; keep record of notice distribution.
Student Right-to-Know Rates As of July 1, 2010 Student Right-To-Know refers to a federally-mandated public disclosure of an institution s Completion/Graduation Rate and Transfer-Out Rate. This information is provided in compliance with the Higher Education Act of 1965, as amended. This is a "cohort" study; that is, a group of students who are first-time freshmen who are enrolled full-time and are degree-seeking is identified in a fall term and their outcomes are measured over a period of time. The outcomes measured are Completion/Graduation (the total number of students in the cohort who earn either a degree, a certificate, or who successfully completed a two-year-equivalent transfer-preparatory program) and Transfer-Out (the total number of cohort non-completers who were identified as having enrolled in another institution).
Student-Right-to-Know and Federal Retention Rate Disclosure Our School Effective Date: July 1, 2014 Pursuant to the federal Student Right-to-Know Act, on an annual basis, our school determines and makes available an overall graduation rate of certificate or degree-seeking, first-time, full-time, undergraduate students. In addition, our school also provides the Student-Right-to-Know graduation rate disaggregated by various sub-categories, as determined and defined by the U.S. Department of Education. The Student Right-to-Know graduation rate is based on a "cohort study, meaning that a group or cohort of students is identified and then monitored over a period of time. The current rates, set out below, are based on the group of students who enrolled for the first-time, as full-time students, between September 1, 20XX and August 31, 20XX. The rate represents the number of those students who earned their degree or certificate within 150% of the normal time required to complete their program. The rate does not include students who left school to serve in the armed forces, on official church missions, or in the foreign service of the federal government. Students who died or were totally and permanently disabled also are excluded. It s important to note that the Student Right-to-Know graduation rate is calculated at the school level. In other words, there is one rate for the entire school, not a rate for each specific program. Certain institutions also are required to calculate and distribute graduation or completion rates for students receiving athletically related student aid, as well as transfer-out rates. These requirements, however, are not applicable to our school. The most recent, disaggregated Student-Right-to-Know graduation rate for our school is set out in the following chart: Men Women Student Category Number of Students Number Graduating Within 150% Graduation Rate Nonresident Alien Hispanic/Latino American Indian or Alaska Native - - - Asian
Where can I find more information? Applicable regulations: o 34 CFR 668.41(a) - (d) o 34 CFR 668.45 o 34 CFR 668.8(b)(1)(ii) Additional resources: http://ifap.ed.gov/qahome/qaassessments/consu merinformation.html
Each year schools must make available the retention rate of certificate or degree seeking, first-time, undergraduate students; must circulate detailed notice of availability. 34 CFR 668.41(d)(3). Include with SR2K disclosure; Data reported in IPEDS Fall Enrollments Survey (typically closes in the spring); will be available for easy inclusion. Make sure disclosure explains data; post data to CI Website and circulate detailed notice; keep record of notice distribution.
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Aaron D. Lacey, Esq. Partner, Higher Education Practice Thompson Coburn LLP alacey@thompsoncoburn.com 314-552-6405
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