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Session 39 Uncover the Mysteries of How a Law Becomes Operational Angela Smith Kevin Session 39 Uncover the Mysteries of How a Law Becomes Operational Angela Smith Kevin Campbell Bill

What’s Important? • How Does a Bill Become a Law? • Laws VS. Regulations What’s Important? • How Does a Bill Become a Law? • Laws VS. Regulations • What's the Federal Register? • What's the Blue Book? • What is meant by “Guidance"? • Finding Answers Using the Federal Student Aid Handbook and Dear Colleague Letters 2

Title IV Federal Student Aid Programs • Pell Grants • Campus Based Programs – Title IV Federal Student Aid Programs • Pell Grants • Campus Based Programs – FSEOG, FWS, Federal Perkins Loans • FFELP/FDLP • ACG/SMART • Other 3

Who’s Responsible? • Congress – Executive Branch – Creation and modification of programs – Who’s Responsible? • Congress – Executive Branch – Creation and modification of programs – Cash management – Need analysis formula – FAFSA design – Maximum grant and loan amounts – Reporting requirements – Audit criteria – Enforcement (L, S & T) – Amount of funding 4

Legislation VS. Regulation • Legislation – Congress Adopts with presidential signature or after overriding Legislation VS. Regulation • Legislation – Congress Adopts with presidential signature or after overriding a veto – Amends the U. S. Code -- the statute (e. g. , Higher Education Act) – Public Laws (108 -XX) Speaker of the House Dennis Hastert (R, IL) Senate Majority Leader Bill Frist (R, TN) 5

Leadership in the New Congress Senator Harry Reid, D. Nevada Representative Nancy Pelosi, D. Leadership in the New Congress Senator Harry Reid, D. Nevada Representative Nancy Pelosi, D. California Senate Majority Leader Speaker of the House of Representatives 6

How the Law is Numbered • P. L. 105 -244 (10/7/98) reauthorized the HEA How the Law is Numbered • P. L. 105 -244 (10/7/98) reauthorized the HEA • Title IV, Part G - General Provisions • Subpart (Arabic numerals when used) • Section 484 - Student Eligibility • Subsection (c) - Satisfactory Progress – Paragraph (1) – Subparagraph (A) – Division - lower case Roman - (i), (iii) – Clause - upper case Roman - (I), (III) • Example: Sec. 484(c)(1)(A) 7

Legislative Process • Authorization Legislation: – Introduced by a Representative or Senator to amend Legislative Process • Authorization Legislation: – Introduced by a Representative or Senator to amend or create a Federal statute • Appropriations Legislation: – Sets annual funding levels for Federal programs 8

Legislative Process Applied to HEA • Authorizing Legislation – Established HEA of 1965 as Legislative Process Applied to HEA • Authorizing Legislation – Established HEA of 1965 as amended – Reauthorization changes/renews authorizing legislation approximately every 5 years • Appropriating Legislation – Annually funds programs – Budget bills 9

What is Reauthorization? • Reauthorization of the Higher Education Act of 1965, as Amended What is Reauthorization? • Reauthorization of the Higher Education Act of 1965, as Amended – Originally enacted as part of President Johnson’s “Great Society” programs – Authorizations “sunset” and must be renewed – Authorizes virtually all Federal Higher Education Programs 10

Why Reauthorization? • Reauthorization Provides the Opportunity for Thoughtful Congressional Review – Public hearings Why Reauthorization? • Reauthorization Provides the Opportunity for Thoughtful Congressional Review – Public hearings – More time to consider ideas – Ability to review fundamental issues • Access • Choice • Eligibility • Subsidies • Accountability 11

Current Reauthorization • Process Underway Since Late 2002 • Many Issues Incorporated into Higher Current Reauthorization • Process Underway Since Late 2002 • Many Issues Incorporated into Higher Education Reconciliation Act (HERA) – Loan program extended – Loan limits increased – Origination fees reduced – Graduate students may borrow under the PLUS program • Other Issues Still Unresolved 12

Hand-off to the Executive Branch • Presidential Signature Required on All Changes to Statute Hand-off to the Executive Branch • Presidential Signature Required on All Changes to Statute – Date of enactment is date President signs a bill into law – President becomes an active player in shaping final bill 13

Hand-off to the Executive Branch • Executive Branch Must Execute and Enforce Laws – Hand-off to the Executive Branch • Executive Branch Must Execute and Enforce Laws – Statutory language may be vague – Congress may direct that regulations be written or may prohibit regulation Secretary of Education Margaret Spellings – Regulations are the primary vehicles that executive branch agencies use to interpret and enforce statutes – Sub-Regulatory guidance includes Dear Partner Letters, forms, Audit Guides 14

Legislation VS. Regulation • Regulations – Promulgated by appropriate Federal agency • U. S. Legislation VS. Regulation • Regulations – Promulgated by appropriate Federal agency • U. S. Department of Education for Higher Education Programs • Reviewed by Office of Management and Budget (OMB) – Interprets and adds detail to statute – Amends Code of Federal Regulations (C. F. R. ) 15

Regulatory Process • Negotiated Rulemaking (Neg-Reg) – Mandated by the Higher Education Act (HEA) Regulatory Process • Negotiated Rulemaking (Neg-Reg) – Mandated by the Higher Education Act (HEA) – All rules implementing changes to the Higher Education Act, and revisions to regulations, are subject to this process – Secretary consults with the “community” 16

Regulatory Process • New/amended regulations initially published in the Federal Register – Notice of Regulatory Process • New/amended regulations initially published in the Federal Register – Notice of Proposed Rulemaking (NPRM) • Comment periods 30, 45, 60, or 120 days – Final Rules • Effective date 45 -days following publication or • Later date published in Federal Register – Notices • Regulations compiled once a year 17

Regulatory Process: Master Calendar • Rules must be published by the preceding November 1 Regulatory Process: Master Calendar • Rules must be published by the preceding November 1 to be effective for an academic year – Example: rules published by November 1, 2006 will be effective on July 1, 2007 for 2007 -2008 academic year – Secretary may permit, but not require, earlier implementation 18

Title IV Regulations: Federal Register • The official daily compilation of federal regulations and Title IV Regulations: Federal Register • The official daily compilation of federal regulations and notices • prepared by the NARA; published by GPO • Available on online or in hardcopy 19

Title IV Regulations: Code of Federal Regulations • Codification of the regulations • Divided Title IV Regulations: Code of Federal Regulations • Codification of the regulations • Divided into 50 titles; Title 34 governs federal financial aid • Updated once each calendar year • Available online or in hardcopy 20

How Regulations Are Numbered • Title - 34 • Part –numbers 600 thru 694 How Regulations Are Numbered • Title - 34 • Part –numbers 600 thru 694 • Subpart – numbers following the decimal point • Section – small letter, e. g. (a) • Explanatory Subsections – (1)(i)(A) • Example: the Standards of Administrative Capability Regulatory Cite is 34 CFR 668. 16 21

Guidance vs. Laws and/or Regulations • Guidance is information that provides direction or advice Guidance vs. Laws and/or Regulations • Guidance is information that provides direction or advice as to a decision or course of action • Guidance, as related to the Title IV programs, is – Issued by ED – Helps financial aid administrators interpret laws/regs – Administered in several different forms 22

Title IV Guidance: Federal Student Aid Handbook • Primary resource financial aid administrators • Title IV Guidance: Federal Student Aid Handbook • Primary resource financial aid administrators • Provides “plain language” guidance of laws and regulations • Published annually • Available online or in hardcopy 23

Title IV Guidance: The Blue Book • Provides guidance to those responsible for managing Title IV Guidance: The Blue Book • Provides guidance to those responsible for managing Title IV FSA program funds (e. g. Business Office, Comptroller’s Office, Treasurer, etc. ) • Available online or in hardcopy 24

Title IV Guidance: Dear Colleague/Partner Letters • Issued by ED to provide additional policy/guidance Title IV Guidance: Dear Colleague/Partner Letters • Issued by ED to provide additional policy/guidance – Q&A’s – Technical information – Introduce new rules – Explain rules in existence – Explain policies 25

Title IV Guidance: Dear Colleague/Partner Letters, con’t. • ANN: Training Announcements • CB: Campus-based Title IV Guidance: Dear Colleague/Partner Letters, con’t. • ANN: Training Announcements • CB: Campus-based Programs Letters • GEN: General Distribution Letters • P: Pell Grant Program • DLB: Direct Loan Bulletins 26

Title IV Guidance: Dear Colleague/Partner Letters, con’t. • How DCLs/DPLs are numbered example: – Title IV Guidance: Dear Colleague/Partner Letters, con’t. • How DCLs/DPLs are numbered example: – CB-06 -11: Eleventh Campus-Based DCL issued in 2006 • Recent DCLs/DPLs – CB-06 -13: 06/07 Supplemental Campus-Based Awards – ANN-06 -10: HERA Workshops – GEN-06 -15: National SMART Grant - Revised List of Eligible Majors 27

Title IV Guidance: Electronic Announcements • Less formal bulletins, memos and letters from Senior Title IV Guidance: Electronic Announcements • Less formal bulletins, memos and letters from Senior FSA staff to assist schools • Provide updates, guidance, reminders, notices • Delivered electronically – Sent to SAIG mailbox – Listed on IFAP by date 28

Where can I find this information? • IFAP – ifap. ed. gov • • Where can I find this information? • IFAP – ifap. ed. gov • • FAP Portal – fsa 4 schools. ed. gov 29

Federal Student Aid (FSA) Handbook 30 Federal Student Aid (FSA) Handbook 30

Order hardcopies of Handbooks, Blue Books, CFRs and other items 31 Order hardcopies of Handbooks, Blue Books, CFRs and other items 31

What’s Involved? - Review • The Law – Higher Education Act of 1965, as What’s Involved? - Review • The Law – Higher Education Act of 1965, as amended – Created by Congress • Regulations – implement the Law – Created by Department of Education (ED) and others • Dear Partner/Colleague Letters – Issued by ED to provide additional policy/guidance • Electronic Announcements – Less formal information from ED to assist schools 32

Legislation and Regulation Now You’re An Expert!!! 33 Legislation and Regulation Now You’re An Expert!!! 33

We appreciate your feedback and comments. We can be reached at: • Name: Kevin We appreciate your feedback and comments. We can be reached at: • Name: Kevin Campbell • Name: Angela Smith • Phone: 214 -661 -9488 • Phone: 312 -886 -8341 • Fax: 214 -661 -9662 • Fax: 312 -886 -6737 • Email: kevin. [email protected] gov • Email: angela. [email protected] gov 34