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U.S. Department of Education

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Functional Statements >    Office of Postsecondary Education >    OPE Functions and Responsibilities

## Higher Education Programs

The Deputy Assistant Secretary for Higher Education Programs (HEP) serves as the principal advisor to the Assistant Secretary for Postsecondary Education in effectively articulating, promoting, and executing OPE's mission of equal access and excellence in postsecondary education. 

The Deputy Assistant Secretary for HEP provides overall leadership for overseeing, administering, and coordinating discretionary and formula grants and contracts, and providing other services to foster equal access to and excellence in higher education. These leadership responsibilities are carried out within the framework of authorizing legislation for Federal programs designed to: 
                - Improve academic quality, institutional management, fiscal stability, and strengthen physical plants and endowments of institutions of higher education to enable faculty and administrators to create an environment focused on excellence in teaching that permits students to achieve excellence in learning at the baccalaureate and graduate levels.  
                - Identify, prepare, and facilitate access of low-income students, first generation students, and individuals with disabilities to higher education institutions and their successful completion of programs at their maximum levels of ability.
                - Provide a range of supportive services for low-income students in elementary, middle, and secondary schools, including information for their parents specifically focused on ensuring access and success at institutions of higher education.  
                - Provide childcare services for low-income parents to enable them to participate in postsecondary education.
                - Provide opportunities for teachers (faculty) to receive professional development training in a variety of areas, including technology. 
                - Provide services to faculty and administrators to assist them in providing appropriate services for students with disabilities.
                - Facilitate quality graduate education to address national needs.  

HEP establishes results-oriented policies and procedures governing the implementation of legislated discretionary and formula grant programs and contracts. It administers such programs to maximize performance and accountability and evaluates the impact of programs it administers to measure their general efficiency in relation to their costs and effectiveness in achieving stated goals. HEP actively involves and works with public and private organizations (including institutions of higher education, public and private non-profit agencies and organizations, states, and elementary and secondary schools) to ensure maximum program effectiveness. Working through the Department of Education, HEP reports to the President and Congress on all activities carried out under delegated authorities. 

Functions and responsibilities of the immediate office of the Deputy Assistant Secretary include: 
                - Coordinates the development of new regulations and revisions to existing regulations; proposes new legislation and/or amendments to existing legislation for programs administered by HEP.
                - Works with PPI to prepare the annual program budget justification for HEP and provides appropriate documentation and other data to support such requests.
                - Oversees an internal HEP management coordination group responsible for developing and implementing a three- to five-year long-range plan and a one-year short-term plan. These plans are designed to integrate budget, policy planning, operations analyses, and other critical service delivery information needed to enhance the forecasting ability of HEP; provide long-term vision and direction; identify and analyze options for management reviews; and determine needed changes to ongoing program policies and procedures.
                - Ensures accountability in all efforts undertaken by monitoring the overall grants and contracts award scheduling process, including: refinement of program selection criteria for programs without regulations, document clearances, the field reader selection systems, and reviewing procedures for the selection of program grantees.
                - Coordinates with senior HEP management and members of the higher education community, identifies program performance measures and indicators in the program monitoring and information systems for use in assessing the effectiveness of HEP programs in meeting legislative and regulatory objectives, Department and Administration goals, and ensuring accountability.
                - Prepares, in conjunction with other OPE and Department offices, specifications for program evaluation and program management studies; provides assistance in monitoring studies as well as in implementing recommendations.
                - Reviews, for clearance purposes, publications and forms requiring HEP, Department, and Office of Management and Budget (OMB) approval; and recommends simplification or consolidation to achieve the goals of the Paperwork Reduction Act.
                - Coordinates, manages, and monitors the legislatively directed grant for Howard University.
                - Coordinates HEP responses to audit reports from the Government Accountability Office and the Office of the Inspector General, with assistance from other HEP Program Areas, and ensures follow-up.
                - Serves as the focal point in HEP for allocating resources, budget and control mail operations and inquiries. This function includes salaries and expenses, budget requests, performance management activities, and the tracking of inquiries; and requests for other information from higher education constituents, the Congress, other Federal agencies, and the Administration.

The Deputy Assistant Secretary for Higher Education Programs also provides overall direction, supervision, coordination, and leadership to two major Service Areas:
                - Student Service
                - Institutional Service

The responsibilities of each Service Area are as follows:

### Student Service

A Senior Director heads the Student Service (SS) and reports to the Deputy Assistant Secretary. The Senior Director is responsible for the overall management of activities within the SS, coordinating with other HEP entities to ensure appropriate integration of interrelated functions and activities, and providing leadership to all components of SS, as well as to the higher education community. The SS performs planning, program development, and grant administration functions for the Federal TRIO programs; the Child Care Access Means Parents in School program; Gaining Early Awareness and Readiness for Undergraduate Programs (GEAR UP); and the Graduate Fellowships Programs (Title VII, Part A, HEA). In addition, currently, the Higher Education Emergency Response Unit, which administers grants funded under the Coronavirus Aid, Relief, and Economic Security Act (CARES), the Coronavirus Response and Relief Supplemental Appropriations Act (CRRSAA), and American Rescue Plan Act of 2021 (ARP), is under the immediate office of the Senior Director.

SS defines and articulates program goals and objectives; identifies and implements policy changes needed to achieve goals and objectives; evaluates program effectiveness; develops and updates policy manuals, program regulations, and proposed legislative amendments; prepares program budget requests; and prepares an annual funding schedule and funding strategy, incorporating the Secretary's goals and objectives; develops funding criteria and funding priorities for publication in the    Federal Register, and manages the application, review, and awards process for programs administered by the SS. Functions also include assigned responsibilities relative to processes and all other functions necessary for the administration and monitoring of new and continuation awards with implementation by each Group.

SS performs the functions of HEP development and implementation as they relate to the following programs: 
                - Child Care Access Means Parents in School 
                - Educational Opportunity Centers 
                - Ronald E. McNair Post Baccalaureate Achievement 
                - Training Program for Federal TRIO Programs
                - Student Support Services
                - Gaining Early Awareness and Readiness for Undergraduate Programs 
                - Talent Search 
                - Upward Bound 
                - Upward Bound Math/Science 
                - Upward Bound/Veterans
                - Graduate Assistance in Areas of National Need Program
                - CARES Act Programs 
                Higher Education Emergency Relief Fund Program II

                -  CRRSAA
                Higher Education Emergency Relief Fund Program II

                -  American Rescue Plan Act of 2021
                Higher Education Emergency Relief Fund Program II

                -  Fund for the Improvement of Postsecondary Education
                Career and Educational Pathways Exploration System Program (Career Pathways)
Institutional Resilience and Expanded Postsecondary Opportunity Program
Supplemental Assistance to Institutions of Higher Education

The Immediate Office of the Senior Director of the SS provides overall direction and coordination to the following Groups: 
                - Student Group A (Pre-College: Upward Bound, Educational Opportunity Centers, & Career Pathways)
                - Student Group B (Undergraduate & Graduate Programs Group: Child Care Access Means Parents in School, Ronald E. McNair Postbaccalaureate Achievement, Student Support Services Programs, and the Training Program for Federal TRIO Programs)
                - Student Group C (Pre-College: GEAR UP & TRIO Talent Search)
                - Student Programs Development Group

The Student Group staff works across program assignments for a variety of program planning, implementation, and analysis assignments designed to ensure maximum coordination and utilization of Service Area resources. The Group is responsible for planning, implementing, and managing the grant awards processes for new applicants and non-competing continuation grantees and for providing overall management and monitoring of ongoing projects to ascertain adherence to regulations, policies, and procedures and the achievement of program objectives. Functions include: the development of the grant/technical review operation, design, and approval of required forms, provision of technical assistance to potential applicants, review of applications by external readers, selection of grantees, technical assistance to funded grantees, data gathering and analysis, and grant close-out. 

#### Student Group A (PRE-COLLEGE: Upward Bound, Educational Opportunity Centers, & Career Pathways)

The Group is responsible for planning, implementing, and managing the awards process for new applicants and non-competing continuation grantees for: 
                - Upward Bound
                - Upward Bound Math/Science
                - Upward Bound Veterans
                - Educational Opportunity Centers  
                - Career and Educational Pathways

#### Student Group B (Undergraduate & Graduate Programs)

The Group  is responsible for planning, implementing, and managing the awards process for new applicants and non-competing continuation grants for: 
                - Student Support Services Program 
                - McNair Post Baccalaureate Achievement Program 
                - TRIO Training Program 
                - Graduate Assistance in Areas of National Need Program

#### Student Group C (PRE-COLLEGE: GEAR UP & TRIO Talent Search) 

The Group is responsible for performing development and implementation activities for the following programs:
                - Gaining Early Awareness and Readiness for Undergraduate Programs 
                - TRIO Talent Search Program

#### Student Programs Development Group

The role of the Student Programs Development Group (SPDG) is to work to identify effective practices in serving students through the student-oriented programs administered by OPE. In addition, the Student Programs Development Group is responsible for managing the logistical contracts for competition support, Web-based data collections, and data analysis contracts and for maintaining SS's data systems for tracking funded and non-funded applications and grant awards; defining the statistical analysis and program evaluations needed; determining program data requirements for analysis of specific program trends and reporting needs; and developing and generating reports on SS programs. The Division Director may represent the SS Senior Director and/or OPE as a member of groups across the Department engaged in programmatic data collections and analysis. This Group works closely with the office of the Director of SS. 

### Institutional Service

Institutional Service (IS) is headed by a Senior Director who reports to the Deputy Assistant Secretary, Higher Education Programs and is responsible for the overall management of activities within the Program Area. The Director coordinates with other Program Areas in HEP to ensure appropriate integration of interrelated functions and activities and provides leadership to all components of the Program Area as well as to the higher education community.

IS defines and articulates program goals and objectives; identifies and implements policy changes needed to achieve goals and objectives; evaluates program effectiveness; develops and updates policy manuals, program regulations, proposed legislative amendments; prepares program budget request; and in conjunction with the Deputy Assistant Secretary's office, prepares an annual funding schedule and funding strategy, incorporating the goals and objectives of the Secretary, where applicable; develops funding criteria, and funding priorities for publication in the    Federal Register, and manages the application review and awards process for programs administered. Functions also include assigned responsibilities relative to processes and all other functions necessary for the administration and monitoring of new and continuation awards with implementation by each Group. 

The Immediate Office of the Senior Director is responsible for directing and administering the Historically Black Colleges and Universities Capital Financing Program and Advisory Board. Staff consists of an Executive Director of the Historically Black Colleges and Universities Capital Financing Program and Advisory Board.  

IS performs the functions of development and implementation as they relate to the following programs: 
                -  Asian American and Native American Pacific Islander-Serving Institutions Program
                -  Historically Black Colleges and Universities Capital Finance Program
                -  Hispanic-Serving Institutions Stem and Articulation Program (Title III) 
                -  Native American-Serving Non-Tribal Institutions Program
                - Tribally Controlled Colleges and Universities 
                - Alaska Native and Native Hawaiian
                - PPOHA
                -  Strengthening Historically Black Colleges and Universities Program, (Title III, Part B)
                -  Strengthening Historically Black Graduate Institutions Program (Title III, Part B) 
                -  Minority Science and Engineering Improvement (Title III, Part E) 
                - College Housing and Academic Facilities Loan Program 
                - Predominantly Black Institutions Undergraduate Discretionary Grant Program
                - Predominantly Black Institutions Undergraduate Formula Grant Program
                - Predominantly Black Institutions Master's Degree Program 
                - Historically Black Colleges and Universities Master's Degree Programs 
                - Fund for the Improvement of Postsecondary Education
                Centers of Excellence for Veterans Students Success
Open Textbooks Pilot Program
 National Center for Information and Technical Support for Postsecondary Students with Disabilities

The Immediate Office of the Senior Director provides overall direction and coordination to Executive Director of the HBCU Capital Finance Program, plans and implements the annual designation of eligibility process for institutions under Title III, Part A and Title V, Parts A & B of the Higher Education Act, and provides overall direction and coordination to the following Groups: 
                - Institutional Group A
                - Institutional Group B
                - Institutional Group C
                - Fund for the Improvement for Postsecondary Education (FIPSE) Group (Currently funded programs are administered by groups under Institutional Service and Student Service.)
                - Institutional Programs Development Group

####  Institutional Group A

The Group is responsible for planning, implementing, and managing the awards process for new applicants and non-competing continuation grantees for the following programs:
                - Strengthening Alaska Native and Native Hawaiian-Serving Institutions 
                - Strengthening American Indian Tribally Controlled Colleges and Universities
                - Strengthening Institutions 
                -  American Indian Tribally Controlled Colleges and Universities
                -  Alaska Native and Hawaiian-Serving Institutions
                -  Asian American and Native American Pacific Islander-Serving Institutions Program
                -  Native American-Serving Non-Tribal Institutions Program
                - Alaska Native and Native Hawaiian 
                - Model Transition Programs for Students with Intellectual Disabilities in Higher Education   
                - FIPSE
                National Center for Information and Technical Support for Postsecondary Students with Disabilities

Functions of the Group include: the development of the grant and technical review operations; design and approval of required forms; and review of applications by external readers and staff and selection of grant recipients. The Group provides overall management and monitoring of ongoing projects to ascertain adherence to regulations, policies, and procedures, as well as providing technical assistance to funded grantees and to potential applicants for grant funding. 

In addition, the Group: 
                - Develops and justifies proposed amendments to existing legislation or new legislative initiatives for its programs, and prepares supporting documentation, issue papers, and justification for legislative changes as required for the clearance process. 
                - Analyzes impact of proposed legislative amendments initiated by other components of the Department, other Federal agencies, and the Congress on programs. 
                - Assesses the need for and develops specific program regulations to address policy recommendations or changes needed to comply with legislative intent or management improvement. 
                - Analyzes, reviews, and prepares responses to public comments on regulations and recommends revisions to proposed regulations, as appropriate. 
                - Prepares rationales and develops justifications for publication of regulations; prepares necessary materials for clearance of regulatory packages through HEP, OPE, the Department, and OMB; and prepares and clears approved regulatory changes for publication in the       Federal Register. Provides authoritative interpretation of program policies, procedures, and regulations for program constituent groups, project managers, and other offices in ED, other Federal agencies, and the Congress. 
                - Prepares program budget requests, includes analyses of impact on program effectiveness at various funding levels. 
                - Develops funding criteria and funding priorities for its programs and incorporates the goals and priorities of the Secretary, where applicable. 
                - Manages the long-term grants awarded pre 1998 under the Endowment Challenge Grant Program (Title III), which includes providing technical assistance to grantees. 
                - Manages the grants awarded post 1998 that include Endowment Activities and provides technical assistance. 

#### Institutional Group B

The Group is responsible for planning, implementing, and managing the awards process for new applicants and non-competing continuation grantees for the following programs:
                - Historically Black Colleges and Universities (Title III, Part B)
                - Historically Black Graduate Institutions (Title III, Part B)
                - Minority Science and Engineering Improvement (Title III, Part E)
                - Predominantly Black Institutions Undergraduate Discretionary Grant Program
                - Predominantly Black Institutions Undergraduate Formula Grant Program
                - Predominantly Black Institutions Master's Degree Program
                - Historically Black Colleges and Universities Master's Degree Programs
                -  FIPSE
                Centers of Excellence for Veteran Students Success

These functions include: the development of the grant/technical review operation; design and approval of required forms; review of applications by external readers and staff and selection of recipients. The Group provides overall management and monitoring of ongoing projects to ascertain adherence to regulations, policies, and procedures, as well as providing technical assistance to funded grantees/contractors and to potential applicants for grant funding. 

In addition, the Group: 
                - Develops and justifies proposed amendments to existing legislation or new legislative initiatives for its programs; prepares supporting documentation, issue papers, and justification for legislative changes as required for the clearance process. 
                - Analyzes the impact of proposed legislative amendments initiated by other components of the Department, other Federal agencies, and the Congress. 
                - Assesses the need for and develops specific program regulations to address policy recommendations or changes needed to comply with legislative intent or management improvement. 
                - Analyzes, reviews, and prepares responses to public comments on regulations and recommends revisions to proposed regulations as appropriate. Prepares rationales and develops justification for publication of regulations, required materials for clearance of regulatory packages through HEP, OPE, the Department, and OMB, and clears approved regulatory changes for publication in the       Federal Register. 
                - Provides authoritative interpretation of program policies, procedures, and regulations for program constituent groups, project managers and other offices in the Department, other Federal agencies, and the Congress. 
                - Prepares program budget requests, including analyses of impact on program effectiveness at various funding levels. 
                - Develops funding criteria and funding priorities for its programs and incorporates the goals and priorities of the Secretary, where applicable.

#### Institutional Group C

The Group is responsible for planning, implementing, and managing the awards process for new applicants and non-competing continuation grantees for Hispanic Serving Institutions Program and the Promoting Post baccalaureate Opportunities for Hispanic Americans (PPOHA) under Title V, Parts A & B, respectively, of the Higher Education Act and the College Housing and Academic Facilities Loan Program and Annual Interest Grant Program in Section 121 of the 1998 Amendments to the Higher Education Act.  

The Group is responsible for planning, implementing, and managing the awards process for new applicants and non-competing continuation grantees for the following programs:
                -  Developing Hispanic-Serving Institutions (Title V, Part A)
                - PPOHA (Title V, Part B).  
                -  Hispanic-Serving Institutions Stem and Articulation Program (Title III, Part F)
                - FIPSE
                - Open Textbook Pilot Program

In addition, the Group: 
                - Develops and justifies proposed amendments to existing legislation or new legislative initiatives for programs; prepares supporting documentation, issue papers, and justification for legislative changes as required for the clearance process.
                - Analyzes the impact of proposed legislative amendments initiated by other components of the Department, other Federal agencies, and the Congress.
                - Assesses the need for and develops specific program regulations to address policy recommendations or changes needed to comply with legislative intent or management improvement.
                - Analyzes, reviews, and prepares responses to public comments on regulations and recommends revisions to proposed regulations as appropriate. 
                - Prepares rationales and develops justifications for publication of regulations; prepares necessary materials for clearance of regulatory packages through HEP, OPE, the Department, and OMB. Prepares and clears approved regulatory changes for publication in the       Federal Register. 
                - Provides authoritative interpretation of program policies, procedures, and regulations for program constituent groups, project managers and other offices in the Department, other Federal agencies, and the Congress. 
                - Prepares program budget requests, including analyses of impact on program effectiveness at various funding levels. 
                - Develops funding criteria and funding priorities for its programs and incorporates the goals and priorities of the Secretary where applicable.
                - Manages and collects payments on long-term construction loans to institutions made under Title VII of the Higher Education Act of 1965. 

### Fund for the Improvement of Postsecondary Education 

The Education Amendments of 1972 established the Fund for the Improvement of Postsecondary Education (FIPSE) to improve postsecondary educational opportunities by providing assistance to education institutions and agencies for a broad range of reforms and innovations. Congress identified eight broad purposes for which contracts and grants may be awarded under Part B, Subpart 741 of Title VII of the Higher Education Act, as amended. When there are regular congressional appropriations for funds under FIPSE, an advisory body, the National Board, provides policy advice to the Secretary on the priorities and operation of FIPSE. Programs funded under the FIPSE authority in recent years are administered by IS or SS and listed under the responsible group.

The FIPSE staff is responsible for performing the full range of activities related to program development, implementing, data gathering, and analysis for the programs in their respective areas. As appropriate, ad hoc groups of staff members will work together to plan and carry out tasks such as regulations revisions, application forms approval, technical workshops, budget development, the annual plan, data gathering, and analysis. In addition to program planning and development of policy and procedures, including the initiation and revision of regulations, FIPSE staff is responsible for developing and reviewing legislative proposals and the annual report for each program administered. 

Additionally, staff assigned to programs funded under the FIPSE authority is responsible for planning, implementing, and managing the awards process for new and non-competing applicants for programs administered and Congressionally-directed grants. Functions include the development of the grant/technical review operation; design and approval of required forms; review of applications by external readers and staff and selection of recipients. Assigned staff provide overall management of ongoing projects to ascertain adherence to regulations, policies, and procedures; provides technical assistance to funded grantees/contractors and to potential applicants for grant funding; and is also responsible for administering and monitoring Congressionally-directed grants, as well as the close-out of grant programs.

### Institutional Programs Development Group 

The role of the Institutional Programs Development Group (IPDG) is to identify effective practices in developing institutions that serve low-income and minority students through the institution development programs administered by the Office of Postsecondary Education. The IPDG is responsible for managing logistical contracts for competition support, Web-based data collections, and data analysis contracts and for maintaining IS data systems for tracking funded and non-funded applications and grant awards; defining the statistical analysis and program evaluations needed; determining program data requirements for analysis of specific program trends and reporting needs; and developing and generating reports on IS programs; managing the long-term grants awarded pre 1998 under the Endowment Challenge Grant Program (Title III), which includes providing technical assistance to grantees; and managing the grants awarded post 1998 that include Endowment Activities and provides technical assistance.

This Group works closely with the office of the Senior Director of IS. The Division Director may represent the IS Senior Director and/or OPE as a member of groups across the Department engaged in programmatic data collections and analysis.
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