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Issue Paper 8

Session 3: March 12-15, 2018

Issue: Certification Requirements 

Statutory cites: 20 U.S.C. § 1221e-3; 20 U.S.C. § 3474; 20 U.S.C. § 1231a; 20 U.S.C. 

§§ 1001(b)(1), 1002(b)(1)(A)(i), (c)(1)(A); 20 U.S.C. § 1088(b); 20 

U.S.C. § 1082; 20 U.S.C. § 1092; 20 U.S.C. §1094

Regulatory Cites: 34 CFR §668.414

Summary of 

Changes: Summary of Changes Since Session 2: Since the second negotiating session, our 

only proposed changes are conforming changes that limit the certifications to undergraduate 

programs.

Summary of Changes Provided Before Session 2: We propose to require that, for any title IVeligible educational program that prepares students for employment in an occupation for which 

the State or Federal government has requirements for certification/licensure, the institution 

certify in its PPA that the program is approved by a recognized accrediting agency and meets the 

State or Federal requirements. As noted previously, with the removal of the loss of title-IV 

eligibility as a sanction, we propose to clarify the ramifications of that proposal by removing the 

requirement for schools to explain how a new program is not substantially similar to another 

low-performing program at the institution.

§668.414 Certification requirements for GE undergraduate educational programs.

(a) Transitional certification for existing programs. (1) Except as provided in paragraph 

(a)(2) of this section, an institution must provide to the Secretary no later than December 31 of 

the year in which this regulation takes effect, in accordance with procedures established by the 

Secretary, a certification signed by its most senior executive officer that each of its currently 

eligible GE programs included on its Eligibility and Certification Approval Report meets the 

requirements of paragraph (d) of this section. The Secretary accepts the certification as an 

addendum to the institution's program (a) Program participation agreement with the Secretary 

under §668.14.
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[, as amended at 79 FR 71958, Dec. 4, 2014]

(2)certification. If an institution makes the certification in itsoffers a title IV-eligible 

undergraduate educational program participation agreement pursuant to paragraph (b) of this 

section between July 1 and December 31 of the yearthat prepares students for employment in an 

occupation for which the State in which this regulation takes effect, itthe institution is not 

required to provide the transitionallocated or the Federal Government has requirements for

certification under this paragraph.

(b) Program participation agreement certification. As or licensure in that State, as a 

condition of itsthe undergraduate educational program’s continued participation in the title IV, 

HEA programs, an institution must certify—

(1) Certify in its program participation agreement with the Secretary under §668.14 that 

each of its currently eligible GE programs included on its Eligibility and Certification Approval 

Reportit meets the requirements of paragraph (db) of this section. An institution must update; 

and

(2) Update the certification within 10 days if there are any changes in the approvals for a 

program, or other changes for a program that make an existing certification no longer accurate.

(c) Establishing eligibility and disbursing funds. (1) An institution establishes the eligibility 

for title IV, HEA program funds of a GE program by updating the list of the institution's eligible 

programs maintained by the Department to include that program, as provided under 34 CFR 

600.21(a)(11)(i). By updating the list of the institution's eligible programs, the institution affirms 

that the program satisfies the certification requirements in paragraph (d) of this section. Except 

as provided in paragraph (c)(2) of this section, after the institution updates its list of eligible 
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programs, the institution may disburse title IV, HEA program funds to students enrolled in that 

program.

(2) An institution may not update its list of eligible programs to include a GE program, or a 

GE program that is substantially similar to a failing or zone program that the institution 

voluntarily discontinued or became ineligible as described in §668.410 (b)(2), that was subject to 

the three-year loss of eligibility under §668.410(b)(2), until that three-year period expires.

(d) GE program) Program eligibility certifications. An institution certifies for For each 

eligible program included on its Eligibility and Certification Approval Report undergraduate

educational program described in paragraph (a) of this section, an institution submits to the 

Secretary a certification signed by the institution’s chief executive officer, at the time and in the 

form specified in this sectionby the Secretary, that—--

(1) Each eligible GE The program it offers is approved by a recognized accrediting 

agency or is otherwise included in the institution's accreditation by its recognized accrediting 

agency, or, if the institution is a public postsecondary vocational institution, the program is 

approved by a recognized State agency for the approval of public postsecondary vocational 

education in lieu of accreditation;

(2) Each eligible GE The program it offers is programmatically accredited, or has 

submitted an application for pre-accreditation or accreditation, if such accreditation is required 

by a Federal governmental entity or by a governmental entity in the State in which the institution 

is located or in which the institution is otherwise required to obtain State approval under 34 CFR 

600.9; and
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(3) For the State in which the institution is located or in which the institution is otherwise 

required to obtain State approval under 34 CFR 600.9, each eligiblethe program it offers satisfies 

theany applicable educational prerequisites for professional licensure or certification 

requirements in that State so that a student who completes the program and seeks employment in 

that State qualifies to take any licensure or certification exam that is needed for the student to 

practice or find employment in an occupation that the program prepares students to enter; and.

(4) For a program for which the institution seeks to establish eligibility for title IV, HEA 

program funds, the program is not substantially similar to a program offered by the institution 

that, in the prior three years, became ineligible for title IV, HEA program funds under the D/E 

rates measure or was failing, or in the zone with respect to, the D/E rates measure and was 

voluntarily discontinued by the institution. The institution must include with its certification an 

explanation of how the new program is not substantially similar to any such ineligible or 

discontinued program.

(Authority: 20 U.S.C. 1001, 1002, 1088, 1094, 1099c)