The Higher Education Act (HEA): A Primer
Alexandra Hegji
Analyst in Social Policy
January 16, 2015
Congressional Research Service
7-5700
www.crs.gov
R43351
The Higher Education Act (HEA): A Primer
Summary
The Higher Education Act of 1965 (HEA; P.L. 89-329) authorizes numerous federal aid programs
that provide support to both individuals pursuing a postsecondary education and institutions of
higher education (IHEs). Title IV of the HEA authorizes the federal government’s major student
aid programs, which are the primary source of direct federal support to students pursuing
postsecondary education. Titles II, III, and V of the HEA provide institutional aid and support.
Additionally, the HEA authorizes services and support for less-advantaged students (select Title
IV programs), students pursing international education (Title VI), and students pursuing and
institutions offering certain graduate and professional degrees (Title VII). Finally, the most
recently added title (Title VIII) authorizes several other programs that support higher education.
The HEA was last comprehensively reauthorized in 2008 by the Higher Education Opportunity
Act of 2008 (HEOA; P.L. 110-315), which authorized most HEA programs through FY2014.
Following the enactment of the HEAO, the HEA has been amended by numerous other laws,
most notably the SAFRA Act, part of the Health Care and Education Reconciliation Act of 2010
(P.L. 111-152), which terminated the authority to make federal student loans through the Federal
Family Education Loan (FFEL) program. Authorization of appropriations for many HEA
programs expired at the end of FY2014 but has been extended through FY2015 under the General
Education Provisions Act.
This report provides a brief overview of the major provisions of the HEA.
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The Higher Education Act (HEA): A Primer
Contents
Introduction ...................................................................................................................................... 1
Title I: General Provisions ............................................................................................................... 2
Part A: Definitions ..................................................................................................................... 2
Part B: Additional General Provisions ....................................................................................... 2
Part C: Cost of Higher Education .............................................................................................. 3
Part D: Administrative Provisions for Delivery of Student Financial Assistance ..................... 4
Part E: Lender Institution Requirements Relating to Education Loans ..................................... 4
Title II: Teacher Quality Enhancement ............................................................................................ 4
Part A: Teacher Quality Partnership Grants ............................................................................... 5
Part B: Enhancing Teacher Education ....................................................................................... 5
Title III: Institutional Aid ................................................................................................................. 5
Part A: Strengthening Institutions .............................................................................................. 6
American Indian Tribally Controlled Colleges and Universities ........................................ 6
Alaska Native and Native Hawaiian-Serving Institutions ................................................... 6
Predominantly Black Institutions ........................................................................................ 6
Native American-Serving, Nontribal Institutions ................................................................ 7
Asian American and Native American Pacific Islander-Serving Institutions ...................... 7
Part B: Strengthening Historically Black Colleges and Universities ........................................ 7
Historically Black Graduate and Professional Institutions .................................................. 8
Part C: Endowment Challenge Grants ....................................................................................... 8
Part D: Historically Black College and University Capital Financing ...................................... 8
Part E: Minority Science and Engineering Improvement Program ........................................... 8
Part F: Strengthening Historically Black Colleges and Universities and Other
Minority-Serving Institutions ................................................................................................. 9
Hispanic Serving-Institutions Science, Technology, Engineering, and Math and
Articulation Program ........................................................................................................ 9
Part G: General Provisions ........................................................................................................ 9
Title IV: Student Assistance ............................................................................................................. 9
Part A: Grants to Students in Attendance at Institutions of Higher Education ........................ 10
Subpart 1: Federal Pell Grants .......................................................................................... 10
Subpart 2: TRIO and GEAR UP ....................................................................................... 11
Subpart 3: Federal Supplemental Educational Opportunity Grants (FSEOG) .................. 12
Subpart 4: LEAP and GAP ................................................................................................ 13
Subpart 5: Special Programs for Students Whose Families Are Engaged in
Migrant and Seasonal Farmwork ................................................................................... 13
Subpart 6: Robert C. Byrd Honors Scholarship Program (Byrd) ...................................... 13
Subpart 7: Child Care Access Means Parents in School (CCAMPIS) .............................. 14
Subpart 9: TEACH Grants ................................................................................................ 14
Subpart 10: Scholarships for Veteran’s Dependents .......................................................... 14
Part B: Federal Family Education Loan (FFEL) Program ....................................................... 14
Part C: Federal Work-Study Programs .................................................................................... 15
Part D: William D. Ford Federal Direct Loan (Direct Loan) Program .................................... 16
Direct Subsidized Loans .................................................................................................... 17
Direct Unsubsidized Loans ............................................................................................... 17
Direct PLUS Loans ........................................................................................................... 17
Consolidation Loans .......................................................................................................... 18
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The Higher Education Act (HEA): A Primer
Part E: Federal Perkins Loans ................................................................................................. 18
Part F: Need Analysis .............................................................................................................. 19
Part G: General Provisions Relating to Student Assistance Programs .................................... 19
Part H: Program Integrity ........................................................................................................ 20
Subpart 1: State Role ......................................................................................................... 20
Subpart 2: Accrediting Agency Recognition ..................................................................... 21
Subpart 3: Eligibility and Certification Procedures........................................................... 21
Part I: Competitive Loan Auction Pilot Program .................................................................... 21
Title V: Developing Institutions ..................................................................................................... 21
Part A: Hispanic-Serving Institutions ...................................................................................... 21
Part B: Promoting Postbaccalaureate Opportunities for Hispanic Americans ......................... 22
Part C: General Provisions ...................................................................................................... 22
Title VI: International Education Programs ................................................................................... 22
Part A: International and Foreign Language Studies ............................................................... 22
Part B: Business and International Education Programs ......................................................... 23
Part C: Institute for International Public Policy ...................................................................... 23
Part D: General Provisions ...................................................................................................... 23
Title VII: Graduate and Postsecondary Improvement Programs ................................................... 23
Part A: Graduate Education Programs ..................................................................................... 24
Part B: Fund for the Improvement of Postsecondary Education (FIPSE) ............................... 24
Part D: Programs to Provide Students with Disabilities with a Quality Higher
Education .............................................................................................................................. 25
Part E: College Access Challenge Grant Program (CACG) .................................................... 25
Title VIII: Additional Programs ..................................................................................................... 26
Tables
Table A-1. Funding for HEA-authorized programs, FY2011-2015 ............................................... 28
Table C-1. Comprehensive Reauthorizations of the Higher Education Act of 1965 ..................... 45
Appendixes
Appendix A. History of Funding for HEA Programs: FY2011-FY2015 ....................................... 27
Appendix B. General Education Provisions Act ............................................................................ 43
Appendix C. Previous HEA Reauthorizations ............................................................................... 45
Contacts
Author Contact Information........................................................................................................... 46
Key Policy Staff ............................................................................................................................. 46
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The Higher Education Act (HEA): A Primer
Introduction
The Higher Education Act of 1965 (HEA; P.L. 89-329), as amended, authorizes a broad array of
federal student aid programs that assist students and their families with financing the cost of a
postsecondary education, as well as programs that provide federal support to postsecondary
institutions of higher education (IHEs). Programs authorized by the HEA provide support for
higher education in several ways, including providing support to students in financing a
postsecondary education, with additional support and services given to less-advantaged students;
providing support to students pursing international education and certain graduate and
professional degrees; and providing support to IHEs in improving their capacity and ability to
offer postsecondary education programs.
The Department of Education (ED) administers the programs authorized by the HEA. The most
prominent programs under the HEA are the Title IV programs that provide financial assistance to
students and their families. In FY2014, approximately $134 billion in financial assistance was
made available to 13 million students under these programs.1 In the same year, ED provided
approximately $2.3 billion in federal support to institutions of higher education under the HEA.2
The HEA was first enacted in 1965 and has since been amended and extended numerous times,
and it has been comprehensively reauthorized eight times. The most recent comprehensive
reauthorization of the HEA occurred in 2008 under the Higher Education Opportunity Act
(HEOA; P.L. 110-315), which authorized most HEA programs through FY2014. Following the
passage of the HEAO, the SAFRA Act, as part of the Health Care and Education Reconciliation
Act of 2010 (P.L. 111-152), made several notable changes to the HEA. Authorization for the
appropriations for many HEA programs expired at the end of FY2014 and was automatically
extended through the end of FY2015 under Section 422 of the General Education Provisions Act
(GEPA).
The HEA is organized into eight titles:
• Title I, General Provisions;
• Title II, Teacher Quality Enhancement;
• Title III, Strengthening Institutions;
• Title IV, Student Assistance;
• Title V, Developing Institutions;
• Title VI, International Education Programs;
• Title VII, Graduate and Postsecondary Improvement Programs; and
• Title VIII, Additional Programs.
1 U.S. Department of Education, Office of Federal Student Aid, Annual Report 2014, November 14, 2014, p. iii.
2 Office of Management and Budget, The Appendix, Budget of the United States Government, Fiscal Year 2015, 2015,
p. 352.
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The Higher Education Act (HEA): A Primer
This report provides a brief overview of the major provisions of the HEA, organized by title and
part. Appendix A of this report provides detailed appropriations figures for HEA-authorized
programs, from FY2011 through FY2015. Appendix B gives a brief overview of the General
Education Provisions Act, which applies to the majority of federal education programs
administered by ED, including those programs authorized by the HEA. Finally, Appendix C
provides information related to the eight comprehensive reauthorizations that the HEA has
undergone. Other CRS reports provide more detailed discussions and analyses of the major HEA
provisions.
Title I: General Provisions
Title I of the HEA is divided into four parts and lays out definitions and provisions that generally
apply to most of the programs authorized by the HEA.
Part A: Definitions
Title I, Part A of the HEA includes two definitions of an institution of higher education (IHE).
The definition of IHE in Section 101 applies to institutional participation in HEA programs, other
than federal student aid (FSA) programs under Title IV. The definition of an IHE provided in
Section 102 applies to institutional participation in Title IV FSA programs and includes all
institutions that meet the Section 101 IHE definition and proprietary institutions (or for-profit
institutions), postsecondary vocational institutions, and foreign institutions (i.e., those located
outside of the United States). Section 102 also specifies additional conditions institutions must
meet to participate in Title IV programs, including provisions related to the types of courses and
educational programs offered, student enrollment, and institutional management.3
Section 103 contains additional definitions relevant to the HEA, such as “distance education” and
“diploma mill.”
Part B: Additional General Provisions
Part B of Title I lists additional general provisions pertaining to the HEA. It includes provisions
related to antidiscrimination based on race, religion, sex, or national origin at IHEs receiving
federal financial assistance and a Sense of Congress regarding the protection of student speech
and association rights.
Title I-B requires that IHEs adopt alcohol and drug abuse prevention programs to participate in
Title IV programs and authorizes the Secretary of Education (Secretary) to award competitive
grants to IHEs or consortia of IHEs to implement drug and alcohol prevention programs;
however, these grants have not been funded in several years.
3 For additional information on institutional eligibility to participate in Title IV programs, see CRS Report R43159,
Institutional Eligibility for Participation in Title IV Student Financial Aid Programs, by Alexandra Hegji.
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Title I-B also grants the Secretary the authority to waive program eligibility criteria in any case in
which the criteria do not take into account any unique circumstances of the outlying areas.4
Other Part B provisions require that information be made available to students and their families
to help them make informed college decisions, such as requiring the Secretary to develop a
website with information about federal aid available from other federal departments and agencies
and requiring the Secretary, working with other federal agencies, to publish information to help
students, parents, and employers to identify and avoid diploma mills.5
Part B also establishes the National Advisory Committee on Institutional Quality and Integrity
(NACIQI), which is a committee tasked with assessing the process of accreditation in higher
education and the institutional eligibility and certification of IHEs to participate in Title IV
programs. Specific requirements for NACIQI, such as membership criteria and meeting
procedures, also are delineated.
Part B prohibits the development, implementation, or maintenance of a federal database
containing the personally identifiable information of students. However, this prohibition does not
apply to systems necessary for the operation of programs authorized under Titles II (Teacher
Quality Enhancement), IV (Student Assistance), or VII (Graduate and Postsecondary
Improvement Programs) and that were in use the day before the enactment of the HEOA (August
13, 2008).
Finally, Part B authorizes necessary appropriations to pay obligations incurred related to
previously funded programs supporting the construction of college housing and academic
facilities.
Part C: Cost of Higher Education
Title I, Part C includes many provisions that focus on collecting data on college costs and prices
and student characteristics. It directs the Secretary to collect and make available online, among
other information, individual IHEs’ tuition and fees; cost of attendance; acceptance rate of
undergraduate students who apply; number of first-time, full-time, and part-time students
enrolled; number of students receiving financial aid; and average amount of financial assistance
received by students.6
Other provisions require publishers that sell college textbooks and supplemental materials to
“unbundle” materials, make textbooks and each supplement to a textbook available as separate
items, and require IHEs to publish online pre-course registration and registration materials
4 The “outlying areas” are Guam, the U.S. Virgin Islands, American Samoa, the Commonwealth of the Northern
Mariana Islands, and the Freely Associated States (the Republic of the Marshall Islands, the Federated States of
Micronesia, and the Republic of Palau).
5 Diploma mills are unaccredited entities that offer degrees, diplomas, or certificates to individuals for a fee and that
require the individual to complete little or no educational coursework.
6 For instance, Part C directs the Secretary to maintain a website, the “College Navigator” website, which provides
information such as cost of attendance and net price of various IHEs to prospective students, and the Net Price
Calculator, which helps current and prospective students estimate the individual net price of attending an IHE for a
student. See The College Navigator website is available at http://nces.ed.gov/collegenavigator/; The Net Price
Calculator is available online at http://collegecost.ed.gov/netpricecenter.aspx.
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delineating information about all required texts that will be used in the class and the retail price of
course materials.
Additionally, Section 135 requires public IHEs to charge in-state tuition rates to eligible members
of the Armed Forces on active duty and their spouses and dependent children.
Finally, Part C includes a maintenance of effort (MOE) provision, which requires states to
maintain appropriations for the general operations of public IHEs and for amounts provided for
financial aid for students attending private IHEs within the state in each academic year that at
least equals the average appropriation over the preceding five years. If a state fails to meet MOE
requirements, the Secretary is required to withhold the state’s allotment of funds for the College
Access Challenge Grant Program (Title VII, Part E), until the state makes “significant efforts to
correct such violations.”7
Part D: Administrative Provisions for Delivery of Student
Financial Assistance
Part D of Title I authorizes the establishment in ED of a Performance-Based Organization (PBO)
that manages the administration of Title IV programs. A PBO is a discrete government
management unit that is responsible for managing the administrative and oversight functions that
support a program, while other entities are responsible for the policy setting functions relating to
the PBO. PBOs are led by chief executives who are personally accountable for meeting
measurable goals within the organization. In exchange, the PBO is allowed greater flexibility to
manage personnel, procurement, and other services. The PBO authorized under HEA Title D-I is
known as the Office of Federal Student Aid.8
Part E: Lender Institution Requirements Relating to
Education Loans
Part E of Title I establishes disclosure and reporting requirements applicable to lenders and IHEs
with respect to Title IV federal student loans and private education loans. Many of the provisions
relate to the disclosure to borrowers of the terms and conditions for both federal loans made under
Title IV and private education loans, as defined under Section 140 of the Truth in Lending Act.9
Title II: Teacher Quality Enhancement
Title II of the HEA authorizes grants for improving teacher education programs, strengthening
teacher recruitment efforts, and providing training for prospective teachers. This title also
7 The Secretary may waive the MOE requirement for exceptional or uncontrollable circumstances, as appropriate.
8 For more information on how the Office of Federal Student Aid operates as a PBO, see, for example, U.S.
Department of Education, Creating the Government’s First Performance-Based Organization to Modernize Student
Aid Delivery, at http://www2.ed.gov/offices/OPE/PPI/Reauthor/pbo1016.html.
9 15 U.S.C. §1650. For additional information on student loan disclosure requirements, see CRS Report R40789,
Reporting and Disclosure Requirements for Institutions of Higher Education to Participate in Federal Student Aid
Programs Under Title IV of the Higher Education Act, by David P. Smole.
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includes reporting requirements for states and IHEs regarding the quality of teacher education
programs.
Part A: Teacher Quality Partnership Grants
Part A of Title II authorizes competitive grants to improve teacher education programs. The Pre-
Baccalaureate Preparation Program awards funds to partnerships to, among other activities,
reform teacher preparation programs, provide clinical experiences and literacy training, and
prepare highly qualified teachers and early childhood educators. The Teacher Residency Program
awards one-year stipends to recent college graduates and mid-career professionals (who are not
teaching) to obtain graduate-level teacher training in exchange for agreements to serve three years
in a high-need school. Finally, the Leadership Development Program awards funds to
partnerships to prepare students for careers as school administrators, as well as to support
activities that promote strong leadership skills. Each eligible partnership receiving a grant under
Part A must provide non-federal matching funds equal to 100% of the amount of the grant.
Part A also requires states and IHEs offering teacher preparation programs and receiving federal
assistance under the HEA to report specified data annually. IHEs must report to states the pass
rates of their graduates on state certification assessments and other program data. States, in turn,
are required to report to ED information on state certification and licensure requirements; the
number of students enrolled in teacher preparation programs disaggregated by gender, race, and
ethnicity; pass rates on state assessments, disaggregated and ranked by institution; criteria for
identifying low-performing schools of education; and other information.10
Part B: Enhancing Teacher Education
Part B of Title II authorizes several competitive grants for teacher training programs that meet
specific needs, such as preparing graduate teacher candidates to use technology-rich teaching
methods, preparing general education teacher candidates to instruct students with disabilities, and
preparing graduate students to become education professors who will prepare highly qualified
teachers in high-need areas. These programs have never received funding.
Title III: Institutional Aid
Title III is one of the primary sources of institutional support authorized by the HEA.11 Most of
the programs authorized in Title III provide grants or other financial support to institutions that
serve high concentrations of minority and/or needy students to help strengthen the institutions’
academic, financial, and administrative capabilities.12 Typically, the institutions served by Title III
are called minority serving institutions.
10 ED makes these reports available online at https://title2.ed.gov/View.asp.
11 Title V, discussed later in this report, is the other major source of HEA institutional support. It provides institutional
aid for Hispanic Serving Institutions.
12 For additional information on programs available to minority service institutions under the HEA, see CRS Report
R43237, Programs for Minority-Serving Institutions (MSIs) Under the Higher Education Act (HEA), by Alexandra
Hegji.
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Part A: Strengthening Institutions
The Section 311 Strengthening Institutions Program (SIP) is the foundational program for all
other programs established under Title III-A. It provides competitive grants to eligible IHEs that
have low educational and general expenditures (E&G) as compared to similar institutions and
where at least 50% of enrolled degree-seeking students are receiving need-based assistance under
HEA Title IV13 or where the percentage of Pell Grant recipients exceeds the median percentage of
Pell Grant recipients at similar institutions. Additionally, eligible IHEs must be legally authorized
by their states to award bachelor’s degrees or be authorized to operate as a junior or community
college and must be accredited or preaccredited by an ED-recognized accrediting agency. In this
report, the SIP eligibility criteria are referred to collectively as the Section 312(b) criteria.
Authorized uses for grant funds include facilities improvement, faculty development, curriculum
development, and student services. Grantees are also allowed to establish endowments or increase
endowment funds with SIP grants, but they may not use more than 20% of grant monies for such
purposes and must provide matching funds from non-federal sources.
American Indian Tribally Controlled Colleges and Universities
Section 316 establishes the Strengthening American Indian and Tribally Controlled Colleges and
Universities (TCCUs) program. This program provides formula grants to TCCUs that meet the
Section 312(b) criteria and that qualify for funding under the Tribally Controlled Colleges and
Universities Assistance Act of 1978 (1801 U.S.C. §1801), the Navajo Community College Act
(25 U.S.C. §640a), or Section 532 of the Equity in Education Land-Grant Status Act of 1994 (7
U.S.C. §301 note). Authorized uses for grant funds are similar to those of the SIP.
Alaska Native and Native Hawaiian-Serving Institutions
Section 317 establishes the Strengthening Alaska Native and Native Hawaiian-Serving
Institutions (ANNHs) program. This program provides competitive grants to ANNHs that meet
the Section 312(b) criteria and that have an enrollment of undergraduate students that is at least
20% Alaska Native students or at least 10% Native Hawaiian students. Authorized uses for grant
funds are similar to those of the SIP.
Predominantly Black Institutions
Section 318 establishes the Strengthening Predominantly Black Institutions (PBIs) program. To
be eligible for a PBI grant, an institution must be legally authorized within its state to award
bachelor’s or associate’s degrees, accredited or preaccredited by an ED-recognized accrediting
agency, enroll at least 1,000 undergraduates (half of which must be in degree programs), have low
E&G, and have an undergraduate student enrollment that is at least 40% Black American students.
PBIs may not also be designated as a Historically Black College or University (HBCU) or a
Hispanic-serving institution (HSI).
13 For purposes of SIP, Title IV need-based assistance includes Federal Supplemental Educational Opportunity Grants,
Federal Work Study, and Federal Perkins Loans, but not Subsidized Stafford Loans.
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PBIs must have a requisite enrollment of needy students. For purposes of the Strengthening PBIs
program, the needy student enrollment criterion requires that at least 50% of an institution’s
enrolled degree-seeking undergraduate students (a) are Pell Grant recipients; (b) come from
families that receive benefits under a means-tested federal benefit program; (c) attended a
secondary school that was eligible to receive benefits under Title I of the Elementary and
Secondary Education Act of 1965 (ESEA);14 or (d) are first-generation college students and a
majority of such first-generation colleges students are low-income.
Grants are formula-based and divided among eligible institutions based on each institution’s
percentage of Pell Grant recipients, percentage of graduates, and percentage of graduates who
pursue the next higher degree level. Authorized uses for grant funds are similar to those of the
SIP.
Native American-Serving, Nontribal Institutions
Section 319 establishes the Strengthening Native American-serving, Nontribal Institutions
(NASNTIs) program. This program provides competitive grants to NASNTIs that meet the
Section 312(b) criteria, that are not TCCUs, and that have an enrollment of undergraduate
students that is at least 10% Native American students. Authorized uses for grant funds are similar
to those of the SIP.
Asian American and Native American Pacific Islander-Serving Institutions
Section 320 establishes the Asian American and Native American Pacific Islander-Serving
Institutions (AANAPISIs) program. This program provides competitive grants to AANAPISIs
that meet the Section 312(b) criteria and that have an enrollment of undergraduate students that is
at least 10% Asian American or Native American Pacific Islander students. Authorized uses for
grant funds are similar to those of the SIP.
Part B: Strengthening Historically Black Colleges and Universities
Part B of Title III authorizes assistance to Historically Black College and Universities (HBCUs)
and Historically Black Graduate Institutions (HBGIs). Section 323 authorizes the Strengthening
HBCUs program, which provides grants to IHEs that were established before 1964 with the
mission of educating Black Americans, are accredited or preaccredited by an ED-recognized
accrediting agency, and are authorized by their states to award bachelor’s degrees or operate as
junior or community colleges.15
Strengthening HBCU grants are formula-based and divided among eligible institutions based on
an institution’s percentage of Pell Grant recipients, percentage of graduates, and percentage of
graduates who go on to attend a graduate or professional school in a degree program in
disciplines in which Blacks are underrepresented. Authorized uses for grant funds are similar to
those of the SIP under Title III-A.
14 For additional information on the ESEA, see CRS Report RL33960, The Elementary and Secondary Education Act,
as Amended by the No Child Left Behind Act: A Primer, by Rebecca R. Skinner.
15 The accompanying regulations also require that an eligible HBCU be legally authorized in the state in which it is
located to operate as a junior or community college or to award bachelor’s degrees.
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Historically Black Graduate and Professional Institutions
Section 326 of Title III-B establishes the HBGI program. This program provides formula grants
to eligible postgraduate and professional institutions and programs to increase the number of
African Americans in certain professional fields. Eligible institutions are specifically listed in
Section 326.
HBGI grants are formula-based. The first $56.9 million appropriated each fiscal year is available
exclusively to the 18 HBGIs that were specifically listed in the HEA prior to the passage of the
Higher Education Opportunity Act of 2008 (HEOA; P.L. 110-315). Appropriations greater than
$56.9 million and less than $62.9 million are available to the six HBGIs that were added to
Section 326 by the HEOA. Finally, appropriations greater than $62.9 million are made available
to any eligible HBGI, pursuant to a formula to be developed by ED.16 Authorized uses for grant
funds are similar to those of the SIP.
Part C: Endowment Challenge Grants
Title III, Part C authorizes the Endowment Challenge Grants program. This program provides
matching grants to IHEs eligible under Parts A and B of Title III to assist them in establishing or
increasing their endowments and thus increase their self-sufficiency. The program has not been
funded since FY1995.
Part D: Historically Black College and University Capital Financing
Title III, Part D authorizes the HBCU Capital Financing program, which provides federal
insurance for bonds issued to support capital financing projects at HBCUs for the repair,
renovation, and, in exceptional circumstances, construction or acquisition of facilities used for
instruction, research, or housing. A designated bonding authority is charged with raising funds in
the bond market; in turn, these funds are lent to HBCUs. Repayments on these loans are used to
make principal and interest payments on outstanding bonds. Borrowers deposit a portion of their
loans into an escrow account to cover principal and interest payments on outstanding bonds in the
event borrowers are delinquent in repaying their loans. The total outstanding principal and unpaid
accrued interest on these loans cannot exceed $1.1 billion.
Part E: Minority Science and Engineering Improvement Program
Title III, Part E authorizes the Minority Science and Engineering Improvement Program
(MSEIP), which provides grants to effect long-term improvements in science and engineering
education at minority institutions. Grants are provided to IHEs with an undergraduate student
enrollment that is at least 50% minority students, nonprofit science-oriented organizations, and
consortia of organizations. MSEIP grants are competitively awarded, and authorized uses include
participating in faculty development programs, strengthening an institution’s science and
engineering programs, and conducting research in science education.
16 Appropriations have never been greater than $62,900,000; thus, ED has not developed an allotment formula.
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Title III-E authorizes two additional programs: the Yes Partnership Grant Program and Promotion
of Entry into STEM Fields. The Yes Partnership Grant Program authorizes the Secretary to make
grants to support the engagement of underrepresented minority youth in STEM outreach.
Promotion of Entry into STEM Fields authorizes the Secretary to contract with a firm to
implement an advertising campaign to encourage youths to enter STEM fields. Neither program
has been implemented.
Part F: Strengthening Historically Black Colleges and Universities
and Other Minority-Serving Institutions
Title III, Part F provides annual mandatory appropriations through FY2019 for programs that
support MSIs under Title III-A and Title III-B. Programs that receive mandatory appropriations
under this part are Strengthening TCCUs, Strengthening ANNHs, Strengthening PBIs,
Strengthening NASNTIs, Strengthening ANNAPISIs, and Strengthening HBCUs.
In general, Title III-F funds are to be used by eligible MSIs as though they were funds provided
under Titles III-A and III-B; however, there are some exceptions. Title III-F provides 25 grants of
$600,000 each annually to eligible PBIs for programs in science, technology, engineering, or
mathematics (STEM); health education; internationalization or globalization; teacher preparation;
or improving educational outcomes of African American males. Additionally, IHEs eligible for
Title III-F NASNTIs funds are not required to meet the Section 312(b) needy student and low
E&G eligibility criteria that NASNTIs receiving funds under Title III-A are required to meet.
Hispanic Serving-Institutions Science, Technology, Engineering, and Math and
Articulation Program
Title III-F also authorizes the Hispanic-Serving Institutions STEM and Articulation program (HSI
STEM). This program awards competitive grants to eligible HSIs to increase the number of
Hispanic and low-income students attaining degrees in STEM fields and to develop model
transfer and articulation agreements between two-year HSIs and four-year institutions in STEM
fields. Eligible HSIs are IHEs that meet the Section 312(b) criteria and that have an
undergraduate student enrollment that is at least 25% Hispanic students. Title III-F also provides
annual mandatory appropriations for this program through FY2019.
Part G: General Provisions
Title III, Part G contains general provisions, including the Secretary’s waiver authority for Title
III programs. Title III-G also specifies the authorizations and appropriations for each Title III
program. Other general provisions relate to the grant application process, technical assistance for
IHEs in applying for Title III grants, and the Secretary’s ability to make continuation awards for
multi-year grants.
Title IV: Student Assistance
Title IV of the HEA contains nine parts that authorize a broad array of programs and provisions to
assist students and their families in gaining access to and financing a postsecondary education.
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The programs authorized under this title are the primary sources of federal aid to support
postsecondary education.
Part A: Grants to Students in Attendance at Institutions of
Higher Education
Title IV, Part A authorizes numerous grant programs—financial assistance that does not need to
be repaid by the recipient—for students who attend eligible institutions participating in Title IV
programs. It also authorizes federal early outreach and student services programs.
Subpart 1: Federal Pell Grants
Subpart 1 authorizes the Federal Pell Grant program, which is the single largest source of grant
aid for postsecondary education attendance funded by the federal government.17 The Pell Grant
program provides need-based grants to financially needy undergraduate students and is the
foundation for all federal student aid (FSA) awarded to undergraduates (i.e., all other FSA is
calculated after the amount of a Pell Grant award has been determined).
To be eligible to receive a Pell Grant, a student must meet the general eligibility criteria for all
FSA programs and be enrolled at an eligible IHE for the purpose of earning a degree or
certificate. In general, students must be enrolled as undergraduates18 and are subject to a
cumulative lifetime eligibility cap on Pell Grant aid of 12 full-time semesters (or the equivalent).
Pell Grants are portable, which means the grant aid follows the recipient to any eligible IHE in
which they enroll. The amount of grant aid available to students is primarily based on the
financial resources that students and their families are expected to contribute toward the cost of
financing a postsecondary education and the annual maximum award amount set forth in the last
enacted applicable appropriations act, combined with the award amount of a mandatory add-on
award provided annually in the HEA. Pell Grant awards are prorated for students who attend on
less than full-time basis.
Academic Competitiveness and National Science and Mathematics Access to
Retain Talent Grants
Subpart 1 authorized the Academic Competitiveness (AC) Grant and National Science and
Mathematics Access to Retain Talent (SMART) Grant programs, which provided additional
support to certain Pell-eligible students. The authority to make grants under the programs expired
at the end of award year 2010-2011.
17 For additional information on the Pell Grant Program, see CRS Report R42446, Federal Pell Grant Program of the
Higher Education Act: How the Program Works and Recent Legislative Changes, by Cassandria Dortch.
18 Students who are enrolled on at least a half-time basis in a post-baccalaureate program required by a state for K-12
teacher certification are also eligible, so long as the program does not lead to a graduate degree or offer a bachelor’s
degree in education.
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Subpart 2: TRIO and GEAR UP
Subpart 2 authorizes programs for early outreach and student services programs. Chapter 1
establishes the six TRIO programs, and Chapter 2 authorizes the Gaining Early Awareness and
Readiness for Undergraduate Programs (GEAR UP).
Federal TRIO Programs
Subpart 2 of Part A authorizes six separate discretionary grant programs—collectively known as
the TRIO program—designed to assist qualified individuals from disadvantaged backgrounds
with preparing for and completing postsecondary education.19 While the TRIO programs
primarily serve individuals who are or would be low-income, first-generation college students,
they also serve students with disabilities, students at-risk of academic failure, veterans, homeless
youth, foster youth, and individuals underrepresented in graduate education.20 Typically, for each
of the TRIO programs, eligible grantees may include institutions of higher education; public and
private agencies and organizations with experience in serving disadvantaged youth; secondary
schools; and combinations of such institutions, agencies, and organizations.
Talent Search (TS). The TS program is intended to encourage students to complete their high
school diplomas and enroll in postsecondary education. To accomplish this, TS grantees must
provide, among other services, course selection advice and assistance, assistance in preparing for
college entrance examinations, assistance in completing college admission applications,
assistance in completing financial aid applications, and guidance on and assistance in methods for
achieving a secondary school diploma or an equivalent postsecondary education. Generally,
program participants must have completed five years of elementary education or be between the
ages of 11 and 27. At least two-thirds of participants must be low-income, first-generation college
students.
Upward Bound (UB). The UB program is intended to prepare and encourage high school students
and veterans toward success in postsecondary education. UB grantees must provide, among other
services, instruction in specified courses such as foreign language and mathematics, tutoring, and
assistance in preparing for college entrance examinations and in completing college admissions
applications. UB grantees may also provide monthly stipends to eligible participants. Program
participants must have completed eight years of elementary education or, with some exceptions,
be between the ages of 13 and 19. At least two-thirds of participants must be low-income, first
generation college students.
Student Support Services (SSS). The SSS program is intended to provide support services to
college students to improve the retention, graduation rates, financial and economic literacy, and
transfer rates of students from two-year to four-year schools. SSS grantees must offer, among
other services, tutoring, counseling to improve financial literacy, and assistance in applying for
admission to the next higher level of degree attainment. Grantees may provide stipends to eligible
participants. Program participants must be enrolled, or accepted for enrollment, at the grantee
19 Originally, in 1965, there were three programs under this part—Upward Bound, Student Support Services, and
Talent Search—that provided a range of student support services, thus the name TRIO. Subsequent legislation
authorized additional programs with a similar purpose, but the TRIO name remains.
20 For additional information on the TRIO programs, see CRS Report R42724, The TRIO Programs: A Primer, by
Cassandria Dortch.
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IHE. At least two-thirds of participants must be either students with disabilities or low-income,
first-generation college students, and the other one-third must be low-income, first generation
college students or students with disabilities. At least one-third of participating students with
disabilities must be low-income.
Ronald E. McNair Postbaccalaureate Achievement (McNair) Program. The McNair Program is
intended to prepare disadvantaged undergraduate students for subsequent doctoral study by
providing research opportunities, internships, counseling, tutoring, and other preparatory
activities. Grantees may provide stipends to eligible participants. Program participants must be
enrolled in a degree program at the grantee IHE. At least two-thirds of program participants must
be low-income, first-generation college students, and the remaining one-third must be from a
group that is underrepresented in graduate education, including Alaska Natives, Native
Hawaiians, and Native American Pacific Islanders.
Educational Opportunity Centers (EOCs). The EOC program is intended to support high school
completion and postsecondary enrollment by providing information on financial and academic
assistance available to individuals wishing to pursue a postsecondary education and assisting
them in applying for college admission and financial aid. Generally, program participants must be
at least 19 years old. At least two-thirds of program participants must be low-income, first-
generation college students.
Staff Development. The Staff Development Program is intended to improve TRIO project
administration, operation, outcomes, and outreach by providing training to existing and potential
TRIO program staff. Program participants must be staff and leadership personnel employed in,
participating in, or preparing for employment in TRIO programs and projects.
Gaining Early Awareness and Readiness for Undergraduate Programs
(GEAR UP)
Subpart 2 also authorizes GEAR UP, which provides grants to states and partnerships between
local educational agencies (LEAs) and degree-granting IHEs to assist primarily low-income
students in obtaining a secondary school diploma (or its recognized equivalent) and to prepare for
and succeed in postsecondary education.
GEAR UP partnership grantees must, and state grantees may, serve an entire cohort of students,
beginning no later than the seventh grade and follow the cohort through high school or the first
year of attendance at an IHE. GEAR UP projects provide services such as academic support,
mentoring, career counseling, and college visits. GEAR UP state grantees must, and partnerships
grantees may, also provide college scholarships to eligible participating students.
Subpart 3: Federal Supplemental Educational Opportunity Grants (FSEOG)
Subpart 3 of Title IV-A authorizes the FSEOG program, which is one of three programs
collectively referred to as the campus-based aid programs.21 Under the FESOG program, the
21 Some distinguishing characteristics of the campus-based programs are that awards are comprised of a mix of federal
and institutional matching funds and that amounts awarded to students are determined by each institution’s financial aid
administrator according to institution-specific award criteria. The two other campus-based programs are the Federal
Work Study program and the Federal Perkins Loans program. For additional information on the campus-based aid
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Department of Education (ED) allocates funds to IHEs for the purpose of awarding need-based
grant aid to undergraduate students with exceptional financial need to aid them in funding an
undergraduate education. Funds are awarded to students as part of their financial aid package,
with priority given to Pell Grant recipients with the lowest expected family contributions (EFCs).
FSEOG aid consists of a federal share, which, in general, may not exceed 75% of FSEOG aid,
and a nonfederal share of at least 25%. The federal share consists of funds that are allocated to
IHEs according to a statutory formula. Federal funds are first allocated to IHEs in proportion to
the amount they received in previous years, with priority going to those that participated in the
program in FY1999 or earlier. This amount is referred to as their base guarantee allocation. Next,
any remaining FSEOG funds are allocated to IHEs proportionately, according to the aggregate
financial need of the IHE’s undergraduate students. This is referred to as their fair share
allocation.
Subpart 4: LEAP and GAP
Subpart 4 authorizes the Leveraging Education Assistance Partnership Program (LEAP) and
Grants for Access and Persistence (GAP). These programs provide matching grants to states to
establish need-based scholarship programs. GAP grants also fund early awareness and outreach
activities and support services to students. GAP is only funded if the amount appropriated for
LEAP exceeds $30 million. Neither program has been funded since FY2010.
Subpart 5: Special Programs for Students Whose Families Are Engaged in
Migrant and Seasonal Farmwork
Subpart 5 authorizes the High School Equivalency Program (HEP) and the College Assistance
Migrant Program (CAMP). These programs target individuals who themselves or whose family
have recently engaged in migrant or seasonal farmwork. For each of these programs, grantees
may include IHEs or private nonprofit organizations working in cooperation with an IHE.
HEP assists individuals who are 16 years old or who are older or beyond the age of compulsory
school attendance to obtain a secondary school diploma or its equivalent. CAMP assists students
with placement, persistence, and retention in postsecondary education. Grantees may provide
stipends to eligible participants.
Subpart 6: Robert C. Byrd Honors Scholarship Program (Byrd)
The Robert C. Byrd Honors Scholarship Program funds state-administered college scholarship
programs that recognize exceptionally able high school seniors who show promise for continued
excellence in postsecondary education. The program has not been funded since FY2010.
(...continued)
programs, see CRS Report RL31618, Campus-Based Student Financial Aid Programs Under the Higher Education
Act, by Alexandra Hegji and David P. Smole.
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Subpart 7: Child Care Access Means Parents in School (CCAMPIS)
The Child Care Access Means Parents in School program supports the participation of low-
income parents in postsecondary education by providing competitive grants to IHEs to establish
or support campus-based childcare programs.
Subpart 9: TEACH Grants
Subpart 9 authorizes the Teacher Education Assistance for College and Higher Education
(TEACH) Grant program, which is a service payback program.22 The program provides
scholarships of $4,000 per year to undergraduate and graduate students who are preparing for a
career in teaching.23 Recipients must commit to teaching a high-need subject24 in a high-poverty
elementary or secondary school for four years. If recipients do not fulfill their service
requirement, TEACH grants are converted to Federal Direct Unsubsidized Stafford Loans, with
interest accrued from the date each grant was awarded.
Subpart 10: Scholarships for Veteran’s Dependents
Subpart 10 authorizes Scholarships for Veteran’s Dependents, known as Iraq and Afghanistan
Service Grants, which are grants awarded to assist each eligible veteran’s dependent in paying
their cost of attendance at an IHE.25 Recipients of the award must be a student whose parent or
guardian was a member of the U.S. Armed Forces and who died during military service in Iraq or
Afghanistan after September 11, 2001, and must have been younger than 24 years old at the time
of the parent or guardian’s death. Additionally, recipients need not qualify for a Pell Grant based
on need, but must meet all the other eligibility requirements for the Pell Grant program. Grants
made under this section for any award year equal the maximum Federal Pell Grant available for
that award year.
Part B: Federal Family Education Loan (FFEL) Program
The FFEL program offered several types of federal student loans to assist individuals in financing
the costs of a postsecondary education; those loans included Subsidized Stafford Loans and
Unsubsidized Stafford Loans for undergraduate and graduate and professional students, PLUS
Loans for graduate and professional students and the parents of dependent undergraduate
students, and Consolidation Loans.26 For many years the FFEL program was the primary source
22 The TEACH Grant program is considered a federal credit program for budget purposes.
23 Individuals pursuing a bachelor’s degree may receive a total of $16,000 and individuals pursuing a graduate degree
may receive a total of $8,000.
24 High-need subjects include mathematics, science, foreign language, bilingual education, special education, and
reading.
25 This program was established in 2009 as part of the Technical Corrections to the Higher Education Act of 1965 (P.L.
111-39).
26 For additional information on the FFEL program, see CRS Report R40122, Federal Student Loans Made Under the
Federal Family Education Loan Program and the William D. Ford Federal Direct Loan Program: Terms and
Conditions for Borrowers, by David P. Smole.
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The Higher Education Act (HEA): A Primer
of federal student loans; however, the SAFRA Act (P.L. 111-152, Title II, Part A) terminated the
authority to make new FFEL program loans after June 30, 2010.27
The FFEL program made available essentially the same types of loans (with substantially similar
terms and conditions) as are now offered under the William D. Ford Federal Direct Loan (Direct
Loan) program and which are discussed later in this report. However, the FFEL program
significantly differed from the Direct Loan program in its administration. Under the FFEL
program, loans were originated by private sector and state-based lenders and were funded with
nonfederal capital. The federal government guaranteed lenders against loss due to borrower
default, permanent disability, or, in limited circumstances, bankruptcy, and holders of the loans
were (and still are) responsible for servicing the loans (e.g., billing borrowers and collecting loan
payments). Additionally, FFEL program lenders may receive a special allowance payment (SAP),
a type of interest subsidy paid by the federal government to ensure a specified rate of return on
their loans.
Although the authority to make new FFEL program loans has been terminated, borrowers of
FFEL program loans remain responsible for making payments on their loans, loan holders
continue to be responsible for servicing the loans, and guaranty agencies continue to administer
the federal loan insurance program. Approximately $423 billion in outstanding FFEL program
loans are due to be repaid in the coming years.28
Part C: Federal Work-Study Programs
Part C of Title IV authorizes the Federal Work-Study programs (FWS), which are among the
campus-based aid programs previously described.29 FWS employment is the primary FWS
program. Separate authorizations of appropriations are also provided for the work colleges
program and for community service work-study programs. FWS programs are intended to
provide part-time employment to undergraduate, graduate, and professional students in need of
earnings to pursue their courses of study and to encourage participation in community service
activities.
FWS aid may be provided to any student in an eligible program who demonstrates financial need.
Awards typically are based on factors such as the amount of a student’s financial need, the
availability of FWS funds at the institution, and whether the student requests FWS employment
and is willing to work. Students receive their FWS awards as compensation for the hours they
have worked in specified types of jobs. In general, FWS earnings consist of a federal share of
75% and a nonfederal share of at least 25%; however, these ratios may vary depending on the
nature of employment.30 The nonfederal share of compensation is provided by the employer,
which may be the IHE the student attends, a private nonprofit organization, a governmental
agency, or a private for-profit entity. IHEs are required to use at least 7% of their FWS allocation
27 For additional information on the SAFRA Act, see CRS Report R41127, The SAFRA Act: Education Programs in the
FY2010 Budget Reconciliation , coordinated by Cassandria Dortch
28 U.S. Department of Education, Office of Federal Student Aid, Annual Report 2013, December 11, 2013, p. 9.
29 For additional information on FWS and the other campus-based aid programs, see CRS Report RL31618, Campus-
Based Student Financial Aid Programs Under the Higher Education Act, by Alexandra Hegji and David P. Smole.
30 In certain instances, for example employment in tutoring or literacy projects, the federal share may be higher than
75%.
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The Higher Education Act (HEA): A Primer
to compensate students employed in community service jobs and are also required to operate at
least one tutoring or family literacy project that serves the community.
FWS funding is made available to support comprehensive work-learning-service programs at
select institutions known as “work colleges.” Among other requirements, all resident students at
work colleges must be required to participate in work-learning-service programs that are an
integral part of the institution’s educational philosophy and program. The HEA provides a
separate authorization for the work colleges program.
The HEOA amendments established an Off-Campus Community Service Employment program
as a distinct FWS program. Under this program, the Secretary may make grants to FWS-
participating IHEs to supplement their off-campus community service employment activities.
Funding for this FWS program was only provided in FY2010; it has not received appropriations
since then.
As with the other campus-based programs, FWS funds are allocated to IHEs according to
statutorily prescribed procedures, in which funds are first allocated on the basis of IHEs’ base
guarantees, and then according to fair-share criteria that take into account each IHE’s
proportionate share of aggregate financial need of students at FWS-participating institutions.31
Part D: William D. Ford Federal Direct Loan (Direct Loan) Program
Part D of Title IV authorizes the Direct Loan program, which is the primary source of federal
student loans. As previously discussed, the Direct Loan program provides essentially the same set
of loans as the FFEL program did, but uses a different administrative structure and draws on a
different source of capital.32 Under the Direct Loan program, the federal government lends
directly to students using federal capital. While the government owns the loans, loan origination
and servicing is performed by federal contractors.
Several broad types of loans are available through the Direct Loan program: Direct Subsidized
Loans, Direct Unsubsidized Loans, Direct PLUS Loans, and Direct Consolidation Loans. The
terms and conditions of these loans (e.g., borrowing limits, interest rates, fees, available
repayment plans, deferment and forbearance benefits, loan forgiveness benefits, etc.) are
determined according to statutorily specified provisions. Loans made available through the Direct
Loan program are an entitlement to qualified borrowers. Many of the terms, conditions, and
benefits applicable to Direct Loans, such as student eligibility requirements, deferment criteria,
and certain repayment plans, are specified in other parts of the HEA, including Title IV, Part B
(the FFEL program).33
31 The calculation of financial need is calculated separately for undergraduate students and graduate and professional
students.
32 For additional information on loans made under the Direct Loan program, see CRS Report R40122, Federal Student
Loans Made Under the Federal Family Education Loan Program and the William D. Ford Federal Direct Loan
Program: Terms and Conditions for Borrowers, by David P. Smole.
33 For additional information on DL program loans, see CRS Report R40122, Federal Student Loans Made Under the
Federal Family Education Loan Program and the William D. Ford Federal Direct Loan Program: Terms and
Conditions for Borrowers, by David P. Smole.
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The Direct Loan program is classified as a federal credit program for budgeting purposes. As a
credit program, most of the costs to the government associated with the program are accounted
for on an accrual basis according to criteria specified under the Federal Credit Reform Act of
1990 (FCRA; P.L. 101-508).34 Indefinite mandatory appropriations are provided to fund the loans
made through the program. The costs of administering the Direct Loan program are accounted for
separately on a cash basis; and funding for administrative expenses is provided through
discretionary appropriations.
Direct Subsidized Loans
Direct Subsidized Loans are available only to undergraduate students who demonstrate financial
need.35 The federal government “subsidizes” these loans by paying the interest that accrues on the
loans while the borrower is enrolled in an eligible program on at least a half-time basis, during
grace periods,36 and during periods of authorized deferment.37 Interest rates are set by statute, and
loans first disbursed on or after July 1, 2013, are made with market-indexed fixed interest rates.38
Direct Unsubsidized Loans
Direct Unsubsidized Loans are available to undergraduate, graduate, and professional students.
Borrowers do not need to demonstrate financial need to obtain these loans. The federal
government does not pay the interest on these loans while the borrower is in school or during
grace periods and deferment periods. Interest rates are set by statute, and loans first disbursed on
or after July 1, 2013, are made with market-indexed fixed interest rates.39
Direct PLUS Loans
Direct PLUS Loans are available to parents of dependent undergraduate students and to graduate
and professional students. Borrowers do not need to demonstrate financial need to obtain these
loans. However, borrowers with an adverse credit history are ineligible to borrow PLUS Loans
unless another individual agrees to serve as an endorser. The federal government does not pay the
interest on these while the student is in school, nor during grace periods and deferment periods.
34 For additional information on the FCRA, see CRS Report R42632, Budgetary Treatment of Federal Credit (Direct
Loans and Loan Guarantees): Concepts, History, and Issues for Congress, by Mindy R. Levit.
35 Subsidized Loans were previously available to graduate and professional students for periods of instruction
beginning before July 1, 2012.
36 A grace period is a six-month period beginning immediately after a student first ceases to be enrolled in a school on
at least a half-time basis. During this time, borrowers are not required to begin repaying their loans. According to
amendments made by the Consolidated Appropriations Act of 2012 (P.L. 112-74), no interest subsidy will be paid
during the grace period on Subsidized Stafford Loans disbursed between July 1, 2012, and June 30, 2014.
37 Deferment periods are periods during which borrowers are able to suspend loan repayment (e.g., if they are pursuing
additional postsecondary education, are performing qualifying military service, or are experiencing economic
hardship).
38 The interest rate on Subsidized Loans to undergraduate students is the 10-year Treasury note rate plus 2.05
percentage points, with a cap of 8.25%.
39 The interest rate on Unsubsidized Loans to undergraduate students is the 10-year Treasury note rate plus 2.05
percentage points, with a cap of 8.25%. The interest rate on Unsubsidized Loans to graduate and professional students
is the 10-year Treasury note rate plus 3.6 percentage points, with a cap of 9.5%.
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Interest rates are set by statute, and loans first disbursed after on or July 1, 2013, are made with
market-indexed fixed interest rates.40
Consolidation Loans
Consolidation Loans allow borrowers to combine multiple federal loans into a single loan.
Consolidation allows borrowers to simplify the repayment of their federal student loans and, in
some cases, extend their repayment period, which reduces the monthly payment amount. Interest
rates on Consolidation Loans are determined by taking the weighted average of the interest rates
on the loans being consolidated and rounding the result up to the nearest higher one-eighth of 1%.
Part E: Federal Perkins Loans
Part E of Title IV authorizes the Federal Perkins Loan program, another of the campus-based
programs.41 The program authorizes the allocation of federal funds to IHEs to assist them in
capitalizing revolving loan funds for the purpose of making low-interest loans to students with
exceptional financial need. Institutions capitalize revolving loan funds created under the program
with a combination of federal and institutional capital contributions. Each institution’s capital
contribution must be equal to one-third of the federal capital contribution received. Institutions
apply to ED for federal capital contributions, which are allocated according to procedures
somewhat similar to those used for the FSEOG and FWS programs; however, in the Perkins Loan
program, IHEs with cohort default rates of 25% or more are ineligible to be allotted funds.
Perkins Loans are available to undergraduate and graduate and professional students. Perkins
Loans must be made reasonably available to all eligible students, with priority given to students
with exceptional financial need. Interest on Perkins Loans is fixed at 5% per year, and interest
does not accrue prior to a borrower’s beginning repayment nor during periods of authorized
deferment. Borrowers who are engaged in certain types of public service may have a portion of
their Perkins Loans cancelled for each complete year of service.
The HEA requires that upon ceasing to participate in the Federal Perkins Loan program,
institutions must repay the Secretary a portion of the balance of their revolving loan funds that is
proportional to the amount of federal capital contributions received. The HEA also specifies that
participating institutions were to begin a distribution of assets from their revolving loan funds
after October 1, 2012. However, ED has determined that other provisions in the HEA, which
authorized the appropriation of funds for the Perkins Loan program through FY2014, and in
GEPA, which extend the program through FY2015, supersede the October 1, 2012, distribution
requirement.
Although the IHEs continue to disburse new Perkins Loans, discretionary funds for FCCs have
not been appropriated since FY2004.42 Additionally, funding for the cancellation of Perkins Loans
was last provided to participating IHEs in FY2009.
40 The interest rate on PLUS loan is the 10-year Treasury note rate plus 4.6 percentage points, with a cap of 10.5%.
41 For additional information on the Federal Perkins Loans program and the other campus-based aid programs, see CRS
Report RL31618, Campus-Based Student Financial Aid Programs Under the Higher Education Act, by Alexandra
Hegji and David P. Smole.
42 Although the Perkins Loan program is generally funded through discretionary appropriations, in FY2006, the
(continued...)
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The Higher Education Act (HEA): A Primer
Part F: Need Analysis
Title IV, Part F establishes the federal need analysis methodology, which is used in the process of
awarding student financial aid made available under Title IV. The need analysis process involves
gathering a student’s financial data, which the student provides on their free application for
federal student aid (FAFSA); calculating the expected family contribution (EFC), the amount of
financial resources that students and their families are expected to use to meet postsecondary
education expenses; and packaging the applicant’s financial aid award by the IHE’s financial aid
administrator.
Calculation of the EFC is the cornerstone of the need analysis process. In calculating the EFC,
consideration is given to available income (a combination of taxable and untaxed income and
benefits) and any available assets. Living expenses, retirement needs, and federal and state
income tax liability are also considered in the calculation. The income contribution is determined
by subtracting from available income a series of allowances; a percentage of that available
income is considered an income contribution toward postsecondary education. A contribution
from assets is similarly calculated. The combination of the available income and asset
contribution is then divided by the number of individuals in the family enrolled in postsecondary
institutions. This final number is the student’s EFC.
The EFC calculation varies depending on the student’s dependency status (i.e., dependent student,
independent student with dependents, or independent student without dependents). Parental
financial information is not used in the EFC calculation for independent students.
Next, a student’s need for financial assistance (financial need) is determined, which is the amount
of total cost of attendance (COA) at an institution (including tuition, room, board, books,
supplies, and living expenses) that is not covered by the student’s EFC. After a student’s financial
need is determined, need based and non-need based Title IV aid is awarded accordingly by the
IHE’s financial aid administrator.
Part G: General Provisions Relating to Student Assistance
Programs
Part G of Title IV establishes many institutional requirements for Title IV participation43 and
related provisions. It includes definitions of “academic year” and “eligible program” and requires
IHEs participating in Title IV to enter into program participation agreements (PPAs) with the
Secretary.44 It also establishes a master calendar requirement for the Secretary to ensure adequate
notification and timely delivery of Title IV student aid.
Part G contains provisions related to forms and regulations used in administering Title IV
programs, including requirements related to the contents and distribution of the FAFSA. Student
(...continued)
program received approximately $4.7 million in funding as part of a mandatory reappropriation in expired FY2005
funds pursuant to the National Disaster Student Fairness Act (P.L. 109-86).
43 Generally, most other institutional requirements for participation in Title IV programs are found in Title I, Part A.
44 For additional information on institutional eligibility requirements, see CRS Report R43159, Institutional Eligibility
for Participation in Title IV Student Financial Aid Programs, by Alexandra Hegji..
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eligibility criteria to receive Title IV financial assistance are found in Part G, which includes
citizenship requirements for Title IV aid recipients and satisfactory academic progress
requirements for students to maintain Title IV eligibility. Provisions are also included that
describe the manner in which Title IV funds are to be returned to the federal government in the
event that a student withdraws from an institution.
Additionally, Part G contains numerous requirements related to the types of information
institutions must disseminate to prospective and enrolled students, including graduation or
completion rates, financial aid entrance and exit counseling to borrowers, campus crime statistics
and security policies, and transfer of credit policies.45
Part G establishes the National Student Loan Data System and the Advisory Committee on
Student Financial Assistance. It also contains wage garnishment requirements for borrowers who
are not currently making required payments on their Title IV loans and criminal penalties in cases
of fraud, abuse, and other crimes related to Title IV funds.
Part G contains several provisions related to members of the Armed Forces and veterans, such as
procedures for loan cancellations or deferments for eligible disabled veterans and deferment of
loan repayment following periods of active duty. Finally, Part G also authorizes the income-based
repayment plan for Title IV loans.46
Part H: Program Integrity
Part H of Title IV contains what is known as the program integrity triad. The triad comprises
three requirements to ensure program integrity in postsecondary education. The three
requirements are state authorization, accreditation by an accrediting agency recognized by ED,
and eligibility and certification by ED.47 Section 102 requires that IHEs fulfill all three program
integrity requirements to be eligible to participate in Title IV FSA programs, and Part H describes
each component of the triad.
Subpart 1: State Role
Subpart 1 describes that state’s responsibility in authorizing IHEs to operate postsecondary
educational programs within their bounds. States must provide information to ED about the
processes it uses to authorize institutions, notify ED if it has any evidence that an IHE has
committed fraud in the administration of Title IV FSA programs, and notify ED if it revokes an
IHE’s authorization.
45 For additional information on institutional reporting requirements, see CRS Report R40789, Reporting and
Disclosure Requirements for Institutions of Higher Education to Participate in Federal Student Aid Programs Under
Title IV of the Higher Education Act, by David P. Smole.
46 For additional information on the Income-Based Repayment Plan, see CRS Report R41127, The SAFRA Act:
Education Programs in the FY2010 Budget Reconciliation , coordinated by Cassandria Dortch
47 For additional information on the program integrity triad, see CRS Report R43159, Institutional Eligibility for
Participation in Title IV Student Financial Aid Programs, by Alexandra Hegji.
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The Higher Education Act (HEA): A Primer
Subpart 2: Accrediting Agency Recognition
Subpart 2 describes the criteria the Secretary must use when determining whether to recognize an
accrediting agency as a reliable authority for determining the quality of education or training
offered at an IHE for the purposes of participating in Title IV FSA programs. Such requirements
relate to an accrediting agency’s structure, operating procedures (e.g., its institutional review
process), and due process requirements.48
Subpart 3: Eligibility and Certification Procedures
Subpart 3 includes the eligibility and certification procedures administered by ED. Here, ED is
responsible for verifying an institution’s legal authority to operate within a state and its
accreditation status. Additionally, ED must evaluate an institution’s financial responsibility and
administrative capacity to administer Title IV FSA programs.
Part I: Competitive Loan Auction Pilot Program
Part I authorized the Secretary to implement a pilot student loan auction program for lenders to
obtain rights to disburse FFEL program parent PLUS loans. Loans are no longer being made
through the FFEL program, and this program is currently inapplicable.
Title V: Developing Institutions
Title V is one of the primary sources of institutional support to Hispanic-serving institutions
(HSIs) under the HEA. In general, Title V programs are similar in scope to the Title III-A and
Title III-B programs authorized to support other types of minority-serving institutions.49
Part A: Hispanic-Serving Institutions
Title V, Part A authorizes the HSI program. This program provides competitive grants to HSIs that
meet the HEA Section 312(b) criteria and that have an enrollment of undergraduate students that
is at least 25% Hispanic students.
Authorized uses for grant funds are similar to those of the Title III-A programs, including
facilities improvement, faculty development, curriculum development, and student services.
48 For additional information on the accreditation process and its role in the program integrity triad, see CRS Report
R43826, An Overview of Accreditation of Higher Education in the United States, by Alexandra Hegji.
49 For additional information on Title IV programs, see CRS Report R43237, Programs for Minority-Serving
Institutions (MSIs) Under the Higher Education Act (HEA), by Alexandra Hegji.
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The Higher Education Act (HEA): A Primer
Part B: Promoting Postbaccalaureate Opportunities for
Hispanic Americans
Part B of Title V establishes the Promoting Postbaccalaurate Opportunities for Hispanic
Americans (PPOHA) program. This program provides competitive grants to eligible HSIs to
expand postbaccalaureate educational opportunities for Hispanic and low-income students.
PPOHA grants are available to IHEs that meet the eligibility criteria for the Title V-A HSI
program and that offer a postbaccalaureate certificate or degree program.
Authorized uses for grant funds are similar to those under the HSI program, but also include
providing direct financial assistance (e.g., scholarships, fellowships) to Hispanic and low-income
postbaccalaurate students.
Part C: General Provisions
Part C contains general provisions related to the HSI and PPOHA programs, including waiver
authorities that apply to the administration of these programs and the authorized funding levels
for these programs.
Title VI: International Education Programs
Title VI authorizes a variety of grants to IHEs and related entities to enhance instruction in
foreign language and area and international studies.
Part A: International and Foreign Language Studies
Part A of Title VI authorizes a series of programs, centers, and fellowships related to international
and foreign language studies.
Graduate and Undergraduate Language and Area Centers and Programs. This program provides
grants to IHEs to establish and operate (1) National Resource Centers, which are comprehensive
foreign language and area or international studies centers and programs, and (2) a network of
undergraduate foreign language and area or international studies centers and programs.
Fellowships for Foreign Language and Area or International Studies. This program provides
grants to IHEs to enable them to pay stipends to individuals participating in advanced training at
National Resource Centers and Undergraduate International Studies and Foreign Language
Program centers and programs.
Language Resource Centers. This program provides grants to IHEs for the purposes of
establishing, strengthening, and operating national language resource and training centers, which
serve as resources to improve the capacity to teach and learn foreign languages.
Undergraduate International Studies and Foreign Language Programs. This program provides
grants to IHEs and related entities to plan, develop, and carry out programs to improve
undergraduate instruction in international studies and foreign languages and to strengthen existing
programs in undergraduate international studies and foreign language programs.
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The Higher Education Act (HEA): A Primer
Technological Innovation and Cooperation for Foreign Information Access. This program
provides grants to IHEs and related entities to develop innovative techniques or programs using
electronic technologies to collect and disseminate information from foreign sources on world
regions and foreign countries that address U.S. teaching and research needs in international
education and foreign languages.
American Overseas Research Centers. This program provides grants to consortia of IHEs to
establish or operate overseas research centers that promote postgraduate research, exchanges, and
area studies.
Part B: Business and International Education Programs
Part B authorizes two programs to promote and enhance international business skills and
education. The Centers for International Business Education program authorizes the Secretary to
make grants to enable IHEs to establish and operate centers for international business education
that serve as national resources for the teaching of international business, foreign languages, and
international studies and provide research and training in the international aspects of trade and
commerce. The Education and Training Program authorizes grants to IHEs to operate programs
designed to promote linkages between IHEs and the American business community engaged in
international economic activity.
Part C: Institute for International Public Policy
Part C establishes the Institute for International Public Policy, which provides a grant to a
consortium of minority-serving institutions eligible under Title III, Parts A and B, and Title V to
support the preparation of underrepresented minority students for international and foreign
service careers. Allowable activities include the development of a study abroad program and
fellowships for graduate study. Funds for the Institute have not been appropriated since FY2011.
Part D: General Provisions
Part D contains definitions relevant to Title VI and grants the Secretary waiver authority to reduce
any nonfederal shares required by Title VI programs.
Part D also authorizes the Science and Technology Advanced Foreign Language Education Grant
Program, which makes grants to IHEs to develop programs that teach foreign languages and
emphasize the understanding of science and technology, foster international scientific
collaboration, and provide professional development to K-12 teachers. This program has never
received funding.
Title VII: Graduate and Postsecondary Improvement
Programs
Title VII authorizes several programs related to supporting graduate education programs. Other
programs authorized under Title VII encourage innovation in postsecondary education, enable
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The Higher Education Act (HEA): A Primer
IHEs to better serve disabled students, and support state-level postsecondary education
improvements.
Part A: Graduate Education Programs
Part A authorizes programs to support graduate education.
Jacob K. Javits Fellowship Program. Subpart 1 establishes the Jacob K. Javits Fellowship
Program, which awards fellowships for graduate study in the arts, humanities, and social sciences
to students who intend to pursue a doctoral degree or the terminal highest degree awarded in the
area of study. This program has not received funding since FY2011.
Graduate Assistance in Areas of National Need. Subpart 2 establishes the Graduate Assistance in
Areas of National Need program, which awards fellowships to postbaccalaureate students who
pursue the highest possible degree at their institutions and in areas of national need, as designated
by the Secretary.
Thurgood Marshall Legal Educational Opportunity Program. Subpart 3 authorizes the Thurgood
Marshall Legal Educational Opportunity Program, which provides a grant to the Council on Legal
Education Opportunity (CLEO) to support low-income, minority, or disadvantaged secondary
school and college students by providing such students with information, preparation, and
financial assistance to gain access to and complete law school study and admission to law
practice. This program has not received funding since FY2011.
Masters Degree Programs at Historically Black Colleges and Universities and Predominantly
Black Institutions. This program provides grants to specified HBCUs and PBIs to improve
graduate education opportunities for Black Americans at the master’s level in mathematics,
sciences, nursing, and other scientific disciplines.
Part B: Fund for the Improvement of Postsecondary Education
(FIPSE)
Part B of Title VII authorizes FIPSE, which authorizes the Secretary to award grants to and enter
into contracts with IHEs and other nonprofit institutions and agencies to encourage the reform,
innovation, and improvement of postsecondary education. Allowable uses of FIPSE grants and
contracts include, but are not limited to, the design and introduction of cost-effective methods of
instruction, reforms in graduate and remedial education, partnerships between high schools and
colleges to establish programs to increase secondary school graduation rates of limited English
proficient students, scholarships for the dependents of military service members, and special
projects in areas of national need.
Part B also establishes the Board of the Fund for the Improvement of Postsecondary Education,
which advises the Secretary on priorities for the improvement of postsecondary education and for
the evaluation, dissemination, and adaptation or demonstrated improvements in postsecondary
educational practice.
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The Higher Education Act (HEA): A Primer
Part D: Programs to Provide Students with Disabilities with a
Quality Higher Education
Title VII, Part D50 authorizes several programs related to postsecondary education for students
with disabilities.
Demonstration Projects to Support Postsecondary Faculty, Staff, and Administrators in
Educating Students with Disabilities. Subpart 1 authorizes a competitive grant or contract
program for model demonstration projects, technical assistance, and professional development
relating to teaching methods, secondary to postsecondary transitions, research, distance learning,
career pathways transitions, professional development, and accessibility in postsecondary
education. This program has not received funding since FY2010.
Transition Programs for Students with Intellectual Disabilities into Higher Education. Subpart 2
authorizes a competitive grant program for IHEs to create model transition and postsecondary
education programs for students with intellectual disabilities.
Programs to Support Improved Access to Materials. Subpart 3 authorizes a competitive grant or
contract program to eligible partnerships of IHEs and expert organizations for model
demonstration programs to support improved access to postsecondary materials for students with
print disabilities. This program has never been funded.
National Teaching Assistance Center: Coordinating Center. Subpart 4 authorizes the Secretary to
award a grant, contract, or cooperative agreement to an IHE or other nonprofit organization to
support the National Center for Information and Technical Support for Postsecondary Students
with Disabilities, which would offer a database of information on disabilities services in higher
education and other support services. Subpart 4 also authorizes the Secretary to award a
cooperative agreement to create a Coordinating Center for IHEs offering inclusive,
comprehensive transition programs for students with intellectual disabilities. These programs
have never received funding.
Part E: College Access Challenge Grant Program (CACG)
Part E of Title VII authorizes the College Access Challenge Grant Program, which fosters
partnerships between federal, state, and local governments and philanthropic organizations
through matching formula grants; the partnerships are intended to increase the number of low-
income students who are prepared to enter and succeed in postsecondary education. Authorized
activities for grant recipients include disseminating information about the benefits of a
postsecondary education, outreach activities, need-based grant aid, and professional development
for guidance counselors.
50 In 2008, the Higher Education Opportunity Act repealed Title VII, Part C, Urban Community Service; however, the
act did not replace Part C.
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The Higher Education Act (HEA): A Primer
Title VIII: Additional Programs
Title VIII of the HEA includes 27 parts, each of which establishes one or more new programs
focusing on an array of subjects. All of the programs in Title VIII were newly added to the HEA
by the Higher Education Opportunity Act of 2008. Most of these programs have not yet been
funded.51
Several programs authorized under Title VIII support the goals of improving access to
postsecondary education and improving enrollment, persistence, and completion rates. Generally,
these programs seek to address the postsecondary education needs of specific groups of
prospective or current postsecondary students. For instance, Part T, Centers of Excellence for
Veteran Student Success, authorizes competitive grants to IHEs to support the academic,
financial, physical, and social needs of students who are veterans of the Armed Forces.
Many other programs in Title VIII are directed at enhancing programs in certain areas of study to
meet workforce needs. For instance, Part S, Training for Realtime Writers, authorizes the
Secretary to award grants to postsecondary court reporting programs to promote training and
placement of realtime writers.
Finally, Title VIII, Part AA provides annual mandatory appropriations through FY2014 to Masters
Degree Programs at Historically Black Colleges and Universities and Predominantly Black
Institutions and the PPOHA program, which are found under HEA Title VII-A-4 and Title V-B,
respectively.
51 Those Title VIII programs that have been funded at some point in time are Part S, Training for Realtime Writers
(funded under FIPSE); Part T, Centers of Excellence for Veteran Student Success; and Part Z, Henry Kuualoha Giugni
Kupuna Memorial Archives (funded under the Native Hawaiian Education program authorized by Part B of Title VII of
the Elementary and Secondary Education Act (ESEA); and Part AA, Promoting Postbaccalaureate Opportunities for
Hispanic Americans (initially funded under FIPSE).
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The Higher Education Act (HEA): A Primer
Appendix A. History of Funding for HEA Programs:
FY2011-FY2015
Table A-1 of this appendix lists the sections of the HEA that authorize appropriations for HEA
programs and presents the funding amounts provided for these programs for FY2011 through
FY2015. The programs are presented in the order in which they appear in the HEA. For each
program, the section authorizing the appropriation of funds is identified, as is the indicator of
whether funding is considered discretionary (D) or mandatory (M) appropriations. In instances in
which a program is classified as a federal credit program, the amount shown is the reestimated
subsidy cost for the applicable fiscal year cohort.
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Table A-1. Funding for HEA-authorized programs, FY2011-2015
($ in thousands)
Disc./
Appropriationsa ($ in thousands)
Program, by Title
Auth.
Mand.
and Part
Sec.
(D/M)
FY2011 FY2012 FY2013b FY2014 FY2015
Title I: General Provisions
Title I, Part B: Additional General Provisions
Alcohol & Drug Abuse
§120
D
0 0 0 0 0
Prevention Grants
Prior Obligations
§121
D
460 459 435 435 435
(Repealed facilities loan
programs)
M
1,286
167 0 47 0
State Higher Education
§136
D
0 0 0 0 0
Information System
Pilot Program
Title I, Part D: Administrative Provisions for Delivery of Student Financial Assistance
Performance Based
§141
D
[combined with §458
[combined with §458
[combined with §458
[combined with §458
[combined with §458
Organization for
below]
below]
below]
below]
below]
Delivery of Student
Financial Aid
CRS-28
Disc./
Appropriationsa ($ in thousands)
Program, by Title
Auth.
Mand.
and Part
Sec.
(D/M)
FY2011 FY2012 FY2013b FY2014 FY2015
Title II: Teacher Quality Enhancement
Title II, Part A: Teacher Quality Partnership Grants
Teacher Quality
§209 Dc 42,914
42,833 40,592 40,592 40,592
Partnerships Grants
Pre-Baccalaureate
Preparation
Program
Teacher Residency
Program
Leadership
Development
Program
Title II, Part B: Enhancing Teacher Education
Enhancing Teacher
§230
D
0 0 0 0 0
Education Grants
Preparing Teachers
for Digital Age
Learners
Hawkins Center of
Excellence
Teach to Reach
Grants
Adjunct Teachers
Corps
Graduate fel owships
to Prepare Faculty in
High-Need Areas
CRS-29
Disc./
Appropriationsa ($ in thousands)
Program, by Title
Auth.
Mand.
and Part
Sec.
(D/M)
FY2011 FY2012 FY2013b FY2014 FY2015
Title III: Institutional Aid
Title III, Part A: Strengthening Institutions
Strengthening
§399
D
83,832 80,623 76,406 79,139 79,139
Institutions
Tribally Controlled
§399
D
26,820 25,713 24,368 25,239 25,662
Colleges & Universities §371 Md
30,000 30,000 28,470 27,840 27,810
Alaska Native and
§399
D
13,412 12,859 12,186 12,622 12,833
Native Hawaiian-
Serving Institutions
§371 Md
15,000 15,000 14,235 13,920 13,905
Predominantly Black
§399
D
9,602 9,262 8,778 9,092 9,244
Institutions
§371 Md
15,000 15,000 14,235 13,920 13,905
Native American-
§399
D
3,199 3,199 2,956 3,062 3,113
Serving, Nontribal
Institutions
§371 Md
5,000 5,000 4,745 4,640 4,635
Asian American and
§399
D
3,199 3,119 2,956 3,062 3,113
Native American
Pacific Islander-Serving
§371 Md
5,000 5,000 4,745 4,640 4,635
Institutions
Title III, Part B: Historically Black Colleges and Universities
Historically Black
§399
D
236,991 227,980 216,056 223,783 227,524
Colleges and
Universities
§371 Md
85,000 85,000 80,665 78,880 78,795
Historically Black
§399
D
31,302 58,958 55,874 57,872 58,840
Graduate Institutions
Title III, Part C: Endowment Challenge Grants for Institutions Eligible for Assistance Under Part A or Part B
Endowment Chal enge
§399
D
0 0 0 0 0
Grants
CRS-30
Disc./
Appropriationsa ($ in thousands)
Program, by Title
Auth.
Mand.
and Part
Sec.
(D/M)
FY2011 FY2012 FY2013b FY2014 FY2015
Title III, Part D: Historically Black College and University Capital Financing
Historically Black
§399
D
20,541 20,502 19,430 19,096 19,096
Colleges and
University Capital
§343 M
2,748
11,658
797
35,754
0
Financing
Capital Improvement
§399
D
0 0 0 0 0
Technical Assistance
Title III, Part E: Minority Science and Engineering Improvement Program
Minority Science &
§399
D
9,484 9,466 8,971 8,971 8,971
Engineering
Improvement Program
Programs in STEM
§399
D
0 0 0 0 0
Fields
YES Partnerships
Grants
Promotion of Entry
into STEM Fields
Title IV: Student Assistance
Title IV, Part A: Grants to Students in Attendance at Institutions of Higher Education
Federal Pell Grants
§401
D
22,956,000 22,824,000 22,778,000 22,778,000 22,475,352
Programs
Mandatory
§401 Me 13,500,000
13,795,000
7,587,000
588,000 0
Appropriations
Provided to
Augment
Discretionary
Funding
Mandatory Add-On
§401
M
5,560,000 4,953,000 4,854,000 5,579,000
SSANf
Award
CRS-31
Disc./
Appropriationsa ($ in thousands)
Program, by Title
Auth.
Mand.
and Part
Sec.
(D/M)
FY2011 FY2012 FY2013b FY2014 FY2015
Academic
§401A Mg 1,000h — — — —
Competitiveness
Grants and national
Science and
Mathematics Access to
Retain Talent (SMART)
Grants
Deferral to next
M
561,000 — — — —
fiscal year
Rescission
-560,000
TRIO Programs
§402A
Dc
826,522 839,932 795,998 838,252 839,752
Talent Search
Upward Bound
Student Support
Services
McNair
Postbaccalaureate
Achievement Program
Education Opportunity
Centers
Mandatory Funds for §402C Mc
57,000 — — — —
Upward Boundi
Gaining Early
§404H
D
302,816 302,244 286,435 301,639 301,639
Awareness and
Readiness for
Undergraduate
Programs (GEAR UP)
CRS-32
Disc./
Appropriationsa ($ in thousands)
Program, by Title
Auth.
Mand.
and Part
Sec.
(D/M)
FY2011 FY2012 FY2013b FY2014 FY2015
Federal Supplemental
§413A
D
735,990 734,599 696,175 733,130 733,130
Educational
Opportunity Grants
(FSEOG)
Leveraging Educational
§415A
D
0 0 0 0 0
Assistance Partnership
(LEAP) Grants
Grants for Access and
§415A
D
0 0 0 0 0
Persistence (GAP)
Special Programs for
§418A
D
36,595 36,526 34,623 34,623 37,474
Migrant Students
Robert C. Byrd
§419K
D
0 0 0 0 0
Honors Scholarship
Child Care Access
§419N
D
16,002 15,970 15,134 15,134 15,134
Means Parents in
School
Teacher Education
§420O M
9,381
-545
15,405
N/A
N/A
Assistance for Col ege
and Higher Education
(TEACH) Grants
Iraq and Afghanistan
§420R
M
183 180 190 283 340
Service Grants
Title IV, Part B: Federal Family Education Loan Program
Federal Family
§421
M
0 0 0 0 0
Education Loan
program subsidy costj
Loan Forgiveness for
§428K
D
0 0 0 0 0
Service in Areas of
National Need
CRS-33
Disc./
Appropriationsa ($ in thousands)
Program, by Title
Auth.
Mand.
and Part
Sec.
(D/M)
FY2011 FY2012 FY2013b FY2014 FY2015
Loan Repayment for
§428L
D
0 0 0 0 0
Civil Legal Assistance
Attorneys
Title IV, Part C: Federal Work-Study Programs
Federal
Work
Study
§441
D
978,531 976,682 925,595 974,728 989,728
Off-Campus
§447
D
0 0 0 0 0
Community Service
Work Colleges
§448
D
[included with §441
[included with §441
[included with §441
[included with §441
[included with §441
amount]
amount]
amount]
amount]
amount]
Title IV, Part D: William D. Ford Federal Direct Loan Program
Direct Loan program
§451
M
-21,814,941 -32,151,004 -15.584,925
N/A
N/A
subsidy costsj
Temporary Authority
§451
M
— — — — —
to Purchase Student
Loanj
Participation
M
— — — — —
Agreementj
Standard Putj
M
— — — — —
Student Aid
§458
D
992,012 1,043,387 978,924 1,166,000 1,396,924
Administration
Not-for-Profit
§458 Md
145,333 276,731 367,593 226,891
0
Servicing Contractorsk
Technical Assistance
§458
Dg
— — — — —
Loan Servicer Job
§458
M
0 — — — —
Retention
CRS-34
Disc./
Appropriationsa ($ in thousands)
Program, by Title
Auth.
Mand.
and Part
Sec.
(D/M)
FY2011 FY2012 FY2013b FY2014 FY2015
Title IV, Part E: Federal Perkins Loans
Federal
Perkins
Loans
§461
D
0 0 0 0 0
Federal Perkins Loans
§465
D
0 0 0 0 0
Cancellations
Title IV, Part G: General Provisions Relating to Student Assistance Programs
Advisory Committee
§491
D
[funded from ED
[funded from ED
[funded from ED
[funded from ED
[funded from ED
on Student Financial
program admin., but
program admin., but
program admin., but
program admin., but
program admin., but
Assistance
not less than 800]
not less than 800]
not less than 800]
not less than 800]
not less than 800]
Title IV , Part I: Competitive Loan Auction Program
Parent PLUS Loan Pilot §499
M
0 0 0 0 0
Auction program
Title V: Developing Institutions
Title V, Part A: Hispanic-Serving Institutions
Hispanic-Serving
§528
D
104,395 100,432 95,179 98,583 100,231
Institutions
§371 Md
100,000 100,000 94,900 92,800 92,700
Title V, Part B: Promoting Postbaccalaureate Opportunities for Hispanic Americans
Promoting
§528
D
9,336 9,011 8,540 8,845 8,992
Postbaccalaureate
Opportunities for
§898
M
11,500 11,500 10,914 10,672
0l
Hispanic Americans
Title VI: International Education Programs
Title VI, Part A: International and Foreign Language Programs
International & Foreign
§610 D
66,712
66,586
63,103
65,103
65,103
Language Programs
[Includes Title VI,
[Includes Title VI,
[Includes Title VI,
[Includes Title VI,
[Includes Title VI,
Part B]
Part B]
Part B]
Part B]
Part B]
CRS-35
Disc./
Appropriationsa ($ in thousands)
Program, by Title
Auth.
Mand.
and Part
Sec.
(D/M)
FY2011 FY2012 FY2013b FY2014 FY2015
Title VI, Part B: Business and International Education Programs
Centers for
§614
D
[Included with Title
[Included with Title
[Included with Title
[Included with Title
[Included with Title
International Business
VI, Part A]
VI, Part A]
VI, Part A]
VI, Part A]
VI, Part A]
Education
Business &
§614
D
[Included with Title
[Included with Title
[Included with Title
[Included with Title
[Included with Title
International Education
VI, Part A]
VI, Part A]
VI, Part A]
VI, Part A]
VI, Part A]
Training Programs
Title VI, Part C: Institute for International Public Policy
Institute for
§629
D
1,552 0 0 0 0
International Public
Policy
Title VI, Part D: General Provisions
Science & Technology
§637
D
0 0 0 0 0
Advanced Foreign
Language Education
Grant Program
Title VII: Graduate and Postsecondary Improvement Programs
Jacob K. Javits
§705
D
8,084 0 0 0 0
Fellowship Program
Graduate Assistance in
§716
D
30,968 30,909 29,293 29,293 29,293
Areas of National
Need
Thurgood Marshal
§721
D
16,002 0 0 0 0
Legal Educational
Opportunity Program
CRS-36
Disc./
Appropriationsa ($ in thousands)
Program, by Title
Auth.
Mand.
and Part
Sec.
(D/M)
FY2011 FY2012 FY2013b FY2014 FY2015
Masters Degree
§725
D
0 0 0 0 0
Programs at
Historically Black
Colleges and
Universities and
§897
M
11,500 11,500 10,914 10,672
0l
Predominantly Black
Institutions
Title VII, Part B: Fund for the Improvement of Postsecondary Education
Fund for the
§745
D
18,609 2,366 2,242 3,274 64,501
Improvement of
Postsecondary
Education
Title VII, Part D: Programs to Provide Students with Disabilities with a Quality Higher Education
Demonstration
§765
D
0 0 0 0 0
Projects
Model Transition
§769
D
10,978 10,957 10,384 10,384 11,800
Programs
Access
to
Materials
§775
D
0 0 0 0 0
National
Centers
§778
D
0 0 0 0 0
National Technical
Assistance Centers
Coordinating Center
Title VIII, Part E: College Access Challenge Grant Program
College Access
§781
M
150,000 150,000 142,350 139,200
0
Challenge Grant
§781
D
0 0 0 0 0
Title VIII: Additional Programs
Part
A-Project
GRAD
§801
D
0 0 0 0 0
CRS-37
Disc./
Appropriationsa ($ in thousands)
Program, by Title
Auth.
Mand.
and Part
Sec.
(D/M)
FY2011 FY2012 FY2013b FY2014 FY2015
Part B-Mathematics
§802
D
0 0 0 0 0
and Science Scholars
Part C-Business
§803
D
0 0 0 0 0
Workforce
Partnerships for Job
Skill Training
Part D-Capacity for
§804
D
0 0 0 0 0
Nursing Students and
Faculty
Part E-American
§805
D
0 0 0 0 0
History for Freedom
Part F-Teach for
§806
D
0 0 0 0 0
America
Part G-Patsy T. Mink
§807
D
0 0 0 0 0
Fellowship
Part H-Improving
§808
D
0 0 0 0 0
College Enrollment by
Postsecondary Schools
Part I-Early Childhood
§818
D
0 0 0 0 0
Education Professional
Development
Part J-Improving STEM
§819
D
0 0 0 0 0
Education with a Focus
on Alaska Native and
Native Hawaiian
Students
Part K-Pilot Programs
§820
D
0 0 0 0 0
to Increase College
Persistence and
Success
CRS-38
Disc./
Appropriationsa ($ in thousands)
Program, by Title
Auth.
Mand.
and Part
Sec.
(D/M)
FY2011 FY2012 FY2013b FY2014 FY2015
Part L-Student Safety
§821
D
0 0 0 0 0
and Campus
Emergency
Management
Part L-Education
§824
D
0 0 0 0 0
Disaster and
Emergency Relief Loan
Program
Part M-Incentives and
§830
D
0 0 0 0 0
Rewards for Low
Tuition
Part N: Cooperative
§835 D
0
0
0
0 0
Education
Grants for
Cooperative
Education
Demonstration and
Innovation Projects;
Training and
Resources Centers;
and Research
Part O-College
§841
D
0 0 0 0 0
Partnership Grants
Part P-Jobs to Careers
§851
D
0
0
0
0
0
Part Q-Rural
§861
D
0 0 0 0 0
Development Grants
Part R-Campus-Based
§871
D
0 0 0 0 0
Digital Theft
Prevention
CRS-39
Disc./
Appropriationsa ($ in thousands)
Program, by Title
Auth.
Mand.
and Part
Sec.
(D/M)
FY2011 FY2012 FY2013b FY2014 FY2015
Part S-Training for
§872
D
998 1,128 1,069 1,126
0
Realtime Writers
Part T-Centers of
§873
D
0 0 0 0 0
Excel ence for Veteran
Student Success
Part U-University
§881
D
0 0 0 0 0
Sustainability
Part V-Modeling and
§891 D
0
0
0
0 0
Simulation Programs
Modeling and
Simulation Task
Force
Modeling and
Simulation
Enhancement Grants
Modeling and
Simulation
Establishment Grants
Part W-Path to
§892
D
0 0 0 0 0
Success Reentry
Education Grants
Part X-School of
§893
D
0 0 0 0 0
Veterinary Medicine
Competitive Grant
Program
Part Y-Early Federal
§894
D
0 0 0 0 0
Pell Grant
Commitment
Demonstration
Program
CRS-40
Disc./
Appropriationsa ($ in thousands)
Program, by Title
Auth.
Mand.
and Part
Sec.
(D/M)
FY2011 FY2012 FY2013b FY2014 FY2015
Part Z-Kupuna
§895
D
0 0 0 0 0
Memorial Archives
Programs Authorized in Acts to Reauthorize and Amend the Higher Education Act
Higher Education Opportunity Act
National Center for
§802
D
0 0 0 0 0
Research in Advanced
Information and Digital
Technologies
Pilot Grant Program
§803
D
0 0 0 0 0
for Course Material
Rental
Higher Education Amendments of 1998
Workplace and
§821
D
0 0 0 0 0
Community Transition
Training for
Incarcerated Individuals
Underground Railroad
§841
D
0 0 0 0 0
Educational and
Cultural Program
Higher Education Amendments of 1992
Olympic
Scholarships
§1543
D
0 0 0 0 0
Source: Compiled by CRS from U.S. Department of Education, Budget Tables for various years, http://www2.ed.gov/about/overview/budget/tables.html?src=ct; and from
unpublished data provided by the USDE Budget Service.
a. Unless otherwise noted, all provisions were authorized through FY2014 under the HEA and were automatically extended through FY2015 under Section 422 of the
General Education Provisions Act. An entry of zero indicates that a program was authorized in a fiscal year but that no funds were appropriated for the program in
that fiscal year, while a dash (—) indicates that a program was not authorized for a fiscal year.
b. FY2013 appropriations reflect the final amount appropriated, including any spending reductions authorized by the Budget Control Act of 2011 (BCA; P.L. 112-25),
commonly referred to as “sequestration.”
CRS-41
c. Authorization expired at the end of FY2011.
d. Authorized through FY2019.
e. Authorized through FY2017.
f.
SSAN means “Such sums as necessary.” In effect, this means the amount of mandatory appropriations that will be necessary to ful y fund the add-on award amount
specified in the HEA for a given year. In other words, mandatory funding has been available to support the add-on amount beginning in FY2010 indefinitely, but the
specific amount required in each year cannot be reported until the add-on amount is determined and all funds are disbursed to eligible students.
g. Authorization expired at the end of FY2010.
h. Although authorization of appropriations expired at the end of FY2010, appropriations under the program were allowed to be deferred to future years. In FY2010,
a deferral of $561 million was enacted and $560 million was rescinded. Thus, $1 million remained available for use in FY2011.
i.
Mandatory appropriations for the Upward Bound program were authorized for FY2008-FY2011. Since FY2012, Upward Bound has only received an allocation of the
discretionary appropriations provided to all of the TRIO programs as a whole.
j.
Amounts shown include the sum of original execution subsidy outlays, loan modification costs, modification adjustment transfers, and net lifetime subsidy
reestimates, including interest.
k. Authority for mandatory funding for not-for-profit servicing contracts was repealed by the Bipartisan Budget Act of 2013 (H.J.Res. 59).
l.
Authorization for appropriations expired at the end of FY2014. Section 422 of the General Education Provisions Act extended authorization of appropriations
through FY2015, but Congress did not appropriate funds for this program for FY2015.
CRS-42
The Higher Education Act (HEA): A Primer
Appendix B. General Education Provisions Act
The General Education Provisions Act (GEPA) contains a broad array of statutory provisions that
are applicable to the majority of federal education programs administered by the Department of
Education (ED),52 as well as provisions related to the powers and responsibilities of ED. These
provisions cover topics as varied as appropriations, evaluations, privacy, and enforcement. This
appendix briefly discusses several of the GEPA provisions that apply to programs authorized by
the Higher Education Act (HEA).53
Part A: Functions of the Department of Education
GEPA, Part A includes provisions related to the authority and responsibility of ED to administer
education programs. It confers regulatory authority on the Secretary of Education and specifies
that any regulation affecting an institution of higher education shall only become effective if the
regulation is published in the Federal Register with an educational impact assessment statement.
Part B: Appropriations and Evaluations
GEPA, Part B includes provisions that address, among other issues, authorizing forward funding
for programs (e.g., appropriated funds that are to be obligated in FY2011 may be appropriated in
the FY2010 appropriations act).
Section 422 of GEPA provides that if Congress, in the regular session that ends prior to the
beginning of the terminal fiscal year of authorization of appropriations of an applicable program,
does not pass legislation extending the program, the program is automatically extended for one
additional fiscal year.54 This provision does not apply to the authorization of appropriations for
commissions, councils, or committees that have statutorily specified termination dates.
Part C: General Requirements and Conditions Concerning the
Operation and Administration of Education Programs
GEPA, Part C addresses the general authority of the Secretary, administrative requirements and
limitations, the administration of education programs and projects by states, and records and
limitations on withholding federal funds. Part C also contains the Family Educational Rights and
Privacy Act, which provides privacy protections for student records.55 Part C clarifies that no
provision of any applicable programs is intended to authorize federal control over educational
curriculum, administration, or personnel of any educational institutions.
52 20 U.S.C.§1221 et seq.
53 For additional information on GEPA, see CRS Report R41119, General Education Provisions Act (GEPA):
Overview and Issues, by Rebecca R. Skinner and Jody Feder.
54 If Congress does not act to reauthorize a program within the one-year extension period, the program is technically no
longer authorized; however, so long as a program continues to receive appropriations, it is considered to be implicitly
authorized.
55 For additional information on the Family Educational Rights and Privacy Act, see CRS Report RS22341, The Family
Educational Rights and Privacy Act (FERPA): A Legal Overview, by Jody Feder.
Congressional Research Service
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The Higher Education Act (HEA): A Primer
Part D: Enforcement
GEPA, Part D addresses the enforcement of laws and regulations administered by ED, including
the establishment of ED’s Office of Administrative Law Judges, procedures for recovering federal
funds from recipients, and remedies for violations of ED laws and programs.
Congressional Research Service
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The Higher Education Act (HEA): A Primer
Appendix C. Previous HEA Reauthorizations
Although Congress may amend the HEA at any point in time, in general, reauthorizations are
comprehensive and amend, extend, delete, and establish new programs. The HEA was first
enacted in 1965 and has been comprehensively reauthorized eight times, in 1968, 1972, 1976,
1980, 1986, 1992, 1998, and 2008. Authorization for most HEA programs expires at the end of
FY2014, although GEPA authorizes the appropriation of funds for one additional year. Table C-1
lists the previous reauthorization, their public law numbers, and additional resources about each
reauthorization, when available.
Table C-1. Comprehensive Reauthorizations of the Higher Education Act of 1965
Reauthorization
Public Law Number
Additional Resources
Higher Education Amendments
P.L. 90-575
CRS Report ED 340, The Higher
of 1968
Education Amendments of 1968, by
Colleen Campbell; archived, available
on request.
Higher Education Amendments
P.L. 92-318
CRS Report 72-146, Major Provisions
of 1972
of the Education Amendments on
1972—P.L. 92-318, by Colleen
Campbell; archived, available on
request.
Higher Education Amendments
P.L. 94-482
CRS Report 77-9, Summary of the
of 1976
Higher Education Act of 1965, as
amended, including the Education
Amendments of 1976, by William
Sanda; archived, available on request.
Higher Education Amendments
P.L. 96-374
—
of 1980
Higher Education Amendments
P.L. 99-498
CRS Report 87-187, The Higher
of 1986
Education Amendments of 1986 (P.L.
99-498), by Education and Public
Welfare Division; archived, available
on request.
Higher Education Amendments
P.L. 102-325
CRS Report 92-690, Summary of
of 1992
Amendments to the Higher Education
Act of 1965 (P.L. 102-325), by Margot
A. Schenet; archived, available on
request.
Higher Education Act Amendments
P.L. 105-244
CRS Report RL30063, The Higher
of 1998
Education Act: reauthorization by the
105th Congress, by James B. Stedman;
archived, available on request.
Higher Education Opportunity Act
P.L. 110-315
CRS Report RL34654, The Higher
of 2008
Education Opportunity Act:
Reauthorization of the Higher
Education Act, by David P. Smole et
al.
Congressional Research Service
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The Higher Education Act (HEA): A Primer
Author Contact Information
Alexandra Hegji
Analyst in Social Policy
adhegji@crs.loc.gov , 7-8384
Key Policy Staff
This report provides a general overview of the major HEA provisions. For information on a specific
program or policy issue, see the following “Key Policy Staff” table.
Area of Expertise
Name
Phone
Email
FAFSA, Need Analysis
Benjamin Collins
7-7382
bcollins@crs.loc.gov
Pell Grants, TRIO Programs, GEARUP, Cassandria Dortch
7-0376
cdortch@crs.loc.gov
Veterans’ Education Benefits, Graduate
Programs
Institutional Eligibility, Campus-Based
Alexandra Hegji
7-8384
adhegji@crs.loc.gov
Programs, Institutional Aid, Minority
Serving Institutions
Teacher Quality Programs, TEACH
Jeff Kuenzi
7-8645
jkuenzi@crs.loc.gov
Grants, International Education
Programs, STEM Education
FFEL program, Direct Loan program
David P. Smole
7-0624
dsmole@crs.loc.gov
Congressional Research Service
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