[Federal Register Volume 84, Number 101 (Friday, May 24, 2019)]
[Notices]
[Pages 24118-24122]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-10959]
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DEPARTMENT OF EDUCATION
Free Application for Federal Student Aid (FAFSA[supreg])
Information To Be Verified for the 2020-2021 Award Year
AGENCY: Office of Postsecondary Education, Department of Education.
[CFDA Numbers: 84.007, 84.033, 84.063, and 84.268.]
ACTION: Notice.
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SUMMARY: For each award year, the Secretary publishes in the Federal
Register a notice announcing the FAFSA information that an institution
and an applicant may be required to verify, as well as the acceptable
documentation for verifying FAFSA information. This is the notice for
the 2020-2021 award year.
FOR FURTHER INFORMATION CONTACT: Jacquelyn C. Butler, U.S. Department
of Education, 400 Maryland Avenue SW, Room 294-10, Washington, DC
20202. Telephone: (202) 453-6088.
If you use a telecommunications device for the deaf (TDD) or a text
telephone (TTY), call the Federal Relay Service (FRS), toll free, at 1-
800-877-8339.
Individuals with disabilities can obtain this document in an
accessible format (e.g., braille, large print, audiotape, or compact
disc) on request to the program contact person listed under FOR FURTHER
INFORMATION CONTACT.
SUPPLEMENTARY INFORMATION: If the Secretary selects an applicant for
verification, the applicant's Institutional Student Information Record
(ISIR) includes flags that indicate (1) that the applicant has been
selected by the Secretary for verification and (2) the Verification
Tracking Group in which the applicant has been placed. The Verification
Tracking Group indicates which FAFSA information needs to be verified
for the applicant and, if appropriate, for the applicant's parent(s) or
spouse. The Student Aid Report (SAR) provided to the applicant will
indicate that the applicant's FAFSA information has been selected for
verification and direct the applicant to contact the institution for
further instructions for completing the verification process.
The following chart lists, for the 2020-2021 award year, the FAFSA
information that an institution and an applicant and, if appropriate,
the applicant's parent(s) or spouse may be required to verify under 34
CFR 668.56. The chart also lists the acceptable documentation that
must, under Sec. 668.57, be provided to an institution for that
information to be verified.
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FAFSA information Acceptable documentation
------------------------------------------------------------------------
Income information for tax (1) 2018 tax account information of the
filers tax filer that the Secretary has
a. Adjusted Gross Income identified as having been obtained from
(AGI) the Internal Revenue Service (IRS)
b. U.S. Income Tax Paid through the IRS Data Retrieval Tool and
c. Untaxed Portions of IRA that has not been changed after the
Distributions and Pensions information was obtained from the IRS;
d. IRA Deductions and (2) A transcript \1\ obtained at no cost
Payments from the IRS or other relevant tax
e. Tax Exempt Interest Income authority of a U.S. territory (Guam,
f. Education Credits American Samoa, the U.S. Virgin Islands)
or commonwealth (Puerto Rico and the
Northern Mariana Islands), or a foreign
government that lists 2018 tax account
information of the tax filer; or
(3) A copy of the income tax return \1\
and the applicable schedules \1\ that
were filed with the IRS or other
relevant tax authority of a U.S.
territory, or a foreign government that
lists 2018 tax account information of
the tax filer.
------------------------------------------------------------------------
[[Page 24119]]
Income information for tax (1) For a student, or the parent(s) of a
filers with special dependent student, who filed a 2018
circumstances joint income tax return and whose income
a. Adjusted Gross Income is used in the calculation of the
(AGI) applicant's expected family contribution
b. U.S. Income Tax Paid and who at the time the FAFSA was
c. Untaxed Portions of IRA completed was separated, divorced,
Distributions and Pensions widowed, or married to someone other
d. IRA Deductions and than the individual included on the 2018
Payments joint income tax return--
e. Tax Exempt Interest Income (a) A transcript obtained from the IRS or
f. Education Credits other relevant tax authority that lists
2018 tax account information of the tax
filer(s); or
(b) A copy of the income tax return and
the applicable schedules that were filed
with the IRS or other relevant tax
authority that lists 2018 tax account
information of the tax filer(s); and
(c) A copy of IRS Form W-2 \2\ for each
source of 2018 employment income
received or an equivalent document.\2\
(2) For an individual who is required to
file a 2018 IRS income tax return and
has been granted a filing extension by
the IRS beyond the automatic six-month
extension for tax year 2018--
(a) A copy of the IRS's approval of an
extension beyond the automatic six-month
extension for tax year 2018 \3\;
(b) Verification of nonfiling \4\ from
the IRS dated on or after October 1,
2019;
(c) A copy of IRS Form W-2 \2\ for each
source of 2018 employment income
received or an equivalent document \2\;
and
(d) If self-employed, a signed statement
certifying the amount of AGI and U.S.
income tax paid for tax year 2018.
Note: An institution may require that,
after the income tax return is filed, an
individual granted a filing extension
beyond the automatic six-month extension
submit tax information using the IRS
Data Retrieval Tool, by obtaining a
transcript from the IRS, or by
submitting a copy of the income tax
return and the applicable schedules that
were filed with the IRS that lists 2018
tax account information. When an
institution receives such information,
it must be used to reverify the income
and tax information reported on the
FAFSA.
(3) For an individual who was the victim
of IRS tax-related identity theft--
(a) A Tax Return DataBase View (TRDBV)
transcript \1\ obtained from the IRS;
and
(b) A statement signed and dated by the
tax filer indicating that he or she was
a victim of IRS tax-related identity
theft and that the IRS has been made
aware of the tax-related identity theft.
Note: Tax filers may inform the IRS of
the tax-related identity theft and
obtain a TRDBV transcript by calling the
IRS's Identity Protection Specialized
Unit (IPSU) at 1-800-908-4490. Unless
the institution has reason to suspect
the authenticity of the TRDBV transcript
provided by the IRS, a signature or
stamp or any other validation from the
IRS is not needed.
(4) For an individual who filed an
amended income tax return with the IRS,
a signed copy of the IRS Form 1040X that
was filed with the IRS for tax year 2018
or documentation from the IRS that
include the change(s) made to the tax
filer's 2018 tax information, in
addition to one of the following--
(a) IRS Data Retrieval Tool information
on an ISIR record with all tax
information from the original 2018
income tax return;
(b) A transcript obtained from the IRS
that lists 2018 tax account information
of the tax filer(s); or
(c) A signed copy of the 2018 IRS Form
1040 and the applicable schedules that
were filed with the IRS.
------------------------------------------------------------------------
Income information for nontax For an individual who has not filed and,
filers under IRS or other relevant tax
Income earned from work. authority rules (e.g., the Republic of
the Marshall Islands, the Republic of
Palau, the Federated States of
Micronesia, a U.S. territory or
commonwealth or a foreign government),
is not required to file a 2018 income
tax return--
(1) A signed statement certifying--
(a) That the individual has not filed and
is not required to file a 2018 income
tax return; and
(b) The sources of 2018 income earned
from work and the amount of income from
each source;
(2) A copy of IRS Form W-2 \2\ for each
source of 2018 employment income
received or an equivalent document \2\;
and
(3) Except for dependent students,
verification of nonfiling \4\ from the
IRS or other relevant tax authority
dated on or after October 1, 2019.
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Number of Household Members A statement signed by the applicant and,
if the applicant is a dependent student,
by one of the applicant's parents, that
lists the name and age of each household
member for the 2020-2021 award year and
the relationship of that household
member to the applicant.
Note: Verification of number of household
members is not required if--
For a dependent student, the
household size indicated on the ISIR is
two and the parent is single, separated,
divorced, or widowed, or the household
size indicated on the ISIR is three if
the parents are married or unmarried and
living together; or
For an independent student, the
household size indicated on the ISIR is
one and the applicant is single,
separated, divorced, or widowed, or the
household size indicated on the ISIR is
two if the applicant is married.
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[[Page 24120]]
Number in College (1) A statement signed by the applicant
and, if the applicant is a dependent
student, by one of the applicant's
parents listing the name and age of each
household member, excluding the parents,
who is or will be attending an eligible
postsecondary educational institution as
at least a half-time student in the 2020-
2021 award year in a program that leads
to a degree or certificate and the name
of that educational institution.
(2) If an institution has reason to
believe that the signed statement
provided by the applicant regarding the
number of household members enrolled in
eligible postsecondary institutions is
inaccurate, the institution must obtain
documentation from each institution
named by the applicant that the
household member in question is, or will
be, attending on at least a half-time
basis unless--
(a) The applicant's institution
determines that such documentation is
not available because the household
member in question has not yet
registered at the institution the
household member plans to attend; or
(b) The institution has documentation
indicating that the household member in
question will be attending the same
institution as the applicant.
Note: Verification of the number of
household members in college is not
required if the number in college
indicated on the ISIR is ``1.''
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High School Completion Status The applicant's high school completion
status when the applicant attends the
institution in 2020-2021.
(1) High School Diploma
(a) A copy of the applicant's high school
diploma;
(b) A copy of the applicant's final
official high school transcript that
shows the date when the diploma was
awarded; or
(c) A copy of the ``secondary school
leaving certificate'' (or other similar
document) for students who completed
secondary education in a foreign country
and are unable to obtain a copy of their
high school diploma or transcript.
Note: Institutions that have the
expertise may evaluate foreign secondary
school credentials to determine their
equivalence to U.S. high school
diplomas. Institutions may also use a
foreign diploma evaluation service for
this purpose.
(2) Recognized Equivalent of a High
School Diploma
(a) General Educational Development (GED)
Certificate or GED transcript;
(b) A State certificate or transcript
received by a student after the student
has passed a State-authorized
examination (HiSET, TASC, or other State-
authorized examination) that the State
recognizes as the equivalent of a high
school diploma;
(c) An academic transcript that indicates
the student successfully completed at
least a two-year program that is
acceptable for full credit toward a
bachelor's degree at any participating
institution; or
(d) For a person who is seeking
enrollment in an educational program
that leads to at least an associate
degree or its equivalent and who
excelled academically in high school but
did not complete high school,
documentation from the high school that
the student excelled academically and
documentation from the postsecondary
institution that the student has met its
written policies for admitting such
students.
(3) Homeschool
(a) If the State where the student was
homeschooled requires by law that such
students obtain a secondary school
completion credential for homeschool
(other than a high school diploma or its
recognized equivalent), a copy of that
credential; or
(b) If such State law does not require
the credential noted in 3(a), a
transcript or the equivalent signed by
the student's parent or guardian that
lists the secondary school courses the
student completed and documents the
successful completion of a secondary
school education in a homeschool
setting.
Note: In cases where documentation of an
applicant's completion of a secondary
school education is unavailable, e.g.,
the secondary school is closed and
information is not available from
another source, such as the local school
district or a State Department of
Education, or in the case of
homeschooling, the parent(s)/guardian(s)
who provided the homeschooling is
deceased, an institution may accept
alternative documentation to verify the
applicant's high school completion
status (e.g., DD Form 214 Certificate of
Release or Discharge From Active Duty
that indicates the individual is a high
school graduate or equivalent).
When documenting an applicant's high
school completion status, an institution
may rely on documentation it has already
collected for purposes other than the
Title IV verification requirements
(e.g., high school transcripts
maintained in the admissions office) if
the documentation meets the criteria
outlined above.
Verification of high school completion
status is not required if the
institution successfully verified and
documented the applicant's high school
completion status for a prior award
year.
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[[Page 24121]]
Identity/Statement of (1) An applicant must appear in person
Educational Purpose. and present the following documentation
to an institutionally authorized
individual to verify the applicant's
identity:
(a) An unexpired valid government-issued
photo identification \5\ such as, but
not limited to, a driver's license, non-
driver's identification card, other
State-issued identification, or U.S.
passport. The institution must maintain
an annotated copy of the unexpired valid
government-issued photo identification
that includes--
i. The date the identification was
presented; and
ii. The name of the institutionally
authorized individual who reviewed the
identification; and
(b) A signed statement using the exact
language as follows, except that the
student's identification number is
optional if collected elsewhere on the
same page as the statement:
Statement of Educational Purpose
I certify that I __________ am
(Print Student's Name)
the individual signing this Statement of
Educational Purpose and that the Federal
student financial assistance I may
receive will only be used for
educational purposes and to pay the cost
of attending ______________for 2020-
2021.
(Name of Postsecondary Educational
Institution)
____________ ______
(Student's Signature) (Date)
__________
(Student's ID Number)
(2) If an institution determines that an
applicant is unable to appear in person
to present an unexpired valid government-
issued photo identification and execute
the Statement of Educational Purpose,
the applicant must provide the
institution with--
(a) A copy of an unexpired valid
government-issued photo identification
\5\ such as, but not limited to, a
driver's license, non-driver's
identification card, other State-issued
identification, or U.S. passport that is
acknowledged in a notary statement or
that is presented to a notary; and
(b) An original notarized statement
signed by the applicant using the exact
language as follows, except that the
student's identification number is
optional if collected elsewhere on the
same page as the statement:
Statement of Educational Purpose
I certify that I __________ am
(Print Student's Name)
the individual signing this Statement of
Educational Purpose and that the Federal
student financial assistance I may
receive will only be used for
educational purposes and to pay the cost
of attending ______________for 2020-
2021.
(Name of Postsecondary Educational
Institution)
____________ ______
(Student's Signature) (Date)
__________
(Student's ID Number)
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\1\ This footnote applies, where applicable, whenever an income tax
return, the applicable schedules, or transcript is mentioned in the
above chart.
The copy of the 2018 income tax return must include the signature of the
tax filer, or one of the filers of a joint income tax return, or the
signed, stamped, typed, or printed name and address of the preparer of
the income tax return and the preparer's Social Security Number,
Employer Identification Number, or Preparer Tax Identification Number.
For a tax filer who filed an income tax return other than an IRS form,
such as a foreign or Puerto Rican tax form, the institution must use
the income information (converted to U.S. dollars) from the lines of
that form that correspond most closely to the income information
reported on a U.S. income tax return.
An individual who did not retain a copy of his or her 2018 tax account
information, and for whom that information cannot be located by the
IRS or other relevant tax authority, must submit to the institution--
(a) Copies of all IRS Form W-2s for each source of 2018 employment
income or equivalent documents; or
(b) If the individual is self-employed or filed an income tax return
with a government of a U.S. territory or commonwealth or a foreign
government, a signed statement certifying the amount of AGI and income
taxes paid for tax year 2018; and
(c) Documentation from the IRS or other relevant tax authority that
indicates the individual's 2018 tax account information cannot be
located; and
(d) A signed statement that indicates that the individual did not retain
a copy of his or her 2018 tax account information.
If an individual who was the victim of IRS tax-related identity theft is
unable to obtain a TRDBV, the institution may accept an equivalent
document provided by the IRS or a copy of the signed 2018 income tax
return the individual filed with the IRS.
\2\ An individual who is required to submit an IRS Form W-2 or an
equivalent document but did not maintain a copy should request a
duplicate from the employer who issued the original or from the
government agency that issued the equivalent document. If the
individual is unable to obtain a duplicate W-2 or an equivalent
document in a timely manner, the institution may permit that
individual to provide a signed statement, in accordance with 34 CFR
668.57(a)(6), that includes--
(a) The amount of income earned from work;
(b) The source of that income; and
(c) The reason why the IRS Form W-2, or an equivalent document, is not
available in a timely manner.
\3\ For an individual who was called up for active duty or for
qualifying National Guard duty during a war or other military
operation or national emergency, an institution must accept a
statement from the individual certifying that he or she has not filed
an income tax return or a request for a filing extension because of
that service.
\4\ If an individual is unable to obtain verification of nonfiling from
the IRS or other relevant tax authority and, based upon the
institution's determination, it has no reason to question the
student's or family's good-faith effort to obtain the required
documentation, the institution may accept a signed statement
certifying that the individual attempted to obtain the verification of
nonfiling from the IRS or other relevant tax authority and was unable
to obtain the required documentation.
[[Page 24122]]
For IRS extension filers, the signed statement must also indicate that
the individual has not filed a 2018 income tax return and list the
sources of any 2018 income, and the amount of income from each source.
Since individuals without a Social Security Number, an Individual
Taxpayer Identification Number, or an Employer Identification Number
are unable to obtain a verification of nonfiling from the IRS, these
individuals whose income is below the IRS filing threshold must submit
to the institution a signed and dated statement--
(a) Certifying that the individual(s) does not have a Social Security
Number, an Individual Taxpayer Identification Number, or an Employer
Identification Number; and
(b) Listing the sources and amounts of earnings, other income, and
resources that supported the individual(s) for the 2018 tax year.
\5\ An unexpired valid government-issued photo identification is one
issued by the U.S. government, any of the 50 States, the District of
Columbia, the Commonwealth of Puerto Rico, a federally recognized
American Indian and Alaska Native Tribe, American Samoa, Guam, the
Virgin Islands, the Commonwealth of the Northern Mariana Islands, the
Republic of the Marshall Islands, the Federated States of Micronesia,
or the Republic of Palau.
Verification Requirements for Individuals Who Are Eligible for an Auto
Zero Expected Family Contribution (EFC)
Only the following FAFSA/ISIR information must be verified:
For dependent students--
The parents' AGI if the parents were tax filers;
The parents' income earned from work if the parents were
nontax filers; and
The student's high school completion status and identity/
statement of educational purpose, if selected.
For independent students--
The student's and spouse's AGI if they were tax filers;
The student's and spouse's income earned from work if they
were nontax filers;
The student's high school completion status and identity/
statement of educational purpose, if selected; and
The number of household members to determine if the
independent student has one or more dependents other than a spouse.
Note: Verification of nonfiling \4\ from the IRS (or other
relevant tax authority, if applicable) dated on or after October 1,
2019, must be provided for (1) independent students (and spouses, if
applicable) and parents of dependent students who did not file and
are not required to file a 2018 income tax return, and (2)
individuals who are required to file a 2018 IRS income tax return
but have not filed because they have been granted a tax filing
extension by the IRS beyond the automatic six-month extension for
the 2018 tax year.
Other Sources for Detailed Information
We provide a more detailed discussion on the verification process
in the following resources:
2020-2021 Application and Verification Guide.
2020-2021 ISIR Guide.
2020-2021 SAR Comment Codes and Text.
2020-2021 COD Technical Reference.
Program Integrity Information--Questions and Answers on
Verification at http://www2.ed.gov/policy/highered/reg/hearulemaking/2009/verification.html.
These publications are on the Information for Financial Aid
Professionals website at www.ifap.ed.gov.
Electronic Access to This Document: The official version of this
document is the document published in the Federal Register. You may
access the official edition of the Federal Register and the Code of
Federal Regulations at www.govinfo.gov. At this site you can view this
document, as well as all other documents of this Department published
in the Federal Register, in text or Portable Document Format (PDF). To
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You may also access documents of the Department published in the
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www.federalregister.gov. Specifically, through the advanced search
feature at this site, you can limit your search to documents published
by the Department.
Program Authority: 20 U.S.C. 1070a, 1070b-1070b-4, 1087a-1087j,
and 42 U.S.C. 2751-2756b.
Dated: May 17, 2019.
Diane Auer Jones,
Principal Deputy Under Secretary Delegated to Perform the Duties of the
Under Secretary and Assistant Secretary for the Office of Postsecondary
Education.
[FR Doc. 2019-10959 Filed 5-23-19; 8:45 am]
BILLING CODE 4000-01-P