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Archived Changes

Changes to the IPEDS Data Collections from 2019-20 through 2021-22

Detailed Changes to Forms by IPEDS Survey Component



Fall Collection

Institutional Characteristics (IC, includes Header and Identification). The changes to the IC/ICH survey component are minor and are the results of two meetings of the IPEDS Technical Review Panel (TRP): one on Subbaccalaureate Certificates held in March 2017 and another on Capturing and Clarifying Dual Enrollment Data in the IPEDS Data Collection held in March 2018. In response to the Coronavirus Pandemic, additional survey-specific guidance has been added to assist data reporters in reporting their data accurately.

Subbaccalaureate certificates. On the ICH form, Part B, there is currently a checkbox question asking institutions what award levels they offer. Subbaccalaureate certificates are reported to IPEDS in three categories based on the program length, and measured in terms of academic year, with a clock and credit hour equivalency. The less-than-1-year certificate has become a catch-all category for emerging alternative credentials such as stackable certificates and industry credentials, and between 1998-99 and 2013-14, there has been an 88.1 percent increase in the reporting of such awards.

At the IPEDS TRP on Subbaccalaureate Certificates, the panel considered possible alternatives to the classification system to more appropriately measure less-than-1-year programs. Based on suggestions from the TRP, such awards should be segmented into two categories, as noted in table 1 below. In addition, references to academic year equivalencies and to contact hours have been removed for these two categories as they also have reported to be confusing. These changes should have no impact on burden.

Dual enrollment. The IC survey component, Part C, collects information on whether the institution accepts credit earned prior to admission through dual credit, credit for life experiences, AP credits, or none of these. Given the multiple definitions of the term “dual credit” and complexity with how credits are applied to degrees, the IPEDS TRP on Capturing and Clarifying Dual Enrollment Data noted that the question is confusing as written and should be changed as the terms dual credit and dual enrollment are inconsistently used in IPEDS. Based on the TRP input, NCES will replace the “dual-credit” checkbox option with a “dual enrollment” checkbox option. There would be no change in burden for this change.

New FAQ. NCES is adding a new FAQ to help institutions that only have room or board, but not both, understand how to appropriately report cost of attendance.

Cross-cutting definition/terminology changes. The IC survey component will use the terminology of “recognized postsecondary credential” instead of “formal award” and “clock hours” instead of “contact hours”. No change in burden.

Addition of instruction to exclude students receiving Experimental Pell. The IC component will include the instruction not to include students receiving Experimental Pell. No change in burden.

Addition of instructions to clarify Cost of Attendance reporting. Instructions including headings have been augmented to align more closely with the survey screens. Additional clarification in instructions (i.e., room and board reporting for cost of attendance estimates) have also been made. No change in burden.

Table A1. Changes to the IC Form

Change

Implementation year

Source

Estimated burden

Part B - Organization - Control and Levels

Q2. 2. What award levels are offered by your institution? [Check all that apply]

Split current options for certificates of less than one academic year in length into two award level categories as follows:

1a. Postsecondary award, certificate, or diploma of

      - less than 300 clock hours, or

      - less than 9 semester or trimester credit hours, or

      - less than 13 quarter credit hours

1b. Postsecondary award, certificate, or diploma of

      - 300-899 clock hours, or

      - 9-29 semester or trimester credit hours, or

      - 13-44 quarter credit hours

In addition, references to academic year equivalencies and to contact hours have been removed from all levels of subbaccalaureate certificates.

2020-21

TRP on Subbaccalaureate Certificates (March 2017)

No change

Part C - Student Services - Special Learning Opportunities

Does your institution accept any of the following? [Check all that apply]

Replace checkbox option "Dual credit (college credit earned while in high school)" with "Dual Enrollment" checkbox option.

2020-21

TRP on Capturing and Clarifying Dual Enrollment Data (March 2018)

No change

Added guidance in the survey screens to provide clarification on reporting due to the coronavirus pandemic:

Part C: Student Services – Distance Education

Added the following text:
“When reporting distance education offerings, do not include remote learning implemented in response to COVID-19 unless the program anticipates maintaining this modality permanently. Allowing program completion via distance education is not the same as having planned full distance education programs.”

Part D: Student Charges

Question 1: Added the following text:
“If your institution typically has this requirement but such requirement is temporarily suspended due to COVID-19, please answer Yes.”

Question 3: Added the following text:
“If your institution typically offers institutionally-controlled housing but has temporarily suspended such offerings due to COVID-19, please answer Yes.”

Question 4: Added the following text:
“If your institution typically offers board or meal plans but has temporarily suspended such offerings due to COVID-19, please answer Yes.”

2020-21

NCES initiated

No change

Additional instructions on how to determine largest program:

New text: The “largest” programs are determined by enrollment size and NOT program length. Use total enrollment size from the last reporting year, as the total current year enrollment is unknown. Enrollment includes students enrolled for credit regardless of full-time/part-time status or if they are Title IV eligible.

Reworded “largest programs” to “largest programs by enrollment” throughout the instructions.

2020-21

NCES initiated

No change

Additional words in survey screens in Part D Student Charges section:

Reworded “largest program” to “largest program by enrollment”

2020-21

NCES initiated

No change

Additional guidance language on how to determine largest program in Part D Student Charges section:

New text: “Note: The “largest” programs are determined by enrollment size and NOT program length. Use total enrollment size from the last reporting year, as the total current year enrollment is unknown. Enrollment includes students enrolled for credit regardless of their full-time/part-time status or if they are Title IV eligible.”

2020-21

NCES initiated

No change

Augmented section headings in the instructions for clarity:

Renamed the following section headings:

"Tuition and required fees for undergraduate students” to “tuition and required fees for undergraduate students (Part D – Undergraduate Student Charges)”

“Tuition and required fees for graduate students” to “tuition and required fees for graduate students (Part D – Graduate Student Charges)”

“Room and Board” to “Room and Board (Part D – Room and Board)”

“Academic year reporters cost of attendance for full-time, first-time undergraduate students” to “Academic year reporters cost of attendance for full-time, first-time undergraduate students (Part D – Cost of Attendance)”

“Program reporters cost (price) of attendance” to “Program reporters cost of attendance (Part D – Cost of Attendance)”

2020-21

NCES initiated

No change

Moved room and board instructions to the correct section:

Moved the following text from the “Room and Board (Part D – Room and Board” section to the “Academic year reporters cost of attendance for full-time, first-time undergraduate students (Part D – Cost of Attendance)” section.

Text:

“Room and Board:

  • If your institution offers room (housing) but does not offer board, refer to your institution’s cost of attendance budgets from your financial aid office to report an estimate of how much students would spend on board.
  • If your institution offers board but does not offer room (housing), refer to your institution’s cost of attendance budgets from your financial aid office to report an estimate of how much students would spend on room.”

2020-21

NCES initiated

No change

Additions to the guidance instructions in Part D – Student Charges – Question 11 to clarify room and board reporting procedures and point reporters to resources they can use to find additional information.

Revised text:

Please enter the amounts requested below for each Cost of Attendance (COA) category. These data will be made available to the public on College Navigator. If your institution participates in any Title IV programs (e.g., Pell, Direct Loans), you must provide all information. Estimates of expenses for books and supplies, room and board, and other expenses are those from the COA report used by the financial aid office in determining financial need. Please confirm with your institution’s financial aid office the correct values for these COA categories, as its staff are most familiar with federal guidance (e.g., Federal Student Aid Handbook) and professional standards in determining COA.

  • If your institution offers room (housing) but does not offer board, refer to your institution’s COA budgets to report an estimate of how much students would spend on board.
  • Similarly, if your institution offers board but does not offer room (housing), refer to your institution’s COA budgets to report an estimate of how much students would spend on room.

2020-21

NCES initiated

No change

Additional words in the instructions for clarification:

Added the sentence “Do not include fees” in the instructions for sections “Per-credit-hour charges for part-time undergraduate students” and “Per-credit-hour charges for part-time graduate students”

2020-21

NCES initiated

No change

Addition to guidance on survey screen for clarification:

Added the sentence “Do not include fees” to Question 6 in Part D – Undergraduate Student Charges” and added “Please be sure to report an average per credit tuition that includes all graduate students (NOT doctor’s degree-professional practice students). Do not include fees.” to Part D – Graduate Student Charges.

2020-21

NCES initiated

No change

New FAQ

6) If my institution offers room or board, but not both, how should I report this on the Cost of Attendance page?

In this case, the "room and board" value must include both the known value and an estimate for the unknown value. Inclusion of both meal cost and housing cost is necessary to generate a total cost of attendance, which is subsequently needed for Net Price calculations. For example, if the institution offers meals but no housing, in the "on-campus room and board" field they would need to enter a total that includes the cost of the meal plan plus an estimate of housing cost (such as a housing cost similar to that of off-campus housing).

2019-20

NCES initiated

No change

Cross-cutting definition and terminology changes:

Replace "formal award" terminology with "recognized postsecondary credential"; replace "contact hour" with "clock hour"; add instruction to exclude students receiving Experimental Pell.

2019-20

TRP on Subbaccalaureate Certificates (March 2017); NCES initiated

No change

Completions (C). The changes to the Completions survey form are based on input from two separate meetings of the IPEDS TRP: one on Subbaccalaureate Certificates held in March 2017 and another on Evaluating Distance Education Elements in the IPEDS Data Collection held in June 2017.

Subbaccalaureate certificates. Like the change on IC Header file, subbaccalaureate certificates that are less that an academic year will be broken into two categories for reporting counts of certificates awarded. In addition, for all subbaccalaureate certificates, references to academic year equivalencies and to contact hours have been removed since the TRP noted that these tend to be confusing and can result in inconsistent data. There will be a moderate increase in reporting burden in the first year as institutions will need to reclassify short-term programs into the new categories; subsequently, the change is minimal.

Distance education. The IPEDS Completions component currently collects whether the institution offers the full program (as defined by the Classification of Instructional Programs [CIP] code system and award level) through distance education. If more than one program is offered under a CIP code by award level, institutions are instructed to check "yes" to the distance education question if any of the programs are offered as a distance education program. TRP panelists noted that a constraint of the current format is the inability to identify the number of programs offered as distance education programs if more than one program is offered under a CIP code. The TRP considered several options for categorizing exclusively distance education programs in ways that are better aligned with how institutions organize their programs. Based on the TRP input, NCES will revise the question about programs under a CIP being offered as distance education to clarify whether all or at least one program for the CIP and award level is offered via distance education, and include details regarding whether programs are entirely distance education or have a mandatory or non-mandatory distance education requirement. The change in reporting burden should be minimal.

Cross-cutting definition/terminology changes. The C survey component will use the terminology of "recognized postsecondary credential" instead of "formal award" and "clock hours" instead of "contact hours". No change in burden.

Addition of instruction to exclude students receiving Experimental Pell. The C component will include the instruction not to include students receiving Experimental Pell. No change in burden.

Changes to the Completions survey are summarized in table A2 below.

Table A2. Changes to the Completions Form

Change

Implementation year

Source

Estimated burden

Split current options for reporting the count of certificates of less than one academic year in length into two award level categories as follows:

Postsecondary award, certificate, or diploma of

      - less than 300 clock hours, or

      - less than 9 semester or trimester credit hours, or

      - less than 13 quarter credit hours

Postsecondary award, certificate, or diploma of

      - 300-899 clock hours, or

      - 9-29 semester or trimester credit hours, or

      - 13-44 quarter credit hours

In addition, references to academic year equivalencies have been removed from all levels of subbaccalaureate certificates.

2020-21

TRP on Subbaccalaureate Certificates (March 2017)

Moderate increase in first year only

For the question, "Is at least one program within this CIP code offered as a distance education program?", change answer options from "yes" or "no" to:

-       All programs in this CIP code in this award level can be completed entirely via distance education. (Radio button)

-       Some programs in this CIP code in this award level can be completed entirely via distance education. (Radio button)

-          At least one program in this CIP code in this award level has a mandatory onsite component. (Checkbox)

-          At least one program in this CIP code in this award level has a non-mandatory onsite component. (Checkbox)

-       None of the programs in this CIP code in this award level can be completed entirely via distance education. (Radio button)

2020-21

TRP on Evaluating Distance Education Elements in the IPEDS Data Collection (June 2017)

Minimal increase

Under “Detailed Instructions I. CIP Data Screens,” changed the text to:

Each program/award level on the Program Selection screen (including 1st and 2nd majors where selected) has a corresponding CIP Data screen. At the top are the CIP code and name of the program, followed by the award level and 1st/2nd major of the current screen on the next line. Be sure to include every program offered at your institution, regardless of whether it currently has students enrolled, or if students in the program are eligible to receive Title IV federal aid.

2020-21

NCES Initiated

No change

Added guidance on reporting regarding coronavirus pandemic:

Instructions to be incorporated under “I. CIP Data Screens” part of the “Detailed Instructions” section of the survey materials: When reporting distance education offerings, do not include remote learning implemented in response to the coronavirus pandemic unless the program anticipates maintaining this modality permanently. Allowing program completion via distance education is not the same as having planned full distance education programs.

2020-21

NCES Initiated

No change

Cross-cutting definition and terminology changes:

Replace "formal award" terminology with "recognized postsecondary credential"; replace "contact hour" with "clock hour"; add instruction to exclude students receiving Experimental Pell.

2019-20

TRP on Subbaccalaureate Certificates (March 2017); NCES initiated

No change

12-Month Enrollment (E12). The changes to the E12 survey forms are from two sources. The first change was initiated by NCES to better align (and integrate) the various survey components of IPEDS, in this case, specifically the E12 and OM components. The second change involves collecting more accurate counts of students enrolled in distance education and is based on input from the meeting of the IPEDS TRP on Evaluating Distance Education Elements in the IPEDS Data Collection.

E12/OM alignment. Currently on the E12 survey, institutions report the number of undergraduate students and graduate students by race/ethnicity and gender. However, to better align the survey components, NCES proposes to disaggregate the information on undergraduate students into four categories that will help establish the cohorts that are tracked and subsequently reported on in the Outcome Measures survey. The change is initiated by NCES in its effort to better integrate the various components of the IPEDS data collection and to improve data quality. There will be a moderate change in reporting burden in the first year. In subsequent years, the change should be minimal.

Distance education. Currently, distance education enrollments are only collected on the Fall Enrollment component (academic reporters report enrollment as of October 15, or as of the institution's official fall enrollment date; program reporters report enrollment during the 3-month period of August 1 to October 31). However, TRP panelists noted that completely distance education institutions are more likely to enroll students continuously throughout the year and would benefit from reporting distance education enrollments on the E12 survey component. The resulting data would more accurately reflect the total institutional enrollments, which in some cases are nearly double those of the fall. The addition of this data collection for E12 will result in a moderate increase in reporting burden.

New FAQs. NCES is adding new FAQs to provide additional guidance to institutions on reporting the undergraduate and graduate counts in appropriate categories.

Cross-cutting definition/terminology changes. The E12 survey component will use the terminology of "recognized postsecondary credential" instead of "formal award" and "clock hours" instead of "contact hours". No change in burden.

Addition of instruction to exclude students receiving Experimental Pell. The E12 component will include the instruction not to include students receiving Experimental Pell. No change in burden.

Changes to the E12 survey from are summarized in table A3 below.

Table A3. Changes to the E12 Form

Change

Implementation year

Source

Estimated burden

Disaggregate reporting of undergraduate student by race/ethnicity and gender into the following categories:

-       Degree/certificate-seeking, First-time student

-       Degree/certificate-seeking, Transfer-in student

-       Degree/certificate-seeking, Continuing/Returning student

-       Non-degree/certificate seeking

2020-21

NCES initiated to align with OM; QC

Moderate increase

Add a distance education question to E12 to report counts of students in distance education:

Report number of undergraduate degree/certificate-seeking, undergraduate non-degree/certificate-seeking, and graduate students that are:

-       Enrolled exclusively in distance education courses

-       Enrolled in at least one but not all distance education courses

-       Not enrolled in any distance education courses

2020-21

TRP on Evaluating Distance Education Elements in the IPEDS Data Collection (June 2017)

Moderate increase

Add new FAQ: I have a degree-seeking undergraduate student who took a summer session in 2019. However, the start date of the summer session was prior to E12 period start date of July 1 (prior to July 1). Should I include this student in the 2018-19 E12 counts?

For students who start in the summer, and if summer is NOT a “full” term, please use the following guidance:

  • If a student starts in the summer of 2019 (prior to July 1), and they do NOT enroll in any additional terms in 2019-20, they are not included in the July 1, 2019 – June 30, 2020 E12 counts (as they would have been included in the prior E12 counts).
  • If a student starts in the summer of 2019 (prior to July 1 or after July 1), the summer term is not a “full term,” and the student continues enrollment beyond summer, the institution should use the next “full” term (e.g., Fall) to determine if the student is full-time or part-time, and the student should be included in the 2019-20 E12 counts.
  • If a student starts in the summer of 2019 (after July 1), and they do NOT enroll in any additional terms in 2019-20, they are still included in the 2019-20 E12 counts, at the enrollment level (i.e., full-time or part-time) in which they were enrolled during the summer.

2020-21

NCES initiated

no change

Add new FAQ: How do I report students who enter my institution as non-degree/non-certificate-seeking students in the fall, but in the following spring term enroll as degree/certificate-seeking students?

  • Count these students as continuing degree/certificate-seeking because these students became degree/certificate-seeking at some point during the E12 period (July 1 – June 30) and had “prior postsecondary experience.”
  • Count these students as first-time degree/certificate-seeking if they were enrolled for credit at your institution in the fall prior to receipt of a high school diploma (dual enrolled students).

2020-21

NCES initiated

no change

Add new FAQ: Where do I report a high school student who is enrolled for credit at my institution (a dual enrolled student)?

  • This student would be reported as non-degree/non-certificate-seeking. Prior to receipt of a high school diploma or recognized equivalent (see glossary definition), a student is non-degree/non-certificate-seeking. After receipt of the high school diploma or recognized equivalent, they can be classified as first-time degree/certificate-seeking, if appropriate.

2020-21

NCES initiated

no change

Add new FAQ: How do I count a high school student who enrolls for credit at my institution in Spring 2019, takes courses for credit during Summer 2019 after graduating high school, and subsequently enrolls in the institution in Fall 2019?

  • This student would be reported as “first-time” degree/certificate-seeking student for the July 1, 2019 – June 30, 2020 12-month Enrollment reporting period.

2020-21

NCES initiated

no change

Modified FAQ: How do I report a student who changes enrollment levels during the 12-month period?

  • The enrollment level should be determined at the first “full” term at entry. For example, a student enrolled as an undergraduate in the fall and then as a graduate student in the spring should be reported as an undergraduate student on the 12-month Enrollment survey component.

2020-21

NCES initiated

no change

Cross-cutting definition and terminology changes:

Replace "formal award" terminology with "recognized postsecondary credential"; replace "contact hour" with "clock hour"; add instruction to exclude students receiving Experimental Pell.

2019-20

TRP on Subbaccalaureate Certificates (March 2017); NCES initiated

No change



Winter Collection

Graduation Rates (GR), Graduation Rates 200 (GR200), and Outcome Measures (OM). The changes are based on comments from the 60-day comment period for this data collection and are to clarify reporting by coordinated institutions to ensure that students are not being double counted. The changes include modifications to glossary terms and to FAQs, as well as the addition of a new FAQ.

Table A4. Changes to the GR, GR200, and OM Forms

Change

Implementation year

Source

Estimated burden

Clarify the term "transfer-in student" by adding "For systems of coordinated institutions (multi-campus system), students are to be identified as transfer-in students upon entering an institution from another institution within the same coordinated system."

The complete new definition for transfer-in student is:

A student entering the reporting institution for the first time but known to have previously attended a postsecondary institution at the same level (e.g., undergraduate, graduate). This includes new students enrolled in the fall term who transferred into the reporting institution the prior summer term. The student may transfer with or without credit. For systems of coordinated institutions (multi-campus system), students are to be identified as transfer-in students upon entering an institution from another institution within the same coordinated system.

2019-20

NCES initiated based on 60-day comment period

No change

Clarify the term "transfer-out student" by adding "For systems of coordinated institutions (multi-campus system), students are to be identified as transfer-out students when leaving an institution to enroll into another institution within the same coordinated system."

The complete new definition for transfer-out student is:

A student that leaves the reporting institution and enrolls at another institution. For systems of coordinated institutions (multi-campus system), students are to be identified as transfer-out students when leaving an institution to enroll into another institution within the same coordinated system.

2019-20

NCES initiated based on 60-day comment period

No change

Modify existing OM FAQ#30 "Counting Transfer-in and Transfer-out Students" by adding "For systems of coordinated institutions (multi-campus systems), each reporting entity with an IPEDS UnitID is recognized as an individual reporting institution for Outcome Measures purposes. Only the institution that confers the degree or award can report the students as a completer. Thus, if a student transfers out of the initial institution (institution A) and transfers-in to another institution (institution B) within a coordinated system, that student is reported as a transfer-out by the initial institution (institution A), regardless of whether or not that student received a degree or award at another institution (institution B) within the coordinated system." to the answer.

The complete new OM FAQ #30 is:

Q: Are first-time or non-first-time students who transfer-out to another institution included in the non-first-time entering cohort of the transfer-in institution?

A: Yes. If first-time or non-first-time students transfer into your institution and have never been previously enrolled in your institution, you should report them in the appropriate non-first-time entering subcohort.

For systems of coordinated institutions (multi-campus systems), each reporting entity with an IPEDS UnitID is recognized as an individual reporting institution for Outcome Measures purposes. Only the institution that confers the degree or award can report the students as a completer. Thus, if a student transfers out of the initial institution (institution A) and transfers-in to another institution (institution B) within a coordinated system, that student is reported as a transfer-out by the initial institution (institution A), regardless of whether or not that student received a degree or award at another institution (institution B) within the coordinated system.

2019-20

NCES initiated based on 60-day comment period

No change

New GR/GR200 FAQ (For GR, this FAQ will be the new FAQ #4 under "Transfer Out" category. For GR 200, this would new FAQ would also initiate a new FAQ section for GR200).

Q: My institution is part of a coordinated system of institutions. If a student transfers out of my institution and goes to another institution within the coordinated system, can I count that student at my institution as a completer?

A: No. Your institution may not count that student as completer because that student is considered a transfer-out student. Each reporting entity that has an IPEDS UnitID is recognized as an individual reporting institution for Graduation Rates purposes and can only report completers if that campus confers the award or degree.

2019-20

NCES initiated based on 60-day comment period

No change

Student Financial Aid (SFA): The changes are based on updating instructions to the “detailed instructions, cost of attendance revision” section and providing guidance due to the coronavirus pandemic and the CARES Act. The changes include modifications to instructions.

Table 5. Changes to the SFA Forms

Change

Implementation year

Source

Estimated burden

Under “Detailed Instructions, Cost of Attendance Revision,” changed the text to:

If you made errors in the prior year reporting of cost of attendance in the IC component, you can make changes in the SFA component. However, there are no prior year revisions for the SFA component. Please refer to the instructions on reporting cost of attendance in the IC component. Estimates of expenses for books and supplies, room and board, and other expenses are those from the Cost of Attendance report used by the financial aid office in determining financial need. Please talk to your financial aid office to get these numbers to ensure that you are reporting correctly.

2020-21

NCES initiated

No change

Instructions to be incorporated in the relevant sections of the “Detailed Instructions” section of the survey materials regarding the coronavirus pandemic and the CARES Act:

Part A: Emergency grants funded through the CARES Act are to be counted as federal aid, but not Title IV aid. As such, students who only receive emergency grants funded through the CARES Act should not be included in Group 4.
Part B: Emergency grants funded through the CARES Act should be included for Group 1 in Part B under “Grant or scholarship aid from the federal government, state/local government, the institution, and other sources known to the institution”.
Part C: Emergency grants funded through the CARES Act should be included for Group 2 in Part C under “Other federal grants”.
Part D: Emergency grants funded through the CARES Act should NOT be included for Group 3 in Part D under “Report the total amount of grant or scholarship aid from the federal government, state/local government, or the institution awarded to Group 3 students,” as inclusion of these grants would skew net price calculations.
Part E: Emergency grants funded through the CARES Act should be NOT included for Group 4 in Part E under “grant or scholarship aid from the following sources: the federal government, state/local government, or the institution,” as inclusion of these grants would skew net price calculations.

2020-21

NCES initiated

No change

Admissions (ADM): The changes are NCES initiated in response to needed clarification for data reporters. The changes include the addition of a new FAQ and clarification of guidance text for one survey item.

Table 6. Changes to the ADM Form

Change

Implementation year

Source

Estimated burden

Added New FAQ:

How do I treat students who enrolled in the summer prior to fall enrollment?

It depends on whether summer is a full and regular term. For academic reporters, if fall-enrolled students were first enrolled full-time during the prior summer term that began before June 30 AND the summer term IS considered a full and regular term, do NOT report these students in the ADM survey. If the summer is NOT a full and regular term, the students SHOULD be reported in ADM.

2020-21

NCES initiated

No change

Rewording the guidance text under question 2 for additional clarity:

Revised text: Remember that this question applies only to first-time, degree/certificate-seeking undergraduates. Do not include any other students in these totals. Report admitted students who enrolled in the summer ONLY IF they remained enrolled into the fall. Only include levels that you indicated were offered in the IC Header. If you made an error in the IC Header, please remember to fix the error next year.

2020-21

NCES initiated

No change



Spring Collection

Academic Libraries (AL). The changes to the AL form was initiated by NCES with input from the IPEDS Academic Libraries Task Force. Currently, data on library staff are collected as an occupational category on the HR survey. These occupational categories will be removed from HR in the future, so to retain information on library staff, a question will be added to capture this detailed information on the AL form. This change should have no impact on reporting burden. The change is detailed in table 7. In addition, based on the recommendation of the Task Force, digital/electronic serials will be included in the total counts for library circulations

Table A7. Changes to the AL Form

Change

Implementation year

Source

Estimated burden

Add question regarding library staff (detail moved from HR survey, higher level numbers still collected on HR):

Do you have Library Staff?

-       Yes

-       No

Report Number of FTEs for:

-       Librarians

-       Other Professional Staff

-       All Other Paid Staff (Except Student Assistants)

-       Student Assistants

Updated library staff instructions for clarification. Library Staff

Does your institution have Library Staff: Indicate whether your institution has library staff.

Report FTEs supported from the library budget. However, if known, if significant, and if specifically for library business, include FTEs funded by the institution’s from sources outside of the library budget. For example, for staffing counts, you may include full counts for federal work-study students working for the library, but do not include counts for maintenance and custodial staff. If there are significant counts included or excluded because of how budgeting/expenses are handled at your institution, indicate in a note whether your reporting here includes or excludes them.

Computing FTEs for part-time staff: To compute FTEs for part-time employees and student assistants, take the total number of hours worked per week by part-time employees in each category as November 1 of the fiscal year and divide it by the number of hours considered by the reporting library to be a full-time work week (e.g., 60 hours per week of part- time work divided by 40 hours per full-time week equals 1.50 FTE). Data should be reported to two decimal places.

Report Librarians by number of FTEs: “Librarians” are professional staff as defined by NISO: Staff members doing work that requires professional education (the master's degree or its equivalent) in the theoretical and scientific aspects of librarianship, archives, or information studies.

Report Other professional staff by number of FTEs: Other professional staff are staff performing professional level tasks who, though not librarians, have equivalent education and training in related fields (e.g., archives, preservation or conservation, computer sciences, business administration, education).

Report All other paid staff (except student assistants) by number of FTEs: Library staff members without formal qualification (or equivalent combination of training and experience) in librarianship, archives, information studies science or other relevant specialization, not included elsewhere.

Report Student assistants by number of FTEs: Student assistants (graduate and undergraduate), employed on an hourly basis whose wages are paid from funds from the library budget or from an account(s) within the institution, including the Federal Work-Study Program.

2020-21

NCES initiated; QC; IPEDS Academic Libraries Joint Task Force

Increase to AL (in the future removed from HR)

Add instruction related to inclusion of digital/electronic serials in library circulations:

Digital/Electronic Serials – Report the number of e-serial titles that are accessible through the library’s catalog, discovery system or other technical means.

An e-serial is a periodical publication issued in successive parts bearing numerical or chronological designations, is intended to be continued indefinitely, and is published in digital form to be displayed on a computer screen in any medium. This definition includes digital and digitized periodicals, newspapers, and annuals (reports, yearbooks, etc.); the journals, memoirs, proceedings, transactions, etc. of societies; and numbered monographic series. If possible,

  • report the count of only those de-duplicated or otherwise unique e-serial titles.
  • include ceased electronic serial titles.
  • do not count earlier title changes; however, do not worry about removing them if it is not possible/feasible. A source for counting e-serials may be a library- or vendor-developed A-Z title list of e-journals.

Include open access (OA) titles if the individual titles are searchable through the library’s catalog or discovery system, except do not count e-serial titles from HathiTrust Center for Research Libraries, Internet Archive, and similar collections unless the library owns the digitized item and it is accessible under current copyright law.

2020-21

IPEDS Academic Libraries Joint Task Force

No change

Change instructions for Total Digital/Electronic Circulation or Usage to:

Total Digital/Electronic Circulation or Usage – Report usage of digital/electronic titles whether viewed, downloaded, or streamed. Do not include institutional repository documents.

Include usage for e-books and e-media titles only, even if the title was purchased as part of a database. Do not include usage of titles in Demand-Driven Acquisition (DDA) or Patron-Driven Acquisition (PDA) collections until they have been purchased or leased by the library. Do not include transactions of VHS, CDs, or DVDs, as the transactions of these materials are reported under "physical circulation.

Most vendors will provide usage statistics in COUNTER reports. As of January 2019, Release 5 became the current Code of Practice (see Project COUNTER Release 5 Code of Practice [https://www.projectcounter.org/wp-content/uploads/2017/10/Release5_20171013-1.pdf]). Relevant COUNTER Release 5 reports for e-books are: TR_B1: Book Requests (Excluding OA_Gold). As to the COUNTER 5 metric type for e-books, report “unique title requests.” For e-media, use IR_M1: Multimedia Item Requests, report metric type for “total_item_requests” is the most relevant.

If COUNTER Release 5 reports are unavailable and if COUNTER Release 4 reports are available, IPEDS suggest that libraries report counts from BR1 and MR1. If BR1 and MR1 statistics are not available, BR2 and MR2 statistics can be used. In cases where vendors do not provide COUNTER reports, libraries may report using other means for monitoring digital/electronic circulation/usage (downloads, session views, transaction logs, etc.).

Report usage of e-serial titles whether viewed, downloaded, or streamed. Include usage for e-serial titles only, even if the title was purchased as part of a database. Viewing a document is defined as having the full text of a digital document or electronic resource downloaded. [NISO Z39.7-2013, section 7.7] If available, include the count for open access e-journal usage if the title is accessible through the library’s catalog or discovery system.

Libraries may need to ask vendors for e-serial usage reports; reports may not be delivered automatically or in easily- understood formats by the vendor to the library. Most vendors will provide usage statistics in COUNTER Release 5 reports. The most relevant COUNTER Release 5 report for e-serial usage is TR_J1: Journal Requests (Excluding OA_Gold). For the metric type, report “unique item requests.” If COUNTER Release 5 reports are unavailable, the most relevant COUNTER Release 4 report is JR1 (defined as the "Number of Successful Full-Text Article Requests by Month and Journal").

Applicable COUNTER definitions:

  • Article: “An item of original written work published in a journal, other serial publication, or in a book.”
  • Database: “A collection of electronically stored data or unit records (facts, bibliographic data, texts) with a common user interface and software for the retrieval and manipulation of data (NISO)”
  • Full-Text Article: "The complete text, including all references, figures and tables, of an article, plus links to any supplementary material published with it.”
  • Open access: “Online research outputs that are free of all restrictions on access (e.g. access tolls) and free of many restrictions on use (e.g. certain copyright and license restrictions). Open access can be applied to all forms of published research output, including peer-reviewed and non-peer-reviewed academic journal articles, conference papers, theses, book chapters, and monographs.

In cases where vendors do not provide COUNTER reports, libraries may report using other means for monitoring digital/ electronic circulation/usage (downloads, session views, transaction logs, etc.), or report zero. An electronic resource management system (ERMS) and/or a usage consolidation service may be helpful for collecting e-serial usage statistics. Do not include usage of titles in Demand-Driven Acquisition (DDA) or Patron-Driven Acquisition (PDA) collections until they have been purchased or leased by the library.”

2020-21

IPEDS Academic Libraries Joint Task Force

No change

Update Reporting Digital/Electronic Collections FAQ 9 to:

9) What is a digital/electronic serial and how do I report digital/electronic serials in collection and circulation?

An e-serial is a periodical publication issued in successive parts bearing numerical or chronological designations, is intended to be continued indefinitely, and is published in digital form to be displayed on a computer screen in any medium. This definition includes digital and digitized periodicals, newspapers, and annuals (reports, yearbooks, etc.); the journals, memoirs, proceedings, transactions, etc. of societies; and numbered monographic series. If possible,

  • report the count of only those de-duplicated or otherwise unique e-serial titles.
  • include ceased electronic serial titles.
  • do not count earlier title changes; however, do not worry about removing them if it is not possible/feasible. A source for counting e-serials may be a library- or vendor-developed A-Z title list of e-journals.

Include open access (OA) titles if the individual titles are searchable through the library’s catalog or discovery system, except do not count e-serial titles from HathiTrust Center for Research Libraries, Internet Archive, and similar collections unless the library owns the digitized item and it is accessible under current copyright law.

Report usage of e-serial titles whether viewed, downloaded, or streamed. Include usage for e-serial titles only, even if the title was purchased as part of a database. Viewing a document is defined as having the full text of a digital document or electronic resource downloaded. [NISO Z39.7-2013, section 7.7] If available, include the count for open access e-journal usage if the title is accessible through the library’s catalog or discovery system.

Libraries may need to ask vendors for e-serial usage reports; reports may not be delivered automatically or in easily- understood formats by the vendor to the library. Many vendors will provide usage statistics in COUNTER Release 5 reports. The most relevant COUNTER Release 5 report for e-serial usage is TR_J1: Journal Requests (Excluding OA_Gold). For the metric type, report “unique item requests.” If COUNTER Release 5 reports are unavailable, the most relevant COUNTER Release 4 report is JR1 (defined as the "Number of Successful Full-Text Article Requests by Month and Journal").

In cases where vendors do not provide COUNTER reports, libraries may report using other means for monitoring digital/ electronic circulation/usage (downloads, session views, transaction logs, etc.), or report zero. An electronic resource management system (ERMS) and/or a usage consolidation service may be helpful for collecting e-serial usage statistics.

Do not include usage of titles in Demand-Driven Acquisition (DDA) or Patron-Driven Acquisition (PDA) collections until they have been purchased or leased by the library.”

2020-21

IPEDS Academic Libraries Joint Task Force

No change

Add to Reporting Digital/Electronic Circulation FAQ 4:

4) What are the basic steps for obtaining COUNTER Reports for Digital/Electronic Circulation?

First, identify where you should collect your electronic and digital circulation data. Some options are:

  • Publishers that host their own content (e.g., Elsevier on ScienceDirect; SAGE/CQ on CQ Researcher; IGI Global ebooks and journals, hosted on IGI Global’s InfoSci platform)
  • Publishers that use a third-party platform to host content (e.g., Royal Society on Highwire; Mary Ann Liebert (journals) on Atypon; Twyane’s Authors on Cengage/Gale)
  • Aggregators that license content from a wide variety of publishers and offer it through a database (e.g., Academic Search Complete on EBSCOhost; Biological Science Database on ProQuest; Academic One File on Cengage/Gale)

Second, obtain a list of providers and identify how to obtain reports from each provider. An example of basic steps for this process is as follows:
1. Compile spreadsheet of providers.
2. Identify administrative URLs and login information needed to collect statistics.
3. Identify formats and reports to collect from COUNTER Release 5 under each provider:

  • Serials - TR_J1: Journal Requests (Excluding OA_Gold), metric type “unique_item_ requests”
  • Books - TR_B1: Book Requests (Excluding OA_Gold), metric type “unique_title_ requests.”
  • Multimedia - IR_M1: Multimedia Item Requests, report metric type for “total_item_requests”

4. Identify providers where you need to contact vendor or where statistics are unavailable.
5. Work your way through the list, recording the Reporting Period Total in your spreadsheet.
6. Provide IPEDS with one total sum of all digital/electronic Reporting Period Totals obtained through all providers

Note: In cases where vendors do not provide COUNTER reports, libraries may report using other means for monitoring digital/electronic circulation/usage (downloads, session views, transaction logs, etc.).

Libraries may need to ask vendors for e-serial usage reports; reports may not be delivered automatically or in easily-understood formats by the vendor to the library. Most vendors will provide usage statistics in COUNTER Release 5 reports. The most relevant COUNTER Release 5 report for e-serial usage is TR_J1: Journal Requests (Excluding OA_Gold). For the metric type, report “unique item requests.” If COUNTER Release 5 reports are unavailable, the most relevant COUNTER Release 4 report is JR1 (defined as the "Number of Successful Full-Text Article Requests by Month and Journal").

In cases where vendors do not provide COUNTER reports, libraries may report using other means for monitoring digital/electronic circulation/usage (downloads, session views, transaction logs, etc.), or report zero. An electronic resource management system (ERMS) and/or a usage consolidation service may be helpful for collecting e-serial usage statistics.

2020-21

IPEDS Academic Libraries Joint Task Force

No change

Added new FAQ:

How do you upload Association of College and Research Libraries’ (ACRL) files?

Please use KVP format to upload ACRL files to IPEDS.

2020-21

IPEDS Academic Libraries Joint Task Force

No change

Added new FAQ:

What Should We Do if COUNTER Release 5 Reports are Unavailable?

In cases where vendors do not provide COUNTER 5 reports, libraries may report using COUNTER 4 reports or by using other means for monitoring digital/electronic circulation/usage (downloads, session views, transaction logs, etc.), or report zero. An electronic resource management system (ERMS) and/or a usage consolidation service may be helpful for collecting e-serial usage statistics.

2020-21

IPEDS Academic Libraries Joint Task Force

No change

Added new FAQ:

How Does COUNTER Release 5 Address Consortia?

COUNTER Release 5 eliminates Consortium reports because their size makes creating and consuming consortium reports impractical. Until additional COUNTER tools are created, Consortia should use SUSHI to harvest individual reports for each member.

2020-21

IPEDS Academic Libraries Joint Task Force

No change

Added new FAQ:

How are Information Content Vendors Transitioning from COUNTER Release 4 to COUNTER Release 5?

  • Content providers MUST be compliant by February 2019 for delivery of Release 5 reports starting with January 2019 usage.
  • A content provider’s customers MUST be able to obtain Release 4-compliant reports for that content provider from the time the content provider’s Release 5 reporting service was released through to April 2019 (providing access to March 2019 usage). A content provider may provide access to Release 4 reports beyond April 2019 at their discretion.

2020-21

IPEDS Academic Libraries Joint Task Force

No change

Added new FAQ:

Do we report personnel by their position classification or by their educational level? For example, if we have graduate-degreed librarians working in staff positions, do we report those persons as librarians/professional staff, or as all other paid staff?

If a person holding a graduate degree in library and information studies is assigned to a position that is classified by the institution to be a staff position, report that as an “other paid staff.” Similarly, for staff members who lack relevant formal training and/or education, but nonetheless occupy professional positions that require skills, knowledge, and experience in the theoretical aspects of librarianship, archives, information studies, or another professional area, report as Librarians or Other Professional Staff as appropriate.

2020-21

IPEDS Academic Libraries Joint Task Force

No change

Added new FAQ:

How do we count vacant, short-term, temporary positions?

The reporting library should use the number of positions as of November 1 of the fiscal year. Positions that are less than full time should be lumped together to total the FTE. Do not report vacant positions that the library did not plan to fill during the fiscal year.

2020-21

IPEDS Academic Libraries Joint Task Force

No change

Added guidance on report expense regarding CARES Act:

NOTE – Expenses should be reported for the most recent 12-month period that corresponds to your institution's fiscal year that ends before October 1, 2020. Report funds expended by the library (regardless of when received) from its regular budget and from all other sources; e.g., research grants, special projects, gifts and endowments, and fees for services. If items in this section are not paid from the library budget but can be easily identified in other parts of the institution's budget, report them here. The exception is fringe benefits -- report fringe benefits only IF paid from the library budget. All expenses should be reported in whole dollars in the most appropriate category to provide an unduplicated count of expenses. Exclude expenses for new buildings and building renovation. Include any library-related expenses that are covered by Coronavirus Aid, Relief, and Economic Security (CARES) Act funds in the appropriate expense sections.

2020-21

IPEDS Academic Libraries Joint Task Force

No change

Finance (F). IPEDS finance data are heavily grounded in the accounting-based conventions that govern how and what data are collected. Therefore, the first two changes to the F component are based on changes to GASB Statements 74/75.These modifications that are based on changes to the GASB forms will only impact the public institutions that use that form and will ensure that the IPEDS Finance components continue to align with what is reported for GASB. These changes will have a minimal impact on burden for those institutions.

The TRP on IPEDS Financial Metrics also resulted in four changes to be made to the Finance component. The specific purpose of the TRP, which was held in October 2018, was to discuss opportunities to improve the utility of IPEDS data by collecting new finance data that the postsecondary community and IPEDS stakeholders consider important, while also maintaining the quality (reliability and validity) of the data and balancing burden for data reporters.

Athletics. The Finance survey component includes a checkbox asking institutions to indicate whether intercollegiate athletics expenses are reported as an auxiliary enterprise, a student service, in another functional category, or if the institution does not participate in intercollegiate athletics. The panel suggested adding a similar question to capture information about where athletics revenues are included. To make the information more useful for data users, responses to both the expense and revenue checkboxes will be included as separate variables (rather than response status flags) within the published data. This new checkbox question will only be reported by degree-granting institutions, and will have a minimal increase on reporting burden.

The panelists also discussed whether IPEDS should collect actual total athletics revenue and expenses (or athletics revenue and expenses as a percent of the total) and whether the collected data would be useful. While they generally agreed they could be, they also noted possible duplication with an existing federal source of data that collects financial data on intercollegiate athletics at a more granular level than what is included on institutions' audited statements -- the Office of Postsecondary Education's (OPE) Equity in Athletics Disclosure Act (EADA) Survey collects financial data on operating (game day) expenses, recruiting expenses, and total revenues and expenses by sport and by gender of team (men/ women). NCES has decided not to pursue the collection of these data at this time for these reasons.

Financial Health. Panelists at the TRP also noted that the financial health of higher education institutions is noted as important issue for policymakers and consumers, yet there is a lack of metrics regarding financial health currently available in IPEDS. Therefore, the panelists suggested that NCES should make available to the industry financial health indicators that expand on the revenue, expenditure, and balance sheet portions of the current Finance survey component. NCES is adding a new screen to the Finance survey component to collect the numerator and denominator used to calculate financial health ratios that compose the Composite Financial Index (CFI). These data would be collected only from degree-granting institutions and would have a minimal impact on burden.

Discounts and Allowances. . Panelists at the IPEDS TRP on Financial Metrics also discussed how scholarships and fellowships may be used to pay tuition and fees and other institutional charges such as room and board or bookstore charges. Under GASB and FASB accounting standards, the amounts used to pay tuition and other institutional charges are considered discounts or allowances, reducing the amount the student actually pays to attend the institution. NCES currently collects the portion of revenues coming from financial aid sources and is interested in expanding the Scholarships and Fellowships screen to understand how financial aid sources contribute to the institutional revenues and scholarship discounts. Panelists suggested adding new fields to collect additional detail on discounts and allowances by grant type (discounts from Pell, other federal grants, state government, local government, endowments and gifts, other institution sources). This approach focuses on institutional resources and aligns with the current Finance survey component in terms of reporting period (fiscal year) and coverage (all students, credit and noncredit). Although the resulting data would provide more information on discount rates and student aid expense, panelists recognized that the changes do not fully capture aid sources for student subgroups (e.g., graduate, noncredit students). The change would apply to all reporting institutions and result in a minimal increase in burden.

Endowments. IPEDS currently collects the value of institutions’ endowment assets at the beginning and end of the fiscal year from applicable private not-for-profit FASB institutions and GASB institutions. The panel agreed to use “endowment net assets” instead of “endowment assets”, where applicable, to clarify this section could include endowment liabilities and to add a field to calculate amount of the change in value of endowment net assets. The panel also suggested collcting more detail on the change in the value of endowment assets. The change will have minimal effect on reporting burden for institutions.

CARES funds. In response to the Coronavirus Pandemic, additional guidance has been added to assist data reporters in reporting the CARES funds accurately.

All the Finance component changes are detailed in table A8 below.

Table A8. Changes to the Finance Forms

Change

Implementation year

Source

Estimated burden

GASB institutions only: Revise screening question to add defined benefit pension or postemployment benefits other than pension (OPEB) liabilities:

Does your institution include defined benefit pension or postemployment benefits other than pension (OPEB) liabilities, expenses, and/or deferrals in its General Purpose Financial Statements?

2019-20

GASB Statements 74/75

Minimal increase

GASB institutions only: Split screening question #6 into the following two question:

6. Pension

Does your institution include defined benefit pension liabilities, expenses, and/or deferrals in its General Purpose Financial Statements? (No/Yes)

7. Postemployment Benefits Other than Pension (OPEB)

Does your institution include postemployment benefits other than pension (OPEB) liabilities, expenses, and/or deferrals in its General Purpose Financial Statements? (No/Yes)

2020-21

GASB Statements 74/75

Minimal increase

GASB institutions only: Split Part M into Part M-1. Pension Information and Part M-2. Postemployment Benefits Other than Pension (OPEB) Information.

Part M-1 – Pension Information will collect Current Year Amounts for

  • 01 Pension expense
  • 02 Net pension liability
  • 03 Deferred inflows related to pension
  • 04 Deferred outflows related to pension

Part M-2 – Postemployment Benefits Other than Pension (OPEB) Information will collect Current Year Amounts for

  • 05 OPEB expense
  • 06 Net OPEB liability
  • 07 Deferred inflows related to OPEB
  • 08 Deferred outflows related to OPEB

2019-20

GASB Statements 74/75

Minimal increase

GASB institutions only: In Part M, include new data elements to collect data on pension and postemployment benefits other than pension (OPEB) for:

05 OPEB expense

06 Net OPEB liability

07 Deferred inflows related to OPEB

08 Deferred outflows related to OPEPB

2020-21

GASB Statements 74/75

Minimal increase

Degree-granting institutions only: New screening question to determine where/whether institutions will report intercollegiate athletics revenues:

If your institution participates in intercollegiate athletics, indicate the category where these revenues are included (check all that apply):

       Sales and services of educational activities

       Sales and services of auxiliary enterprises

       Other (explain in context box)

       Does not have intercollegiate athletics revenue

2020-21

TRP on Financial Metrics (October 2018)

Minimal increase

Degree-granting institutions only: Add new screen to collect numerator and denominator for calculating financial health ratios (note: ratios will not be calculated; terminology changed to more accurately reflect existing standards for FASB and for-profit institutions)

GASB /FASB/ For profit

01 Operating income (loss) + net nonoperating revenues (expenses)/ Changes in unrestricted net assets/ Pretax income

02 Operating revenues + nonoperating revenues/ Total unrestricted operating revenues/ Total revenues (preloaded)

03 Change in net position/ Change in net assets (preloaded)/ Total equity (preloaded)

04 Net position/Total net assets (preloaded)/ Total assets (preloaded)

05 Expendable net assets/ Expendable net assets/ Adjusted equity

06 Plant-related debt/ Plant-related debt (preloaded)/ Plant-related debt (preloaded)

07 Total expenses/ Total expenses (preloaded)/ Total expenses (preloaded)

2020-21

TRP on Financial Metrics (October 2018)

Minimal increase

All institutions: Add new screen to collect sources of discounts and allowances

Collect tuition and fees discounts and allowances and auxiliary enterprises discounts and allowances (then calculate a total) for:

01 Pell grants (federal)

02 Other federal grants (Do NOT include FDSL amounts)

03 Grants by state government

04 Grants by local government

05 Endowments and gifts

06 Other institutional sources (calculated value = 07 – (sum of 01 through 05))

07 Total (preloaded into new screen)

2020-21

TRP on Financial Metrics (October 2018)

Moderate increase, especially in year 1

GASB and FASB not-for-profit institutions only: Add fields to collect detail on changes to endowment net assets. This included new data elements added to Part H and rewording:

Rewording of "endowment assets" to "endowment net assets"

Added lines 03-03d to Part H to collect more detail on the change in endowments (see below)

03 Change in value of endowment net assets (calculated value = 02 - 01)

     03a New gifts and additions

     03b Endowment and investment return

     03c Spending distribution use

     03d Other (calculated value 03 – (03a+03b+03c)

2020-21

TRP on Financial Metrics (October 2018)

Moderate increase, especially in year 1

CARES funds: Include the Coronavirus Aid, Relief, and Economic Security (CARES) Act funds to

  • Line 02 – Other federal grants in Part E – Scholarships and Fellowships (GASB reporting institutions) and in Part C – Scholarships and Fellowships (FASB reporting institutions and For-profit institutions).
  • Line 13 – Federal nonoperating grants in Part B – Grants – Nonoperating (GASB reporting institutions).
  • Line 05 – Federal grants and contracts in Part D – Revenues by Source (FASB reporting institutions).
  • Line 2b – Federal grants and contracts in Part D – Revenues by Source (For-profit institutions).

2020-21

NCES initiated

Minimal increase

Fall Enrollment (EF): The changes are NCES initiated in response to needed clarification for data reporters. The changes include the addition of a new FAQ and revision of glossary entries and instructions to better align EF terms with prior OM and 12-month OMB changes.

Table 9. Changes to the EF Form

Change

Implementation year

Source

Estimated burden

Deletion and addition of glossary definitions to align with OM and 12-month OMB Changes:

1. Remove the glossary entry for “non-first-time student (undergraduate)”

2. Remove the glossary entry for “Transfer-in student”

3. Add new glossary entry for “Transfer-in (non-first-time entering) student”

  • Definition: A student entering the reporting institution for the first time but known to have previously attended a postsecondary institution at the same level (e.g., undergraduate, graduate). This includes new students enrolled in the fall term who transferred into the reporting institution the prior summer term. The student may transfer with or without credit. For systems of coordinated institutions (multi-campus system), students are to be identified as transfer-in students upon entering an institution from another institution within the same coordinated system.

4. Add new glossary entry for “Non-first-time entering student (undergraduate)”

  • Definition: A student who has prior postsecondary experience before attending the reporting IPEDS institution. This cohort of students may closely reflect the transfer-in (non-first-time entering) enrollment from Fall Enrollment (EF), 12-month Enrollment (E12) and Outcomes Measures (OM) components.

2020-21

NCES initiated

No change

Rewording the guidance text under Part F – Student-to-Faculty Ratio Worksheet for additional clarity:

Revised text:
“To reduce administrative burden, this worksheet is optional but is designed provided to help you determine your institution's student-to-faculty ratio.

Data entered on this worksheet will NOT be collected or saved. Therefore, please PRINT and SAVE this worksheet if you would like to refer to the ratio calculation for your institution at a later time.”

2020-21

NCES initiated

No change

Added new FAQ to better align EF with OM survey:

Should I report fall-enrolled students as first-time if they were enrolled full-time during the prior summer term?

A: For academic reporters, if fall-enrolled students were first enrolled full-time during the prior summer term that began before June 30 (i.e., the end date for the Outcome Measures (OM) survey cohort year) AND the summer term is considered a full and regular term, do NOT report these students as first-time students on the Fall Enrollment (EF) survey. This will ensure that first-time students are reported in the same academic year in both the EF and OM surveys

2020-21

NCES initiated

No change

Added to EF instructions to help institutions in consortiums understand how to report distance education.

Text added:
“If a student is enrolled at the home institution but takes distance education courses from a consortium member institution, distance education enrollment should be reported at the consortium member institution, not the home institution. If a student is taking distance education courses at BOTH the home institution and a consortium member institution, the student should be reported as enrolled in distance education courses at BOTH institutions.”

2020-21

NCES initiated

No change

Addition and rewording the guidance text under CIP Code Selection sections for additional clarity:

Revised text:
“Indicate which of the following fields of study are offered by your institution. In addition to reporting total undergraduate and graduate fall enrollments every year, in even-numbered years you are to report the subset of enrollments that fall within each of the CIP codes listed below. Fields for which enrollment was reported for Fall 2018 have already been checked; please make sure all listed fields that are offered by your institution are checked. Note: CIP codes listed below may not reflect all fields of study offered by your institution, therefore the subset of enrollments by CIP codes selected may not sum to your institution’s total fall enrollment”

2020-21

NCES initiated

No change

Rewording EF instructions to better align with OM and 12-month survey components:

Reword “Transfer-in” with “Transfer-in (non-first-time entering)”

2020-21

NCES initiated

No change



Definition and Instructions (Cross-cutting). In addition to the changes for specific survey forms, there are some changes to definitions and instructions that will cut across surveys. First, a change to the definition of "dual enrollment" that was suggested by the TRP on Capturing and Clarifying Dual Enrollment Data. Second is the replacement of the term "formal award" with "recognized educational credential" that came out of a discussion by NPEC. Finally, how to handle experimental Pell Grants for reporting purposes will be clarified in the instructions.

Dual enrollment. The expansion of dual enrollment—in terms of location (e.g., high school, college campus, and online delivery), instructor qualification (e.g., high school teacher, college instructor), student eligibility, and funding arrangement—blurs the line between the secondary and postsecondary education sectors. Although growth in dual enrollment has been observed in all sectors of postsecondary institutions, the degree to which IPEDS measures dual enrollment is unclear. The IPEDS collection does not differentiate high school students taking college courses for credit from other students enrolled for credit at the undergraduate level or students who enter with advanced standing (earned college credit or postsecondary award before graduation from high school) from other entering first-time students. Thus, it is likely that dual enrollment affects the data and metrics comparability of IPEDS survey components, which answer questions about student enrollment and progression, institutional revenues and spending, and investment in instructional and staff support.

NPEC commissioned a research paper to examine how the IPEDS collection can capture and clarify dual enrollment data. One finding of this exploratory research indicates that IPEDS definitions and terms related to dual enrollment are unclear and inconsistent with varied institutional practices for measuring the number of high school students taking college courses and first-time-in-college students who took college courses in high school. The IPEDS TRP was convened in March 2018 to discuss Capturing and Clarifying Dual Enrollment Data.

IPEDS currently defines "dual enrollment" as "a program through which high school students may enroll in college courses while still enrolled in high school." The panel discussed limitations of that language, noting the current definition refers to high school students who may enroll in college courses while still enrolled in high school, but it is unclear whether that includes AP and other types of college credits earned through an exam, such as International Baccalaureate. Panelists noted these credits operate like dual enrollment in that students can earn postsecondary credit in high school. A key difference, however, is that high school students do not enroll in postsecondary courses when they participate in exam-based credit but earn credit by passing an exam with a qualifying score. Panelists suggested clarifying that the dual enrollment definition should include enrollment in courses for which postsecondary credit is awarded for successfully completing the course, rather than examples of models where students may earn postsecondary credit through an examination or other means that do not require postsecondary enrollment. Panelists noted that postsecondary coursework at the remedial or developmental level would be considered dual enrollment if the postsecondary institution awards the student credit (as defined by the institution) for successfully completing the course and the postsecondary credit is recorded on the student's college transcript. Given the multiple and varied delivery models available across and within institutions (e.g., traditional seated instruction, distance education, hybrid models), the panel suggested IPEDS clarify that dual enrollment should include courses identified as postsecondary courses, independent of course delivery mode, funding, location, or type of instructor.

The current dual enrollment definition also specifies "while still enrolled in high school." The panel noted this language would exclude students who participate in dual enrollment but do not attend a high school, such as home-schooled students or middle school students. Panelists suggested maintaining the element of duality in the current definition of dual enrollment—high school students enrolled in college courses while still in high school—and expanding it to be more inclusive of students who do not have a high school diploma but are enrolled in secondary education while taking college-credit coursework. The specific change in definition for dual enrollment proposed by the TRP is provide in table A7. The change should not impact reporting burden.

Formal award. IPEDS currently uses the phrase "formal award" across surveys to refer to the certificates or degrees being awarded by an institution. However, there is currently no definition of "formal award" in the IPEDS dictionary and the term does not align with language used by other parts of the U.S. Department of Education or in legislation. Indeed, Federal Student Aid (FSA) uses the term to describe financial aid awarded, not a degree or certificate. NCES raised this inconsistently with NPEC, which discussed how the term could be changed to align with other postsecondary offices and terms defined in legislation. NPEC members noted that FSA uses the phrase "recognized credential" to refer to degrees and certificates in programs eligible to award HEA Title IV federal student aid programs. In addition, the Higher Education Act also makes references to credentials rather than awards. Therefore, NCES proposes globally replacing the phrase "formal award" with "recognized postsecondary credential" across the IPEDS survey components and adding a definition of "recognized postsecondary credential" to the glossary. This change will have no impact on reporting burden. While the definition of recognized postsecondary credential will be similar to the definition in Title IV of the Workforce Innovation and Opportunity Act (WIOA), credentials for programs that are eligible for Title IV are all reported to IPEDS and should continue to be reported to IPEDS.

Experimental sites. Congress authorized the Experimental Sites Initiative under section 487A(b) of the Higher Education Act of 1965, as amended. This Initiative—or "experiments," as they are frequently called—tests the effectiveness of statutory and regulatory flexibility for participating institutions disbursing Title IV student aid. The Department of Education has waived specific statutory or regulatory requirements at the postsecondary institutions, or consortia of institutions, approved to participate in the experiments. By contrasting the results achieved when granted the flexibilities with results under current regulations, without the flexibilities, the Department has data to support changes to regulations and statute. The outcomes of experiments have the potential to benefit all postsecondary institutions and the students they serve. More information about experimental sites can be found at: https://experimentalsites.ed.gov/exp/index.html.

There are two main experiments that can have an impact on IPEDS reporting: (1) the Dual Enrollment Experiment, wherein participating institutions will be provided a waiver of the specific statutory and regulatory provisions that prevent students who are enrolled in secondary school from receiving Federal Pell Grants for enrollment in title IV-eligible postsecondary programs (for more details about the experiment, refer to the October 15, 2015 Federal Register Notice at http://ifap.ed.gov/fregisters/FR101515InvitationtoParticipateintheExperSitesInitiative.html) and (2) the Second Chance Pell Experiment, wherein participating institutions will provide Federal Pell Grant funding to otherwise eligible students who are incarcerated in Federal or State penal institutions (for more details about the experiment, refer to the August 3, 2015 Federal Register Notice at http://ifap.ed.gov/fregisters/FR080315NoticeInvitePostEDInstitutionsToParticipateinUndertheExperimentalSiteInit.html).

NCES has received numerous questions from institutions and has told institutions on a case by case basis to exclude these students from reporting. NCES is including a new general FAQ, impacting all surveys except for Academic Libraries, Finance, and Human Resources, to clarify this for all institutions.

Clock and contact hours. The IPEDS TRP on Subbaccalaureate Certificates suggested that the term "contact hour" was confusing and not generally used in the postsecondary community. The Office of Federal Student Aid (FSA) refers only to clock hours in the Federal Student Aid Handbook. NCES will therefore remove the term "contact hour" from the data collection and use only "clock hour". In addition, NCES will update the definition of clock hour to add detail outlined in 34 CFR 600.2.

Other glossary terms. After a review of the IPEDS glossary, NCES determined that some terms in the glossary needed more clarification or needed to be added. The terms being added include cost of attendance, cohort year, child institution, parent institution, 12-month Enrollment, core expenses, non-first-time entering student (undergraduate), and transfer-in (non-first-time entering) student.

Coronavirus Pandemic and CARES Act: NCES determined that additional guidance was needed for all surveys regrading the coronavirus pandemic and CARES Act. For these changes see Table 10. For reporting requirement specific to each survey, see corresponding tables above.

Table A10. Changes to Definitions and Instructions (Cross-cutting)

Change

Implementation year

Source

Estimated burden

Change definition of "dual enrollment" from "a program through which high school students may enroll in college courses while still enrolled in high school" to the following:

Dual enrollment: Refers to students who enroll in college courses offered by an institution of higher education while enrolled in high school or seeking a recognized equivalent. Student performance is recorded on a college transcript and postsecondary credit is awarded for a passing grade in the course.

·   Includes: All postsecondary courses, independent of course delivery mode, course location, course instructor, whether secondary credit is also offered, and whether the student enrolls through a formal state/local program or enrolls outside a formal state/local program.

·   Excludes: Credit-by-exam models such as Advanced Placement and International Baccalaureate in which the student is not enrolled in a postsecondary institution.

2020-21

TRP on Capturing and Clarifying Dual Enrollment Data (March 2018)

No change

Replace "formal award" with "recognized postsecondary credential" throughout IPEDS forms and add the FAQ and definition below:

FAQ:

Q: What types of credentials should be included in IPEDS?

A: Institutions are required to report all credentials from both Title IV eligible and non-Title IV eligible programs, including all degrees, certificates, and other recognized postsecondary credentials to the IPEDS.

·   Any credential that is received after completion of a program that is eligible for Title IV federal student aid needs to be included in IPEDS reporting.

·   Credentials that are awarded to recognize an individual's attainment of measurable technical or industry/occupational skills necessary to obtain employment or advance within an industry/occupation. (generally based on standards developed or endorsed by employers or industry associations).


Glossary term:

A recognized postsecondary credential includes any credential that is received after completion of a program that is eligible for Title IV federal student aid or that is awarded in recognition of an individual's attainment of measurable technical or industry/occupational skills necessary to obtain employment or advance within an industry/occupation. These technical or industry/occupational skills generally are based on standards developed or endorsed by employers or industry associations.
This definition is drawn from Title IV of the Workforce Innovation and Opportunity Act (WIOA).

2019-20

NCES-initiated with input from NPEC

No change

New FAQ re: Experimental Sites

Should my institution, which is participating as an experimental site, report high school students or incarcerated students who have received a Pell Grant while taking college coursework?

If your institution is participating in the Dual Enrollment experimental site or the Second Chance Pell experimental site program, exclude these students from reporting.

2019-20

NCES initiated – based on calls from institutions

No change

Remove the term "contact hour" and only use the term "clock hour" throughout IPEDS. Update the definition of "clock hour" to the following definition per CFR 34 600.2:

A period of time consisting of (1) A 50- to 60-minute class, lecture, or recitation in a 60-minute period; (2) A 50- to 60-minute faculty-supervised laboratory, shop training, or internship in a 60-minute period; or (3) Sixty minutes of preparation in a correspondence course.

2019-20

TRP on Subbaccalaureate Certificates (March 2017)

No change

Add or modified definitions for cohort year, cost of attendance, child institution, parent institution, 12-month Enrollment, core expenses, non-first-time entering student (undergraduate), and transfer-in (non-first-time entering) student to the glossary.

Cohort year: The year that a cohort of students begins attending college.

Cost of attendance: The amount of tuition and fees, room and board, books and supplies, and other expenses that a full-time, first-time degree/certificate-seeking student can expect to pay to go to college for an academic year. Costs reported by the institutions are those amounts used by the financial aid office to determine a student’s financial need.

Child institution: An institution that has some or all of its data reported by another institution, known as the parent institution.

Parent institution: An institution that reports some or all data for another institution, known as the child institution.

12-month Enrollment: These data were collected in the Enrollment component prior to the 2007 IPEDS collection. Data are collected for the entire 12-month academic year, while enrollment data collected in the Fall Enrollment component are fall data. Institutions report an unduplicated head count for the total number of students by gender, attendance status (full-time, part-time), race/ethnicity, and level (undergraduate, graduate, first-professional), first-time (entering), transfer-in (non-first-time entering), continuing/returning, and degree/certificate-seeking statuses enrolled throughout the reporting period. Students included are those enrolled in any courses leading to a degree or other recognized postsecondary credential, as well as those enrolled in courses that are part of a terminal vocational or occupational program. Institutions also report the total instructional activity for the same 12-month period for both undergraduate and graduate programs. Instructional activity data are reported in units of clock hours or credit hours.

Core expenses: Total expenses for the essential education activities of the institution. Core expenses for public institutions reporting under GASB standards include expenses for instruction, research, public service, academic support, student services, institutional support, operation and maintenance of plant, depreciation, scholarships and fellowships, interest and other operating and nonoperating expenses. Core expenses for FASB (primarily private, not-for-profit and for-profit) institutions include expenses on instruction, research, public service, academic support, student services, institutional support, net grant aid to students, and other expenses. For both FASB and GASB institutions, core expenses exclude expenses for auxiliary enterprises (e.g., bookstores, dormitories), hospitals, and independent operations.

Non-first-time entering student (undergraduate): A student who has prior postsecondary experience before attending the reporting IPEDS institution. This cohort of students may closely reflect the transfer-in (non-first-time entering) enrollment from Fall Enrollment (EF), 12-month Enrollment (E12) and Outcomes Measures (OM) components.

Transfer-in (non-first-time entering): A student entering the reporting institution for the first time but known to have previously attended a postsecondary institution at the same level (e.g., undergraduate, graduate). This includes new students enrolled in the fall term who transferred into the reporting institution the prior summer term. The student may transfer with or without credit. For systems of coordinated institutions (multi-campus system), students are to be identified as transfer-in students upon entering an institution from another institution within the same coordinated system.

2019-20/2020-21

NCES initiated – based on glossary review

No change

Updated instructions regarding coronavirus pandemic and CARES Act in the Overview Section – Data Reporting Reminder

Report data to accurately reflect the time period corresponding with the IPEDS survey component, even if such reporting is seemingly inconsistent with prior-year reporting. For example, if a summer term began later than usual due to coronavirus pandemic postponements, continue to report using the timeframes as defined in the IPEDS instructions. NCES expects that some data reported during the 2020-21 data collection year will vary from established prior trends due to the impacts of the coronavirus pandemic. If an error edit is triggered even when submitting accurate data, please indicate in the corresponding context box or verbally to the Help Desk that the seemingly inconsistent data are accurate and reflect the effects of the coronavirus pandemic.

2020-21

NCES initiated

No change