[Federal Register: July 10, 1998 (Volume 63, Number 132)]
[Proposed Rules]
[Page 37465-37474]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr10jy98-24]
[[Page 37465]]
_______________________________________________________________________
Part III
Department of Education
_______________________________________________________________________
34 CFR Part 304
Special Education; Personnel Preparation to Improve Services and
Results for Children With Disabilities; Proposed Rule
[[Page 37466]]
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DEPARTMENT OF EDUCATION
34 CFR Part 304
RIN 1820-AB46
Special Education--Personnel Preparation To Improve Services and
Results for Children with Disabilities
AGENCY: Office of Special Education and Rehabilitative Services of
Special Education Services, Department of Education.
ACTION: Notice of proposed rulemaking.
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SUMMARY: The Secretary proposes to establish regulations governing
specific provisions of the Personnel Preparation Program to Improve
Services and Results for Children with Disabilities. The regulations
are needed to implement recently enacted changes to the Individuals
with Disabilities Education Act (IDEA or the Act) that were adopted as
part of the IDEA Amendments of 1997. Specifically, the regulations
would establish procedures to implement section 673(h) of IDEA which
requires that individuals who receive a scholarship through personnel
preparation projects funded under the Act must subsequently provide
special education and related services to children with disabilities
(or, for leadership personnel, work in areas related to their
preparation) for a period of two years for every year for which
assistance was received. Scholarship recipients who do not satisfy
their service obligation must repay all or part of the cost of their
assistance in accordance with regulations issued by the Secretary.
These proposed regulations would implement requirements governing,
among other things, the service obligation for scholars, oversight by
grantees, repayment (or ``payback'') of scholarship, and procedures for
obtaining deferrals or exemptions from service or repayment
obligations.
DATES: Comments must be received by the Department on or before
September 8, 1998.
ADDRESSES: All comments concerning these proposed regulations should be
addressed to Sherron Dunmore, U.S. Department of Education, 600
Independence Avenue, SW., Room 4628, Switzer Building, Washington, DC
20202-2641. Comments may also be sent through the Internet:
comments@ed.gov
You must include the term ``payback'' in the subject line of your
electronic message.
Comments that concern information collection requirements must be
sent to the Office of Management and Budget at the address listed in
the Paperwork Reduction Act section of this preamble. A copy of those
comments may also be sent to the Department representative named in
this section.
FOR FURTHER INFORMATION CONTACT: Renee Bradley, U.S. Department of
Education, 600 Independence Avenue, Washington, DC 20202-2641.
Telephone: (202) 358-2849. Individuals who use a telecommunications
device for the deaf (TDD) may call the TDD number at (202) 205-9374
between 8 a.m. and 8 p.m., Eastern time, Monday through Friday.
Individuals with disabilities may obtain this document in an
alternate format (e.g., Braille, large print, audiotape, or computer
diskette) on request to the contact person listed in the preceding
paragraph.
Invitation To Comment
Interested persons are invited to submit comments and
recommendations regarding these proposed regulations. All comments
submitted in response to these proposed regulations will be available
for public inspection, during and after the comment period, in Room
3070, Mary E. Switzer Building, 330 C Street SW, Washington DC, between
the hours of 8:30 a.m. and 4:00 p.m., Eastern time, Monday through
Friday of each week except Federal holidays.
On request the Department supplies an appropriate aid, such as a
reader or print magnifier, to an individual with a disability who needs
assistance to review the comments or other documents in the public
rulemaking docket for these proposed regulations. An individual with a
disability who wants to schedule an appointment for this type of aid
may call (202) 205-8113 or (202) 260-9895. An individual who uses a TDD
may call the Federal Information Relay Service at 1-800-877-8339,
between 8 a.m. and 8 p.m., Eastern time, Monday through Friday.
To assist the Department in complying with the specific
requirements of Executive Order 12866 and its overall requirement of
reducing regulatory burden, the Secretary invites comments on whether
there may be further opportunities to reduce any regulatory burdens
found in these proposed regulations.
SUPPLEMENTARY INFORMATION: IDEA personnel training grants are intended
to increase the number and quality of personnel available to provide
special education and related services to children with disabilities,
to provide early intervention services to infants and toddlers with
disabilities, and their families, and to serve in leadership positions
in special education, related, or early intervention services.
Shortages in school districts across the country of qualified personnel
who can address the educational needs of children with disabilities are
well documented. In the past, however, some individuals who received
financial support through IDEA in order to obtain degrees or other
types of certification subsequently entered careers in which they did
not focus on serving children with disabilities under IDEA.
Section 673(h) of the Act was adopted as part of the IDEA
Amendments of 1997 as a means of ensuring that individuals who receive
scholarships under IDEA-supported personnel training projects provide
special education or related services to children with disabilities
under Part B of the Act or early intervention services to infants and
toddlers with disabilities, and their families, under Part C of the
Act. Similarly, individuals who receive scholarships under IDEA
training projects for leadership personnel must work in an area related
to their preparation. Scholarship recipients who choose not to enter
the special education, related service, or early intervention field are
obligated to pay back their scholarship so that IDEA personnel training
monies may be preserved for purposes of increasing the availability of
individuals qualified to provide services under IDEA.
Subpart A--General
As stated in proposed Sec. 304.1, individuals who receive
scholarship assistance from projects funded under the Personnel
Preparation to Improve Services and Results for Children with
Disabilities Program (program) are required to complete a service
obligation, or repay all or part of the costs of such assistance. The
service requirement included in the proposed regulations would apply to
individuals who receive scholarship assistance from a funded project.
Under the proposed regulations, scholarships could be awarded only to
individuals pursuing degrees, licenses, certifications, or endorsements
related to special education, related services, or early intervention
services. An individual who receives training under an IDEA-funded
personnel preparation project, but does not receive a scholarship from
that project, would not be subject to the service obligation or payback
requirements in the proposed regulations.
Proposed Sec. 304.2, which restates section 673(a) of the Act,
identifies the
[[Page 37467]]
program and the purposes for which the program provides financial
assistance.
Proposed Sec. 304.3 would define key terms used in this part of the
regulations.
The definitions of the terms ``related services'' and ``special
education'' would be the same as those used in Part B of the Act, while
the proposed definition of ``early intervention services'' would be the
same as that used in Part C of the Act.
The proposed definition of ``academic year''--a full-time course of
study taken for a period totaling at least nine months or for the
equivalent of at least two semesters, two trimesters, or three
quarters--is based on the standard term typically used in university
settings.
The proposed regulations would require scholars to work full-time
in a special education, related service, or early intervention position
following their training in order to ensure that scholarship recipients
focus on providing services to children with disabilities during the
period in which they are fulfilling their service obligation. The term
``full-time'' would mean a full-time equivalent position as defined by
the individual's employer or by the agencies served by the individual.
The definition is intended to recognize the wide variety of special
education, related service, or early intervention settings in which
scholars might work subsequent to their training. In some instances, it
should be straightforward to determine whether an individual works for
one employer (e.g., a school or school district) in a full-time
equivalent position or works part-time for multiple employers and the
proportion to a full-time equivalent for each position add up to one
full time-equivalent job. In other instances, particularly when a self-
employed individual provides related services to children with
disabilities under Part B, it may be more difficult to determine
whether the individual works on a full-time basis. In that case, full-
time equivalency would be determined by the school district or agency
with which the individual is associated to provide Part B or Part C
services. Questions as to whether an individual's job or jobs meets the
full-time equivalent requirement shall be determined by the grantee
institution from which the individual received his or her scholarship.
Nonetheless, the Secretary is particularly interested in public comment
on the requirement that IDEA scholars provide special education,
related services, or early intervention services on a full-time basis
and seeks suggestions as to how full-time equivalency should be
measured.
The proposed definition of ``scholarship'' is based on the
definition of that term used in other Department of Education programs,
and would include all disbursements or credits for tuition, fees,
student stipends, and books, and for travel in conjunction with
training assignments.
It should be noted that the term ``scholarship'' does not include
funding to support assistantships for graduate students at institutions
of higher education (IHE). Because funding for graduate assistants is
conditioned on the individual performing work for the IHE, the service
obligation in the proposed regulations does not apply to that type of
financial support. Otherwise, the graduate assistants would be required
to perform dual service obligations: work for the IHE during training
and work in the special education field after training. The Secretary
believes that financial support to students enrolled in IDEA personnel
training projects must be used primarily for scholarship recipients who
will be subject to the service obligation under the Act. Thus, in order
to maximize funds available for scholars who must work in the special
education, related service, or early intervention field, funding for
graduate assistants is not considered ``scholarship'' assistance. IHE
grantees that choose to use IDEA funds to pay graduate assistants to
assist in facilitating or administering projects must classify those
funds as personnel costs in their grant applications rather than as
``scholarship'' or ``student support.''
Subpart B--What Conditions Must Be Met by the Grantee?
Section 304.20 reflects the Secretary's intention to announce for
each personnel training grant competition a specific percentage, up to
75 percent, of a grantee's total award that must be used to support
scholarships. In interpreting the IDEA Amendments of 1997, the
Secretary believes that Congress intended that a large portion of IDEA
personnel training funds be used to support scholarships in order to
ensure that a greater number of qualified individuals will serve
children with disabilities under Parts B and C of the Act. The
Secretary shall determine the appropriate percentage of grant funds
that must be set-aside for scholarships based on the type of projects
that will be funded under a given grant competition and on the
Secretary's interest in maximizing the number of scholars who will
subsequently work in special education, related service, or early
intervention jobs. The proposed provision would allow the Secretary to
award grants that use less than the published percentage to pay for
scholarships in light of the unique nature of a particular project. For
example, a project in which IDEA funds support only university training
expenses, while an additional funding source finances student stipends,
may be exempted from the published percentage. The Secretary notes,
however, that because financial support for graduate assistants is not
considered scholarship assistance (see previous discussion), such costs
may not be paid from the minimum percentage of grant funds that must be
used to support scholarships.
Proposed Sec. 304.21 stipulates the types of costs that would be
allowable under program grants. In short, project funds may be used to
support costs that are allowable under 34 CFR 75.530 through 75.562 of
the Education Department General Administrative Regulations (EDGAR) and
to support scholarships (i.e., tuition, fees, student stipends, and
books, and travel in conjunction with training assignments).
Proposed Sec. 304.22 identifies requirements that grantees must
meet in disbursing scholarships. Proposed paragraph (a) would require
grantees to ensure that scholarship recipients satisfy certain
citizenship or residency requirements. Proposed paragraph (b) would
require grantees to limit the individual's scholarship assistance to
the amount by which the cost of attendance at the institution exceeds
the amount of any grant assistance the individual receives under Title
IV of the Higher Education Act. Proposed paragraph (c) would limit
scholarship assistance to an individual's cost of attendance for no
more than four academic years total, with exceptions for extensions
that are consistent with accommodations provided by the grantee under
the Americans with Disabilities Act or Section 504 of the
Rehabilitation Act of 1973.
Proposed Sec. 304.23 lists the assurances that must be provided by
a grantee intending to provide scholarships. Under proposed paragraph
(a), grantees would be required to enter into a written agreement with
each scholar who receives a scholarship through an IDEA-supported
personnel training project. That agreement would specify the terms and
conditions applicable to the scholarship, including the individual's
service obligation and responsibility to pay back the scholarship if
the individual fails to satisfy that obligation.
Proposed paragraph (b) would identify the service obligation
requirements as they apply to
[[Page 37468]]
scholarship recipients under IDEA personnel training grants.
Specifically, the proposed provision, which is based on the service
obligation requirements stated in section 673(h) of the Act, would
require that any individual who receives a scholarship from a training
project that prepares personnel to serve children with low- or high-
incidence disabilities (section 673(b) and (e) of the Act) or, in
appropriate instances as determined by the Secretary, from a training
project of national significance (section 673(d) of the Act) shall
subsequently maintain employment: (1) By providing special education
and related services to children with disabilities or early
intervention services to infants and toddlers, and their families; (2)
on a full-time basis; and (3) for a period of at least two years for
every year for which assistance was received. The service obligation
would apply beginning after the recipient completes his or her training
and would need to be completed within the number of years of required
service (2 years per year of assistance) plus an additional three
years. For example, a scholar who received two academic years of
scholarship support would have to perform four years of service within
seven years from the time the scholar's training ended.
The Secretary has clarified in the proposed regulations that
scholars may fulfill their service obligation by providing early
intervention services under Part C of the Act. Although section 673(h)
of the Act states that individuals must ``provide special education and
related services to children with disabilities'', IDEA clearly
authorizes personnel training projects to prepare personnel to provide
early intervention services to infants and toddlers with disabilities,
and their families. The Secretary believes Congress intended to apply
the service obligation and payback requirements to those who receive
scholarships from early intervention personnel training projects and
that early intervention scholars must be permitted to fulfill their
service obligation by working in the field in which they have been
trained.
The requirements in proposed paragraph (b)(2) are particularly
important to determining whether a former scholar's job would satisfy
the service obligation requirements in the proposed regulations. That
provision would require scholars to fulfill their service obligation by
working in a position or positions ``in which a majority of the persons
to whom the individual provides services are receiving from the
individual special education and related services as defined in Part B
of the Act or early intervention as defined in Part C of the Act.'' In
other words, a majority of a teacher's students, or a majority of a
service provider's caseload, must be children or infants and toddlers
with disabilities. Moreover, the former scholar must actually be
providing special education, related services, or early intervention
services to those individuals. The Secretary considers this requirement
essential in order to ensure that IDEA scholarship monies are used to
alleviate shortages of qualified special education, related service, or
early intervention personnel. The Secretary is concerned that without
this requirement scholars could potentially meet the service obligation
without addressing the needs of children with disabilities in any
measurable way. For example, serving as a regular education teacher in
a class with a sole disabled student, the Secretary believes, is not
the type of placement envisioned under section 673(h) of the statute.
An IDEA-supported scholar is free to choose such a profession, but
would be required to pay back to the Department the amount of
scholarship assistance received. On the other hand, an individual who
teaches regular and special education classes, and a majority of the
teacher's students are receiving special education services from the
teacher, would satisfy the proposed service obligation requirement.
Similarly, a speech-language pathologist who serves both children and
adults with disabilities would satisfy the service obligation provided
a majority of the provider's caseload are special education students
under Part B or infants and toddlers with disabilities under Part C.
Because scholars who enter leadership positions in special
education do not typically serve a classroom or caseload of students,
proposed paragraph (b)(3) would apply a somewhat different standard to
the service obligation for those who receive scholarships from
leadership training projects (section 673(c) of the Act). Such scholars
would be required to work full-time, for a period of at least two years
for each year of assistance, in a position (or positions) in which a
majority of the scholar's time is expended on work related to his or
her training (i.e., special education, related service, or early
intervention leadership). Determinations as to whether a former scholar
in a leadership position meets this time requirement, or whether any
scholar meets applicable service requirements, would be made by the
grantee institution.
Proposed Sec. 304.23(b)(4) would clarify that the service
obligation requirements as applied to part-time scholars will be based
on the accumulated academic years of training for which the scholarship
is received. As an example, the service obligation for a scholarship
recipient enrolled half-time in a training project over four years
would be based on two full academic years of training, meaning that the
individual must work four years (two years of service per year of
assistance) in the special education, related service, or early
intervention field, or pay back the scholarship.
Proposed section Sec. 304.23(c) through (f) would respectively
identify grantee assurances related to: scholarship repayment, the
grantee's standards for measuring a scholar's academic progress, the
grantee's system for tracking compliance with the service obligation
requirements, and the grantee's procedures for notifying scholars in
writing of their service obligation upon their exit from the training
project. A grantee would provide assurances to the Secretary that it
has established policies or procedures to address each of these
requirements, and the remaining requirements in Sec. 304.23, prior to
receiving a training grant under IDEA.
Proposed Sec. 304.23(g) and (h) would identify the requirements
governing maintenance and submission of information related to each
scholarship recipient. Examples include letter form, grantee-developed
forms, electronic communications, and other appropriate forms that
enable grantees to monitor compliance of scholars with the proposed
regulations.
Proposed Sec. 304.23(i) would require grantees to notify the
Secretary at the time an individual has failed to fulfill or has chosen
not to fulfill the applicable service obligation within the time period
specified under paragraph (b)(1)(iii) or (b)(3)(iii) so that the
Secretary may initiate repayment procedures.
The Secretary emphasizes that both the Act and the proposed
regulations hold grantee institutions responsible for ensuring that
scholarship recipients satisfy their service requirements. Accordingly,
the requirements of Sec. 304.23 are those that the Secretary considers
necessary for grantees to monitor the compliance of individual scholars
with their statutory and regulatory obligations.
[[Page 37469]]
Subpart C--What Conditions Must Be Met by the Scholar?
Proposed Sec. 304.30 would specify the requirements that a scholar
must meet in order to receive a scholarship under the program.
Specifically, scholars must: be enrolled in a course of study leading
to a degree, certificate, endorsement, or license related to special
education, related services, or early intervention services
(Sec. 304.30(a)); enter into with the grantee a written agreement
setting forth the service obligation requirements (Sec. 304.30(b));
receive the applicable training at the educational institution or
agency designated in the scholarship (Sec. 304.30(c)); not accept
educational allowances from any other entity if that allowance
conflicts with the individual's obligations under the program
(Sec. 304.30(d)); maintain satisfactory progress toward the relevant
degree, certificate, endorsement, or license (Sec. 304.30(e)); and
provide any information that the grantee needs in order to track the
scholar's progress in meeting the service obligation (Sec. 304.30(f)).
Proposed Sec. 304.31 would identify the circumstances under which a
scholar, who has yet to complete the service obligation, may receive a
deferral or exemption to the repayment requirement.
If a former scholar fails to satisfy the applicable service
obligation, or fails to obtain an authorized deferral or exception, the
scholar must repay the scholarship to the Secretary in accordance with
requirements in proposed Sec. 304.32. Proposed paragraph (a) of this
section would require that the repayment amount be proportional to the
service obligation that the scholar has failed to complete. For
example, if a scholar receives two academic years of scholarship
assistance, teaches special education for two years (rather than the
requisite four), then stops working or changes careers (in a field
unrelated to special education, related service, or early
intervention), the individual would be required to pay back one-half of
the scholarship assistance received.
Proposed Sec. 304.32(b) through (d) would specify the requirements
governing the accrual of interest and assessment of costs that would be
included as part of the individual's payback obligation. Proposed
Sec. 304.32(e) would list the various points at which a scholar enters
repayment status.
Finally, proposed Sec. 304.32(f) would authorize the Secretary to
establish a repayment schedule that a scholar in repayment status must
follow.
Executive Order 12866
1. Potential Costs and Benefits
These proposed regulations have been reviewed in accordance with
Executive Order 12866. Under the terms of the order the Secretary has
assessed the potential costs and benefits of this regulatory action.
The potential costs associated with the proposed regulations are
those resulting from statutory requirements and those determined by the
Secretary as necessary for administering this program effectively and
efficiently. Burdens specifically associated with information
collection requirements are identified and explained elsewhere in this
preamble under the heading Paperwork Reduction Act of 1995.
In assessing the potential costs and benefits--both quantitative
and qualitative--of these proposed regulations, the Secretary has
determined that the benefits of the proposed regulations justify the
costs.
To assist the Department in complying with the specific
requirements of Executive Order 12866, the Secretary invites comment on
whether there may be further opportunities to reduce any potential
costs or increase potential benefits resulting from these proposed
regulations without impeding the effective and efficient administration
of the program.
Summary of Potential Costs and Benefits
The following is an analysis of the costs and benefits of the
proposed regulations that are intended to implement the statutory
changes made by the IDEA Amendments of 1997. Based on this analysis,
the Secretary has concluded that the proposed regulations do not impose
significant costs to grantees under this program. An analysis of the
specific provisions follows:
Proposed Sec. 304.1 describes the purposes of the regulations. The
regulations reflect the essential purpose of the statute, which is to
ensure that individuals who receive scholarship assistance from
projects funded under the Personnel Preparation to Improve Services and
Results for Children with Disabilities Program complete a service
obligation, or repay all or part of the costs of such assistance. Any
and all benefits and costs associated with this statutory requirement
or the proposed regulations flow from this basic requirement. The
primary beneficiaries of this requirement would be children with
disabilities and their families. In order for the Federal government to
justify the expenditure of public funds under this program, certain
procedures and documentation are necessary to ensure that goals of the
program are achieved. Since the primary goal of this program is to
train personnel to provide special education, early intervention, and
related services to children with disabilities, Congress has determined
that individuals who benefit from financial assistance under this
program should return the benefits of that assistance in their field of
training. The primary benefit of these regulations is to establish a
process to implement this requirement.
The cost of this requirement will be borne by the Federal
government, by grantees who administer scholarship programs, and by
individuals who receive scholarships from those grantees.
The costs to grantees will be in establishing written agreements
with scholars before awarding scholarships, establishing and
maintaining information systems for tracking the academic progress of
scholars during training and tracking the progress of scholars in
meeting their service obligations following training, and in reporting
to the Secretary when a scholar fails to fulfill the service
obligation.
The costs to individual scholarship recipients will be in
satisfying the service obligation following training, providing
information to the grantee until completion of the service obligation,
and in repaying scholarship assistance if the scholar fails to fulfill
the service obligation.
Specific estimates of the costs associated with the regulations
affecting each of these parties is provided below. One person hour is
assumed to cost $15.00 on average.
Proposed Sec. 304.2 identifies the program and the purposes for
which the program provides financial assistance and has no costs
associated with it.
Proposed Sec. 304.3 provides definitions of key terms and has no
costs associated with it.
Proposed Sec. 304.20 provides information about how the Secretary
will set parameters on the proportion of grant funds that must be used
for scholarship assistance. Proposed Sec. 304.21 identifies allowable
costs under grants. No particular benefits or costs are associated with
these provisions.
Proposed Sec. 304.22 includes requirements that grantees must meet
in disbursing scholarships, including determining the status of
citizenship and eligibility of a scholar for Federal assistance. The
regulations would specify citizenship or resident criteria
[[Page 37470]]
for receiving scholarship assistance. An estimated 1,000 person-hours
per year would be required, at an estimated cost of $15,000 per year
for all grantees.
Proposed Sec. 304.23 includes assurances that must be provided by a
grantee that intends to provide scholarships. The scholar and the
grantee benefit from this provision which ensures that each has a clear
understanding of each party's responsibilities prior to the awarding of
a scholarship. An estimated 7,500 person-hours per year would be
required, at an estimated cost of $112,500 per year for all grantees.
Proposed Sec. 304.23(b)(3) includes requirements for fulfilling the
service obligation as it relates to individuals trained under section
673(c) of the Act, leadership training. No additional costs are
associated with this provision.
Proposed Sec. 304.23(b)(4) clarifies that the service obligation
requirement as applied to a part-time scholar will be based on the
accumulated academic years of training for which the scholarship is
received. This provision does not impose costs on grantees or scholars.
Proposed Sec. 304.23(c) through (f) include provisions relating to
repayment of all or part of any scholarship received in the event that
the service obligation is not fulfilled. The Federal agency must
collect repayment of scholarship funds from a scholar who fails to meet
the service obligation. Grantees must establish policies and
procedures, including a tracking system, to determine the compliance of
scholars with the terms of the agreement the scholars entered with the
grantee. This one-time cost will vary considerably depending on
existing data systems at grantee institutions. An estimated 12,500
person-hours per year would be required, at an estimated cost of
$187,500 per year for all grantees. Grantees must establish policies
and procedures for receiving written exit certification from scholars
that identifies, among other things, the number of years the scholar
needs to work to fulfill the service obligation. An estimated 10,000
person-hours per year would be required, at an estimated cost of
$150,000 per year for all grantees.
Proposed Sec. 304.23(g) and (h) require the grantee to provide
necessary information on a scholar, upon request of the Secretary, and
to maintain such information for a period of time equal to the time
required to fulfill the service obligation. An estimated 100,000
person-hours per year would be required, at an estimated cost of
$1,500,000 per year for all grantees.
Under Sec. 304.23(i), the grantee must inform the Secretary if a
scholar fails to fulfill the service obligation. Starting in the fourth
or fifth year of the program, an estimated 1,500 person-hours per year
would be required for an approximation of 75 cases per year, at an
estimated cost of $22,500 in staff time and correspondence for all
grantees.
Proposed Sec. 304.30(a) through (f) require that a scholar: be
enrolled in a course of study leading to a degree, certificate,
endorsement, or license related to special education, related services,
or early intervention services; enter into a written agreement with the
grantee before starting training; and be trained at the educational
institution or agency designated in the scholarship. These decisions
are made by scholars in advance of accepting scholarship assistance and
are conditions for receiving such assistance. Therefore no costs are
associated with the requirements under this provision.
Proposed Sec. 304.31 would provide procedures whereby a scholar
could request a deferral or exception to performance of the service
obligation or repayment. The costs associated with this requirement
would be negligible.
Proposed Sec. 304.32(a) through (d) delineate the monetary payback
provisions that would apply if a scholar failed to meet the terms and
conditions of a scholarship agreement or to obtain a deferral or an
exception to performance or repayment. There are no additional costs
associated with these provisions.
Proposed Sec. 304.32(e) specifies when a scholar enters repayment
status. Proposed Sec. 304.32(f) requires the scholar to make payments
to the Secretary that cover principal, interest, and collection costs
according to a schedule established by the Secretary. There are no
additional costs associated with these provisions.
2. Clarity of the Regulations
Executive Order 12866 requires each agency to write regulations
that are easy to understand.
The Secretary invites comments on how to make these proposed
regulations easier to understand, including answers to questions such
as the following: (1) Are the requirements in the proposed regulations
clearly stated? (2) Do the proposed regulations contain technical terms
or other wording that interferes with their clarity? (3) Does the
format of the proposed regulations (grouping and order of sections, use
of headings, paragraphing, etc.) aid or reduce their clarity? Would the
proposed regulations be easier to understand if they were divided into
more (but shorter) sections? (A ``section'' is preceded by the symbol
``Sec. '' and a numbered heading; for example, Sec. 304.23 What
assurances must be provided by a grantee that intends to provide
scholarships? (4) Is the description of the proposed regulations in the
Supplementary Information section of this preamble helpful in
understanding the proposed regulations? How could this description be
more helpful in making the proposed regulations easier to understand?
(5) What else could the Department do to make the proposed regulations
easier to understand?
A copy of any comments that concern how the Department could make
these proposed regulations easier to understand should be sent to
Stanley M. Cohen, Regulations Quality Officer, U.S. Department of
Education, 600 Independence Avenue, SW. (room 5121, FB-10B),
Washington, DC 20202-2241.
Regulatory Flexibility Act Certification
The Secretary certifies that these regulations would not have a
significant economic impact on a substantial number of small entities.
The entities that would be affected by these proposed regulations are
institutions of higher education that participate in programs under
Part D of IDEA. These institutions are defined as ``small entities,''
according to the U.S. Small Business Administration Size Standards, if
they are for-profit or nonprofit institutions with total annual revenue
below $5,000,000 or if they are institutions controlled by governmental
entities with populations below 50,000. These proposed regulations
impose minimal requirements to implement the statutory provisions and
would not have a significant economic impact on the small entities
affected.
Paperwork Reduction Act of 1995
Sections 304.22, 304.23, 304.30, 304.31, and 304.32 contain
information collection requirements. As required by the Paperwork
Reduction Act of 1995 (44 U.S.C. 3507(d)), the Department of Education
has submitted a copy of these sections to the Office of Management and
Budget (OMB) for its review. The Secretary notes that each grantee has
the discretion to determine the method(s) by which it will collect and
maintain information.
Collection of Information: Special Education--Personnel Preparation
To Improve Services and Results for Children With Disabilities
Annual reporting and record keeping burden for this collection of
information is estimated to average 285 hours per
[[Page 37471]]
year per grantee, or 142,500 hours for 500 grantees. The burden for
scholars is approximately 1.3 hours per year for each scholar, or a
total of 10,000 hours for a projected 7,500 scholars per year. These
estimates include the time for reviewing instructions, searching
existing data sources, gathering and maintaining the data needed, and
completing and reviewing the various collections of information. Thus,
the total annual reporting and record keeping burden for this
collection at the full operation of the program is estimated to be
157,500 hours.
Organizations and individuals desiring to submit comments on the
information collection requirements should direct them to the Office of
Information and Regulatory Affairs, OMB, room 10235, New Executive
Office Building, Washington, DC 20503; Attention: Desk Officer for U.S.
Department of Education.
The Department considers comments by the public on this proposed
collection of information in--
* Evaluating whether the proposed collection of information
is necessary for the proper performance of the functions of the
Department, including whether the information will have practical use;
* Evaluating the accuracy of the Department's estimate of
the burden of the proposed collections of information, including the
validity of the methodology and assumptions used;
* Enhancing the quality, usefulness, and clarity of the
information to be collected; and
* Minimizing the burden of the collection of information on
those who are to respond, including through the use of appropriate
automated, electronic, mechanical, or other technological collection
techniques or other forms of information technology; e.g., permitting
electronic submission of responses.
OMB is required to make a decision concerning the collections of
information contained in these proposed regulations between 30 and 60
days after publication of this document in the Federal Register.
Therefore, a comment to OMB is best assured of having its full effect
if OMB receives it within 30 days of publication. This does not affect
the deadline for the public to comment to the Department on the
proposed regulations.
Intergovernmental Review
This program is subject to the requirements of Executive Order
12372 and the regulations in 34 CFR part 79. The objective of the
Executive order is to foster an intergovernmental partnership and a
strengthened federalism by relying on processes developed by State and
local governments for coordination and review of proposed Federal
financial assistance.
In accordance with the order, this document is intended to provide
early notification of the Department's specific plans and actions for
this program.
Assessment of Educational Impact
The Secretary particularly requests comments on whether the
proposed regulations in this document would require transmission of
information that is being gathered by or is available from any other
agency or authority of the United States.
Electronic Access to This Document
Anyone may view this document, as well as all other Department of
Education documents published in the Federal Register, in text or
portable document format (pdf) on the World Wide Web at either of the
following sites:
http://ocfo.ed.gov/fedreg.htm
http://www.ed.gov/news.html
To use the pdf you must have the Adobe Acrobat Reader Program with
Search, which is available free at either of the previous sites. If you
have questions about using the pdf, call the U.S. Government Printing
Office at (202) 512-1530 or, toll free at 1-888-293-6498.
Anyone may also view these documents in text copy only on an
electronic bulletin board of the Department. Telephone: (202) 219-1511
or, toll free, 1-800-222-4922. The documents are located under Option
G--Files/Announcements, Bulletins and Press Releases.
Note: The official version of this document is the document
published in the Federal Register.
List of Subjects in 34 CFR Part 304
Grant programs--children with disabilities, special education,
Personnel preparation, Reporting and record keeping requirements.
Dated: June 24, 1998.
Judith E. Heumann,
Assistant Secretary for Special Education and Rehabilitative Services.
(Catalog of Federal Domestic Assistance Number 84.325, Special
Education--Personnel Preparation to Improve Services and Results for
Children with Disabilities)
The Secretary proposes to amend title 34 of the Code of Federal
Regulations by revising Part 304 to read as follows:
PART 304--SPECIAL EDUCATION--PERSONNEL PREPARATION TO IMPROVE
SERVICES AND RESULTS FOR CHILDREN WITH DISABILITIES
Subpart A--General
Sec.
304.1 Purpose.
304.2 What is the Special Education--Personnel Preparation to
Improve Services and Results for Children with Disabilities Program?
304.3 What regulations apply to this part?
304.4 What definitions apply?
Subpart B--What Conditions Must Be Met by the Grantee?
304.20 What are the requirements for directing grant funds?
304.21 What are allowable costs?
304.22 What are the requirements for grantees in disbursing
scholarships?
304.23 What assurances must be provided by a grantee that intends
to provide scholarships?
Subpart C--What Conditions Must Be Met by the Scholar?
304.30 What are the requirements for scholars?
304.31 What are the requirements for obtaining a deferral or
exception to performance or repayment under an agreement?
304.32 What are the consequences of a scholar's failure to meet the
terms and conditions of a scholarship agreement?
Authority: (20 U.S.C. 1473).
Subpart A--General
Sec. 304.1 Purpose.
Individuals who receive scholarship assistance from projects funded
under the Special Education--Personnel Preparation to Improve Services
and Results for Children with Disabilities Program are required to
complete a service obligation, or repay all or part of the costs of
such assistance, in accordance with section 673(h) of the Individuals
with Disabilities Education Act and the regulations of this part.
(Authority: 20 U.S.C. 1473(h))
Sec. 304.2 What is the Special Education--Personnel Preparation to
Improve Services and Results for Children With Disabilities Program?
The Special Education--Personnel Preparation to Improve Services
and Results for Children with Disabilities Program (program) provides
financial assistance under section 673 of the Act to--
(a) Help address State-identified needs for qualified personnel in
special education, related services, early intervention, and regular
education, to work with children with disabilities; and
(b) Ensure that those personnel have the skills and knowledge,
derived from
[[Page 37472]]
practices that have been determined, through research and experience,
to be successful, that are needed to serve those children.
(Authority: 20 U.S.C. 1473(a))
Sec. 304.3 What definitions apply to this program?
(a) Definitions in EDGAR. The following terms used in this part are
defined in 34 CFR 77.1:
Applicant
Award
Department
EDGAR
Grantee
Project
Recipient
Secretary
(b) The following definitions apply to this program: Academic year
means a full-time course of study--
(1) Taken for a period totaling at least nine months; or
(2) Taken for the equivalent of at least two semesters, two
trimesters, or three quarters.
Act means the Individuals with Disabilities Education Act, 20
U.S.C. 1400 et seq.
Early intervention services means early intervention services as
defined in section 632(4) of the Act.
Full-time, for purposes of determining whether an individual is
employed full-time in accordance with Sec. 304.23, means a full-time
equivalent position as defined by the individual's employer or by the
agencies served by the individual.
Payback means monetary repayment of scholarship assistance in lieu
of completion of a service obligation.
Related services means related services as defined in section
602(22) of the Act.
Scholar means an individual who is pursuing a degree, license,
endorsement, or certification related to special education, related
services, or early intervention services and who receives scholarship
assistance under this part.
Scholarship means financial assistance to a scholar for training
under the program and includes all disbursements or credits for
tuition, fees, student stipends, and books, and travel in conjunction
with training assignments.
Service obligation means a scholar's employment obligation, as
described in section 673(h) of the Act and Sec. 304.23(b) of this part.
Special education means special education as defined in section
602(25) of the Act.
(Authority: 20 U.S.C. 1473(h))
Sec. 304.4 What regulations apply to this program?
The following regulations apply to this program:
(a) The Education Department General Administrative Regulations
(EDGAR) in the following part of title 34 of the Code of Federal
Regulations:
(1) Part 74 (Administration of Grants to Institutions of Higher
Education, Hospitals, and Nonprofit Organizations).
(2) Part 75 (Direct Grant Programs).
(3) Part 77 (Definitions That Apply to Department Regulations). '
(4) Part 79 (Intergovernmental Review of Department of Education
Programs and Activities).
(5) Part 80 (Uniform Administrative Requirements for Grants and
Cooperative Agreements to State and Local Governments).
(6) Part 81 (General Education Provisions Act--Enforcement).
(7) Part 82 (New Restrictions on Lobbying).
(8) Part 85 (Governmentwide Debarment and Suspension
(Nonprocurement) and Governmentwide Requirements for Drug-Free
Workplace (Grants)).
(9) Part 86 (Drug-Free Schools and Campuses).
(b) The regulations in this part 304.
(Authority: 20 U.S.C. 1473; 20 U.S.C. 3474(a)
Subpart B--What Conditions Must Be Met by the Grantee?
Sec. 304.20 What are the requirements for directing grant funds?
(a) The Secretary shall, as appropriate, identify in a notice
published in the Federal Register, the percentage (up to 75 percent) of
a total award under the program that must be used to support
scholarships as defined in Sec. 304.3.
(b) The Secretary may award grants that use less than the
percentage published under paragraph (a) of this section for
scholarships based upon the unique nature of a project.
(Authority: 20 U.S.C. 1473(h))
Sec. 304.21 What are allowable costs?
In addition to the allowable costs established in the Education
Department General Administrative Regulations in 34 CFR 75.530 through
75.562, the following items are allowable expenditures by projects
funded under the program:
(a) Tuition and fees.
(b) Student stipends and books.
(c) Travel in conjunction with training assignments.
(Authority: 20 U.S.C. 1473(h))
Sec. 304.22 What are the requirements for grantees in disbursing
scholarships?
Before disbursement of scholarship assistance to an individual, a
grantee shall--
(a) Ensure that the scholar--
(1) Is a citizen or national of the United States;
(2) Provides evidence from the U.S. Immigration and Naturalization
Service that he or she--
(i) Is a permanent resident of the United States; or
(ii) Is in the United States for other than a temporary purpose
with the intention of becoming a citizen or permanent resident; or
(3) Has a permanent or lasting--as distinguished from temporary--
principal, actual dwelling place in fact, without regard to intent, in
the Republic of the Marshall Islands, the Federated States of
Micronesia, or Palau (during the period in which those entities are
eligible to receive an award under the program) or the Commonwealth of
the Northern Mariana Islands.
(b) Limit scholarship assistance to the amount by which the
individual's cost of attendance at the institution exceeds the amount
of grant assistance the scholar is to receive for the same academic
year under Title IV of the Higher Education Act;
(c) Limit scholarship assistance to the individual's cost of
attendance at the institution, consistent with paragraph (b), for no
more than a total of four academic years, except that the grantee may
provide an extension consistent with the institution's accommodations
under the Americans with Disabilities Act or Section 504 of the
Rehabilitation Act of 1973, if the grantee determines that an
individual has a disability that seriously affects the completion of
the course of study;
(d) Obtain a Certification of Eligibility for Federal Assistance
from each scholar, as prescribed in 34 CFR 75.60, 75.61, and 75.62.
(Authority: 20 U.S.C. 1473)
Sec. 304.23 What assurances must be provided by a grantee that intends
to provide scholarships?
A grantee that intends to grant scholarships under the program
shall provide the following assurances before receiving an award:
(a) Requirement for agreement. Each scholar who will receive a
scholarship will first enter into a written agreement with the grantee
that contains the terms and conditions required by this section.
(b) Terms of the agreement. Each agreement under paragraph (a) of
this section shall contain, at a minimum, the following provisions:
[[Page 37473]]
(1) Individuals who receive scholarship assistance from projects
funded under section 673(b) and (e), and to the extent determined
appropriate by the Secretary, section 673(d), of the Act will
subsequently maintain employment--
(i) In which the individual provides special education and related
services to children with disabilities or early intervention services
to infants and toddlers, and their families;
(ii) On a full-time basis; and
(iii) For a period of at least two years for every year for which
assistance was received, within a period, beginning after the recipient
completes the training for which the scholarship assistance was
provided, of not more than the sum of the number of years required in
this paragraph and three additional years.
(2) In order to meet the requirements of paragraph (b)(1) of this
section, an individual must be employed in a position in which a
majority of the persons to whom the individual provides services are
receiving from the individual special education and related services as
defined in Part B of the Act or early intervention services as defined
in Part C of the Act.
(3) Individuals who receive scholarship assistance from a
leadership preparation project funded under section 673(c) of the Act
will subsequently maintain employment--
(i) In which the individual expends a majority of his or her time
performing work related to the individual's preparation;
(ii) On a full-time basis; and
(iii) For a period of at least two years for every year for which
assistance was received, within a period, beginning after the recipient
completes the training for which the scholarship assistance was
awarded, of not more than the sum of the number of years required in
this paragraph and three additional years.
(4) The service obligation in this subsection as applied to a part-
time scholar will be based on the accumulated academic years of
training for which the scholarship is received.
(c) Repayment. (1) Subject to the provisions in Sec. 304.31
regarding a deferral or exception, a scholar who does not fulfill the
requirements in paragraph (b)(1) or (b)(3) of this section, as
appropriate, shall repay all or part of any scholarship received, plus
interest.
(2) The amount of the scholarship that has not been retired through
eligible service will constitute a debt owed to the United States
that--
(i) Will be repaid by the scholar in accordance with Sec. 304.32;
and
(ii) May be collected by the Secretary in accordance with 34 CFR
part 30, in the case of the scholar's failure to meet the obligation of
Sec. 304.32.
(d) Standards for satisfactory progress. The grantee shall
establish, notify students of, and apply reasonable standards for
measuring whether a scholar is maintaining satisfactory progress in the
scholar's course of study;
(e) Tracking system. The grantee has established policies and
procedures, including a tracking system, to determine compliance of
scholars with the terms of the written agreement developed under this
section;
(f) Exit certification. The grantee has established policies and
procedures for receiving written certification from scholars at the
time of exit from the program that identifies--
(1) The number of years the scholar needs to work to satisfy the
work requirements in paragraph (b) of this section.
(2) The total amount of scholarship assistance received subject to
the work-or-repay provision in paragraph (b) of this section.
(3) The time period, consistent with paragraphs (b)(1)(iii) or
(b)(3)(iii) of this section, during which the scholar must satisfy the
work requirements in paragraph (b) of this section.
(4) All other obligations of the scholar under this section.
(g) Information. The grantee shall provide, upon request of the
Secretary, information, including records maintained under paragraphs
(e) and (f) of this section, that is necessary to carry out the
Secretary's functions under this part.
(h) Records. The grantee shall maintain the information under this
section related to a scholar for a period of time equal to the time
required to fulfill the obligation under paragraph (b) of this section.
(i) Notification. The grantee shall inform the Secretary if a
scholar fails to fulfill or chooses not to fulfill the obligation under
paragraph (b)(1) or (b)(3) of this section.
(Authority: 20 U.S.C. 1473(h))
Subpart C--What Conditions Must be met by the Scholar?
Sec. 304.30 What are the requirements for scholars?
A scholar shall--
(a) Be enrolled in a course of study leading to a degree,
certificate, endorsement, or license related to special education,
related services, or early intervention services in order to be
eligible to receive a scholarship under the program;
(b) Enter into a written agreement with the grantee that meets the
terms and conditions of Sec. 304.23 of this part before starting
training;
(c) Receive the training at the educational institution or agency
designated in the scholarship;
(d) Not accept payment of educational allowances from any other
entity if that allowance conflicts with the scholar's obligation under
this part; and
(e) Maintain satisfactory progress toward the degree, certificate,
endorsement, or license as determined by the grantee.
(f) Provide information necessary for the grantee to track the
scholar's progress in meeting the service obligation under
Sec. 304.23(b).
(Authority: 20 U.S.C. 1473(h))
Sec. 304.31 What are the requirements for obtaining a deferral or
exception to performance or repayment under an agreement?
(a) An exception to the repayment requirement in Sec. 304.23(c) may
be granted, in whole or part, if the scholar--
(1) Is unable to continue the course of study or perform the
service obligation because of a disability that is expected to continue
indefinitely; or
(2) Has died.
(b) Deferral of the repayment requirement in Sec. 304.23(c) may be
granted during the time the scholar--
(1) Is engaging in a full-time course of study at an institution of
higher education;
(2) Is serving, not in excess of three years, on active duty as a
member of the armed services of the United States;
(3) Is serving as a volunteer under the Peace Corps Act;
(4) Is serving as a full-time volunteer under Title I of the
Domestic Volunteer Service Act of 1973;
(5) Has a disability which prevents the individual from working,
for a period not to exceed three years; or
(6) Is unable to secure employment as required by the agreement by
reason of the care provided to a disabled family member for a period
not to exceed 12 months.
(c) Deferrals or exceptions to performance or repayment may be
provided by grantees based upon sufficient evidence to substantiate the
grounds for an exception under paragraph (a) of this section or a
deferral under paragraph (b) of this section.
(Authority: 20 U.S.C. 1473(h))
Sec. 304.32 What are the consequences of a scholar's failure to meet
the terms and conditions of a scholarship agreement?
If a scholar fails to meet the terms and conditions of a
scholarship agreement
[[Page 37474]]
under Sec. 304.23(b) or to obtain a deferral or an exception as
provided in Sec. 304.31, the scholar shall repay all or part of the
scholarship assistance to the Secretary as follows:
(a) Amount. The amount of the scholarship to be repaid is
proportional to the service obligation not completed.
(b) Interest Rate. The Secretary charges the scholar interest on
the unpaid balance owed in accordance with 31 U.S.C. 3717.
(c) Interest accrual. (1) Interest on the unpaid balance accrues
from the date the scholar is determined to have entered repayment
status under paragraph (e) of this section.
(2) Any accrued interest is capitalized at the time the scholar's
repayment schedule is established.
(3) No interest is charged for the period of time during which
repayment has been deferred under Sec. 304.31.
(d) Collection costs. Under the authority of 31 U.S.C. 3717, the
Secretary may impose reasonable collection costs.
(e) Repayment status. A scholar enters repayment status on the
first day of the first calendar month after the earliest of the
following dates, as applicable:
(1) The date the scholar informs the grantee that he or she does
not plan to fulfill the service obligation under the agreement.
(2) Any date when the scholar's failure to begin or maintain
employment makes it impossible for that individual to complete the
service obligation within the number of years required in
Sec. 304.23(b).
(3) Any date on which the scholar discontinues enrollment in the
course of study under Sec. 304.30(a).
(f) Amounts and frequency of payment. The scholar shall make
payments to the Secretary that cover principal, interest, and
collection costs according to a schedule established by the Secretary.
(Authority: 20 U.S.C. 1473(h))
[FR Doc. 98-18303 Filed 7-9-98; 8:45 am]
BILLING CODE 4000-01-P