[Federal Register Volume 61, Number 201 (Wednesday, October 16, 1996)]
[Proposed Rules]
[Pages 54024-54027]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-26413]
[[Page 54023]]
_______________________________________________________________________
Part V
Department of Education
_______________________________________________________________________
34 CFR Part 400, et al.
Vocational and Adult Education Programs; Regulatory Reinvention;
Proposed Rule
Federal Register / Vol. 61, No. 201 / Wednesday, October 16, 1996 /
Proposed Rules
[[Page 54024]]
DEPARTMENT OF EDUCATION
34 CFR Parts 400, 401, 402, 403, 406, 410, 411, 412, 413, 415, 421,
425, 426, 427, 428, 429, 460, 461, 464, 472, 477, 489, 490, and 491
Regulatory Reinvention for Vocational and Adult Education
Programs
AGENCY: Department of Education.
ACTION: Advance notice of proposed rulemaking.
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SUMMARY: The Secretary is giving the public early notice of regulatory
actions the Secretary intends to take regarding the vocational and
adult education programs. This notice solicits public input to help
guide the Department in revising and simplifying regulations and
reducing regulatory burden.
DATES: Comments will be most useful if submitted by November 15, 1996.
ADDRESS: Patricia W. McNeil, Assistant Secretary for Vocational and
Adult Education, U.S. Department of Education, 600 Independence Avenue,
S.W. (Room 4090, Switzer Building), Washington, D.C. 20202-7100.
FOR FURTHER INFORMATION CONTACT: Jon Weintraub, telephone (202) 205-
5602. Individuals who use a telecommunications device for the deaf
(TDD) may call the Federal Information Relay Service (FIRS) at 1-800-
877-8339 between 8 a.m. and 8 p.m., Eastern time, Monday through Friday
except Federal holidays. Internet: jon__weintraub@ed.gov
SUPPLEMENTARY INFORMATION:
Background
The President, on March 4, 1995, announced a Regulatory Reinvention
Initiative to reform the Federal regulatory system. The Initiative
requires all Federal agencies to review their regulations page by page
in an effort to eliminate obsolete regulations, improve or reinvent
regulations, revise regulations to reward results rather than process,
and streamline regulations to achieve agency goals in the most
efficient and least intrusive way possible. Since then, the Department
has been thoroughly reviewing all of its regulations pursuant to the
President's instructions.
As directed by the President, in June of 1995 each Federal agency
submitted a plan to the Director of the Office of Management and Budget
describing the actions it planned to take to eliminate or improve
existing regulations. The Secretary committed to the President to
eliminate or reinvent 1,984 pages of regulations, representing 93
percent of the Department's regulations. As of August 31, 1996, the
Department had eliminated or reinvented 1,827 pages (approximately 92%)
of the regulations the Department is committed to changing. These
numbers include proposed significant statutory changes that, if
enacted, would lead to immediate regulatory elimination or reinvention.
Regulatory review and improvement are occurring Departmentwide. The
Department already instituted a number of reforms that have led to
fewer regulations and better decisions about when to regulate. For
example, the Department's Office of Vocational and Adult Education
identified regulations that were no longer necessary for 20 programs,
eliminating over 80 pages in the Code of Federal Regulations in May
1995 (see 60 FR 27223, May 23, 1995). Efforts in other offices have
resulted in elimination of paperwork burden, increased flexibility, and
fewer regulatory requirements.
Reinvention of Vocational and Adult Education Programs
Comprehensive legislative reform proposals that would have
significantly changed the existing vocational and adult education
programs were not enacted by the 104th Congress. Because these
proposals were not enacted, the Department plans to move forward on its
normal cycle for reviewing the existing regulations governing these
programs.
General Questions
In an initial review of the remaining regulations governing the
adult and vocational education programs, the Secretary has identified
four broad categories of regulatory provisions:
1. Regulations that merely restate statutory language.
2. Obsolete regulations, i.e., those that govern unfunded programs
or contain provisions that no longer have any meaning or effect.
3. Regulations that both restate statutory language and interpret
the statute.
4. Regulations that impose requirements not explicitly required by
statute. The Secretary plans to eliminate regulations that fall into
the first two categories unless the public gives the Secretary reasons
to retain those types of regulations. The Secretary would like input
from the public in deciding how to treat the regulations in the third
and fourth categories. For regulations in the third and fourth
categories that are determined, at the conclusion of the review
process, to be necessary for effective program administration, the
Secretary would maintain, but review and improve them. Examples of all
these types of regulations and specific questions follow in the
sections describing the vocational and adult education programs.
In addition to the specific questions that follow, the Secretary
requests comments on the following general questions:
Are there reasons why the Department should not eliminate
regulations that simply restate the law? If the Department eliminates
these provisions, would it be helpful to explain statutory requirements
and information currently codified in regulations in a guidebook or
other resource?
Would the changes proposed in this notice have any effects
the Department may not have anticipated?
Would the actions described in this advance notice provide
useful regulatory relief?
Are there other ways the Secretary could reduce costs and
burdens associated with these regulations?
Vocational Education Programs
The Carl D. Perkins Vocational and Applied Technology Education
Act, Public Law 101-392, (Perkins Act) authorizes the Department to
fund vocational programs offered in secondary and postsecondary
schools. Under the State Vocational and Applied Technology Education
Program, the Department makes formula grants to States and Outlying
Areas to expand and improve their programs of vocational education and
provide equal access in vocational education to members of special
populations, such as individuals with disabilities or economically
disadvantaged students. In addition, the national programs authorized
by the Perkins Act support research, demonstration, development, and
dissemination activities, with special emphasis on the integration of
academic and vocational education, and development of business and
education standards designed to improve vocational education across the
country. Emphasis is also given to improving access of populations,
such as American Indians and Native Hawaiians, to quality vocational
education programs.
The vocational education programs governed by regulations in Title
34 of the Code of Federal Regulations (CFR) are:
Indian Vocational Education Program (Part 401)
Native Hawaiian Vocational Education Program (Part 402)
[[Page 54025]]
State Vocational and Applied Technology Education Program
(Part 403)
State-Administered Tech-Prep Education Program (Part 406)
Tribally Controlled Postsecondary Vocational Institutions
Program (Part 410)
Vocational Education Research Program (Part 411)
National Network for Curriculum Coordination in Vocational
and Technical Education (Part 412)
National Center or Centers for Research in Vocational
Education (Part 413)
Demonstration Centers for the Training of Dislocated
Workers Program (Part 415)
Business and Education Standards Program (Part 421)
Demonstration Projects for the Integration of Vocational
and Academic Learning Program (Part 425)
Cooperative Demonstration Program (Part 426)
Bilingual Vocational Training Program (Part 427)
Bilingual Vocational Instructor Training Program (Part
428)
Bilingual Vocational Materials, Methods, and Techniques
Program (Part 429)
In addition to reviewing regulations governing specific vocational
education programs, the Secretary is reviewing and may revise the
regulations in 34 CFR Part 400, Vocational and Applied Technology
Education Programs--General Provisions, which apply to all of the
vocational education programs.
Section 563 of the Improving America's Schools Act, however,
restricts the Department from changing any regulations regarding
special populations and local evaluations until the Perkins Act is
reauthorized. Therefore, those regulations are not included in this
effort to review and improve the regulations governing the vocational
education programs.
Examples of Vocational Education Regulations to Eliminate
The Secretary plans to eliminate the regulations described in this
section because they repeat statutory language. Examples include
Sec. 403.61, which restates section 516(c) of the Perkins Act, and
Sec. 403.62, which restates sections 516(b) and (d) of the Perkins Act,
in the State Vocational and Applied Technology Education Program. These
sections describe permissible project services and activities under the
basic grant and the applicable administrative provisions. Another
example of a regulatory provision that the Secretary intends to
eliminate is Sec. 403.70, which restates section 201 of the Act
regarding how a State must use funds to conduct programs, projects,
services, and activities under the State Programs and State Leadership
Activities. An example of a regulatory provision in the-State-
Administered Tech-Prep Education Program that restates statutory
language is Sec. 406.3. This provision repeats the requirements in
section 344 of the Perkins Act, regarding the projects that a State
board assists and how funds must be spent. All of these are examples of
the types of regulations that the Secretary plans to eliminate.
In addition, there are a number of regulatory provisions that
merely restate statutory language, but that consolidate related
requirements from many sections of the Perkins Act in one regulatory
provision for convenience and clarity. For example, Sec. 403.32
consolidates requirements related to the State plan for vocational
education that are imposed by 15 provisions of the Perkins Act. The
Secretary would like input from the public on how to approach
regulations, such as Sec. 403.32, that both restate statutory language
and consolidate related requirements. Are there ways that are as good
or better than regulations for providing the same consolidation and
clarification that would allow the Department to shorten the
regulations and make clear which requirements are statutory? Would it
be useful to retain these types of regulatory provisions?
Moreover, the Department plans to eliminate regulations that
address unfunded programs. For example, the Department would eliminate
Subpart F (Sec. 403.130-Sec. 403.174) of the regulations governing the
State Vocational and Applied Technology Education Program (34 CFR Part
403). Subpart F governs the special programs in Title III of the
Perkins Act which were last funded in fiscal year 1994. Other unfunded
programs for which the Secretary intends to eliminate regulations are
the Bilingual Vocational Training Program (34 CFR Part 427) and
Bilingual Vocational Instructor Training Program (34 CFR Part 428). The
Secretary does not expect to have additional funding for any of these
programs prior to the enactment of new legislation that would authorize
vocational education programs.
The Secretary is considering removing sections governing
requirements or procedures provided for in the Education Department
General Administrative Regulations (EDGAR). For example, Sec. 411.23,
which applies to the Vocational Education Research Program, establishes
procedures for evaluating unsolicited applications. The Secretary is
considering removing Sec. 411.23 and following the procedures for
evaluating unsolicited applications in EDGAR. Using the EDGAR
procedures would create more uniformity for applicants, particularly
for those who apply for a number of Department grants.
Some regulations provide examples that do not impose requirements
on grantees or applicants and, thus, do not need to exist in
regulations. For instance, in the Business and Education Standards
Program, Sec. 421.2(d) provides examples of comparable national
organizations. Also, Appendix B to Part 403 (State Vocational and
Applied Technology Education Program) contains examples of methods by
which a local educational agency can demonstrate its compliance with
certain comparability requirements. Are examples in the regulations
such as these useful? Or would streamlined regulations, with examples
and other information on implementation provided in other easily
accessible formats, be more desirable?
Examples of Vocational Education Regulations to Review and Improve
Some regulations governing vocational education programs interpret
statutory language or add requirements not explicitly required by
statute. For example, in Sec. 403.31(c), which relates to the State
Vocational and Applied Technology Education Program, the Secretary
implements the statutory phrase ``appropriate and sufficient notice''
as required by section 113(a)(2)(B) of the Perkins Act through a
regulatory provision that requires notice ``at least 30 days prior to
the hearings.'' The Secretary is inclined to delete these specific
regulatory requirements that implement general statutory language and
that do not affect significantly the operation of the program. The
Secretary wants to give States greater flexibility to judge whether
notice is appropriate and sufficient. Is the more specific requirement
necessary to protect the public? Should the Secretary remove provisions
such as this one?
Other regulations that interpret the statute or add requirements
were thought to be needed to clarify statutory requirements that could
have been implemented in a wide variety of ways and that were expected
to affect significantly the operation of the program. The Secretary
expects to review and improve these sections while maintaining
appropriate requirements to facilitate program administration. Examples
of these types of regulations are the following
[[Page 54026]]
provisions regarding the Vocational Education Basic Grant Program (34
CFR Part 403): Sec. 403.118 which establishes criteria for approving an
alternative method for determining how a State may distribute funds for
the Postsecondary and Adult Vocational Education Program; Sec. 403.184
which establishes procedures for seeking a waiver of the maintenance-
of-effort requirement; and Sec. 403.180(c)(3) which explains in detail
the procedure for meeting the ``hold-harmless'' requirements in section
102(c) of the Perkins Act. In the State-Administered Tech-Prep
Education Program (34 CFR Part 406), the Secretary would retain
Sec. 406.10(d), which interprets and clarifies the statutory
requirements for applications, and other sections similar to
Sec. 406.10(d). How can the Secretary improve sections such as these?
Should the Secretary make any changes to these regulations?
Adult Education Programs
Programs authorized by the Adult Education Act, Public Law 89-750,
as amended, support and promote services that assist educationally
disadvantaged adults in developing basic skills, including furthering
literacy, achieving certification of high school equivalency, and
learning English. Through the Adult Education State-Administered Basic
Grant Program (34 CFR Part 461), the Department assists State efforts
to provide these services to adults who lack a high school diploma or
the basic skills to function effectively in the workplace and their
daily lives. At the national level, the Department funds applied
research, dissemination, evaluation, technical assistance, and other
activities that show promise of contributing to the improvement and
expansion of adult education. In addition to the Adult Education State-
Administered Basic Grant Program, the adult education programs governed
by regulations in Title 34 of the CFR are:
State Literacy Resource Centers Program (Part 464)
National Workplace Literacy Program (Part 472)
State Program Analysis Assistance and Policy Studies
Program (Part 477)
Functional Literacy for State and Local Prisoners Program
(Part 489)
Life Skills for State and Local Prisoners Program (Part
490)
Adult Education for the Homeless Program (Part 491)
In addition to reviewing regulations governing specific adult
education programs, the Secretary is reviewing and may revise the
regulations in 34 CFR Part 460, Adult Education--General Provisions,
which apply to all of the adult education programs.
Examples of Adult Education Regulations to Eliminate
The Secretary plans to eliminate the regulations described in this
section because they either merely repeat statutory language or are
obsolete.
Under the Adult Education State-Administered Basic Grant Program
(34 CFR Part 461), Sec. 461.2 merely repeats sections 321 and 331(a) of
the Adult Education Act regarding which entities are eligible for an
award; Sec. 461.11 restates sections 342(a)(1)-(2) and (b) of the Adult
Education Act, which specify what a State educational agency (SEA) must
do in formulating a State plan; and Sec. 461.40 repeats the statutory
requirements in sections 323 and 331(c) of the Adult Education Act
regarding administrative costs. Are there reasons to retain these
regulations?
Also, under this program, Sec. 461.3(b)(7) requires that, by July
25, 1993, each SEA develop and implement indicators of program quality.
Because this deadline occurred more than three years ago, and because
SEAs are required by the Adult Education Act to continue using
indicators of program quality, the Secretary plans to eliminate this
requirement.
Examples of Adult Education Regulations to Review and Improve
The Secretary would like input from the public on how to approach
regulations that both restate statutory language and interpret the
statute. Examples of regulations that the Secretary is considering
changing follow in this section of the notice.
Section 461.10 of the Adult Education State-Administered Basic
Grant Program describes the documents that a State must submit to
receive a grant. Many of the requirements included in this provision
are explicitly required by the statute; other explicit statutory
requirements are recast in this regulatory provision as assurances that
a State must provide in its application. This provision also requires
that applicants assure that they will meet certain requirements not
explicitly provided for in the statute. Are there reasons not to
eliminate those portions of the regulation that merely repeat statutory
language, including the assurances based on statutory requirements? How
would it affect SEAs if the Department retained only those parts of the
regulations that set forth requirements beyond those explicitly
provided for in the statute?
Section 461.12 is another example of a regulatory provision that
contains both repetition of statutory language and additional
requirements not explicitly contained in the statute. This section
prescribes the required contents of a State plan and an interpretation
of the statutory ``direct and equitable'' requirement, which the
Department plans to retain. Is there any reason not to eliminate those
portions of the regulation that duplicate the statute?
There are also sections of the regulations that interpret the
statute or add requirements that are not explicitly required by statute
and that were thought to be necessary to administer the program more
effectively. Examples of these types of regulations include the
following: Sec. 460.4 which defines terms such as ``adult basic
education'', ``adult secondary education'', and ``State administrative
costs''; Sec. 461.41(c) which explains what constitutes the non-Federal
share of expenditures under the State plan; and Secs. 461.42-461.45
which provide maintenance of effort definitions and procedures,
including provisions regarding obtaining a waiver of these
requirements. What changes should the Secretary make to improve
sections such as these?
Regulations Regarding Fees For Basic Adult Education
There are several regulations that impose requirements that are not
explicitly required by the statute that the Secretary is reviewing and
considering revising.
One example is Sec. 461.10(b)(7), which requires an SEA to assure
that adults enrolled in adult basic education and English as a second
language (ESL) programs will not be charged tuition, fees, or be
required to purchase any materials that are needed for participation in
the program. The Adult Education Act does not specify any restrictions
regarding charging tuition or fees to students in any adult education
programs. The regulations reflect a longstanding Federal policy to make
adult basic education and ESL programs available free of charge.
Historically, the Department has regarded this type of regulation as
necessary to provide access to education for the many adults who lack
the funds to pay for a basic education.
The reason the Secretary has selected the prohibition on fees as an
example of a regulation that will be reviewed is that some SEAs and
local providers have asked the Secretary to reconsider the prohibition.
Because these parties have suggested that some services might be
reduced unless the prohibition is relaxed or eliminated from the
regulations, the Secretary would particularly like input from the
public
[[Page 54027]]
in deciding what changes, if any, should be made to this section. In
considering whether to revise this section, the Secretary requests that
commenters address the impact of their proposals on needy students.
Commenters should be aware that even if the prohibition were
relaxed or eliminated, certain statutory and regulatory provisions
would remain in place. For example, the statute would still afford a
preference to programs that can recruit and serve educationally
disadvantaged adults in areas in which these adults are highly
concentrated; prohibit the supplanting of Federal funds by State and
local funds; and require State maintenance of non-Federal effort.
Section 76.534 of Title 34 of the CFR would also forbid States to count
tuition and fees collected from students toward meeting matching, cost
sharing, or maintenance of effort requirements.
In considering whether and how to revise the prohibition on
charging fees for adult basic education and ESL programs, the Secretary
is particularly interested in comments on one or more of the following
questions:
Have States investigated whether other non-Federal funds
are available to pay for services that might be reduced?
What fees or other costs would SEAs and local programs
propose to charge students?
Could and would States establish a policy to charge fees
only to those adults who are able to pay?
Would adults be denied access to educational opportunities
if they could not pay the necessary fees?
What effects would fees have on the relationship between
programs funded under the Adult Education Act and those funded under
other Federal Acts, such as the Job Training and Partnership Act?
What effects would fees have on the relationship between
programs funded under the Adult Education Act and the goals of recent
welfare reform legislation--the Personal Responsibility and Work
Opportunity Reconciliation Act of 1996?
Will eliminating this prohibition reduce the number of
economically and educationally disadvantaged adults participating in
adult basic education programs?
If eliminating this provision would create hardship for
participants, should the Secretary take measures to lessen the impact?
For example, the Secretary could establish a cap on the amount of fees
that a State could charge, delay implementation of imposing fees,
gradually permit the charging of fees, or link fees to the amount of a
participant's income?
Invitation to Comment:
Interested persons are invited to submit comments on the
Department's plans to revise the regulations governing the vocational
and adult education programs. After considering the comments received
in response to this advance notice, the Secretary intends to publish
notices of proposed rulemaking with an opportunity for further public
comment before eliminating or implementing any amendments to the
regulations with one exception. For those amendments that the Secretary
believes are non-controversial, such as the elimination of obsolete
regulations, the Secretary intends to publish direct final rules, which
would become effective unless the Department receives any negative
public comment.
Comments will be available for public inspection, during and after
the comment period, in Room 4090, Switzer Building, 330 C Street, S.W.,
Washington, D.C. between the hours of 9:00 a.m. and 4:30 p.m., Monday
through Friday of each week except Federal holidays.
Dated: October 10, 1996.
Patricia W. McNeil,
Assistant Secretary for Vocational and Adult Education.
[FR Doc. 96-26413 Filed 10-15-96; 8:45 am]
BILLING CODE 4000-01-P
