[Federal Register Volume 59, Number 78 (Friday, April 22, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-9713]
[[Page Unknown]]
[Federal Register: April 22, 1994]
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Part II
Department of Education
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34 CFR Part 641
Faculty Development Fellowship Program; Proposed Rule
DEPARTMENT OF EDUCATION
34 CFR Part 641
RIN 1840-AC04
Faculty Development Fellowship Program
AGENCY: Department of Education.
ACTION: Notice of proposed rulemaking.
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SUMMARY: The Secretary proposes regulations for the Faculty Development
Fellowship (FDF) Program. The FDF Program provides grants to
institutions of higher education, consortia of institutions, and
consortia of institutions and nonprofit organizations to fund
fellowships for individuals from underrepresented minority groups to
enter or continue in the higher education professorate. These
regulations are needed to implement the FDF Program which was enacted
in the Higher Education Amendments of 1992, as amended by the Higher
Education Technical Amendments of 1993. The proposed regulations
incorporate statutory requirements and provide rules for applying for
and spending Federal funds under this program.
DATES: Comments must be received on or before May 23, 1994.
ADDRESSES: All comments concerning these proposed regulations should be
addressed to Karen W. Johnson, U.S. Department of Education, 400
Maryland Avenue, SW., Portals Building, Court Yard Level, suite C-80,
Washington, DC 20202-5251.
A copy of any comments that concern information collection
requirements should also be sent to the Office of Management and Budget
at the address listed in the Paperwork Reduction Act section of this
preamble.
FOR FURTHER INFORMATION CONTACT: Karen W. Johnson. Telephone: (202)
260-3209. 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.
SUPPLEMENTARY INFORMATION: These proposed regulations would implement
the Faculty Development Fellowship Program, which is authorized by
Title IX, Part E of the Higher Education Act of 1965 (HEA), as amended
by the Higher Education Amendments of 1992, Public Law 102-325 (1992
Amendments), and the Higher Education Technical Amendments of 1993,
Public Law 103-208.
The Faculty Development Fellowship Program supports the National
Education Goals. Specifically, this program furthers Goal 6, which
provides that by the year 2000, that every adult American will be
literate and will possess the knowledge and skills necessary to compete
in a global economy and exercise the rights and responsibilities of
citizenship. This program furthers this Goal by providing grant funds
to allow prospective faculty members to obtain doctoral degrees that
will allow them to enter the higher education professorate, and
experienced faculty members to engage in doctoral study or participate
in professional development programs that will enhance their skills and
careers.
Summary of Major Provisions
The following is a summary of the major regulatory provisions for
the Faculty Development Fellowship Program. The summary distinguishes
between regulatory provisions that: (1) Incorporate statutory
requirements and (2) other regulatory provisions. The other regulatory
provisions contain interpretations of statutory text or provide
standards and procedures for the program that are not stated in the
statutory text. Commenters are requested to direct their comments to
the other regulatory provisions.
Section 641.1 What is the Faculty Development Fellowship Program?
The FDF Program provides grants to institutions of higher
education, consortia of institutions, and consortia of institutions and
nonprofit organizations to fund fellowships for individuals from
underrepresented minority groups to enter or continue in the higher
education professorate.
The Secretary proposes to award three types of fellowships under
the FDF program: prospective faculty development fellowships;
experienced faculty development fellowships; and faculty professional
development fellowships. Prospective faculty development fellowships
would be awarded to talented baccalaureate degree recipients from
underrepresented minority groups who have financial need and who wish
to obtain a doctoral degree and enter the higher education
professorate. Experienced faculty development fellowships would be
awarded to talented faculty from underrepresented minority groups who
wish to continue in the higher education professorate and obtain a
doctoral degree. Faculty professional development fellowships would be
awarded to talented faculty from underrepresented minority groups who
wish to participate in short-term development programs, including
seminars, conferences, and workshops, specifically designed to enhance
their skills and careers. These types of fellowships would not be
awarded for study leading to a doctoral degree. The Secretary believes
that these fellowships should not duplicate the purposes of the
doctoral study fellowships funded under this program.
Section 641.2 Who is Eligible for a Grant To Fund Prospective and
Experienced Faculty Development Fellowships?
The Secretary proposes to award grants for prospective and
experienced faculty development fellowships to the following: (1) An
institution with a demonstrated record of enhancing the access to
graduate education of individuals from underrepresented minority
groups; (2) a consortium of institutions with a demonstrated record of
enhancing the access to graduate education of individuals from
underrepresented minority groups; or (3) a consortium of nonprofit
organizations and institutions with a demonstrated record of enhancing
the access to graduate education of individuals from underrepresented
minority groups. Section 951(a) of the HEA requires the Secretary to
award grants only to institutions or consortia that have a
``demonstrated record of enhancing the access'' of individuals from
underrepresented minority groups. The Secretary would consider a
consortium as having a demonstrated record of enhancing the access to
graduate education of individuals from underrepresented minority groups
if each institution in the consortium that intends to offer a program
of doctoral study has a demonstrated record of enhancing the access to
graduate education of individuals from underrepresented minority
groups.
An institution that intends to offer a program of doctoral study
would have a demonstrated record of enhancing access to graduate
education for individuals from underrepresented minority groups if it
provides evidence of the following: (1) A social and academic
environment that is supportive of the academic success of students and
faculty who are members of underrepresented minority groups; (2)
procedures to identify, recruit, and enhance the access of individuals
from underrepresented minority groups to graduate education; (3) a
successful record of completion of doctoral degree programs by
individuals from underrepresented minority groups; and (4) a successful
record of assisting individuals from underrepresented minority groups
who receive doctoral degrees to enter the higher education
professorate. The Secretary believes that this interpretation fulfills
the purposes of the program and congressional intent.
Finally, section 901(b)(3) of the HEA provides that no fellowship
shall be awarded under Title IX of the HEA for study at a school or
department of divinity. The Secretary has implemented this requirement
in proposed Sec. 641.2(d).
Section 641.3 Who is Eligible for a Grant To Fund Faculty Professional
Development Fellowships?
The Secretary proposes to award grants for faculty professional
development fellowships to the following: (1) An institution with a
demonstrated record of enhancing the professional development of
faculty from underrepresented minority groups; (2) a consortium of
institutions with a demonstrated record of enhancing the professional
development of faculty from underrepresented minority groups; or (3) a
consortium of nonprofit organizations and institutions with a
demonstrated record of enhancing the professional development of
faculty from underrepresented minority groups. The Secretary would
consider a consortium as having a demonstrated record of enhancing the
professional development of faculty from underrepresented minority
groups if each institution and nonprofit organization in the consortium
that intends to offer a professional development program has a
demonstrated record of enhancing the professional development of
faculty from underrepresented minority groups.
An institution or nonprofit organization that intends to offer a
professional development program would have a demonstrated record of
enhancing the professional development of faculty from underrepresented
minority groups if it provides evidence that it has policies or
procedures for assisting faculty from underrepresented minority groups
to participate in professional development programs. This would
include, but not be limited to, evidence of the following: (1) An
academic environment that is responsive to advancing the careers of
underrepresented minorities; (2) programs that have been designed to
provide opportunities for faculty from underrepresented minority groups
to improve on instructional methodology; and (3) a successful record of
providing opportunities for faculty from underrepresented minority
groups to attend workshops, seminars, and other professional
development activities relating to their academic careers.
Finally, the Secretary would not award a grant to fund a faculty
professional development fellowship for study at a school or department
of divinity. As in Sec. 641.2, this restriction is based on section
901(b)(3) of the HEA.
Section 641.5 What is Included in the Grant?
Each grant to fund prospective and experienced faculty development
fellowships would consist of the stipends paid by the Secretary through
the grantee to fellows. The stipend would provide an allowance to a
fellow for the fellow's (and his or her dependents') subsistence and
other expenses.
Each grant to fund faculty professional development fellowships
would consist of the allowable costs of the fellows' participation in
professional development programs. The allowable costs would include:
(1) Costs of instruction, including fees for materials and supplies;
(2) out-of-town travel expenses, excluding foreign travel; and (3) per
diem expenses for food and lodging during the period of instruction.
Section 641.7 What Definitions Apply?
The Secretary has proposed certain definitions for the FDF program.
These proposed definitions are listed in this section of the
regulations. The Secretary believes that the proposed definitions are
necessary to aid in the understanding of the proposed regulations. The
proposed definitions are based on Departmental expertise, and, in many
cases, mirror definitions used in regulations implementing other
fellowship programs administered by the Department under Title IX of
the HEA.
Section 641.8 What is the Duration of A Project Period?
The maximum duration of a grant to fund prospective or experienced
faculty development fellowships would be 60 months. The Secretary
believes five years is an adequate amount of time for a fellow to
complete graduate study.
The maximum duration of a grant to fund faculty professional
development fellowships would be 36 months. The Secretary believes that
3 years is an adequate amount of time for a fellow to receive the
benefits of the programs offered under these fellowships.
Section 641.10 How Does an Applicant Apply for a Grant To Fund
Prospective and Experienced Faculty Development Fellowships?
To apply for a grant to fund prospective and experienced faculty
development fellowships, an applicant would be required to submit an
application that contains: (1) The applicant's plan for identifying and
recruiting talented and financially needy baccalaureate degree
recipients or talented faculty from underrepresented minority groups
who may participate in the project; (2) a description of the program or
programs of doctoral study for which it will award fellowships; (3) the
applicant's plan for using minority faculty and other faculty as
advisors, mentors, and academic resources in support of the project;
(4) a description of other resources of the applicant, including
tuition waivers, assistantships, or financial aid other than loans,
that the applicant proposes to make available to fellows; and (5) if
the applicant is a consortium, a listing of the names of the
undergraduate institutions that are historically or predominantly black
colleges and universities or other institutions such as Hispanic
serving institutions or tribally controlled colleges with significant
enrollments of individuals from minority groups that have agreed to
cooperate with the applicant to carry out the purposes of the project.
These application requirements are based on section 953(b) of the HEA.
The Secretary has determined that an application need not provide,
under section 953(b)(5) of the HEA, a description of its method of
determining a student's financial need. Section 952 of the HEA requires
the amount of the fellowship to be based on the financial need of the
recipient ``in accordance with measurements of need approved by the
Secretary.'' The Secretary proposes to define financial need to mean
the fellow's financial need as determined under Title IV, Part F, of
the HEA for the period of the fellow's enrollment in the approved field
of doctoral study for which the fellowship was awarded. This definition
is consistent with the manner in which financial need is defined in the
other fellowship programs administered by the Secretary under Title IX
of the HEA. The Secretary does not believe it is necessary to require
applicants to describe their methods of determining a student's
financial need given that there would only be one appropriate way of
determining need under this proposed definition.
The Secretary also proposes to require that the application
contain: (1) If the applicant is a consortium, a signed agreement
listing the names of the other institutions or nonprofit organizations
included in the consortium, and terms of cooperation among the members
of the consortium; (2) if the applicant is applying for a grant to fund
prospective faculty development fellowships, assurances that the
applicant will provide at least one academic term of supervised
training in instruction to each fellow during the period of the
fellowship, or, if the applicant is applying for a grant to fund
experienced faculty development fellowships, assurances that the
applicant will provide an opportunity for each fellow to improve his or
her instructional methods; (3) assurances that the applicant will
ensure that fellows are making satisfactory progress in, and devoting
full time to, the doctoral study program in which they are enrolled;
and (4) evidence that each institution that plans to offer a program of
doctoral study to fellows has a demonstrated record of enhancing the
access to graduate education of individuals from underrepresented
minority groups.
In addition to the statutory and regulatory application
requirements set out above, the Secretary would require that an
application respond to the selection criteria in Sec. 641.21. These
additional application requirements are proposed under the authority of
section 953(b) of the HEA which authorizes the Secretary to require by
regulations other assurances and information in an application. The
Secretary believes that the additional application requirements are
necessary for the proper administration of these fellowships.
Section 641.11 How Does an Applicant Apply for a Grant To Fund Faculty
Professional Development Fellowships?
To apply for a grant to fund faculty professional development
fellowships, an applicant would be required to submit an application
that responds to the selection criteria in Sec. 641.22. In addition,
the Secretary would require an application to contain: (1) The
applicant's plan for identifying and recruiting talented faculty from
underrepresented minority groups who wish to participate in
professional development programs specifically designed to advance
their careers; (2) a description of the program or programs of
professional development the applicant plans to offer, and the ways in
which the program or programs are specifically designed to advance the
careers of faculty from underrepresented minority groups; (3) the
applicant's plan for using minority and other faculty as advisors,
mentors, and academic resources in support of the project; (4) a
description of other resources of the applicant that the applicant
shall make available to fellows; (5) if the applicant is a consortium,
a signed agreement listing the names of the undergraduate institutions
that are historically or predominantly black colleges and universities
or other institutions such as Hispanic serving institutions or tribally
controlled colleges with significant enrollments of individuals from
minority groups that have agreed to cooperate to carry out the purposes
of the project, names of the other institutions or nonprofit
organizations included in the consortium, and the details of the terms
of cooperation among the members of the consortium; and (6) evidence
that each institution or nonprofit organization that plans to offer a
faculty professional development program has a demonstrated record of
enhancing the professional development of faculty from underrepresented
minority groups.
The Secretary believes that many of the requirements in section
953(b) of the HEA are applicable only to doctoral study programs and
are not appropriate for faculty professional development fellowships.
The Secretary proposes application requirements for faculty
professional development fellowships pursuant to the authority in
section 953(a) of the HEA. The Secretary believes that the additional
application requirements are necessary for the proper administration of
these fellowships.
Section 641.20 How Does the Secretary Evaluate an Application?
Section 641.21 What Selection Criteria Does the Secretary Use To
Evaluate an Application for a Grant To Fund Prospective or Experienced
Faculty Development Fellowships?
Section 641.22 What Selection Criteria Does the Secretary Use To
Evaluate an Application for a Grant To Fund Faculty Professional
Development Fellowships?
The Secretary has proposed a process for evaluating applications
and the selection criteria to be used in selecting grantees for the
fellowships awarded under the FDF Program. The proposed evaluation
process and selection criteria are listed in these sections of the
regulations. The proposed selection criteria will enable the Secretary
to select projects that best serve fellows and carry out the purposes
of this program.
Section 641.23 What Additional Factors Does the Secretary Consider?
Section 951(b) of the HEA provides that, in awarding grants, the
Secretary shall ensure: (1) An equitable geographic distribution of
grants; and (2) that both public and private institutions are fairly
represented among grantees. The Secretary implements these two
requirements in Sec. 641.23 of the proposed regulations.
In addition, the Secretary proposes to ensure an equitable
distribution of fellowships among underrepresented minority groups. The
Secretary believes that this is necessary to ensure that members of all
underrepresented minority groups participate in and benefit from the
fellowship program.
Section 641.24 What Priorities Does the Secretary Establish for Grants
To Fund Prospective Faculty Development and Experienced Faculty
Development Fellowships?
In awarding grants to fund prospective and experienced faculty
development fellowships, the Secretary proposes to award three
additional points to applicants whose applications describe projects
that: (1) Provide each fellow a tuition waiver; and a minimum $2,000 in
support beyond the stipend received by each fellow or additional
financial support in conjunction with teaching or research activities
that are part of the fellow's doctoral program; (2) provide additional
financial support to each fellow from non-Federal resources, either in
cash or in-kind, such as contributions from the business community and
civic organizations; (3) emphasize courses of study leading to the
doctoral degree in disciplines where minorities are underrepresented;
and (4) describe steps to ensure that a fellow will teach at an
institution where minority undergraduate students are likely to benefit
from the educational experience and academic achievement of the fellow.
An applicant must meet each of the four requirements to be eligible for
the additional points. This priority is required by section 951(e) of
the HEA.
The Secretary may waive all or any portion of the first
requirement, that an applicant provide each fellow a tuition waiver and
a minimum $2,000 in support beyond the stipend received by each fellow
or additional financial support in conjunction with teaching or
research activities that are part of the fellow's doctoral program,
upon the request of any institution that has been designated as an
eligible institution under Title III of the HEA in the year in which
the institution, or the consortium of which the institution is a
member, is applying for a grant under this program. In the case of a
consortium, the waiver would only apply to the eligible Title III
institutions and not to any other member of the consortium. To meet
this priority, the Title III institution still would be required to
satisfy the second, third, and fourth requirements of the priority even
if the first requirement is waived.
The waiver authority is based on section 951(d) of the HEA. Section
951(d) of the HEA authorizes the Secretary to waive all or any portion
of the requirements in ``subsection (b)'' upon request of a Title III
institution. The Secretary believes that this cross-reference to the
geographic distribution requirements in section 951(b) of the HEA was a
legislative drafting error. The Secretary believes section 951(d) was
intended to authorize the waiver of the priority in section 951(e)(1)
of the HEA. The conference report accompanying the Higher Education
Amendments of 1992 clearly states that the provision in the House
version of the bill regarding the waiver for Title III institutions
were incorporated into the bill that was enacted into law. The House
bill authorized the Secretary to waive the requirement under section
973(b)(1) of the House bill for eligible Title III institutions. This
section of the House bill required institutions to provide a tuition
waiver and a minimum of $2,000 in stipend support for fellows. The
Secretary proposes also to interpret the waiver as applicable to the
requirements in section 951(e)(1)(B)(ii), that an applicant provide
additional financial support in conjunction with teaching or research
activities that are part of the fellow's doctoral program. The statute
gives priority to applicants to provide a tuition waiver and either a
minimum $2,000 in support beyond the stipend received by each fellow or
additional financial support in conjunction with teaching or research
activities that are part of the fellow's doctoral program. The
Secretary believes it would be illogical to allow for a waiver when an
institution selects one option but not allow for a waiver if an
institution selects the other option.
Section 641.25 What Other Priorities Does the Secretary Establish?
The Secretary proposes to retain the discretion to give absolute
priority to applications for grants to fund: (1) Prospective faculty
development fellowships; (2) experienced faculty development
fellowships; (3) faculty professional development fellowships; or (4)
two or more of these categories of fellowships. The Secretary would
annually announce the absolute priority in a notice inviting
applications for this program published in the Federal Register. The
effect of this may mean that only one of these fellowship categories
may be funded in any given year.
Section 641.30 How Does a Grantee Select Fellows?
In selecting individuals to receive fellowships, a grantee would
consider only individuals who meet the eligibility requirements for
each of the three types of fellowships funded under this program and
are: (1) United States citizens or nationals; (2) permanent residents
of the United States; (3) in the United States for other than a
temporary purpose and intending to become citizens or permanent
residents; or (4) permanent residents of the Trust Territory of the
Pacific Islands (Palau). These eligibility requirements mirror those
used in other regulations implementing fellowship programs administered
by the Secretary under Title IX of the HEA.
Section 641.31 How Does an Individual Apply for a Fellowship?
An individual would apply directly to the grantee for a fellowship.
If the grantee is a consortium, one member of the consortium would be
designated as the fiscal agent and act as the representative of the
consortium under 34 CFR 75.129. Individuals would be required to apply
to the designated member of the consortium rather than to the
institution that intends to offer the program of study. The Secretary
believes it is necessary for the fiscal agent to handle all of the
paperwork relating to the project since it is legally responsible for
the actions of the consortium under Sec. 75.129(a).
Section 641.32 What Special Rule Applies to the Distribution of
Fellowships?
Section 951(c)(1) of the HEA provides that each institution or
consortium receiving a grant under the FDF program shall ensure that
during the period of the grant there is an equitable distribution of
fellowships among underrepresented groups. The Secretary proposes to
implement this section for all three types of fellowships by requiring
each grantee to ensure that there is an equitable distribution of
fellowships among underrepresented minority groups.
The Secretary would define equitable distribution differently for
each of the three types of fellowships. In the case of prospective
faculty development fellowships, equitable distribution would mean that
fellowships are distributed in a manner that reflects the
representation of eligible individuals from underrepresented minority
groups applying for prospective faculty development fellowships from
each grantee. For experienced faculty development fellowships, the
Secretary would define equitable distribution to mean the distribution
of fellowships in a manner that reflects the representation of
underrepresented minority groups among eligible non-doctoral degree
bearing faculty applying for experienced faculty development
fellowships at each institution from which fellows are selected. For
faculty professional development fellowships, an equitable distribution
would mean the distribution of fellowships in a manner that reflects
the representation of underrepresented minority groups among the
eligible members of the faculty applying for faculty professional
development fellowships at each institution from which fellows are
selected. Only those individuals who meet the requirements in
Sec. 641.30 are eligible for a fellowship. One of the criteria for
eligibility is that an individual be ``talented.'' Therefore, in
determining the equitable distribution, an institution would not be
required to award fellowships to members of a particular minority group
if the individuals applying for fellowships from that minority group do
not meet each of the eligibility criteria in Sec. 641.30. The Secretary
particularly requests comment on all of the above definitions of
equitable distribution.
Section 951(c)(2) of the HEA, however, provides that an institution
would not be required to grant preference or disparate treatment to the
members of one group because the members of that group are not
receiving fellowships under this program that are in proportion to
their representation in any community, State, section, or other area.
For example, the Secretary interprets this provision to mean that an
institution would not be required to ensure that the number of
fellowships received by the members of one minority group is
proportionate to the representation of that group in the United States.
Section 641.40 What is the Amount of a Stipend Awarded to Prospective
and Experienced Faculty Development Fellows?
Section 952 of the HEA provides that a grantee shall pay a
prospective or experienced faculty development fellow a stipend at a
level of support equal to that provided by the National Science
Foundation graduate fellowships or the fellow's demonstrated level of
financial need, whichever is less. The Secretary implements this
requirement in proposed Sec. 641.40(a). The Secretary would announce
the amount of the maximum stipend awarded to graduate fellowship
recipients in a notice published in the Federal Register.
Section 641.50 How Does a Grantee Disburse and Return Funds for
Prospective and Experienced Faculty Development Fellowships?
The Secretary proposes to require a grantee that receives grant
funds for prospective and experienced faculty development fellowships
to disburse the stipend to the fellow in accordance with the regular
payment schedule of the institution in which the fellow is enrolled,
but not less than one payment per academic term.
If a fellow withdraws from an institution or completes his or her
program of study before the completion of an academic term for which he
or she received a stipend installment, the Secretary would permit a
grantee to award the fellowship for the remainder of the project period
to another individual who satisfies the eligibility requirements for
the fellowship in proposed Sec. 641.30. If a fellowship is vacated and
the grantee does not award the fellowship to another individual, a
grantee would be required to return unexpended stipend funds to the
Secretary, unless the Secretary authorizes the use of those funds for a
subsequent budget period. The institution would also be required to
return the unexpended stipend funds at a time and in a manner
determined by the Secretary. The Secretary could permit the institution
to retain the grant funds for that budget period and reduce the
institution's award for the next budget period by that amount under 34
CFR 75.253(c) or require the immediate return of the grant funds.
Finally, if a fellow withdraws from his or her program of study before
the completion of the academic term for which he or she received a
stipend installment, the fellow would be required to return a prorated
portion of the stipend installment to the institution at a time and in
a manner determined by the Secretary. The Secretary believes that these
requirements are necessary to ensure that fellowship funds are used for
the intended purposes.
Section 641.51 What Training Is a Grantee Required To Provide to
Prospective Faculty Development Fellows?
The Secretary proposes to require each grantee that receives grant
funds for prospective faculty development fellows to provide each
fellow at least one academic term of supervised training. The Secretary
believes that these fellows should be afforded with the opportunity to
improve their teaching skills, in addition to the opportunity to
acquire a doctoral degree. The Secretary proposes to define supervised
training under proposed Sec. 641.7(b) to mean formal and informal
training or instruction in teaching methods followed by the opportunity
for a fellow to teach at the graduate or undergraduate level under the
guidance and direction of senior faculty.
Section 641.52 What Records Are Required From a Grantee That Receives
Grant Funds for Prospective and Experienced Faculty Development
Fellowships?
A grantee that receives a grant to fund prospective and experienced
faculty development fellowships would be required to keep records
necessary to establish the following: (1) That each fellow satisfies
the eligibility requirements for the fellowships in Sec. 641.30; (2)
the time and amount of all disbursements, and return of stipend
payments by the grantee to the Secretary and the fellow to the grantee;
and (3) that assurances provided in its application have been
satisfied.
After the completion of each academic year, a grantee would be
required to provide to the Secretary a certification that the fellow is
enrolled in, is making satisfactory progress in, and is devoting full
time to, the doctoral program in which the fellow is enrolled. A
grantee would be required to provide this certification prior to the
receipt of additional grant funds for disbursement to a fellow. The
Secretary believes that the proposed recordkeeping requirements are
necessary for the proper administration of these fellowships.
Section 641.60 How Does a Grantee Disburse and Return Funds for
Professional Development Fellowships?
A grantee that receives grant funds for professional development
fellowships would be required to disburse grant funds to a faculty
professional development fellow in a timely manner (i.e., in a manner
that ensures that funds are available to cover the allowable costs
necessary to carry out the faculty professional development program).
The Secretary believes that this requirement is necessary to ensure the
proper disbursement of fellowship funds to these fellows.
If a fellow withdraws from a professional development program
before the completion of the program, the Secretary would permit a
grantee to award the fellowship for the remainder of the project period
to another individual who satisfies the eligibility requirements for
the fellowship in Sec. 641.30. If a fellowship is vacated and the
grantee does not award the fellowship to another individual, the
grantee would be required to return unexpended grant funds to the
Secretary, unless the Secretary authorizes the use of those funds for a
subsequent budget period. The institution would also be required to
return the unexpended grant funds at a time and in a manner determined
by the Secretary. As in Sec. 641.50, the Secretary could permit the
institution to retain the grant funds for that budget period and reduce
the institution's award for the next budget period by that amount under
34 CFR 75.253(c) or require the immediate return of the grant funds.
The Secretary believes that these requirements are necessary to ensure
that fellowship funds are used for the purposes intended.
Section 641.61 What Records Are Required From a Grantee That Receives
Funds for Faculty Professional Development Fellowships?
A grantee that receives funds for faculty professional development
fellowships would be required to keep records necessary to establish
the following: (1) That each fellow satisfies the eligibility
requirements for the fellowship in Sec. 641.30; (2) the time and amount
of all disbursements and return of grant funds; and (3) that all grant
funds are used for allowable costs.
Section 641.70 What Agreement Must Be Made by Prospective and
Experienced Faculty Development Fellows?
Each prospective and experienced faculty development fellow would
be required to enter into an agreement with the grantee in which he or
she agrees to complete the requirements for a doctoral degree within
the period in which the fellowship is awarded.
If the fellow is a prospective faculty development fellow, the
fellow would be required to enter into an agreement in which he or she
agrees to teach full time, within five years after completing the
doctoral degree for which the fellowship was awarded, for a period of
not less than one year for each year for which financial assistance
under this program was received, in a public or private nonprofit
institution of higher education. This requirement implements section
954(2) of the HEA.
If the fellow is an experienced faculty development fellow, the
fellow would be required to enter into an agreement in which he or she
agrees, within five years after completing the doctoral degree for
which the fellowship was awarded, to teach full time, for a period of
not less than one year for each year for which financial assistance
under this program was received, in a public or private nonprofit
institution of higher education that has a significant minority
enrollment. This requirement implements section 954(1) of the HEA.
The Secretary would define significant minority enrollment in
proposed Sec. 641.7(b) to mean an undergraduate enrollment of at least
25 percent. The Secretary interprets the phrase ``significant minority
enrollment'' to be the total enrollment of all minorities at an
institution, rather than the enrollment of one particular minority
group. The Secretary particularly solicits comment on this
interpretation.
A prospective or experienced faculty development fellow would be
required to enter into an agreement in which he or she agrees to
annually provide to the Secretary a certification that he or she is in
compliance with the doctoral study and teaching terms of the agreement.
Evidence that a fellow is complying with his or her teaching obligation
would include a certification from the institution at which the fellow
is teaching, stating that the fellow is employed as a full-time
teacher. This requirement would implement section 954(3) of the HEA
requiring a fellow to provide evidence of compliance with the teaching
obligation connected to his or her fellowship.
Finally, a fellow would be required to agree to repay the
fellowship assistance received, in the event that he or she fails to
fulfill the teaching obligation connected to his or her fellowship.
This requirement implements section 954(4) of the HEA. The Secretary
would also require repayment if a fellow fails to receive a doctoral
degree within the period in which the fellowship is awarded. The
purpose of these fellowships is to allow a fellow to acquire a doctoral
degree. Therefore, the Secretary believes that a fellow should be
required to agree to receive a doctoral degree as part of his or her
reciprocal obligation for receiving the fellowship.
Section 641.71 What are the Requirements for a Prospective or
Experienced Faculty Development Fellow To Receive Fellowship Payments?
The grantee would be required to disburse grant funds to each
prospective and experienced faculty development fellow who: (1) Is
selected in accordance with the eligibility criteria established under
proposed Sec. 641.30; (2) signs an agreement under proposed
Sec. 641.70; (3) is enrolled as a full-time student in a program of
doctoral study in an institution of higher education; and (4) is
maintaining satisfactory progress towards a doctoral degree. The
Secretary believes that these requirements are necessary for the proper
administration of the program.
Section 641.72 What Are the Repayment Provisions for Prospective and
Experienced Faculty Development Fellowships?
If a fellow is found to be in noncompliance with the agreement
entered into under proposed Sec. 641.70, the fellow would be required
to: (1) Repay the amount of the grant funds received, prorated
according to the fraction of the teaching obligation not completed; (2)
pay a simple, per annum interest charge on the outstanding principal;
and (3) pay all reasonable collection costs. This requirement
implements section 955 of the HEA.
Under the proposed regulations, a fellow required to repay his or
her fellowship would enter repayment status on the first day of the
first calendar month after the Secretary has determined that the fellow
is no longer pursuing a course of study leading to a doctoral degree on
a full-time basis and has not received a doctoral degree; the date the
fellow informs the grantee or the Secretary that he or she does not
plan to obtain a doctorate or to fulfill his or her teaching
obligation; or the latest date on which a fellow must have begun
teaching in order to have completed his or her teaching obligation
within 5 years after completing the doctoral degree for which the
fellowship was awarded. A fellow would be required to make monthly or
quarterly payments to the Secretary that cover principal, interest, and
reasonable collection costs according to a schedule established by the
Secretary that calls for complete repayment within 10 years after the
fellow enters repayment status, except that the amount repaid must
amount annually to no less than $1,800 or the unpaid balance, whichever
is less.
The interest charge paid by a fellow would accrue from the date of
the disbursement of the initial fellowship payment if: (1) The
Secretary determines that the fellow is no longer pursuing a course of
full-time study leading to a doctoral degree; or (2) the fellow informs
the grantee or the Secretary that he or she does not plan to fulfill
the teaching obligation under proposed Sec. 641.70(b). Otherwise, the
interest charge would accrue from the latest date on which a fellow
must have begun teaching in order to have completed his or her teaching
obligation within 5 years after completing the degree for which the
fellowship was awarded.
The interest charge would be calculated annually for the program
for the twelve-month period extending from July 1 of each year through
June 30 of the subsequent year and be set at a rate that is the greater
of the following rates established pursuant to section 427A of the HEA
for the same twelve-month period: (1) The rate charged to new borrowers
under the Robert T. Stafford Federal Student Loan Program (Title IV,
Part B of the HEA); or (2) the rate charged to new borrowers under the
Federal Supplemental Loans for Students and Federal PLUS Programs
(section 428A and 428B of the HEA, respectively) as published in the
Federal Register.
For a fellow required to repay his or her fellowship, the interest
charge applicable to the period extending from the date on which
interest begins to accrue until the date on which the fellow's
repayment period begins is adjusted annually and is set at the rate
established for the program. The interest charge applicable during the
repayment period would be the rate established for the program that is
in effect on the date on which the fellow's repayment period begins.
A fellow would not be required to make repayments amounting to more
than $3,600 annually unless higher payments are needed to complete the
entire repayment within the ten-year period in which the fellowship
must be repaid. The Secretary believes that these repayment provisions
are necessary for the proper administration of the program.
Section 641.73 What Are Grounds for Deferral From the Repayment
Schedule?
Section 956(a) of the HEA provides that a fellow shall not be
considered in violation of the agreement to repay his or her fellowship
during the time in which the fellow is: (1) Pursuing a full-time course
of doctoral study; (2) serving, for a period not to exceed 3 years, as
a member of the armed services of the United States; (3) temporarily
totally disabled for a period of time not to exceed 3 years as
established by sworn affidavit of a qualified physician; (4) seeking
and unable to find full-time employment for a single period not to
exceed 12 months; or (5) engaged in full-time employment as a teacher
in a public or private nonprofit preschool, elementary or secondary
school, or a public or private nonprofit preschool education program.
The Secretary has implemented these statutory grounds for deferral in
proposed Sec. 641.73.
The Secretary also proposes to add the following grounds for
deferral: (1) Serving as a Peace Corps volunteer or as a volunteer
under the Domestic Service Volunteer Act of 1973; and (2) the inability
to secure employment for a period of time not to exceed 12 months
because the fellow is providing care, such as continuous nursing,
required by a spouse or another member of the fellow's immediate family
who is disabled. The Secretary proposes these additional grounds for
deferral pursuant to section 956(a)(7) of the HEA which authorizes the
Secretary to prescribe further grounds for deferral through regulation.
During the time a fellow meets any of the grounds for deferral
listed above, he or she would not be required to make repayments and
interest would not accrue during this period. The Secretary would also
extend the 10-year repayment period established for repayment under
proposed Sec. 641.72(c)(2) by a period equal to the length of time a
fellow meets any of the grounds for deferral.
A fellow would be required to provide a certification annually to
the Secretary that he or she qualifies for one or more of the
conditions for deferral. This requirement is provided for in proposed
Sec. 641.73(d).
Finally, section 956(b) of the HEA provides that a fellow shall be
excused from repayment of any fellowship assistance received under this
program if the fellow becomes permanently totally disabled as
established by sworn affidavit of a qualified physician. This provision
is implemented in proposed Sec. 641.73. The Secretary also proposes
under Sec. 641.73(e) that a fellow be excused from repayment if the
fellow has died, as established by a death certificate or other
evidence conclusive under State law.
Section 641.74 What Exceptions Apply to the Agreement To Complete the
Requirements for Doctoral Study Within the Period in Which the
Fellowship is Awarded?
A prospective or an experienced fellow would not be in violation of
the agreement, under proposed Sec. 641.70(a), to complete the
requirements for a doctoral degree within the period for which the
fellowship is awarded if the fellow is: (1) Serving, for a period not
to exceed 3 years, as a member of the armed services of the United
States; (2) temporarily totally disabled for a period not to exceed 3
years as established by sworn affidavit of a qualified physician; (3)
unable to continue study for a period of time not to exceed 12 months
because the fellow is providing care, such as continuous nursing,
required by a spouse or another member of the fellow's immediate family
who is disabled; or (4) enrolled in a doctoral study program full-time
and is making satisfactory progress towards receiving the doctoral
degree. These proposed exceptions to Sec. 641.70(a) are based on the
Secretary's authority in section 956(a)(7) of the HEA to establish
additional exceptions to fellows' repayment obligations. The Secretary
believes that these exceptions are reasonable grounds to temporarily
excuse a fellow's non-compliance with the agreement entered into under
Sec. 641.70(a).
The proposed exceptions differ from the proposed grounds for
deferral in proposed Sec. 641.73. An individual that satisfies one of
the grounds for deferral would have his or her repayment and interest
obligations tolled, but would still be in breach of the agreement under
Sec. 641.70 and responsible for repayment of the fellowship assistance.
An individual who satisfies one of the exceptions, meanwhile, would not
be in breach of his or her agreement.
Executive Order 12866
1. Assessment of 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 to be necessary for administering this program effectively
and efficiently. Burdens specifically associated with information
collection requirements, if any, are identified and explained elsewhere
in this preamble under the heading Paperwork Reduction Act of 1980.
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.
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 regulations contain technical terms or other
wording that interferes with their clarity? (3) Does the format of the
regulations (grouping and order of sections, use of headings,
paragraphing etc.) aid or reduce their clarity? Would the 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. 641.1 What is the Faculty
Development Fellowship Program?) (4) Is the description of the
regulations in the ``Supplementary Information'' section of this
preamble helpful in understanding the regulations? How could this
description be more helpful in making the regulations easier to
understand? (5) What else could the Department do to make the
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, 400 Maryland Avenue, SW. (room 5125, FOB-6), Washington, DC
20202-2241.
Regulatory Flexibility Act Certification
The Secretary certifies that these proposed regulations would not
have a significant economic impact on a substantial number of small
entities.
The small entities that would be affected by these proposed
regulations are institutions of higher education receiving Federal
funds under this program. However, the regulations would not have a
significant economic impact on the institutions affected because the
regulations would not impose excessive regulatory burdens or require
unnecessary Federal supervision. The regulations would impose minimal
requirements to ensure the proper accounting for expenditures of
program funds.
Paperwork Reduction Act of 1980
Sections 641.11, 641.21, 641.22, 641.24, 641.52, and 641.61 contain
information collection requirements. As required by the Paperwork
Reduction Act of 1980, the Department of Education will submit a copy
of these sections to the Office of Management and Budget (OMB) for its
review. (44 U.S.C. 3504(h))
Institutions of higher education are eligible to apply for grants
under these regulations. The Department needs and uses the information
to make grants. Annual public reporting burden for this collection of
information is estimated to average 32 hours per response for 100
respondents, including the time for reviewing instructions, searching
existing data sources, gathering and maintaining the data needed, and
completing and reviewing the collection of information.
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 3002, New Executive
Office Building, Washington, DC 20503; Attention: Daniel J. Chenok.
Intergovernmental Review
This program is subject to the requirements of Executive Order
12372 and the regulations in 34 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.
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 3022, ROB-3, 7th and D Streets SW., Washington, DC,
between the hours of 8:30 a.m. and 4 p.m., Monday through Friday of
each week except Federal holidays.
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.
List of Subjects in 34 CFR Part 641
College and universities, Grant program-education, Reporting and
recordkeeping requirements.
Dated: April 4, 1994.
David A. Longanecker,
Assistant Secretary for Postsecondary Education.
(Catalog of Federal Domestic Assistance Number 84-271A--Faculty
Development Fellowship Program)
The Secretary proposes to amend Title 34 of the Code of Federal
Regulations by adding a new part 641 to read as follows:
Part 641--FACULTY DEVELOPMENT FELLOWSHIP PROGRAM
Subpart A--General
Sec.
641.1 What is the Faculty Development Fellowship Program?
641.2 Who is eligible for a grant to fund prospective and
experienced faculty development fellowships?
641.3 Who is eligible for a grant to fund faculty professional
development fellowships?
641.4 What activities may the Secretary fund?
641.5 What is included in the grant?
641.6 What regulations apply?
641.7 What definitions apply?
641.8 What is the duration of a project period?
Subpart B--How Does One Apply for a Grant?
641.10 How does an applicant apply for a grant to fund prospective
or experienced faculty development fellowships?
641.11 How does an applicant apply for a grant to fund faculty
professional development fellowships?
Subpart C--How Does the Secretary Make an Award?
641.20 How does the Secretary evaluate an application?
641.21 What selection criteria does the Secretary use to evaluate
an application for a grant to fund prospective and experienced
faculty development fellowships?
641.22 What selection criteria does the Secretary use to evaluate
an application for a grant to fund faculty professional development
fellowships?
641.23 What additional factors does the Secretary consider?
641.24 What priorities does the Secretary establish for grants to
fund prospective and experienced faculty development fellowships?
641.25 What other priorities does the Secretary establish?
Subpart D--How Are Fellows Selected?
641.30 How does a grantee select fellows?
641.31 How does an individual apply for a fellowship?
641.32 What special rule applies to the distribution of
fellowships?
Subpart E--How Does the Secretary Distribute Funds?
641.40 What is the amount of a stipend awarded to prospective and
experienced faculty development fellows?
Subpart F--What Are the Administrative Responsibilities of the Grantee
That Receives Funds for Prospective and Experienced Faculty Development
Fellowships?
641.50 How does a grantee disburse and return funds for prospective
or experienced faculty development fellowships?
641.51 What training is a grantee required to provide to
prospective faculty development fellows?
641.52 What records are required from a grantee that receives grant
funds for prospective or experienced faculty development
fellowships?
Subpart G--What Are the Administrative Responsibilities of the Grantee
That Receives Funds for Faculty Professional Development Fellowships?
641.60 How does a grantee disburse and return funds for faculty
professional development fellowships?
641.61 What records are required from a grantee that receives funds
for faculty professional development fellowships?
Subpart H--What Conditions Apply to Prospective and Experienced Faculty
Development Fellowships?
641.70 What agreement must be made by prospective and experienced
faculty development fellows?
641.71 What are the requirements for a prospective or experienced
faculty development fellow to receive fellowship payments?
641.72 What are the repayment provisions for prospective and
experienced faculty development fellowships?
641.73 What are grounds for deferral from the repayment schedule?
641.74 What exceptions apply to the agreement to complete the
requirements for doctoral study within the period in which the
fellowship is awarded?
Authority: 20 U.S.C. 1134r-1134r-6, unless otherwise noted.
Subpart A--General
Sec. 641.1 What is the Faculty Development Fellowship Program?
(a) The Faculty Development Fellowship Program provides grants to
institutions of higher education, consortia of institutions, and
consortia of institutions and nonprofit organizations to fund
fellowships for individuals from underrepresented minority groups to
enter or continue in the higher education professorate.
(b) Under the program, the Secretary awards grants for the
following types of fellowships:
(1) Prospective faculty development fellowships, as described in
Sec. 641.4(a).
(2) Experienced faculty development fellowships, as described in
Sec. 641.4(b).
(3) Faculty professional development fellowships, as described in
Sec. 641.4(c).
(Authority: 20 U.S.C. 1134r)
Sec. 641.2 Who is eligible for a grant to fund prospective and
experienced faculty development fellowships?
(a) The Secretary awards grants for prospective and experienced
faculty development fellowships to the following:
(1) An institution with a demonstrated record of enhancing the
access to graduate education of individuals from underrepresented
minority groups.
(2) A consortium of institutions with a demonstrated record of
enhancing the access to graduate education of individuals from
underrepresented minority groups.
(3) A consortium of nonprofit organizations and institutions with a
demonstrated record of enhancing the access to graduate education of
individuals from underrepresented minority groups.
(b) A consortium has a demonstrated record of enhancing the access
to graduate education of individuals from underrepresented minority
groups if each institution in the consortium that intends to offer a
program of doctoral study has a demonstrated record of enhancing the
access to graduate education of individuals from underrepresented
minority groups.
(c) An institution that intends to offer a program of doctoral
study has a demonstrated record of enhancing access to graduate
education if it provides evidence of the following:
(1) A social and academic environment that is supportive of the
academic success of students and faculty who are members of
underrepresented minority groups.
(2) Procedures to identify, recruit, and enhance the access of
individuals from underrepresented minority groups to graduate
education.
(3) A successful record of completion of doctoral degree programs
by individuals from underrepresented minority groups.
(4) A successful record of assisting individuals from
underrepresented minority groups who receive doctoral degrees enter the
higher education professorate.
(d) The Secretary does not award a grant under this part for study
at a school or department of divinity.
(Authority: 20 U.S.C. 1134, 1134r)
Sec. 641.3 Who is eligible for a grant to fund faculty professional
development fellowships?
(a) The Secretary awards grants for faculty professional
development fellowships to the following:
(1) An institution with a demonstrated record of enhancing the
professional development of faculty from underrepresented minority
groups.
(2) A consortium of institutions with a demonstrated record of
enhancing the professional development of faculty from underrepresented
minority groups.
(3) A consortium of nonprofit organizations and institutions with a
demonstrated record of enhancing the professional development of
faculty from underrepresented minority groups.
(b) A consortium has a demonstrated record of enhancing the
professional development of faculty from underrepresented minority
groups if each institution and nonprofit organization in the consortium
that intends to offer a professional development program has a
demonstrated record of enhancing the professional development of
faculty from underrepresented minority groups.
(c) An institution or nonprofit organization that intends to offer
a professional development program has a demonstrated record of
enhancing the professional development of faculty from underrepresented
minority groups if it provides evidence that it has policies or
procedures for assisting faculty from underrepresented minority groups
to participate in professional development programs. This evidence,
includes, but is not limited to the following:
(1) An academic environment that is responsive to advancing the
careers of underrepresented minorities.
(2) Programs that have been designed to provide opportunities for
faculty from underrepresented minority groups to improve instructional
methodology.
(3) A successful record of providing opportunities for faculty from
underrepresented minority groups to attend workshops, seminars, and
other professional development activities relating to their academic
careers.
(d) The Secretary does not award a grant under this part for study
at a school or department of divinity.
(Authority: 20 U.S.C. 1134r)
Sec. 641.4 What activities may the Secretary fund?
The Secretary awards grants to fund the following types of
fellowships:
(a) Prospective faculty development fellowships: Fellowships for
talented baccalaureate degree recipients from underrepresented minority
groups who have financial need and who wish to obtain a doctoral degree
and enter the higher education professorate.
(b) Experienced faculty development fellowships: Fellowships for
talented faculty from underrepresented minority groups who wish to
continue in the higher education professorate and obtain a doctoral
degree.
(c) (1) Faculty professional development fellowships: Fellowships
for talented faculty from underrepresented minority groups who wish to
participate in short-term professional development programs, including
seminars, conferences, and workshops, specifically designed to enhance
their skills and careers.
(2) Grant funds for faculty professional development fellowships
may not be used to fund study leading to a doctoral degree.
(Authority: 20 U.S.C. 1134r)
Sec. 641.5 What is included in the grant?
(a) Each grant to fund prospective and experienced faculty
development fellowships consists of the stipends paid by the Secretary
through the grantee to fellows. The stipend provides an allowance to a
fellow for the fellow's (and his or her dependents') subsistence and
other expenses.
(b) (1) Each grant to fund faculty professional development
fellowships consists of the allowable costs of the fellows'
participation in professional development programs.
(2) For the purposes of paragraph (b)(1) of this section, allowable
costs are the following:
(i) Costs of instruction, including fees for materials and
supplies.
(ii) Out-of-town travel expenses, excluding foreign travel.
(iii) Per diem expenses for food and lodging during the period of
instruction.
(Authority: 20 U.S.C. 1134r, 1134r-1)
Sec. 641.6 What regulations apply?
The following regulations apply to the Faculty Development
Fellowship Program:
(a) The Education Department General Administrative Regulations
(EDGAR) as follows:
(1) 34 CFR part 74 (Administration of Grants).
(2) 34 CFR part 75 (Direct Grant Programs).
(3) 34 CFR part 77 (Definitions that Apply to Department
Regulations).
(4) 34 CFR part 79 (Intergovernmental Review of Department of
Education Programs and Activities).
(5) 34 CFR part 82 (New Restrictions on Lobbying).
(6) 34 CFR part 85 (Governmentwide Debarment and Suspension
(Nonprocurement) and Governmentwide Requirements for Drug-Free
Workplace (Grants)).
(7) 34 CFR part 86 (Drug-Free Schools and Campuses).
(b) The regulations in this part.
(Authority: 20 U.S.C. 1134r)
Sec. 641.7 What definitions apply?
(a) Definitions in EDGAR. The following term(s) used in this part
are defined in 34 CFR 77.1:
Applicant
Application
Award
Budget
Budget Period
Department
EDGAR
Grant
Grantee
Nonprofit
Project
Project Period
Secretary
(b) Other Definitions: The following definitions also apply to this
part:
Academic field means an area of study in an academic department
within an institution of higher education other than a school or
department of divinity.
Academic year means the 12-month period beginning with the fall
instructional term of the institution.
Consortium of institutions of higher education means two or more
institutions of higher education that have entered into a cooperative
arrangement for the purpose of carrying out common objectives.
Doctoral study means a postbaccalaureate program of study leading
to a degree in any academic field of graduate study that requires a
dissertation.
Fellow means a recipient of a fellowship under this part.
Fellowship means an award made by a grantee to an individual under
this part.
Financial need means the fellow's financial need as determined
under Title IV, Part F, of the HEA for the period of the fellow's
enrollment in the approved field of doctoral study for which the
fellowship was awarded.
HEA means the Higher Education Act of 1965, as amended.
Historically black colleges and universities (HBCUs) means those
institutions listed in 34 CFR 608.2 (Strengthening Historically Black
Colleges and Universities Program) and 34 CFR 609.2 (Strengthening
Historically Black Graduate Institutions Program).
Institution of higher education (institution) means an institution
of higher education, other than a school or department of divinity, as
defined in section 1201(a) of the HEA.
Minority means Alaskan Native, American Indian, Asian-American,
Black (African-American), Hispanic American, Native Hawaiian, or
Pacific Islander.
Predominantly black colleges and universities means those
institutions whose undergraduate enrollment consists of more than fifty
percent black students.
Satisfactory progress means that a fellow meets or exceeds the
institution's criteria and standards established for a student's
continued status as a candidate for the degree in the academic field
for which the fellowship was awarded.
School or department of divinity means an institution, or an
academic department of an institution, whose program is specifically
for the education of students to prepare them to become ministers of
religion or to enter into some other religious vocation or to prepare
them to teach theological subjects.
Significant enrollment means an undergraduate enrollment of at
least 25 percent.
Supervised training means formal and informal training or
instruction in teaching methods followed by the opportunity for a
fellow to teach at the graduate or undergraduate level under the
guidance and direction of senior faculty.
Temporarily totally disabled means the inability by virtue of an
injury or illness to be gainfully employed during a reasonable period
of recovery.
Underrepresented means proportionate representation, as measured by
degree recipients, that is less than the proportionate representation
in the general population--
(i) As indicated by--
(A) The most current edition of the Department's Digest of
Educational Statistics;
(B) The National Research Council's Doctorate Recipients from
United States Universities; or
(C) Other standard statistical references, as announced annually in
the Federal Register notice inviting applications for new awards under
this program; or
(ii) As documented by national survey data submitted to and
accepted by the Secretary on a case-by-case basis.
(Authority: 20 U.S.C. 1134r)
Sec. 641.8 What is the duration of a project period?
(a) The maximum duration of a grant to fund prospective or
experienced faculty development fellowships is 60 months.
(b) The maximum duration of a grant to fund faculty professional
development fellowships is 36 months.
(Authority: 20 U.S.C. 1134r).
Subpart B--How Does One Apply for a Grant?
Sec. 641.10 How does an applicant apply for a grant to fund
prospective and experienced faculty development fellowships?
To apply for a grant to fund prospective and experienced faculty
development fellowships, an applicant shall submit an application
that--
(a) Responds to the appropriate selection criteria in Sec. 641.21;
and
(b) Contains--
(1) The applicant's plan for identifying and recruiting talented
and financially needy baccalaureate degree recipients or talented
faculty from underrepresented minority groups who may participate in
the project;
(2) A description of the program or programs of doctoral study for
which it will award fellowships;
(3) The applicant's plan for using minority faculty and other
faculty as advisors, mentors, and academic resources in support of the
project;
(4) A description of other resources of the applicant, including
tuition waivers, assistantships, or financial aid other than loans,
that the applicant shall make available to fellows;
(5) If the applicant is a consortium--
(i) The signed agreement listing the--
(A) Names of the undergraduate institutions that are historically
or predominantly black colleges and universities or other institutions
with significant enrollments of individuals from minority groups that
have agreed to cooperate with the applicant to carry out the purposes
of the project; and
(B) Names of the other institutions or nonprofit organizations
included in the consortium; and
(ii) The terms of cooperation among the members of the consortium;
(6)(i) If the applicant is applying for a grant to fund prospective
faculty development fellowships, assurances that the applicant will
provide at least one academic term of supervised training in
instruction to each fellow during the period of the fellowship; or
(ii) If the applicant is applying for a grant to fund experienced
faculty development fellowships, assurances that the applicant will
provide an opportunity for each fellow to improve his or her
instructional methods;
(7) Assurances that the applicant will ensure that fellows are
making satisfactory progress in, and devoting full time to, the
doctoral study program in which they are enrolled; and
(8) Evidence that each institution that plans to offer a program of
doctoral study to fellows has a demonstrated record of enhancing the
access to graduate education of individuals from underrepresented
minority groups, as required in Sec. 641.2(c).
(Authority: 20 U.S.C. 1134r-2)
Sec. 641.11 How does an applicant apply for a grant to fund faculty
professional development fellowships?
To apply for a grant to fund faculty professional development
fellowships, an applicant shall submit an application that--
(a) Responds to the selection criteria in Sec. 641.22; and
(b) Contains--
(1) The applicant's plan for identifying and recruiting talented
faculty from underrepresented minority groups who wish to participate
in professional development programs specifically designed to advance
their careers;
(2) A description of the program or programs of professional
development the applicant plans to offer, and the ways in which the
program or programs are specifically designed to advance the careers of
faculty from underrepresented minority groups;
(3) The applicant's plan for using minority and other faculty as
advisors, mentors, and academic resources in support of the project;
(4) A description of other resources of the applicant that the
applicant shall make available to fellows; and
(5) If the applicant is a consortium--
(i) The signed agreement listing the--
(A) Names of the undergraduate institutions that are historically
or predominantly black colleges and universities or other institutions
with significant enrollments of individuals from minority groups that
have agreed to cooperate to carry out the purposes of the project; and
(B) Names of the other institutions or nonprofit organizations
included in the consortium; and
(ii) The terms of cooperation among the members of the consortium;
and
(6) Evidence that each institution or nonprofit organization that
plans to offer a faculty professional development program has a
demonstrated record of enhancing the professional development of
faculty from underrepresented minority groups, as required in
Sec. 641.3(c).
(Authority: 20 U.S.C. 1134r)
Subpart C--How Does the Secretary Make an Award?
Sec. 641.20 How does the Secretary evaluate an application?
(a) The Secretary evaluates an application for a grant to fund
prospective or experienced faculty development fellowships on the basis
of the selection criteria in Sec. 641.21, the additional considerations
in Sec. 641.23, and the priorities in Sec. 641.24.
(b) The Secretary evaluates an application for a grant to fund
faculty professional development fellowships on the basis of the
selection criteria in Sec. 641.22 and the additional considerations in
Sec. 641.23.
(c) The Secretary awards up to 100 points for the selection
criteria in Sec. 641.21 and up to 100 points for the selection criteria
in Sec. 641.22.
(d) The maximum possible score for each criterion is indicated in
parentheses.
(Authority: 20 U.S.C. 1134r-2)
Sec. 641.21 What selection criteria does the Secretary use to evaluate
an application for a grant to fund prospective or experienced faculty
development fellowships?
The Secretary uses the following criteria to evaluate an
application for a grant to fund prospective or experienced faculty
development fellowships:
(a) Applicant's commitment. (24 points) The Secretary reviews each
application to determine the overall strength of the applicant's
commitment to meet the needs of fellows, including consideration of the
extent to which--
(1) The social and academic environment of each institution that
plans to offer a program of doctoral study is supportive of the
academic success of students and faculty who are members of
underrepresented minority groups;
(2) The applicant plans to identify, recruit, and enhance the
access of individuals from underrepresented minority groups to graduate
education;
(3) Each institution that plans to offer a program of doctoral
study has a successful record of individuals from underrepresented
minority groups completing doctoral degree programs;
(4) Each institution that plans to offer a program of doctoral
study has a successful record of assisting individuals from
underrepresented minority groups who receive doctoral degrees to enter
the higher education professorate;
(5) If the applicant is a consortium, the applicant has the
commitment of institutions that are historically and predominantly
black or other institutions with significant enrollments of individuals
from underrepresented minority groups to cooperate with the applicant
to carry out the purposes of the project; and
(6) Individuals from underrepresented minority groups are
represented among the administrators and faculty of each institution
that plans to offer a program of doctoral study.
(b) Meeting the purposes of the program. (14 points). The Secretary
reviews each application to determine how well the project will meet
the purposes of the program, including the extent to which--
(1) The applicant's general and specific objectives for the project
are realistic and measurable; and
(2) The applicant's objectives for the project seek to increase the
number of individuals from underrepresented minority groups to enter or
continue in the higher education professorate.
(c) Quality of implementation strategy. (32 points). The Secretary
reviews each application to determine--
(1) The potential effectiveness of the applicant's plan for
identifying and recruiting, to participate in the project, talented--
(i) Faculty; or
(ii) Baccalaureate degree recipients (8 points);
(2) The quality of the program or programs of doctoral study that
the applicant plans to offer, including--
(i) If the applicant applies for a grant to fund prospective
faculty development fellowships, one academic term of supervised
teaching opportunities for these fellows; or
(ii) If the applicant applies for a grant to fund experienced
faculty development fellowships, opportunities for fellows to improve
their instructional methods (14 points);
(3) The quality of the applicant's policies and procedures to
monitor whether a fellow is making satisfactory progress towards
receiving a doctoral degree (5 points); and
(4) The extent to which the policies and procedures the applicant
proposes to institute for administering the project are likely to
ensure efficient and effective project implementation, including
assistance to and oversight of the project director (5 points).
(d) Quality of key personnel. (12 points).
(1) The Secretary reviews each application to determine the quality
of key personnel the applicant plans to use on the project, including--
(i) The qualifications of the project director (3 points);
(ii) The qualifications of each of the key faculty to be used on
the project (4 points);
(iii) The time that each person referred to in paragraphs (d)(1)(i)
and (ii) of this section will commit to the project (3 points); and
(iv) How the applicant, as part of its nondiscriminatory employment
practices, will ensure that its personnel are selected without regard
to race, color, national origin, religion, gender, age, or disabling
condition, except pursuant to a lawful affirmative action plan (2
points).
(2) To determine personnel qualifications under paragraphs
(d)(1)(i) and (ii) of this section, the Secretary considers--
(i) The past work experiences and training of key professional
personnel as directly related to the stated project purposes and
objectives; and
(ii) Any other qualifications of the key professional personnel
that pertain to the quality of the project.
(e) Adequacy of resources. (9 points). The Secretary reviews each
application to determine the extent of the resources the applicant
plans to make available to fellows, including--
(1) Tuition waivers, assistantships, or financial aid other than
loans that will be available to fellowship recipients;
(2) Use of faculty from underrepresented minority groups and other
faculty as advisors, mentors, and academic resources in support of the
project; and
(3) Space and equipment.
(f) Evaluation plan. (9 points). The Secretary reviews each
application to determine the quality of the evaluation plan for the
project, including the extent to which the applicant's evaluation
methods--
(1) Relate to the specific goals and measurable objectives of the
project;
(2) Include both process and product evaluation measures that are
objective and designed to produce data that are quantifiable; and
(3) Describe how the applicant will analyze and report the data so
that it can make adjustments and improvements on a regular basis.
(Authority: 20 U.S.C. 1134r-2)
Sec. 641.22 What selection criteria does the Secretary use to evaluate
an application for a grant to fund faculty professional development
fellowships?
The Secretary uses the following criteria to evaluate an
application for a grant to fund faculty professional development
fellowships:
(a) Meeting the purposes of the program. (20 points). The Secretary
reviews each application to determine how well the project will meet
the purposes of the program, including the extent to which--
(1) The applicant proposes a project specifically designed to
advance the careers of faculty from underrepresented minority groups;
and
(2) The applicant's general and specific objectives for the project
are realistic and measurable.
(b) Quality of implementation strategy. (40 points). The Secretary
reviews each application to determine--
(1) The potential effectiveness of the applicant's plan for
identifying and recruiting faculty from underrepresented minority
groups who wish to remain in the higher education professorate and
participate in a professional development program specifically designed
to advance their careers (10 points);
(2) The quality of the program or programs to be offered to the
faculty and the extent to which these programs are structured to
advance the careers of underrepresented minorities (15 points);
(3) The extent to which the applicant plans to measure or monitor
whether the faculty is benefitting from the program or programs
designed to advance their careers (5 points);
(4) The extent to which the program or programs include
opportunities for faculty to improve their teaching methods (5 points);
and
(5) The extent to which individuals from underrepresented minority
groups are represented among the administrators and faculty of the
project (5 points).
(c) Grant management. (12 points). The Secretary reviews each
application to determine the applicant's ability to provide for the
overall administration of the grant award, including providing
assistance to and oversight of the project director in order to achieve
the stated project purposes and objectives.
(d) Adequacy of resources. (9 points). The Secretary reviews each
application to determine the adequacy of resources the applicant plans
to devote to the project, including--
(1) The use of faculty from underrepresented minority groups and
other faculty as advisors, mentors, and academic resources in support
of the project; and
(2) Space, materials, and equipment.
(e) Budget. (10 points). The Secretary reviews each application to
determine the extent to which--
(1) The budget is adequate to support the project; and
(2) Costs are reasonable in relation to the objectives of the
project.
(f) Evaluation plan. (9 points). The Secretary reviews each
application to determine the quality of the evaluation plan for the
project, including the extent to which the applicant's evaluation
methods--
(1) Relate to the specific goals and measurable objectives of the
project;
(2) Include both process and product evaluation measures that are
objective and designed to produce data that are quantifiable; and
(3) Describe how the applicant will analyze and report the data so
that it can make adjustments and improvements on a regular basis.
(Authority: 20 U.S.C. 1134r-2)
Sec. 641.23 What additional factors does the Secretary consider?
In awarding grants to fund prospective faculty development
fellowships, experienced faculty development fellowships, and faculty
professional development fellowships, the Secretary ensures--
(a) An equitable geographic distribution of grants;
(b) That both public and private institutions are fairly
represented among grantees; and
(c) That there is an equitable distribution of fellowships among
underrepresented minority groups.
(Authority: 20 U.S.C. 1134r)
Sec. 641.24 What priorities does the Secretary establish for grants to
fund prospective and experienced faculty development fellowships?
(a) In awarding grants to fund prospective and experienced faculty
development fellowships, the Secretary awards 3 additional points to
applicants whose applications describe projects that--
(1) Provide each fellow--
(i) A tuition waiver; and
(ii)(A) A minimum $2,000 in support beyond the stipend received by
each fellow under Sec. 641.4(a) or (b); or
(B) Additional financial support in conjunction with teaching or
research activities that are part of the fellow's doctoral program;
(2) Provide additional financial support to each fellow from non-
Federal resources, either in cash or in-kind, such as contributions
from the business community and civic organizations;
(3) Emphasize courses of study leading to the doctoral degrees in
disciplines where minorities are underrepresented; and
(4) Describe steps to ensure that a fellow will teach at an
institution where minority undergraduate students are likely to benefit
from the educational experience and academic achievement of the fellow.
(b) (1) The Secretary may waive all or any portion of the
requirements in paragraphs (a)(1) of this section upon the request of
any institution that has been designated as an eligible institution
under Title III of the Act in the year in which the institution, or the
consortium of which the institution is a member, is applying for a
grant under this program.
(2) In the case of a consortium, the waiver in paragraph (b)(1) of
this section applies only to the eligible Title III institution(s) and
not to any other member of the consortium.
(Authority: 20 U.S.C. 1134r)
Sec. 641.25 What other priorities does the Secretary establish?
(a) The Secretary may give absolute priority to applications for
grants to fund--
(1) Prospective faculty development fellowships;
(2) Experienced faculty development fellowships;
(3) Faculty professional development fellowships; or
(4) Two or more of the categories of fellowships listed in
paragraphs (a)(1), (2), and (3) of this section.
(b) Each year, the Secretary announces the absolute priority under
paragraph (a) of this section in a notice inviting applications for
this program published in the Federal Register.
(Authority: 20 U.S.C. 1134r)
Subpart D--How are Fellows Selected?
Sec. 641.30 How does a grantee select fellows?
In selecting individuals to receive fellowships, a grantee shall
consider only individuals who are--
(a) Identified under Sec. 641.4; and
(b) (1) United States citizens or nationals;
(2) Permanent residents of the United States;
(3) In the United States for other than a temporary purpose and
intend to become citizens or permanent residents; or
(4) Permanent residents of the Trust Territory of the Pacific
Islands (Palau).
(Authority: 20 U.S.C. 1134, 1144a)
Sec. 641.31 How does an individual apply for a fellowship?
An individual shall apply directly to the grantee.
(Authority: 20 U.S.C. 1134)
Sec. 641.32 What special rule applies to the distribution of
fellowships?
(a) Each grantee receiving a grant to fund prospective faculty
development fellowships shall ensure that there is an equitable
distribution of fellowships among underrepresented minority groups. For
the purposes of this paragraph, an equitable distribution means the
distribution of fellowships in a manner that reflects the
representation of eligible individuals from underrepresented minority
groups applying for prospective faculty development fellowships from
each grantee.
(b) Each grantee receiving a grant to fund experienced faculty
development fellowships shall ensure that there is an equitable
distribution of fellowships among underrepresented minority groups. For
purposes of this paragraph, an equitable distribution means the
distribution of fellowships in a manner that reflects the
representation of underrepresented minority groups among eligible non-
doctoral degree bearing faculty applying for experienced faculty
development fellowships at each institution from which fellows are
selected.
(c) Each grantee receiving a grant to fund faculty professional
development fellowships shall ensure that there is an equitable
distribution of fellowships among underrepresented minority groups. For
the purposes of this paragraph, an equitable distribution means the
distribution of fellowships in a manner that reflects the
representation of underrepresented minority groups among eligible
members of the faculty applying for faculty professional development
fellowships at each institution from which fellows are selected.
(d) Nothing in paragraphs (a), (b), or (c) of this section requires
a grantee to grant preference or disparate treatment to the members of
one group because the members of a group are not receiving fellowships
under this part that are in proportion to their representation in any
community, State, section, or other area.
(Authority: 20 U.S.C. 1134r)
Subpart E--How Does the Secretary Distribute Funds?
Sec. 641.40 What is the amount of a stipend awarded to prospective and
experienced faculty development fellows?
(a) The grantee shall pay the fellow a stipend at a level of
support equal to that provided by the National Science Foundation
graduate fellowships or the fellow's demonstrated level of financial
need, whichever is less.
(b) The Secretary announces the amount of the maximum stipend
awarded to graduate fellowship recipients in a notice published in the
Federal Register.
(Authority: 20 U.S.C. 1134r-1)
Subpart F--What Are the Administrative Responsibilities of the
Grantee that Receives Funds for Prospective and Experienced Faculty
Development Fellowships?
Sec. 641.50 How does a grantee disburse and return funds for
prospective or experienced faculty development fellowships?
(a) A grantee shall disburse a stipend to a prospective or
experienced faculty development fellow in accordance with the regular
payment schedule of the institution in which the fellow is enrolled,
but shall not make less than one payment per academic term.
(b) If a fellow withdraws from an institution or completes his or
her program of study before the completion of an academic term for
which he or she received a stipend installment, the grantee may award
the fellowship for the remainder of the project period to another
individual who satisfies the requirements in Sec. 641.30.
(c) If a fellowship is vacated and the grantee does not award the
fellowship to another individual, the grantee shall return unexpended
stipend funds to the Secretary, unless the Secretary authorizes the use
of those funds for a subsequent budget period. The institution shall
return the unexpended stipend funds at a time and in a manner
determined by the Secretary.
(d) If a fellow withdraws from his or her program of study before
the completion of the academic term for which he or she received a
stipend installment, the fellow shall return a prorated portion of the
stipend installment to the institution at a time and in a manner
determined by the Secretary.
(Authority: 20 U.S.C. 1134r)
Sec. 641.51 What training is a grantee required to provide to
prospective faculty development fellows?
The grantee shall provide prospective faculty development fellows
at least one academic term of supervised training.
(Authority: 20 U.S.C. 1134r)
Sec. 641.52 What records are required from a grantee that receives
grant funds for prospective or experienced faculty development
fellowships?
(a) A grantee that receives funds for prospective and experienced
faculty development fellowships shall keep records necessary to
establish--
(1) That each fellow satisfies the eligibility requirements in
Sec. 641.30;
(2) (i) The time and amount of all disbursements; and
(ii) Return of stipend payments under Sec. 641.50 (c) and (d); and
(3) That assurances provided in its application have been
satisfied.
(b) After the completion of each academic year, a grantee shall
provide to the Secretary, prior to the receipt of additional grant
funds for disbursement to a prospective or experienced faculty
development fellow, a certification that the fellow is enrolled in, is
making satisfactory progress in, and is devoting full time to, the
doctoral program in which the fellow is enrolled.
(Authority: 20 U.S.C. 1134r)
Subpart G--What Are the Administrative Responsibilities of the
Grantee that Receives Funds for Faculty Professional Development
Fellowships?
Sec. 641.60 How does a grantee disburse and return funds for faculty
professional development fellowships?
(a) A grantee that receives grant funds for professional
development fellowships shall disburse grant funds to a faculty
professional development fellow in a timely manner.
(b) If a fellow withdraws from a professional development program
before the completion of the program, the grantee may award the
fellowship for the remainder of the project period to another
individual who satisfies the requirements in Sec. 641.30.
(c) If a fellowship is vacated and the grantee does not award the
fellowship to another individual, the grantee shall return unexpended
grant funds to the Secretary, unless the Secretary authorizes the use
of those funds for a subsequent budget period. The institution shall
return the unexpended grant funds at a time and in a manner determined
by the Secretary.
(Authority: 20 U.S.C. 1134r)
Sec. 641.61 What records are required from a grantee that receives
funds for faculty professional development fellowships?
A grantee that receives funds for faculty professional development
fellowships shall keep records necessary to establish--
(a) That each fellow satisfies the eligibility requirements in
Sec. 641.30;
(b) The time and amount of all disbursements and the return of
unexpended grant funds; and
(c) That all grant funds are used for allowable costs.
(Authority: 20 U.S.C. 1134r)
Subpart H--What Conditions Apply to Prospective and Experienced
Faculty Development Fellowships?
Sec. 641.70 What agreement must be made by prospective and experienced
faculty development fellows?
Each prospective and experienced faculty development fellow shall
enter into an agreement with the grantee in which he or she agrees--
(a) To complete the requirements for a doctoral degree within the
period for which the fellowship is awarded.
(b) If the fellow is a prospective faculty development fellow, to
teach full time, within five years after completing the doctoral degree
for which the fellowship was awarded, for a period of not less than one
year for each year for which financial assistance under this program
was received, in a public or private nonprofit institution of higher
education;
(c) If the fellow is an experienced faculty development fellow, to
teach full time, within five years after completing the doctoral degree
for which the fellowship was awarded, for a period of not less than one
year for each year for which financial assistance under this program
was received, in a public or private nonprofit institution of higher
education that has a significant minority enrollment;
(d) (1) To annually provide to the Secretary evidence that the
fellow is in compliance with paragraphs (a), and (b) or (c), as
appropriate, of this section.
(2) Evidence that a fellow is in compliance with his or her
teaching obligation under paragraphs (b) or (c) of this section must
include a certification from the institution in which the fellow is
teaching certifying that the fellow is employed as a full-time teacher.
(e) To repay the fellowship assistance received in accordance with
Sec. 641.72(a), in the event the conditions of paragraphs (a), (b), or
(c), as appropriate, or (d) of this section are not complied with by
the fellow.
(Authority: 20 U.S.C. 1134r-3)
Sec. 641.71 What are the requirements for a prospective or experienced
faculty development fellow to receive fellowship payments?
The grantee shall disburse grant funds to each prospective and
experienced faculty development fellow who--
(a) Is selected in accordance with the criteria established under
Sec. 641.30;
(b) Signs an agreement under Sec. 641.70;
(c) Is enrolled as a full-time student in a program of doctoral
study in an institution of higher education; and
(d) Is maintaining satisfactory progress towards a doctoral degree.
(Authority: 20 U.S.C. 1134r)
Sec. 641.72 What are the repayment provisions for prospective and
experienced faculty development fellowships?
(a) If a fellow is found to be in noncompliance with the agreement
entered into under Sec. 641.70, the fellow shall--
(1) Repay the amount of the grant funds received, prorated
according to the fraction of the teaching obligation not completed, as
determined by the Secretary in accordance with paragraph (b) of this
section;
(2) Pay a simple, per annum interest charge on the outstanding
principal, as determined by the Secretary, in accordance with paragraph
(c) of this section; and
(3) Pay all reasonable collection costs, as determined by the
Secretary, in accordance with 34 CFR part 682.
(b) A fellow required by paragraph (a) of this section to repay his
or her fellowship shall--
(1) Enter repayment status on the first day of the first calendar
month after--
(i) The Secretary has determined that the fellow is no longer
pursuing a full-time course of study leading to a doctoral degree and
has not received a doctoral degree;
(ii) The date the fellow informs the grantee or the Secretary that
he or she does not plan to fulfill the teaching obligation under
Sec. 641.70(b) or (c); or
(iii) The latest date on which a fellow must have begun teaching in
order to have completed his or her teaching obligation under
Sec. 641.70(b) or (c); and
(2) Make monthly or quarterly payments to the Secretary that--
(i) Cover principal, interest, and reasonable collection costs
according to a schedule established by the Secretary that calls for
complete repayment within 10 years after the fellow enters repayment
status, except as provided in paragraph (b)(2)(ii) of this section; and
(ii) Amount annually to no less than $1,800 or the unpaid balance,
whichever is less.
(c) The interest charge referred to in paragraph (a)(2) of this
section accrues from--
(1) The date of the disbursement of the initial fellowship payment
if--
(i) The Secretary determines that the fellow is no longer pursuing
a course of full-time study leading to a doctoral degree; or
(ii) The fellow informs the grantee or the Secretary that he or she
does not plan to fulfill the teaching obligation under Sec. 641.70(b)
or (c); or
(2) The latest date on which a fellow must have begun teaching in
order to have completed his or her teaching obligation within 5 years
after completing the degree for which the fellowship was awarded.
(d) (1) The interest charge referred to in paragraph (a)(2) of this
section is calculated annually for the program for the twelve-month
period extending from July 1 of each year through June 30 of the
subsequent year and is set at a rate that is the greater of the
following rates established pursuant to section 427A of the HEA for the
same twelve-month period:
(i) The rate charged to new borrowers under the Robert T. Stafford
Federal Student Loan Program (Title IV, Part B of the HEA).
(ii) The rate charged to new borrowers under the Federal
Supplemental Loans for Students and Federal PLUS Programs (section 428A
and 428B of the HEA, respectively) as published in the Federal
Register.
(2) For a fellow required to repay his or her fellowship--
(i) The interest charge applicable to the period extending from the
date on which interest begins to accrue (determined in accordance with
paragraph (c) of this section) until the date on which the fellow's
repayment period begins (determined in accordance with paragraph (b) of
this section) is adjusted annually and is set at the rate established
for the program in accordance with paragraph (d)(1) of this section;
and
(ii) The interest charge applicable during the repayment period is
the rate established for the program in accordance with paragraph
(d)(1) of this section that is in effect on the date on which the
fellow's repayment period begins.
(e) A fellow is not required to make repayments amounting to more
than $3,600 annually unless higher payments are needed to complete the
entire repayment within the ten-year period described in paragraph
(b)(2) of this section.
(Authority: 20 U.S.C. 1134r-4)
Sec. 641.73 What are grounds for deferral from the repayment schedule?
(a) A fellow is not in violation of the repayment schedule entered
into under Sec. 641.72 during any period in which the fellow is--
(1) Pursuing a full-time course of doctoral study;
(2) Serving, for a period not to exceed 3 years, as a member of the
armed services of the United States;
(3) Serving as a Peace Corps volunteer, or as a volunteer under the
Domestic Service Volunteer Act of 1973;
(4) Temporarily totally disabled for a period of time not to exceed
3 years as established by sworn affidavit of a qualified physician;
(5) Unable to secure employment for a period of time not to exceed
12 months because the fellow is providing care, such as continuous
nursing, required by a spouse or another member of fellow's immediate
family who is disabled;
(6) Seeking and unable to find full-time employment for a single
period not to exceed 12 months; or
(7) Engaged in full-time employment as a teacher in a public or
private nonprofit preschool, elementary or secondary school, or a
public or private nonprofit preschool, education program.
(b) During the time a fellow meets any of the conditions listed in
paragraph (a) of this section, he or she need not make the repayments
required by Sec. 641.72 and interest does not accrue.
(c) The Secretary extends the 10-year repayment period established
under Sec. 641.72(c)(2) by a period equal to the length of time a
fellow meets any of the conditions listed in paragraph (a) of this
section.
(d) A fellow shall provide a certification annually to the
Secretary that he or she qualifies for one or more of the conditions
for deferral listed in paragraph (a) of this section.
(e) A fellow shall be excused from repayment of any fellowship
assistance received under this program if--
(1) The fellow becomes permanently totally disabled as established
by sworn affidavit of a qualified physician; or
(2) The fellow has died, as established by a death certificate or
other evidence conclusive under State law.
(Authority: 20 U.S.C. 1134r-5)
Sec. 641.74 What exceptions apply to the agreement to complete the
requirements for doctoral study within the period in which the
fellowship is awarded?
A prospective or an experienced faculty development fellow is not
in violation of the agreement to complete the requirements for a
doctoral degree during the period for which the fellowship is awarded,
under Sec. 641.70(a), if he or she is--
(a) Serving, for a period not to exceed 3 years, as a member of the
armed services of the United States;
(b) Temporarily totally disabled for a period not to exceed 3 years
as established by sworn affidavit of a qualified physician;
(c) Unable to continue study for a period of time not to exceed 12
months because the fellow is providing care, such as continuous
nursing, required by a spouse or another member of the fellow's
immediate family who is disabled; or
(d) Enrolled in a doctoral study program full-time and is making
satisfactory programs towards receiving a doctoral degree.
(Authority: 20 U.S.C. 1134r-5)
[FR Doc. 94-9713 Filed 4-21-94; 8:45 am]
BILLING CODE 4000-01-P