[The Regulatory Plan and Unified Agenda of Federal Regulatory and Deregulatory Actions]
[Department of Education Regulatory Plan]
[From the U.S. Government Printing Office, www.gpo.gov]

Federal Register / Vol. 61, No. 231 / Friday, November 29, 1996 / The
                            Regulatory Plan

[[Page 62038]]

DEPARTMENT OF EDUCATION (ED)
Statement of Regulatory and Deregulatory Priorities
General
The Department supports States, local communities, and higher education 
institutions to improve education nationwide. The Department's roles 
include leadership and financial support for education to agencies, 
institutions, and individuals in situations where there is a national 
interest; monitoring and enforcement of civil rights in the area of 
education; and support for research, evaluation, and dissemination of 
findings to improve the quality of education. ED works in partnership 
with parents, neighborhoods, schools, colleges, educators, business 
leaders, and communities and States across the country.
During the past 18 months, in response to President Clinton's 
``Regulatory Reinvention Initiative,'' announced March 4, 1995, the 
Department conducted a comprehensive review of its programs, 
legislation, and implementing regulations to enhance partnerships, 
increase flexibility, and improve accountability. In a June 1, 1995, 
report to the President, the Secretary promised to eliminate 842 pages 
of the Department's regulations in the Code of Federal Regulations 
(CFR) and to reinvent 1,142 pages, for a total of 1,984 pages 
representing 93 percent of the Department's regulations. The Department 
has fulfilled this commitment through a dedicated Departmentwide effort 
recognizing that students and educational partners are best served by 
regulations that focus on critical steps and results, allow as much 
flexibility as possible consistent with statutory and program goals, 
and impose the least possible burden.
Woven throughout the Department's reinvention is a commitment to 
provide quality customer service in the spirit of continuous 
improvement to assure that we are truly ``putting people first.'' The 
Department listens to our customers to identify their needs and 
incorporates their suggestions into program goals and strategies.
In order to provide information and support enhanced exchange, the 
Department instituted 1-800-USA-LEARN to connect our customers to a 
``one-stop-shopping'' center for information about departmental 
programs and initiatives, 1-800-4FED-AID for information on student 
aid, and an on-line library of information on education legislation, 
research, statistics, and promising programs. More than 10,000 people 
take advantage of these resources every week.
The Department has forged effective partnerships with customers and 
others to develop policies, regulations, guidance, technical 
assistance, and compliance approaches. The Department has an impressive 
record of successful communication and shared policy development with 
affected persons and groups, including parents, representatives of 
State and local government, institutions of higher education, school 
administrators, teachers, students, special education and 
rehabilitation service providers, professional associations, advocacy 
organizations, business, and labor.
In particular, the Department continues to seek greater and more useful 
customer participation in its rulemaking activities through the use of 
negotiated rulemaking and new technology. When rulemaking is determined 
to be absolutely necessary, customer participation is essential and 
sought at all stages--in advance of formal rulemaking, during 
rulemaking, and after rulemaking is completed in anticipation of 
further improvements through statutory or regulatory changes. The 
Department has expanded its outreach efforts through the use of 
satellite broadcasts, electronic bulletin boards, and teleconferencing. 
For example, the Department now invites comments on all proposed rules 
through the Internet.
The Department is also seeking significant program improvements, 
leading to major regulatory reforms, through its statutory 
reauthorization proposals for the education of individuals with 
disabilities, which would consolidate 14 discrete categorical programs 
into 5 broad program authorities that will support State and local 
implementation of the Individuals with Disabilities Education Act and 
improve results for children with disabilities. The Department's 
reauthorization proposal would reduce unnecessary paperwork and burden 
so that resources can be focused on improving teaching and learning. 
Congressional action on the Department's proposal is pending.
The Department is streamlining information collections, reducing burden 
on information providers involved in ED programs, and making 
information maintained by the Department easily available to the 
public. Coordinating similar information collections across programs 
may be one approach to reduce overlapping and inconsistent paperwork 
requirements. To the extent permitted by statute, regulations will be 
revised to eliminate barriers that inhibit coordination across programs 
(such as by creating common definitions), to reduce the frequency of 
reports, and to eliminate unnecessary data requirements.
The Department's Principles for Regulating, developed in October 1994 
during planning to implement the Improving America's Schools Act of 
1994, determine when and how it will regulate. Through aggressive 
application of the following principles, the Department has eliminated 
outdated or unnecessary regulations and identified situations in which 
major programs could be implemented without any regulations or with 
only limited regulations.
Principles for Regulating
The Department will regulate only if regulating improves the quality 
and equality of services to the Department's customers, learners of all 
ages. The Department will regulate only when absolutely necessary, and 
then in the most flexible, most equitable, and least burdensome way 
possible.
Whether to Regulate:
 When essential to promote quality and equality of opportunity 
            in education;
 When a demonstrated problem cannot be resolved without 
            regulation;
 When necessary to provide legally binding interpretation to 
            resolve ambiguity;
 Not if entities or situations to be regulated are so diverse 
            that a uniform approach does more harm than good.
How to regulate:
 Regulate no more than necessary;
 Minimize burden and promote multiple approaches to meeting 
            statutory requirements;
 Encourage federally funded activities to be integrated with 
            State and local reform activities;
 Ensure that benefits justify costs of regulation;
 Establish performance objectives rather than specify 
            compliance behavior;
 Encourage flexibility so institutional forces and incentives 
            achieve desired results.
Regulatory and Deregulatory Priorities for the Next Year
Student Financial Aid Improvements
For student financial aid programs, significant improvements have been 
made during the last 3 years to reduce

[[Page 62039]]

paperwork, create less complex applications, and provide faster access 
to funds. Through a comprehensive review and extensive consultation 
with the higher education community, the Department is pursuing several 
opportunities for reducing regulatory burden on schools and colleges.
The Department is continuing to design new approaches to managing the 
title IV student aid programs to minimize regulatory burden on 
students, families, and participating institutions. Working closely 
with institutions and associations, the Department is searching for 
additional changes that will reduce burden while maintaining program 
integrity.
The Improving America's Schools Act of 1994 amended the General 
Education Provisions Act to decrease from 5 years to 3 years the length 
of time that a recipient of Federal funds is required to maintain 
records. The Department expects to reduce administrative burden by 
incorporating these changes, establishing record retention standards 
for institutions, and consolidating and clarifying existing rules for 
record retention.
The Department will coordinate these initiatives with improvements in 
its administrative operations, with the broad goal of simplifying 
participation in title IV programs, streamlining communications and 
reporting, and emphasizing compliance through technical assistance and 
cooperation. These efforts are also expected to yield proposals for 
statutory changes, particularly as part of the upcoming reauthorization 
of student aid programs.
Education Department General Administrative Regulations (EDGAR) 
Selection Criteria
The Department initiated a review and evaluation of the EDGAR select 
criteria for discretionary grant programs that do not have regulations. 
(See section 75.210 of 34 CFR part 75 (Direct Grant Programs).) A 
notice of proposed rulemaking was issued on July 16, 1996 (61 FR 
37184). A cross-section of Department program, legal, and 
administrative personnel developed a ``menu'' of selection criteria 
that will be appropriate for many of the Department's discretionary 
grant programs now implemented through individual program regulations.
By using an extensive menu of EDGAR selection criteria appropriate for 
a wide variety of the Department's programs (e.g., research, planning, 
demonstration, training, fellowship, and field-initiated programs), as 
well as for more traditional grant programs, and allowing variable 
weights to be assigned for these criteria, the individual sets of 
regulations needed for these programs could be substantially reduced or 
eliminated. This would benefit the Department's customers by reducing 
regulatory burden and increasing program flexibility. As many as 52 
existing regulations could be eliminated or reinvented as a result of 
this action.
Vocational and Adult Education (Reinvention and Elimination of 
Regulations)
Under the Department's proposed vocational education legislation (H.R. 
1426, S. 696), separate set-asides and categorical authorities would be 
eliminated and replaced by one State-administered program, one broad 
discretionary grant program for national needs, and two small special-
purpose authorities. The administrative and paperwork requirements 
under the State-administered program would be scaled back significantly 
in favor of accountability for results.
The Department's adult education legislation (H.R. 1605, S. 797) 
proposal includes the consolidation of 12 programs into 1 administered 
by States and substitutes performance measures for burdensome process 
requirements.
Since action on the Workplace and Career Development Act of 1996 (H.R. 
1617) has been deferred by the Congress, the Department is moving 
forward with a review of the existing regulations governing adult and 
vocational education programs in order to meet the Secretary's 
commitment to eliminate or reinvent them as part of the Regulatory 
Reinvention Initiative.
Elimination of Regulations
In response to the President's ``Regulatory Reinvention Initiative'' 
directing heads of departments and agencies to eliminate outdated 
regulations and modify others to increase flexibility and reduce 
burden, the Department has so far eliminated 130 entire regulations 
from the CFR, totaling approximately 678 pages (60 FR 27223, May 23, 
1995; 60 FR 34800, July 3, 1995; 60 FR 50774, September 29, 1995; 60 FR 
18680, April 29, 1996; and 61 FR 32656, June 25, 1996). This 
constitutes more than 31 percent of the pages of Department regulations 
existing prior to the initiative. Certain additional postsecondary 
education regulations have also been reviewed and are targeted for 
elimination under the Department's plan for regulatory reinvention. The 
Department is continuing to review its existing regulations to identify 
further opportunities for regulatory reinvention.
_______________________________________________________________________
ED--Departmental Management (EDMAN)

                              -----------

                            FINAL RULE STAGE

                              -----------

16. REVISED EDUCATION DEPARTMENT GENERAL ADMINISTRATIVE REGULATIONS 
(EDGAR) SELECTION CRITERIA
Priority:


Other Significant


Reinventing Government:


This rulemaking is part of the Reinventing Government effort. It will 
revise text in the CFR to reduce burden or duplication, or streamline 
requirements.


Legal Authority:


 20 USC 1221e-3; 20 USC 3474


CFR Citation:


 34 CFR 75


Legal Deadline:


None


Abstract:


These regulations would expand the current EDGAR selection criteria in 
34 CFR 75.210. Section 75.210 provides selection criteria for 
discretionary grant programs without implementing regulations. This 
regulatory action would create an extensive menu of criteria that could 
be used for a variety of the Department's programs, including research, 
planning, demonstration, training, fellowship, and field-initiated 
programs.


Statement of Need:


These regulations would reduce the need for separate sets of 
regulations to govern individual discretionary grant programs.


Summary of the Legal Basis:


Use of the EDGAR selection criteria would be determined on a program-
by-program basis, subject to the applicable statutory program authority 
and program needs for effective and efficient operation.


Alternatives:


The EDGAR selection criteria would be developed as an alternative to 
issuing regulations for each of the individual programs that are able 
to use them.

[[Page 62040]]

Anticipated Costs and Benefits:


Regulations for programs for which the EDGAR selection criteria are 
appropriate could be reduced or eliminated. Providing a menu of 
criteria for which variable weights could be assigned would increase 
program flexibility.


Risks:


These proposed regulations would not address a risk to public health, 
safety, or the environment.


Timetable:
_______________________________________________________________________
Action                                 DFR Cite

_______________________________________________________________________
NPRM            61 FR 37184                                    07/16/96
Final Action                                                   12/00/96
Small Entities Affected:


None


Government Levels Affected:


None


Agency Contact:
Margo Anderson
Department of Education
555 New Jersey Avenue NW.
Room 602L, Capitol Place
Washington, DC 20208-5530
Phone: 202 219-2000
RIN: 1880-AA74
_______________________________________________________________________
ED--Office of Postsecondary Education (OPE)

                              -----------

                          PROPOSED RULE STAGE

                              -----------

17. CAMPUS-BASED PROGRAMS (REGULATORY RELIEF)
Priority:


Other Significant


Reinventing Government:


This rulemaking is part of the Reinventing Government effort. It will 
revise text in the CFR to reduce burden or duplication, or streamline 
requirements.


Legal Authority:


 20 USC 1087aa to 1087ii; 20 USC 421 to 429; 42 USC 2571 to 2756b; 20 
USC 1070b to 1070b-3


CFR Citation:


 34 CFR 673


Legal Deadline:


None


Abstract:


These proposed regulations would provide regulatory relief, including 
substitution of performance standards for procedural requirements 
wherever possible.


Statement of Need:


These regulations are part of a planned series of regulatory relief 
measures that apply to the Student Financial Assistance programs 
authorized under Title IV of the Higher Education Act of 1965, as 
amended.


Summary of the Legal Basis:


Regulations will be issued under the applicable legal authority for the 
program.


Alternatives:


The proposed changes would include deleting regulatory provisions 
common to the three Campus-Based Programs in 34 CFR Parts 674, 675, and 
676 and consolidating these provisions in a new Part 673 as an 
alternative to the existing regulations.


Anticipated Costs and Benefits:


Elimination and consolidation of regulations would reduce regulatory 
burden and increase program flexibility.


Risks:


These proposed regulations would not address a risk to public health, 
safety, or the environment.


Timetable:
_______________________________________________________________________
Action                                 DFR Cite

_______________________________________________________________________
NPRM            61 FR 49390                                    09/19/96
NPRM Comment Period End                                        10/21/96
Final Action                                                   12/00/96
Small Entities Affected:


None


Government Levels Affected:


None


Agency Contact:
Nancy Adams
Program Specialist
Campus-Based Programs
Department of Education
Office of Postsecondary Education
600 Independence Avenue SW.
Room 3045, ROB-3
Washington, DC 20202
Phone: 202 708-4690
RIN: 1840-AC34
_______________________________________________________________________
ED--OPE

                              -----------

                            FINAL RULE STAGE

                              -----------

18.  ELIMINATION OF REGULATIONS
Priority:


Other Significant


Reinventing Government:


This rulemaking is part of the Reinventing Government effort. It will 
revise text in the CFR to reduce burden or duplication, or streamline 
requirements.


Legal Authority:


 20 USC 1221e-3


CFR Citation:


 34 CFR 607 et seq


Legal Deadline:


None


Abstract:


Elimination of these regulations reduces regulatory burden and 
increases flexibility.


Statement of Need:


As a result of new regulatory reinvention review, the Secretary has 
determined that regulations for certain postsecondary education 
discretionary grant programs are no longer needed.


Summary of the Legal Basis:


The Secretary's general authority to rescind regulations is granted in 
section 410 of the General Education Provisions Act, as amended.


Alternatives:


Not applicable.


Anticipated Costs and Benefits:


Elimination of these regulations reduces regulatory burden and 
increases flexibility.


Risks:


These regulations would not address a risk to public health, safety, or 
the environment.


Timetable:
_______________________________________________________________________
Action                                 DFR Cite

_______________________________________________________________________
NPRM            61 FR 52399                                    10/07/96
Final Action                                                   11/00/96
Small Entities Affected:


None


Government Levels Affected:


None

[[Page 62041]]

Agency Contact:
Kenneth C. Depew
General Attorney
Department of Agriculture
Office of the General Counsel
600 Independence Avenue SW.
Room 5112, FB-10
Washington, DC 20202-2241
Phone: 202 401-8300
RIN: 1840-AC38
_______________________________________________________________________
ED--OPE
19.  STUDENT ASSISTANCE GENERAL PROVISIONS (RECORD RETENTION)
Priority:


Other Significant


Reinventing Government:


This rulemaking is part of the Reinventing Government effort. It will 
revise text in the CFR to reduce burden or duplication, or streamline 
requirements.


Legal Authority:


 20 USC 1085; 20 USC 1088; 20 USC 1091; 20 USC 1092; 20 USC 1094; 20 
USC 1099c; 20 USC 1141


CFR Citation:


 34 CFR 668


Legal Deadline:


None


Abstract:


These amendments revise the existing regulations to decrease from five 
years to three years the length of time a recipient of Federal funds is 
required to retain records, consolidate and clarify existing rules on 
record retention, and establish standards for record retention by 
institutions.


Statement of Need:


These regulations implement statutory amendments in the Improving 
America's Schools Act of 1994 decreasing from five to three years the 
length of time that a recipient of Federal funds is required to 
maintain records.


Summary of the Legal Basis:


Pub. L. 103-382, enacted October 20, 1994


Alternatives:


The proposed changes reflect statutory amendments that must be 
incorporated in the regulations.


Anticipated Costs and Benefits:


The proposed changes reduce administrative burden on institutions. 
Existing rules for record retention will also be consolidated and 
clarified and standards will be established for record retention by 
institutions.


Risks:


These proposed regulations would not address a risk to public health, 
safety, or the environment.


Timetable:
_______________________________________________________________________
Action                                 DFR Cite

_______________________________________________________________________
NPRM            61 FR 48564                                    09/13/96
Final Action                                                   12/00/96
Small Entities Affected:


None


Government Levels Affected:


None


Agency Contact:
Paula Husselmann
Department of Education
Office of Postsecondary Education
600 Independence Avenue SW.
Room 3053, ROB-3
Wsahington, DC 20202
Phone: 202 708-7888
RIN: 1840-AC39
_______________________________________________________________________
ED--Office of Vocational and Adult Education (OVAE)

                              -----------

                             PRERULE STAGE

                              -----------

20.  REGULATORY REINVENTION FOR ADULT AND VOCATIONAL EDUCATION 
PROGRAMS
Priority:


Other Significant


Unfunded Mandates:


Undetermined


Reinventing Government:


This rulemaking is part of the Reinventing Government effort. It will 
revise text in the CFR to reduce burden or duplication, or streamline 
requirements.


Legal Authority:


 20 USC 2301 et seq; 20 USC 2471(b); 20 USC 23341(d)(3); 20 USC 
1141(a); 20 USC 3223(a)(1); 20 USC 1225(a); 20 USC 2468; 20 USC 
2325(a); 20 USC 2325(d)(1); 20 USC 2466; 20 USC 2421; 20 USC 2424


CFR Citation:


 34 CFR 400 to 403; 34 CFR 406; 34 CFR 410 to 413; 34 CFR 415; 34 CFR 
421; 34 CFR 425 to 429; 34 CFR 460; 34 CFR 461; 34 CFR 464; 34 CFR 472; 
34 CFR 477; 34 CFR 489 to 491
Legal Deadline:


None
Abstract:


These proposed revisions would simplify regulations and reduce 
regulatory burden by eliminating unnecessary regulations. Regulations 
would be revised to be more user-friendly and better for our customers.
Statement of Need:


These regulations would eliminate and consolidate existing regulations.
Summary of the Legal Basis:


Regulations will be reviewed on a program-by-program basis, subject to 
the applicable statutory program authority.
Alternatives:


The purpose of reviewing the adult and vocational education program 
regulations is to determine whether there are appropriate alternatives 
to issuing separate sets of regulations to govern individual 
discretionary grant programs. Many of the existing regulatory 
provisions are expected to be eliminated or streamlined as a result of 
the review.


Anticipated Costs and Benefits:


Elimination and consolidation of regulations would reduce regulatory 
burden and increase program flexibility.


Risks:


These proposed regulations would not address a risk to public health, 
safety, or the environment.


Timetable:
_______________________________________________________________________
Action                                 DFR Cite

_______________________________________________________________________
ANPRM           61 FR 54024                                    10/16/96
ANPRM Comment Period End                                       11/15/96
NPRM                                                           04/00/97
Final Action                                                   00/00/00
Small Entities Affected:


Businesses, Governmental Jurisdictions, Organizations


Government Levels Affected:


State, Local, Tribal, Federal

[[Page 62042]]

Agency Contact:
Jon Weintraub
Director, Policy Analysis Staff
Department of Education
Office of Vocational and Adult Education
600 Independence Avenue SW.
Washington, DC 20202-7100
Phone: 202 205-5602
Fax: 202 260-9183
Email: Jon__Weintraub @ ed.gov
RIN: 1830-AA20
BILLING CODE 4000-01-F