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Education – HEA [Higher Education Act] Reauthorization [5]
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Education – HEA [Higher Education Act] Reauthorization [5]
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Bob Shireman's Files
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FOIA Number: 2017-1076-F
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This is not a textual record. This is used as an
administrative marker by the William J. Clinton
Presidential Library Staff.
Collection/Record Group:
Clinton Presidential Records
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National Economic Council
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Bob Shireman
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Folder Title:
Education - HEA [Higher Education Act] Reauthorization [5]
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15
1
11
2
Robert M. Shireman
07/28/97 01:45:18 AM
Record Type:
Record
To:
Constance J. Bowers/OMB/EOP
CC:
Michael Cohen/OPD/EOP, William R. Kincaid/OPD/EOP
Subject: Title V Comments
Comments on Title V (page numbers are from the EARLY version):
What if this version becomes law, and next year we find out that one of the best teacher training
programs does NOT have a strong link between the education school and the college of arts &
sciences at that institution? That is contrary to section 513(c)(2)(C) of the legislation, so the
college would not apply.
THAT and the many other very detailed provisions in this bill lead me to advise strongly that the
legislative language be cut by about 80%. This is a bad habit we have, and it's time to stop. Just
because Congress has always wanted to micro-manage ED programs doesn't mean we have to
invite them to do SO. The detailed language will restrict the Secretary's flexibility (and the ability
of the peer reviewers) when it becomes law. Furthermore, it invites Congress to add even more
detail (and we can't exactly argue against their additions with the excuse that we want to have
flexibility, since we've already undermined that ourselves). I would suggest a MUCH simpler,
basic authorization, leaving almost all of the details to the Secretary's discretion (much of what is
not in the bill could be in the accompanying description) -- just like many other agencies. Let's
take this opportunity to end the tyranny of Congressional nitpicking -- there's absolutely no
reason for the statute to dictate the contents of the application for a grant.
Here are some specific edits, but I hope they are moot because you have already taken my advice,
above.
p. 3: Delete lines 3-13 (assumes that "qualified" and "certified" are the same)
p. 3 lines 16-17, delete "providing valuable role models for all students"
p. 7 lines 9-12, the restriction on training pre-school teachers is too severe. Delete the sentence,
and in line 9 just say "pre-school, elementary, and secondary schools."
p. 9 delete lines 13-26 (too much detail for which there are unforseen consequences).
p. 10, line 25, delete "and the administration"
delete lines 4-6, and delete on lines 20-21 "and of employing a similarly diverse faculty"
p. 12, delete lines 22-23 (the requirements are getting pretty voluminous)
p. 15: the requirement to give away 40% of the funds as subgrants seems rather arbitrary. It
seems likely that some partnerships would have the lead institutions sending technical help to
other institutions, bringing people from those partners to the lead institution, etc., but that all that
money would be best doled out by one office in the lead institution -- not by using "subgrants."
This is another example of far too much detail.
p. 17, lines 5-6: If we want the lighthouses to represent "a variety of approaches," why are our
requirements so lengthy and specific? How much variety can there be after they've already been
through so many tests of their worth?
p. 17, delete lines 16-18. (This is covered enough in other portions of the description of the
program. Also, "priority" is very strong, determinative.)
p. 20 line 7-8 delete "operate teacher preparation programs"
p. 27, delete lines 11-25
Comments on Title V Sentto ED 7/29
p. 2, Insert A:
High poverty urban and rural schools will experience the most
severe teacher shortages. Of the two million teachers needed,
approximately 15 percent, or 345,000 will be needed in central
cities, in schools with large concentrations of low-income
students. An additional 207,000 teachers will be needed in
isolated, and often poor, rural areas.
p. 3, Insert B:
Nearly three-quarters of physical science students and one-third
of English students in high poverty schools take classes with
teachers who lack even a college minor in their field.
p. 15 Insert for goals section
(iii) goals for meeting the teacher preparation needs of the
local educational agencies in the partnership that will lead to
improvements in students achievement.
p. 18 Insert for "Second Five-Year Grants"
(c) Second Five-Year Grant Awards. In selecting grantees for
second grants under this Part, the Secretary shall give
preference to applicants whose projects have resulted in:
(1) the placement and retention of a substantial number of
high quality graduates in teaching positions in underserved,
high poverty schools;
(2) the adoption of effective teacher preparation programs,
in particular those meeting the needs of high poverty urban
and rural areas, by the partner institutions; and
(3) effective partnerships with elementary and secondary
schools that are supporting improvements in student
achievement.
p. 29 Insert for "Second Five-Year Grants"
(c) Second Five-Year Grant Awards. In selecting grantees for
second grants under this Part, the Secretary shall give
preference to applicants whose projects have resulted in:
(1) the placement and retention of a substantial number of
high quality graduates in teaching positions in underserved,
high poverty schools;
(2) the adoption of effective programs that meet the teacher
preparation needs of high poverty urban and rural areas; and
(3) effective partnerships with elementary and secondary
schools that are supporting improvements in student
achievement.
Page 1
Title V of the Higher Education Act:
U.S. Department of Education's Proposal for Reauthorization
The Department of Education proposes a targeted agenda for the reauthorization of
Title V of the Higher Education Act. In contrast to the current law's authorization of
numerous small. fragmented programs, the Department's proposal focuses succinctly
on recruiting new teachers for high-poverty urban and rural areas, preparing them
well, and supporting them during induction, the critical first stage of a teacher's
career.
While the Federal government already addresses the professional development of
current teachers, little has been invested in developing new teachers. Because our
Nation will be preparing more teachers than ever before, and for increasingly
challenging classrooms, a Federal investment targeted to teacher recruitment,
preparation, and induction can have a significant impact.
Our proposal has two parts: (1) support for the highest-quality teacher preparation for
underserved urban and rural areas, and (2) recruitment of qualified teachers for
these underserved areas. Both parts of the proposal also address induction, the time
period in which 30% of new teachers leave the field, in part because of a lack of
support and quality preparation.
Lighthouse Partnerships for Teacher Preparation: Our proposed Lighthouse
Partnerships program would identify a variety of institutions that prepare teachers
well, in strong collaboration with school districts in high-poverty urban and rural areas,
and promote the expansion of their best practices to other institutions. The program
would be authorized at $30 million for fiscal year 1999.
The proposal addresses three critical needs in teacher preparation. First, as a
Nation, we must identify best practices in teacher education, especially in preparing
teachers to teach in high-poverty schools. The research and evaluation literature on
teacher education programs that would tell us how best to prepare teachers does not
yet exist. As a result, teacher preparation programs vary widely in approach and
quality. Second, when exemplary teacher education practices are identified, they
should be disseminated and spread to other institutions; otherwise, good programs
will remain islands of excellence with little impact on the great majority of prospective
teachers. Third, because quality teacher preparation demands strong collaboration
with elementary and secondary schools, school districts and teacher preparation
institutions must work together In real partnerships to prepare teachers.
The Lighthouse Partnerships program would award five-year competitive grants to
partnerships among Institutions ("lead institutions ) that are exemplary In preparing
teachers for high-need areas, the school districts with which they collaborate, and a
number of "partner Institutions" that want to improve their teacher preparation
Page 2
programs. Other entities, including community colleges and States, could be partners
as well.
After a pre-application competition, a number of exemplary institutions and their
partner school districts would be invited to submit full applications in partnership with
other institutions of their choosing. Grantees would have to meet a set of rigorous
criteria measuring such factors as the quality of lead institutions' teacher preparation
programs, including their strong partnership with elementary and secondary schools
in underserved areas, and the strength of the proposed partnership with other
institutions of higher education.
Funds would be used for refinement and evaluation of the lead institution's teacher
education programs; for the aggressive dissemination of information about best
practices in teacher preparation to other institutions that prepare teachers; for
technical assistance by the lead institution in improving the partner institutions'
teacher preparation programs; for subgrants to the partner institutions for the
implementation of program improvements; for joint activities with school districts in the
partnership; for recruitment of potential teachers for underserved areas; and for
assessing the effectiveness of the grant activities.
Strong evaluation provisions in the legislation would require that the partnerships
document improvement in teacher preparation programs at the lead and partner
institutions and that they show improvement in the effectiveness and diversity of
students completing their programs. In addition, they must show improvement in
student achievement at the elementary and secondary schools with which they
collaborate.
Recruiting New Teachers for Underserved Areas: Our Nation's schools will need
to hire over two million teachers in the next decade, and they need annore diverse
talented,
teaching force. Urban and rural schools will experience the most severe teacher
Well-prepare
and
shortages; at the same time, students in those schools often need the most qualified
teachers.
The Federal government cannot solve these recruitment challenges alone, but it can
be a catalyst that stimulates the recruitment of minority teachers and teachers in
areas of high need. We propose a program to increase the number of students,
especially minority students, who complete high-quality teacher preparation programs
I
and teach in underserved areas. The program would be authorized at $39 million fo $37
fiscal year 1999 (with small portion of these funds available to pay the cost of
continuation grants under the predecessor Minority Teacher Recruitment program.)
The program would award five-year competitive grants to partnerships between
institutions of higher education and school districts in underserved urban and rural
areas, in conjunction with other partners such as community colleges, teachers'
Page 3
unions, community organizations, and States, to recruit and prepare teachers.
Together the partners would determine the needs of high-poverty schools in their
communities, such as the need for more minority teachers or for teachers in particular
subjects. Having completed this needs assessment, the partners would identify a
pool of potential teachers fitting those needs, recruit individuals from this pool, and
design high-quality preparation and induction programs tailored to those individuals.
The needs of the respective partnerships would determine their recruitment focus.
Special consideration would be given to applications from minority-serving institutions
and to applications most likely to result in increases in the numbers of minority
individuals. including language minority individuals, and individuals with disabilities in
the teaching force
The program would support scholarships for potential teachers. Applicants would
determine the funding level and number of these scholarships according to the needs
of their students. Because scholarships alone are often not enough to attract and
retain participants in the program, the grantees could also provide support services
such as academic counseling, tutoring, mentoring, child care, and transportation.
Grantees could provide support services during participants' first three years of
teaching, as well.
Individuals recruited into the program would commit to teach for at least three years in
underserved school districts, defined by poverty level. The grantees would be judged
by their success in preparing teachers to teach to high standards and in placing and
retaining new teachers in high-need communities. Thus, they would have strong
incentives to prepare students well for the challenges of teaching in high-poverty
urban and rural schools and to support them effectively during their first years of
teaching. Grantees also would have to show evidence that the numbers of minority
teachers and teachers in high-poverty areas are increased.
A matching requirement would help to ensure that the program activities continue
after Federal funding ends. Over the five-year grant period, the Federal share of the
costs of the program activities would be reduced incrementally from 90 percent to 50
percent.
A focused Federal investment in teacher recruitment and preparation can make a
substantial impact on the development of new teachers. The Department's proposal
for the reauthorization of Title V would be an effective answer to our Nation's
challenges in teaching.
Page 1
MASIER
HEA, TITLE VDRAFT
July 25, 1997
"TITLE V--EDUCATOR RECRUITMENT, PREPARATION, AND INDUCTION
"FINDINGS
"SEC. 501. The Congress finds as follows:
" (1) What Leachers know and can do has a critical
impact or student achievement, yet too often prospective teachers
are not receiving the initial preparation they need in order to
teach children from diverse backgrounds to challenging standards.
While outstanding teacher preparation programs exist in different
regions of the country, many prospective teachers are not in
rigorous clinically-based programs and do not receive
high-quality preparation (aligned with challenging content and
performance standards) in the subject areas they will teach, and
in child development and teaching methods.
" (2) A number cf elementary and secondary schools
throughout the United States are implementing educational reform
strategies that are research-based, have records of demonstrated
effectiveness in enabling students to achieve to high [State or
local] standards, are replicable in diverse and challenging
circumstances, and are supported by networks of researchers and
experienced practitioners. Yet preparation to implement these
strategies is not generally a central component of initial
teacher preparation. The result is that most newly prepared
teachers do not have a thorough grounding in the most effective
classroom practices.
Page 2
If (3) Institutions of higher education that provide
teachers for urban and rural schools that enroll concentrations
of children from low-income families often have the greatest need
to restructure their teacher preparation programs because the
teachers they graduate) will face the greatest classroom
challenges
the
"
(4) Improvement of teacher preparation in mathematics
and reading represents a particular challenge for American
education. For example, most future elementary and middle-school
mathematics teachers take no more than one or two college-level
mathematics courses, and these courses are not designed for
prospective teachers and do not cover the mathematics content
that elementary and middle-school teachers [should] teach; ner do
many prospective teachers learn the teaching methods needed to
enable students to meet challenging mathematics standards. In
reading, most teacher preparation programs have not incorporated
the large body of research on effective reading instruction.
[SENTENCE DELETED] Progress has been particularly slow in
0
preparing teachers to teach reading in a way that meets the wide
range of learning needs in the classroom.
" (5) If current trends continue, American schools will
need to hire more than two million teachers in the next decade to
educate an increasing number of students and to replace current
insert
teachers who will retire or leave the profession.
Recent trends
A
in the number of people preparing to enter teaching indicate that
the normal operation of the labor market, by itoclf, will not
Page 3
produce the number of qualified teachers schools will need.
" (6) Schools are already having trouble recruiting
qualitied teachers The National Commission on Teaching and
America's Future found that 50,000 uncertified individuals
annually enter teaching because schools, frequently those in
urban and rural areas with large concentrations of children from
low-income families, cannot find all the certified teachers they
insert
need ^ According to the Commission, 12 percent of newly hired
teachers enter teaching without any relevant training, and an
additional 14 percent enter without having met State licensure
standards; fewer than three-quarters of all new teachers are
fully qualified.
11 (7) Teaching excellence and diversity are inextricably
connected. By bringing distinctive life experiences and
perspectives into the classroom, providing valuable role models
for all students, enriching the instructional curriculum, and the
school climate, and strengthening connections to parents and
communities, teachers from diverse racial and ethnic groups, and
those with disabilities, enhance the quality of American
education., Yet today, members of racial and ethnic minority
-while
groups make up only 13 percent of the teaching force and few one-third
individuals with disabilities are teaching in American
of American
classrooms.
students are
M (8) The Federal Government, by itself, cannot ensure
minority
needed improvements in teacher preparation or solve the problem
of teacher shortages. However, the Government can make limited,
Page 4
targeted investments that
" (A) encourage more institutions of higher
education that operate teacher preparation programs, working in
partnership with local educational agencies and States, to adopt
the practices and strategies of the best programs; and
Americans
" (B) encourage more people,[and a more diverse mix of
people,] people to enter teaching, complete high-quality
preparation programs, and teach in underserved communities.
"PURPOSE
"SEC. 502. [The purpose of this Litle is to help meet the natural national
need to recruit, prepare, and retain a high-quality and diverse supply of
elementary and secondary education teachers, particularly for schools in urban
and rural areas with concentrations of children from low-Income families, by-]
" (1) authoriz [ing] support for partnerships among
institutions of higher education that operate exemplary teacher
preparation programs, other institutions of higher education
seeking LO improve their programs, public elementary and
secondary schools, and States, in order to improve the quality of
the initial preparation of teachers for high-poverty communities;
" (2) authoriz [ing] support for partnerships to increase
the number and diversity of students who enter teacher education
become
programs, complete high-quality preparation programs, and
teach
effective
in underserved urban and rural communities; and
teachers
" (3) encourag(ing) through such partnerships, the
Page 5
creation of a more diverse teaching force, through the
recruitment and preparation of minority individuals, [including]
language minority individuals, and individuals with dicabilities,
to enter teaching.
"AUTHORIZATION OF APPROPRIATIONS
"SEC. 503. (a) AUTHORIZATION FOR PARTS A AND B. There are
authorized to be appropriated--
If (1) $30,000,000 for fiscal year 1999 and such sums as
may be necessary for each of the four succeeding fiscal years to
carry out the program of Lighthouse Partnerships under part A;
and
37
(2) $29,000,000 for fiscal year 1999 and such sums as
MA
may be necessary for each of the four succeeding fiscal years to
carry out the program of Recruiting New Teachers for Underserved
Areas under part B.
If (b) TRANSITION. Notwithstanding any other provision of
law, the Secretary may use funds appropriated under
subsection (a) to make continuation awards for projects that were
funded under subpart 2 of part F. of title V of this Act, as in
effect [prior to enactment of {name of Act}].
"PART A--LIGHTHOUSE PARTNERSHIPS
"DEFINITIONS
Page 6
"SEC. 511. As used in this part, the following terms have
the following meanings:
" (1) (A) The term 'lead institution' means an
institution of higher education that--
" (i) operates an exemplary [teacher preparation]
program of significant size in one or more areas of teacher
preparation, which may include the preparation of principals and
other educational administrators;
" (ii) desires to assist other institutions of
higher education in improving their programs and to serve as a
national model for effective teacher preparation; and
significant
a
" (iii) prepares teachers for teaching
positions in urban and rural communities with concentrations of
percentage
children from low-income families.
of its
11 (B) A lead institution [may participate] in a
graduates
consortium with one or more two-year colleges with which it has
articulation agreements relating to teacher preparation.
If (2) The term 'lighthouse partnership' means a
partnership of a lead institution, partner institutions, and
State and local educational agencies, that is dedicated to
improving the quality of teacher preparation programs. Within
each partnership, the lead institution shall act as the fiscal
agent for the grant.
If (3) The term 'partner institution' means an
institution of higher education that
" (A) prepares teachers for their initial entry
Page 7
into the teaching profession;
= (B) desires to improve its program with
assistance from a lead institution; and
" (C) prepares teachers for teaching positions in
urban and rural communities with concentrations of children from
low-income families.
# (4) The term 'teacher preparation program' means a
program operated by an institution of higher education that
prepares students to obtain initial teacher licensure and to
teach in elementary and secondary schools. Such a program may
also prepare students to become preschool teachers it the
institution serves a State or school districts in which preschool
education is provided as free, public education.
"GRANTS TO LIGHTHOUSE PARTNERSHIPS
"SEC. 512. (a) GRANTS AUTHORIZED (1) From funds
appropriated under section 503 (1) for this part for each fiscal
year, the Secretary shall make competitive grants to lighthouse
partnerships.
" (2) Each grant under paragraph (1) shall be for a
period not to exceed five years.
" (3) The Secretary shall
H (A) make continuation awards, for the second and
succeeding years, only after determining that the partnership is
Page 8
making satisfactory progress in carrying out the grant; and
" (B) conduct an intensive review of the
partnership's progress, with the assistance of outside experts,
before making the continuation award for the fourth year of the
grant.
" (b) LIMITATION. No partnership may receive more than two
grants under this part.
"PREAPPLICATIONS AND APPLICATIONS
"SEC. 513. (a) PREAPPLICATIONS. Each lead institution that
wishes to participate in a lighthouse partnership that will apply
for a grant under this part shall submit a preapplication to the
Secretary at such time, in such manner, and containing such
information as the Secretary may require, except that the lead
institution need not identify the other members of the
partnership until it submits an application under subsection (b)
[The Secretary shall use a peer review process to review such preapplications.]
11 (b) APPLICATIONS REQUIRED. Any lighthouse partnership
desiring to receive a grant under this part shall submit an
application to the Secretary at such time, in such form, and
containing such information as the Secretary may require.
If (c) CONTENTS. Each application shall include--
" (1) a description of the teacher preparation program
operated by the lead institution, including information on the
curriculum, the faculty, and the number and characteristics of
students served;
Page 9
" (2) evidence of the quality of the institution's
teacher preparation program, covering--
" (A) the extent to which the institution provides
a coherent program in one or more areas of teacher education,
that
H (i) is organized around a sound conceptual
framework reflecting the best of what is known, from research and
practice on teacher education,
" (ii) prepares teachers to implement
research-based instructional programs of demonstrated
in particular
effectiveness and to teach their students to high content
those in
A
standards; and
high-poverty high schools,
" (iii) reflects high standards for teaching,
Stateand State and
such as the standards of the National Board for Professional
local
Teaching Standards, and for teacher education;
" (B) the commitment of the institution to its
program of teacher preparation which may include evidence on
II (i) the role of teacher education within the
overall mission of the institution;
II (ii) the involvement of the institution's
President, Provost, or other top administrators in the teacher
education program;
# (iii) the extent to which the board of
trustees supports the program; and
If (iv) the financial commitment of the
institution to its teacher preparation program (such as
Page 10
information on the funding provided per student enrolled in
teacher preparation, compared to the funding provided for
students in other programs, or on the endowment of chairs and
professorships in teacher education compared to those endowments
in other areas)
collaborations
" (C) the connections between the institution's
teacher preparation program and its departments or schools of
for the
iurpose of
arts and sciences as demonstrated through such evidence as the
nsuring
course requirements in arts and sciences for prospective teachers
\ close
and the involvement of arts and sciences faculty members in the
mnetion
setween
teacher preparation program (such as through joint development
edagogy
nd contents
and teaching of courses, arts and sciences faculty members'
iteacher supervision of student teachers, and joint faculty appointments)
reparation
" (D) the extent to which the institution operates
a clinically based teacher preparation program through
which
in particular
in high
prospective teachers participate in intensive, structured
poverag schools
clinical experiences, with extensive faculty involvement,
throughout their preservice education, and the extent to which
those experiences are integrated into the curriculum;
If (E) the extent to which the institution's program
offers continuous assistance to its graduates during their
initial years in the classroom;
program meets the needs
If (F) the extent to which the institution
of builds and
other connections with elementary and secondary education
(particularly with urban and rural schools and school systems
that serve concentrations of students from low-income families
Page 12:
" (J) the procedures the institution uses to
measure the quality of its teacher preparation program (including
the extent to which graduates improve their subject matter
knowledge and teaching ability as a result of their participation
in the program) and to improve its program, using information
generated through those procedures;
If (K) the success of the program in graduating
students who are fully qualified to teach to high standards in
the State or region served by the institution;
" (L) the quality of the program's graduates, as
documented through such evidence as the graduates' record of
obtaining (and retaining) teaching positions and the opinions of
school district officials, in the State or region, of the quality
of those graduates;
(M) if applicable, the quality of the
institution's program for the preparation of school principals
and other school administrators, and of the success of that
program; and
n
(N) involvement and leadership of the institution
in national, regional, and State efforts to improve teacher
education and licensure;
" (3) evidence of the extent to which--
" (A) graduates have taken teaching positions in
urban and rural schools in communities with concentrations of
students from low-income families; and,
If
(B) the institution recruits and served students
Page 13
(such as education paraprofessionals) from those communities;
11 (4) evidence of the experience of the lead institution
in creating or participating in networks with other institutions
to improve the quality of teacher preparation programs including
7
networks established for the support of research based elementary
and secondary educati OR reform egies;
II (5) a description of how the partnership will operate
a program under this part, including--
" (A) a description of the governance structure
that the partnership will establish (through a written
partnership agreement) for the grant, which shall include the
active involvement of high-level administrators of the lead
institution and representatives of
If (i) both the teacher preparation program and
the school or department of arts and sciences in the lead
institution;
If (ii) the partner institutions involved with
the grant;
" (iii) local educational agencies [(including
teachers and other school-level officials)] served by the lead institution
and one or more of the partner institutions; and
If (iv) State officials with authority over
teacher licensure and teacher preparation in the States in which
the lead institution and one or more of the partner institutions
are located;
11 (B) a description of how the partnership will
Page 11
which may include
and with the education reforms under way in the institution's
State\ as demonstrated shrough such evidence as
M (1) strong involvement of one-facalty
(including the arts and sciences faculty) and the administration
I
in elementary and secondary education,
If
1
involvement of elementary and secondary
educators in the continuing development, improvement, and
implementation of the teacher preparation program; and
(iii) institutional policies that take into
a
account, in faculty promotion and tenure decisions, service to
elementary and secondary education;
If (G) the success of the institution in preparing
teachers to teach [effectively] individuals from diverse
populations, such as evidence of the extent to which those
graduates demonstrate the knowledge and skills to teach
individuals from diverse populations and
" (H) the extent to which the institution has
incorporated the use of educational technology into its teacher
preparation program and is preparing teachers to use technology
to teach children to high standards;
If (I) the record of the institution's teacher
preparation program in attracting and graduating a diverse
student body (including the recruitment and enrollment of
individuals with disabilities), taking into account the diversity
of the State or region served by the institution, and of
employing a similarly diverse faculty,
Page 14
fully engage local educational agencies in the activities carried
out under the grant, and of how those activities will benefit
those agencies;
II (C) a description of how the partnership will use
the tunds it receives under the grant, [including how the partnership
will use those funds to address the teacher training needs of the local
educational agencies that are members of the partnership,] consistent with
section 514;
" (D) a description of how the activities
undertaken with the grant will support, and be integrated with,
the educational reforms under way in the States of the lead and
the partner institutions, including a description of plans for
coordinating activities carried out under the grant with
activities carried out under title II, title III, and section 3132] of
the Elementary and Secondary Education Act of 1965, the
Goals 2000: Educate America Act; the School-to-Work Opportunities
Act of 1994, the Carl D. Perkins Vocational and Applied
Technology Act, and the Individuals with Disabilities Education
Act;]
["(E) a deccription of how the institution will coordinate its
activities under the grant with other Federal or State professional development
programs or activities designed to improve pre- and in-service teacher training;
and]
(F) a description of-
"(i) the measurable goals the partnership expects to
achieve through the grant, including-
Page 15
"(I) goals for improvements in the teacher
preparation programs of the partner institutions;
see
"(II) goals for improvements in the quality, and
inse
increases in the number and diversity, of the graduates of teacher preparation
programs operated by members of the partnership who take teaching positions in
high-poverty schools of the local educational agencies in the partnership; and
you meeting the ugher
-
(III) such other goals, consistent with
partnership
the purposes of this part, as the partnership may select; and
(ii) how the partnership will determine whether
it is meeting those goals; and]
" (G) a description UI the partnership's plan for
institutionalizing the activities it is carrying out under this
part, SU that those activities will continue once Federal funding
ceases.
"USES OF FUNDS
"SEC. 514. (a) REQUIRED ACTIVITIES. [In order to increase the
quality, number, and diversity of elementary and secondary teachers it is
preparing for positions in urban and rural areas with concentrations of
low-income families,] each partnership selected to receive a grant
under this part shall use the grant funds for each of the
following purposes:
" (1) Further development, refinement, assessment of,
and dissemination of information on, the teacher preparation
programs operated by the lead institution, including activities
Page 16
that document, for other institutions nationally and for
policy-makers, effective practices in teacher preparation and
that produce curricular and other materials for use by other
institutions preparing teachers.
" (2) Technical assistance by the lead institution. to
the partner institutions in improving the partner institutions'
teacher preparation programs (and, if applicable, their principal
and other administrator preparation programs), based on the
experience of the lead institution and the particular needs of
the partners.
high poverty schools in
If (3) Making subgrants to the partner institutions for
implementation of program improvements at those institutions,
[through adoption or adaptation of the teacher preparation practices of the lead
institution, to meet the needs of the urban and rural communities they serve.]
Each partnership shall use at least 40 percent of its grant for
this purpose.
" (4) Joint activities with the local educational
agencies in the partnership, and with other local educational
agencies, that increase the involvement of classroom teachers and
school administrators in the design and implementation of teacher
preparation programs operated by the lead and partner
institutions (and thereby make those programs more responsive to
the needs of teachers and administrators), and other activities
to improve teaching and administration, [and to support new teachers,]
high poverly
in the A schools of those local educational agencies.
" (5) Cooperation and interaction with other lighthouse
Page 17
partnerships and with other institutions, organizations, and
public agencies, on activities aimed at the improvement of
teacher preparation nationally, including improvement of teacher
licensure and relicensure requirements.
" (6) Assessment of the effectiveness of the activities
carried out under the grant, including the extent to which the
[partnership is achieving its goals under section 513(c )(5)(F)].
" (b) OPTIONAL ACTIVITIES. Each partncrship selected LO
receive a grant under this part may also use the grant
funds[PHRASE DELETED] for joint activities with States that
promote the development and implementation of State policies to
facilitate the improvement of teacher preparation programs (and,
if applicable, principal and other administrator preparation
programs) within the States, as E component of comprehensive
education reforms.
"SELECTION OF APPLICATIONS
"SEC. 515. (a) PEER REVIEW. The Secretary shall. using a
peer review process, select applicants to receive grants under
A
this part on the basis of--
H (1) the quality of the teacher preparation program
operated by the -lead institution in a proposed partnership,
" (2) the quality of the partnership's plan for carrying
out activities under the grant; and
N (3) the capacity of the lead institution and its
partners to carry out the proposed activities successfully.
H (b) CRITERIA AND PRIORITIES. [(1)] In selecting grantees
under this part, the Secretary shall seek to ensure that-
If (A) lighthouse partnerships represent a variety
of approaches to teacher preparation;
If (B) lead institutions represent a variety of
institutions of higher education; and
" (C) there is an equitable geographic distribution
of awards.
" (2) In addition to complying with paragraph (1), the
Secretary shall give priority to applications for--
B
" (A) projects that are likely to result in
improvement of teacher preparation in the areas of mathematics
and reading; and
P
"(B) projects that are likely to prepare a
individuals
significant number of minority individuals, [including] language with high
potentialto
minority individuals4 and individuals with disabilities to be be effective
teachers,
teachers, (c) Second Five-Year grants (see insert)
including
"EVALUATION
"SEC. 516. The Secretary shall provide for an evaluation of
the program carried out under this part, including an assessment
of such issues as--
(A) projects that are likely to have the most significant impact
on the quality of teaching in high poverty urbanand
rural schools;
Page 19
" (1) the extent to which the activities carried out
through Lighthouse Partnerships result in significant and
positive changes in the teacher preparation programs operated by
partner institutions, as well as improvements in the programs
that will
operated by lead institutions;
lead to
11 (2) the extent to which Lighthouse Partnership grants improvement
enhance the effectiveness, including the technological
in teaching
and learning
proficiency, and the diversity, of students completing teacher
preparation programs in the institutions of higher education
participating in the grants; and
If (3) the involvement of elementary and secondary
schools and school districts serving concentrations of children
from low-income families in the activities carried out under this
part, and the extent to which those activities result in benefits
to those schools and districts, including information on the
extent to which involvement in the grants improves the
instructional programs and the educational outcomes for students
in those schools and districts.
"NATIONAL ACTIVITIES
"SEC. 517. The Secretary may reserve up to 5 percent of the
funds appropriated to carry out this part for any fiscal year
for--
Page 20
" (1) peer review of applications;
" (2) evaluation of the program under section 516, and
measurement of its effectiveness in accordance with the
Government Performance and Results Act of 1993;
" (3) conferences [and networks] of lighthouse
partnerships, and other entities, in order to facilitate the
exchange of information and ideas among the participating
partnerships and other institutions, agencies, and individuals,
[including recipients of funds under part B,] who are interested in the
improvement of teacher preparation and parallel improvements in
principal and administrator preparation; and
If (4) technical assistance and other activities to
enhance the success of the program carried out under this part or
of teacher education more generally.
"PART B RECRUITING NEW TEACHERS FOR UNDERSERVED AREAS
"PROGRAM AUTHORIZED
"SEC. 521. From funds appropriated to carry out this part
under section 503 (2) for each fiscal year, the Secretary shall
make competitive grants to eligible applicants for programs
that--
" (1) provide scholarships and, as necessary, support
services for students, particularly minority students, [including]
language minority students, and students with disabilities,
seeking to complete teacher preparation. programs and to teach in
underserved areas; and
with potential to become high quality teachers
Page 21
" (2) thereby increase the [quality.] number, [and diversity]
of new teachers nationally and increase the ability of schools in
underserved areas to recruit a qualified teaching staff.
"DEFINITIONS
"SEC. 522. As used in this part, the following terms have
the following meanings:
11 (1) (A) The term 'eligible applicant' means a
partnership of--
" (i) an institution of higher education that
grants baccalaureate degrees and prepares teachers for their
initial entry into the teaching profession; and
" (ii) one or more local educational agencies
that are in underserved areas.
H (B) Such a partnership may also include--
" (i) two-year colleges that operate teacher
preparation programs and maintain articulation agreements, with
the baccalaureate-granting institution, for the transfer of
credits in teacher preparation;
" (1i) State agencies that have responsibility
for policies related to teacher preparation and licensure; and
If (iii) other public and private, nonprofit
agencies and organizations that serve, or are located in,
communities served by the local educational agencies in the
partnership, and that have an interest in teacher recruitment,
preparation, and induction.
Page 22
" (2) The term 'support services' includes--
" (A) academic advice and counseling;
If (B) tutorial services;
886 (C ) mentoring; [and]
" (D) child care and transportation, if funding for
those services cannot be arranged from other sources; and
If (3) The term 'underserved area' means-
["(A) the three local educational agencies in the State that
have the highest numbers of children, ages 5-17, from families below the poverty
level (based on data satisfactory to the Secretary); and
"(B) any other local educational agency in which the
percentage of such children is at least 20 percent, or the number of such children
is at least 10,000.]
GRANT CONDITIONS
"SEC. 523. (a) GRANTS AUTHORIZED -- (1) (A) The Secretary
shall carry out this part by making competitive grants to
eligible applicants.
" (B) Each grant under subparagraph (A) shall be
for a period not to exceed five years.
" (2) The Secretary shall-
" (A) make continuation awards, for the second and
succeeding years, only after determining that the grantee is
making satisfactory progress in carrying out the grant; and
" (B) conduct an intensive review of the grantee's
progress, with the assistance of outside experts, before making
Page 23
the award for the fourth year of the grant.
" (3) No partnership may receive more than two grants
under this subsection.
" (b) MATCHING REQUIREMENT. - (1) The Federal share of the
cost of activities carried out under a grant made under
subsection (a) shall not exceed-
" (A) 90 percent of the cost in the first year of
the grant;
" (B) 80 percent in the second year;
If (C) 70 percent in the third year;
= (D) 60 percent in the fourth year; and
" (E) 50 percent in the fifth year and any
succeeding year (including each year of the second grant, if
any)
" (2) The non-Federal share of activities carried out
with a grant under subsection (a) may be provided in cash or in
kind, fairly evaluated, and may be obtained from any non-Federal
public or private source.
" (c) PLANNING GRANTS. - - (1) The Secretary may make planning
grants to eligible applicants that are not yet ready to implement
programs under subsection (a) .
" (2) Each planning grant shall be for a period of not
more than one year, which shall be in addition to the period of
any grant under subsection (a)
" (3) Any recipient of a planning grant under this
Page 24
subsection that wishes to receive a grant under subsection (a) (1)
shall separately apply for a competitive grant under that
subsection.
"GRANT APPLICATIONS
"SEC. 524. (a) APPLICATIONS REQUIRED. Any eligible
applicant desiring to receive a grant under this part shall
submit an application at such time, in such form, and containing
such information as the Secretary may require.
If (b) APPLICATION CONTENTS. Each application [ur d grant
under section 523 (a) shall include--
" (1) à designation of the institution or agency, within
the partnership, that will serve as the fiscal agent for the
grant;
a description of how the
institution will improve its teacher
preparation practices
" (2) information on the quality of the institution's
teacher preparation program, which may include the types of
information described in section 513 (c) (2) , [and how the applicant will
ensure that scholarship recipients will receive high-quality preparation];
" Is a description of the assessment the institution,
the local educational agency partners, and other partners have
undertaken--
" (A) to determine--
II (i) the most critical needs of the local
educational agencies, particularly the needs of schools in
high-poverty areas, for new teachers (which may include teachers
in particular subject areas or at certain grade levels, including
Page 25
the prekindergarten level, minority teachers, and teachers who
are disabled who will contribute to the diversity of the local
educational agency's teachers, or teachers who are fluent in
languages spoken by students in the local educational agency) ;
and
" (ii) how the project carried out under the
grant will address those needs; and
" (B) that reflects the input of all significant
entities in the community (including organizations representing
teachers and parents) that have an interest in teacher
recruitment, preparation, and induction;
R (A) a description of the project the applicant will
carry out with the grant, including information on--
" (A) the recruitment and outreach efforts the
applicant will undertake to publicize the availability of
scholarships and other assistance under the program;
n (B) (i) the number and types of students that the
applicant will serve under the program, which may include
education paraprofessionals seeking to achieve full teacher
certification; teachers whom the partner local educational
agencies have hired under 'emergency certification' procedures;
or former military personnel, mid-career professionals, or
AmeriCorps or Peace Corps volunteers, who desire to enter
teaching; and
" (ii) the criteria that the applicant will
use in selecting those students, including criteria to determine
Page 26
whether individuals have the capacity to benefit from the program,
and complete teacher certification requirements; and become high
(C) the activities the applicant will carry out
quality
under the grant, including a description of, and justification
teachers.
for, any support services the institution will offer to
participating students;
" (D) the [number and funding range] of the
scholarships the institution will provide to students; and
" (E) the procedures the institution will establish
for entering into, and enforcing, agreements with scholarship
recipients regarding their fulfillment of the service commitment
described in section 523;
" (is) (5) a description of how the institution will use
with
funds provided under the grant only to increase the number of
nigh
students participating in its teacher preparation programs, or in
sofential the particular type or types of preparation programs that the
to be
effective grant would support, or to increase the number of their graduates
teachers who are minority individuals [including] language minority
w with high
individuals, or individuals with disabilities;
potential tote
Lalified
76) (6) a description of commitments, by the partner local effective teachers
educational agencies, to hire scholarship recipients in their
schools and in the subject areas or grade levels for which the
recipients will be trained, and a description of the actions the
grantee institution, the local educational agencies, and the
other partners will take to facilitate the successful transition
of those recipients into teaching; and
Page 27
8
= (n) a description of the applicant's plan for
institutionalizing the activities it is carrying out under this
part, 50 that those activities will continue once Federal funding
ceases.
"USES OF FUNDS
"SEC. 525. IN GENERAL. Each grantee under section 523 (a)
[shall use the grant funds of the following:]
II (1) Scholarships to help students pay the costs of
tuition, room, board, and other expenses of completing a teacher
preparation program.
# (2) Support services, if needed to enable scholarship
recipients to complete postsecondary education programs [PHRASE
DELETED]
["(3) Follow up services provided to former scholarship recipients
during their first three years of teaching.]
(4) Payments to partner local educational agencies, if
needed to enable them to permit paraprofessional staff to
participate in teacher preparation programs (such as the cost of
'release time' for those staff).
If (5) If appropriate, and if no other funds are
available, paying the costs of additional courses taken by former
scholarship recipients during their initial three years of
teaching.
n (b) PLANNING GRANTS. A recipient of a planning grant under
Page 28
section 523 (c) shall use the grant. funds for the costs of
planning for the implementation of a grant under section 523 (a).
"SELECTION OF APPLICANTS
"SEC. 526. (a) PEER REVIEW. The Secretary, using a peer
review process, shall select applicants to receive funding under
this part on the basis of--
11 (1) the quality of the teacher preparation program
offered by the institution;
If (2) the quality of the program that would be carried
out under the application; and
" (3) the capacity of the partnership to carry out the
grant successfully.
" (b) CRITERIA AND PRIORITIES. (1) In making selections, the
Secretary shall seek to ensure that
" (A) in the aggregate, grantees carry out a
variety of approaches to preparing new teachers; and
" (B) there is an equitable geographic distribution
of awards.
11
(2) In addition to complying with paragraph (1), the
Secretary shall give [special consideration] to--
with
" (A) applications most likely to result in
sigh
increases in the numbers of minority individuals, lanquage
potential to be
minority individuals, and individuals with disabilities in-the
effective teaching force; and
teachers,
(B) applications from historically Black colleges
including
Page 29
and universities, Hispanic-serving [institutions], and Tribal
Colleges and Universities, as defined in title III of this Act.
(c) Second Five-Year Grants (see insert)
"DURATION AND AMOUNT OF ASSISTANCE; RELATION TO OTHER ASSISTANCE
"SEC. 527. (a) DURATION OF ASSISTANCE. No individual may
receive scholarship assistance under this part--
$ (1) for more than five years of postsecondary
education; [and
(2) unless that individual satisfies the requirements
of section 484 (a) (5) of the Higher Education Act of 1965.]
" (b) AMOUNT OF ASSISTANCE. No individual may receive an
award under this program that exceeds the cost of attendance, as
defined in section 472 of this Act, at the institution the
individual is attending.
" (c) RELATION TO OTHER ASSISTANCE. A scholarship awarded
under this part--
If (1) shall not be reduced on the basis of the
individual's receipt of other forms of Federal student financial
assistance; and
" (2) shall be regarded as other financial assistance
available to the student, within the meaning of sections 471 (3)
and 480 (i) (1) of this Act, in determining the student's
eligibility for grant, loan, or work assistance under title IV cf
this Act.
"SCHOLARSHIP CONDITIONS
"SEC. 528. (a) In General. A recipient of a scholarship under
Page 30
this part shall continue to receive that assistance only as long
as he or she is--
"(1) enrolled as a full-time student and pursuing a
course of study leading to teacher certification, unless he or
she is working in a public school (as a paraprofessional, or as a
teacher under emergency credentials) while participating in the
program; and
" (2) maintaining satisfactory progress as determined by
the institution.
[(b). Special Rule. The application of section 527(a) and
section 528(a)(1) shall be modified by a grantee to the extent necessary to
accomodate the rights of students with disabilities under section 504 of the
Rehabilitation Act of 1973.]
*SERVICE REQUIREMENTS
"SEC. 529. (a) REQUIREMENT. Each partnership receiving a
grant under this part shall enter into an agreement, with each
student to whom it awards a scholarship under this part,
providing that a scholarship recipient who completes a teacher
preparation program under this part shall, within five years of
completing that program, teach full time for at least three years
in a school in an underserved geographic area or repay the amount
under the
of the scholarship to the Secretary.
)
II (b) REGULATIONS. The Secretary shall prescribe
termsand
conditions
regulations relating to the requirements of subsection (a),
established by
including any provisions for waiver of those requirements.
Zm
Page 31
"EVALUATION
"SEC. 530. The Secretary shall provide for an evaluation of
the program carried out under this part, which shall assess such
issues as--
" (1) whether institutions taking part in the
partnerships are successful in preparing scholarship recipients
to teach to high standards;
" (2) whether scholarship recipients are successful in
completing teacher preparation programs, becoming fully certified
teachers, and obtaining teaching positions in underserved areas,
/
and whether they continue teaching in those areas over a period
of years;
" (3) the [national] impact of the program in assisting
local educational agencies in underserved areas to recruit,
prepare, and retain diverse, high-quality teachers in the areas
in which they have the greatest needs;
" (4) the long-term impact of the grants on teacher
preparation programs conducted by grantees and on grantees'
relationships with their partner local educational agencies and
other partners; and
" (5) the relative effectiveness of different approaches
for preparing new teachers to teach in underserved areas,
including their effectiveness in preparing new teachers to teach
to high content and performance standards.
Page 32
"NATIONAL ACTIVITIES
"SEC. 531. The Secretary may retain up to five percent of
the funds appropriated for this part for any fiscal year for--
If (1) peer review of applications;
II (2) conducting the evaluation required under
section 530; and
" (3) technical assistance and other activities to
facilitate the exchange of information and ideas among
participating partnerships, and other activities to enhance the
success of the program carried out under this part "
-
A
&
A
A
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The Title III programs directly relate to the Department's support of access to postsecondary
education as well as high standards and high achievement because these programs enable the
improvement and expansion of an institution's expacity to provide educational opportunities for
large numbers of needy and underrepresented students. The Department is proposing the
following changes to Title III as part of the reauthorization.
Title III resuthorization structure
The revised Title III structure will bc as follows:
Part A: Strengthening Institutions program
Part B: Historically Black Colleges and Universities (HBCU) program
Part C: HBCU Capital Financing program
Part D: Strengthening Hispanic Serving Institutions (HSI) program
Part E: Strengthening Tribal Colleges and Universities (TCU) Program
Part F: Minority Science Improvement Program (MSIP)
Part G: General Provisions
Use of funds
New technology initiative
This new initiative focuses on improving the educational capacity of institutions participating in
the Institutional Aid programs by giving priority to those applications that focus on integrating the
use of technology and enhancing the institution's technological capacity in their activities. An
authorized activity also has been added to encourage institutions to invest in the improvement of
their administration of funds made available to students pursuant to Title IV of the HEA
Endowment funds
Eliminate the Endowment Challenge Grants program and allow institutions participating in each of
the Institutional Aid programs the option of using a portion (up to 20 percent) of their awards to
establish or expand an endowment fund. Institutions would be required to match the federal funds
used for this purpose - at least equal to one dollar of institutional funds for every two dollars of
the grant funds with nonfederal funds.
Restructuring
Move the Hispanic Serving Institutions (HSI) Program from Part A to a new part
Move the HSI program into a separate part to be consistent with having a separate part for the
Historically Black Colleges and Universities (HBCU) program and our proposal to have a separate
part for Strengthening Tribal Colleges and Universities (TCU). The Strengthening HSI program
currently exists under Title Ш Part A: Sec. 316.
In addition, revise the definition of an HSI by eliminating the two low-income and Arst-generation
criteria. To be an eligible Title III institution, SOC. 312(b) already requires the enrollment of needy
students. This change will lessen the data collection burden on eligible institutions but have a
negligible effect on the number of eligible institutions.
Eliminate the current priority of a collaborative arrangement with & local educational agency 10
29
JUL-25-1997 15:29 TO:76 - NEC
FROM:DADE, J.
P. 33/35
create more consistency between the HSI program and the other Strengthening Institution
programs, which do not have this requirement.
Incorporate the Minority Science Improvement Program (MSIP) and Historically
Black Colleges and Universities (HBCU) Capital Financing Program into Title III as
separate parts
Since both programs also serve to strengthen institutions and are targeted to the institutions most
served by the other programs in Title III, this incorporation will move the two programs, with
minimal changes, to where they most appropriately fit within the HEA.
New part
Create a new Strengthening Tribal Colleges and Universities (TCU) program
In recognition of the important role Tribal Colleges and Universities (TCU) have in educating
American Indian and other low-income students, the Department has proposed legislation creating
a new institutional development program. The purpose of this program is to improve, strengthen
and expand the institution's capacity to serve American Indian and other low-income students.
The Department intends to increase the support to institutions that serve large numbers of Native
American and Alaska Natives. Recent research has shown that Native Americans and Alaska
Natives require additional assistance and focus to address their postsecondary education
attendance and attainment. A recent Carnegie Report also asserts Tribal Colleges have been
neglected, unrecognized, and under funded by both the Federal Government and the private
sector.
Increased funding
The institutional development programs would have an increased allocation of about $275 million
-- nearly $70 million more than the President's FY 1998 budget request. This authorization level
reflects the Department's increased commitment to capacity-building for institutions that serve
large numbers of needy and underrepresented students. The following section provides a table and
a brief description of the fiscal year 1998 and 1999 budget requests for the Title III Institutional
Aid programs.
30
JUL-25-1997 15:29 TO:76 - NEC
FROM:DADE, J.
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(La thousands of dollars)
FY1998*
FY1999*
Aid for Institutional Development:
Strengthening Institutions [Part A]
$55,450
$ 80,000
Strengthening Hispanic-serving Institutions
12,000
24,000
(HSL) [Part A: Sec. 316)/proposed Part D]
Strengthening Historically BlackColleges and
113,000
130,000
Universities (HBCUs) [Part B: Sec. 323}
Strengthening Historically Black Graduate
19,606
26,000
Institutions (HRGIs) [Part B: Sec. 326]
Strengthening Tribal Colleges &
0
5,000
Universities (TCUs) proposed Pan E]
Minority Science Improvement Program
5,255
10,000
(MSIP) [proposed Part F]
Total Title III program:
$205,311
$275,000
"President's proposed budget
Strengthening Institutions: The authorization level requested for the Strengthening Institutions
Program is $80 million. This request would provide the necessary funds for continuing multi-year
grants to approximately 108 institutions ($36 million) and funds for about 70 new awards. This
authorization level is an increase of $24.4 million (44 percent) over the President's FY 1998
budget request.
Strengtbening Hispanic-serving Institutions (HSIs): The authorization level requested for the
Strengthening Hispanic-serving Institutions program is $24 million This funding would provide
support for approximately 70 (52 percent) of the 130 institutions eligible to compete for the
program. This authorization level is an increase of $12 million (100 percent) over the President's
1998 budget request.
Strengthening Historically Black Colleges and Universities (HBCUs): The authorization level
requested for Strengthening HBCUs is $130 million. This level of funding would support an
average award of $1.3 million - an increase of $173,000 from the 1998 estimated level - and
reflects an increase of $17 million (15 percent) over the President's 1998 budget request.
Strengthening Historically Black Graduate Institutions (HBGIs): The authorization level
requested for this program is $26 million. This level would support an average award $1.4 million
- an increase of about $143,000 from FY 1998 and is an overall increase of $6.4 million (33
percent) over the President's 1993 budget request.
Tribal Colleges and Universities (TCUs): The authorization level requested is $5 million to
support competitive grants averaging $350,000 to about 14 (48 percent) of the 29 TCUs in the
United States.
Minority Science Improvement (MSIP): The authorization level requested for MSIP is $10
million. This level is an increase of nearly 50 percent over the President's FY 1998 budget request
31
JUL-25-1997 15:29 TO:76 - NEC
FROM:DADE, J.
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I
and would support the participation of about 110 minority-serving institutions. This level would
also provide support for a new initiative in MSIP a Faculty and Student Exchange Program ..
between minority-serving institutions and among other institutions. This initiative could
significantly improve the academic preparation, career experience, and mentoring of minority
students for graduate studies.
32
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URGENT
Total Pages: 35
LRM ID: CJB82
EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
Washington, D.C. 20503-0001
Friday, July 25, 1997
LEGISLATIVE REFERRAL MEMORANDUM
TO:
Legislative Liaison Officer - See Distribution below
FROM:
Janet R. Forsgren Forgres (for) Assistant
Director for Legislative Reference
OMB CONTACT:
Constance J. Bowers
PHONE: (202)395-3803 FAX: (202)395-6148
SUBJECT:
EDUCATION Draft Bill on Higher Education Act Reauthorization - Title III - -
Institutional Aid
DEADLINE:
5:00 p.m. Tuesday. July 29, 1997
In accordance with OMB Circular A-19, OMB requests the views of your agency on the above
subject before advising on its relationship 10 the program of the President. Please advise us if this
item will affect direct spending or receipts for purposes of the "Pay-As-You-Go" provisions of Title
XIII of the Omnibus Budget Reconciliation Act of 1990.
COMMENTS: The HEA reauthorization legislation will be reviewed, cleared, and submitted informally
to committees in separate parts. ED will consolidate the entire bill for formal transmittal later.
DISTRIBUTION LIST
AGENCIES:
61-JUSTICE - Andrew Fois - (202) 514-2141
118-TREASURY - Richard S. Carro . (202) 622-0650
76-National Economic Council Sonyia Manhews (202) 45/6-6630
59-INTERIOR - Jane Lyder - (202) 208-4371
84-National Science Foundation - Lawrence Rudolph (703) 306-1060
107-Small Business Administration Mary Kristine Swedin . (202) 205-6700
EOP:
Kathryn B. Stack
Timothy A. Rosado
S. A. Noe
Patricia A. Smith
Barry White
Robert M. Shireman
Jonathan H. Schnur
Michael Cohen
William R. Kincaid
Robert G. Damus
William P. Marshall
JUL-25-1997 15:29 TO:76 - NEC
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2/35
Edward M. Rea
Daniel J. Chenok
David Radzanowski
Richard H. Kodl
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LRM ID: CJB82
SUBJECT: EDUCATION Draft Bill on Higher Education Act Reauthorization .
Title III - Institutional Aid
RESPONSE TO
LEGISLATIVE REFERRAL
MEMORANDUM
If your response to this request for views is short (e.g., concur/no comment), we prefer that you respond by
e-mail or by faxing US this response sheet. If the response is short and you prefer to call, please call the
branch-wide line shown below (NOT the analyst's line) to leave A message with a legislative assistant.
You may also respond by:
(1) calling the analyst/attorney's direct line (you will be connected 10 voice mall If the analyst does not
answer); or
(2) sending US a memo or letter
Please Include the LRM number shown above, and the subject shown below.
TO:
Constance J. Bowers Phone: 395.3803 Fax: 395-6148
Office of Management and Budget
Branch-Wide Line (to reach legislative assistant): 395-7362
FROM:
(Date)
(Name)
(Agency)
(Telephone)
The following is the reponse of our agency to your request for views on the above-captioned subject:
Concur
No Objection
No Comment
See proposed edits on pages
Other:
FAX RETURN of
pages, attached to this reponse sheet
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TITLE III (INSTITUTIONAL AID)
DRAFT 7/25/97
SEC. ---, (a) Title III of the Act is amended-
(1) in section 301-
(A) in subsection (a)--
(i) by redesignating paragraphs (3) through (7) as paragraphs (4)
through (8), respectively; and
(ii) by adding 8 new paragraph (3) to read as follows:
"(3) in order to be competitive and provide a high-quality education for all, institutions
must improve their technological capacity and expand their use of technology;
(B) by amending subsection (b) to read as follows:
"(b) PURPOSE. It is the purpose of this title to assist such institutions to improve their
infrastructure and quality of education in order to equalize educational opportunity through a
program of Federal assistance.";
(2) by amending section 311--
(A) in subsection (a), by striking out "increase their self-sufficiency and";
(B) in subsection (h)--
(i) in paragraph (2)(A), by striking out "or" at the end thereof and
inserting in lieu thereof "and"; and
(C) by striking out paragraph (3): and
(D) by adding at the end thereof a new subsection (c) to read as follows:
"(c) AUTHORIZED ACTIVITIES.-(1) Funds awarded under this section shall be used for
one or more of the following activities:
"(A) faculty development.
"(B) funds and administrative management.
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"(C) development and improvement of academic programs.
"(D) acquisition of equipment for use in strengthening funds management and
academic programs.
"(F) joint use of facilities such as libraries and laboratories.
"(F) student services.
"(G) investing in the technological improvement of the intitution's
administration of funds made available to students under title IV of this Act.
"(H) establishment or improvement of an endowment fund.";
"(2) An eligible institution may not use more than 20 percent of its grant under this
part for any fiscal year to establish or improve an endowment fund.";
(3) in section 312--
(A) by amending subsection (b) to read as follows-
"(b) ELIGIBLE INSTITUTION.-(1) For the purpose of this part, the term "eligible
institution" means--
"(A) an institution of higher education--
"(i) that has an enrollment of needy students as required by subsection
(c) of this section;
"(ii) except as provided in section 352(b), the average educational and
general expenditures of which are low, per full-time equivalent undergraduate student, in comparison
with the average educational and general expenditures, per full-time equivalent undergraduate
student, of institutions that offer similar instruction;
"(iii) that is legally authorized to provide, and provides within the State,
an educational program for which it awards R bachelor's degree, or that is a junior or community
college;
"(iv) that is accredited by B nationally recognized accrediting agency
or association determined by the Secretary to be reliable authority as to the quality of training offered
or that is, according to such an agency or association, making reasonable progress toward
accreditation; and
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"(v) that meets such other requirements as the Secretary may prescribe;
and
"(B) any branch of any institution of higher education described under
subparagraph (A) that by itself satisfies the requirements contained in clauses (i) and (ii) of that
subparagraph.
"(2) For the purposes of this section, the Secretary may consider any institution that
applies for funds under this part, that is determined to be eligible for such funds but is not funded,
to be eligible to receive funds under this part for a total of three consecutive years following the most
recent application for which it was found eligible.
"(3) For the purposes of this рап, no historically black college or university that is
eligible for. and receives funds under, part B of this title shall be eligible for or may receive funds
under this part."; and
(B) by striking out subsection (f);
(4) in section 313--
(i) by amending subsection (b) to read as follows:
"(b) PRIORITY --In awarding grants under this part, the Secretary shall give priority to
applicants who are not already receiving 8 grant under this part, except that for the purpose of this
subsection, a grant under sections 313(c) or 345(a)(1) shall not be considered a grant under this
part.".
(ii) by redesignating subsection (c) as subsection (d); and
(iii) by adding a new subsection (c) to read as follows:
"(c) LIMITATIONS.--An institution awarded a grant under this part, other than sections
313(c) or section 354(a)(1), shall not be eligible for another grant under this part for TWO consecutive
years following the completion of the last grant it received under this part.";
(5) by amending section 314 to read as follows:
"APPLICATIONS
"Section 314. (a) APPLICATIONS-Each eligible institution desiring to receive assistance
under this part shall submit an application in accordance with the requirements of section 381.
"(b) ADDITIONAL INFORMATION-For purposes of this part, an application under
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subsection (a) shall also include-
"(1) a 5-year plan for Improving the assistance provided by such institution to
students; and
"(2) measurable goals for the institution's proposed activities, including a plan of how
the applicant intends to achieve those goals.
"(c) PRIORITY-The Secretary shall give priority to applications that strengthen the
technological capabilities of eligible institutions as determined by the Secretary.";
(6) by repealing sections 315 and 316;
(7) in section 321(4), by inserting " technological capabilities," after "academic
resources,";
(8) in section 323-
(A) in subsection (a)--
(i) by striking out "section 360(a)(2)" and inserting in lieu thereof
"section 390(a)(2)";
(ii) by redesignating paragraph (12) as paragraph (14); and
(iii) by inserting after paragraph (11) new paragraphs (12) and (13) to
read as follows:
"(12) Investing in the technological improvement of the institution's administration
of funds made available to students under to title IV of this Act.
"(13) Establishing or improving an endowment fund.";
(B) in subsection (b), by amending paragraph (3) to read as follows:
"(3)(A) An institution may not use more than 20 percent of its grant under this part
for any fiscal year to establish or improve an endowment fund.
"(B) In order for an institution to use its funds under this part to establish or
improve an endowment fund, it shall provide an institutional match, using non-Federal funds, that is
at least equal to one dollar of institutional funds for every two dollars of the grant funds.";
(9) by amending section 324(f) to read as follows:
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"(f) SPECIAL MERGER RULE-(1)(A) An institution otherwise eligible to apply for a grant
under this part in any fiscal year prior to the fiscal year 1986, shall remain eligible even if such
institution has mergod with another institution of higher education that is not so eligible
"(B) An institution eligible to apply for a grant under this part that inerges with
an institution eligible to apply for a grant under parts A or C shall, for purposes of being funded under
this title, be considered as 8 single institution.";
(10) by amending section 325(c) to read as follows:
"(c) GOALS.-An application for a grant under this part shall describe measurable goals for
the institution's proposed activities, including a plan of how the applicant intends to schieve those
goals.";
(11) in section 326-
(A) by amending subsection (a)(2) to read as follows:
"(2) No grant in excess of $500,000 may be made under this section unless the
postgraduate institution provides an assurance that 50 percent of the cost of the purposes for which
the grant is made will be paid from non-Federal sources, except that-
"(A) the institution shall not be required to match the first $500,000 of its
award from the Secretary; and
"(B) the Morehouse School of Medicine shall receive at least $3,000,000.";
and
(B) in subsection (b), by striking out the second sentence;
(C) in subsection (e), by amending paragraph (1) to read as follows:
"(1) IN GENERAL-Independent professional or graduate institutions and programs
eligible for grants under subsection (a) include-
"(A) Morehouse School of Medicine;
"(B) Meharry Medical School;
"(C) Charles R. Drew Postgraduate Medical School;
"(D) Clark-Atlanta University,
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"(E) Tuskagee University qualified graduate program;
"(F) Xavier University qualified graduate program;
"(G) Southern University qualified graduate program;
"(H) Texas Southern University qualified graduate program;
"(I) Florida A&M University qualified graduate program;
"(J) North Carolina Central University qualified graduate program;
"(K) Morgan State University qualified graduate program;
"(L) Hampton University qualified graduate program;
"(M) Alabama A&M qualified graduate program,
"(N) North Carolina A&T State University qualified graduate program;
"(0) University of Maryland Eastern Shore qualified graduate program;
"(P) Jackson State qualified graduate program; and
"(Q) any professional or graduate institution or program that meets the
requirements of this section.";
(D) in subsection (f)--
(i) in paragraph (2)--
(I) in the matter before subparagraph (A), by inserting "but not
to exceed $19,606,000" after "$12,000,000"; and
(II) in subparagraph (B), by striking out "(e)(1)." at the end
thereof and inserting in lieu thereof "(c)(1); and"; and
(ii) by adding a new paragraph (3) at the end thereof to read as follows
"(3) any amount appropriated in excess of $19,606,000 shall be available--
"(A) for the purpose of making grants in equal amounts not to exceed
$500,000, to institutions or programs described in paragraph (Q) of subsection (e)(1); and
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"(B) secondly for the purpose of making grants to instituions or programs
described in subparagraphs (A) through (Q) of subsection (e)(1).";
(12) by amending part Cto read as follows--
"PART C HISTORICALLY BLACK COLLEGE AND UNIVERSITY CAPITAL
FINANCING
"FINDINGS
"SEC. 331, The Congress finds that-
"(1) a significant part of the Federal mission in education has been to attain equal
opportunity in higher education for low-income, educationally disadvantaged Americans and African
Americans;
"(2) the Nation's historically Black colleges and universitles have played a prominent
role in American history and have an unparalleled record of fostering the development of African
American youth by recognizing their potential, enhancing their academic and technical skills, and
horing their social and political skills through higher education;
"(3) the academic and residential facilities on the campuses of all historically Black
colleges and universities have suffered from neglect or deferred maintenance and are in need of capital
improvements in order to provide appropriate settings for learning and social development through
higher education;
"(4) due to their small enrollments, limited endowments, and other financial factors
normally considered by lenders In construction financing. historically Black colleges and universities
lack access to the sources of funding necessary 10 undertake the necessary capital improvements
through borrowing and bond financing;
"(5) despite their track record of long-standing and remarkable institutional longevity
and viability, historically Black colleges and universities lack the financial resources necessary to gain
access to traditional sources of capital financing, such as bank loans and bond financing and
"(6) Federal assistance to facilitate low-cost capital basis for historically Black colleges
and universities will enable such colleges and universities to continue and expand their educational
mission and enhance their significant role in American higher education.
"DEFINITIONS
"SEC. 332. For the purposes of this part:
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"(1) The term "eligible institution" means a "part B institution" as that term is defined
in section 322(2) of the Higher Education Act of 1965.
"(2) The term "loan" means a loan made to an eligible institution under the provisions
of this part and pursuant to an agreement with the Secretary.
"(3) The term "qualified bond" means any obligation issued by the designated bonding
authority at the direction of the Secretary, the net proceeds of which are loaned to an eligible
institution for the purposes described in section 333(b).
"(4) The term "funding" means any payment under this part from the Secretary to the
eligible institution or its assignee in fulfillment of the insurance obligations of the Secretary pursuant
to an agreement under section 333.
"(5)(A) The term "capital project" means, subject to section 334(b), the repair, renovation,
or, in exceptional circumstances, the construction or acquisition, of-
"(I) any classroom facility, library, laboratory facility, dormitory
(including dining facilities) or other facility customarily used by colleges and universities for
instructional or research purposes or for housing students, faculty, and staff;
"(ii)(I) facilities for administration of educational programs,
"(II) maintenance, storage, or utility facilities essential to the
operation of a capital project:
"(III) facilities designed to provide primarily outpatient care of
students and faculty;
"(IV) student centers of student unions; or
"(V) other essential service facilities;
"(iii) instructional equipment, research instrumentation, and capital
equipment or fixtures related to facilities described in clause (i);
"(iv) any other facility, equipment or fixture that is essential to the
maintaining of accreditation of the member institution by a nationally recognized accrediting agency
or association; and
"(v) any real property or interest therein underlying facilities described
in clauses (i), (ii), or (iv).
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"(B) The term "capital project" shall not include-
"(i) any facility intended primarily for events for which admission is to
be charged to the general public;
"(ii) any gymnasium or other facility specially designed for athletic or
recreational activities, other than for an academic course in physical education or where the Secretary
finds that the physical integration of such facilities with other "capital projects" included under this
part is required to carry out the objectives of this part;
"(iii) any facility used, or to be used, for sectarian instruction or as a
place for religious worship; or
"(iv) any facility that (although not a facility described in the preceding
clause) is used, or to be used, primarily in connection with any part of the program of a school or
department of divinity.
"(6) The term "interest" includes accredited value or any other payment constituting
interest on an obligation.
"(7) The term "outstanding", when used with respect to bonds, shall not include bonds
the payment of which shall have been provided for by the irrevocable deposit in trust of obligations
maturing as to principal and interest in such amounts and at such times as will ensure the availability
of sufficient moneys to make payments on such bonds.
(8) The term "designated bonding authority" means the private, for-profit corporation
selected by the Secretary for the purpose of issuing taxable construction bonds in furtherance of the
purposes of this part.
"(9) The term "Advisory Board" means the Advisory Board established by section 337
of this part.
FEDERAL INSURANCE FOR BONDS
"SEC. 333. (a) GENERAL RULE--Subject to the limitations in section 334, the Secretary
is authorized 10 enter into insurance agreements to provide financial insurance to guarantee the full
payment of principal and interest on qualified bonds upon the conditions set forth in subsections (b),
(c), and (d).
"(b) RESPONSIBILITIES OF THE DESIGNATED BONDING AUTHORITY.- -The
Secretary may not shies into an insurance agreement described in subscotion (a) unless the Secretary
designates a qualified bonding authority and the designated bonding authority agrees in such
agreement to--
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"(1) use the proceeds of the qualified bonds, less costs of issuance not to exceed 2
percent of the principal amount thereof, to make loans to eligible institutions or for deposit into an
escrow account for repayment of the bonds;
"(2) provide in each loan agreement with respect to a loan that not less than 95 percent
of the proceeds of the loan will be used-
"(A) to finance the repair, renovation, and, in exceptional cases,
construction or acquisition, of a capital project;
"(B) to refinance an obligation the proceeds of which were used to finance the
repair, renovation, and, in exceptional cases, construction or acquisition, of a capital project;
"(3)(A) charge such interest on loans, and provide for such a schedule of repayments
of loans, as will, upon the timely repayment of the loans, provide adequate and timely funds for the
payment or principal and interest on the bonds; and
"(B) require that any payment on a loan expected to be necessary to make a
payment of principal and interest on the bonds be due not less than 60 days prior to the date of the
payment on the bonds for which such loan payment is expected to be needed;
"(4) prior to the making of any loan, provide for a credit review of the institution
receiving the loan and assure the Secretary that, on the basis of such credit review, it is reasonable
to anticipate that the institution receiving the loan will be able to repay the loan in a timely manner
pursuant to the terms thereof;
"(5) provide in each loan agreement with respect to a loan that, if a delinquency on
such loan results in 8 funding under the insurance agreement, the institution obligated on such loan
shall repay the Secretary, upon terms to be determined by the Secretary, for such funding;
"(6) assign any loans to the Secretary, upon the demand of the Secretary, if a
delinquency on such loan has required a funding under the insurance agreement;
"(7) in the event of a delinquency on a loan, engage in such collection efforts as the
Secretary shall require for a period of not less than 45 days prior to requesting a funding under the
Insurance agi eement;
"(8) establish an escrow account-
"(A) into which each eligible institution shall deposit 10 percent of the
proceeds of any loan made under this part; and
"(B) the balance of which-
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(I) shall be available to the Secretary to pay principal and interest on
the bonds in the event of delinquency in loan repayment; and
(ii) when all bonds under this part are retired or canceled, shall be
divided among the eligible institutions making deposits into such account on the basis of the amount
of each such Institution's deposit,
"(9) provide in each loan agreement with respect to a loan that, if a delinquency on
such loan results in amounts being withdrawn from the escrow account to pay principal and interest
on bonds, subsequent payments on such loan shall be available to replenish such escrow account;
"(10) comply with limitations set forth in section 334 of this part; and
"(11) make loans only to eligible institutions under this part in accordance with
regulations prescribed by the Secretary to ensure that loans are fairly allocated among as many eligible
institutions as possible, consistent with making loans of amounts that will permit capital projects of
sufficient size and scope to significantly contribute to the educational program of the eligible
institutions.
"(c) ADDITIONAL AGREEMENT PROVISIONS -Any insurance agreement described
in subsection (a) of this section shall provide as follows:
"(1) The payment of principal and interest on bonds shall be insured by the Secretary
until such time as such bonds have been retired or canceled.
"(2) The Federal liability for delinquencies and default for bonds guaranteed under this
part shall only become effective upon the exhaustion of all the funds held in the escrow account
described in subsection (b)(8).
"(3) The Secretary shall create a letter of credit authorizing the Department of the
Treasury to disburse funds to the designated bonding authority or its assignee.
"(4) The letter of credit shall be drawn upon in the amount determined by paragraph
(5) of this subsection upon the certification of the designated bonding authority to the Secretary or
the Secretary's designee that there is a delinquency on 1 or more loans and there are insufficient funds
available from loan repayments and the estum account to make a scheduled payment of principal and
interest on the bonds.
"(5) Upon receipt by the Secretary or the Secretary's designee of the certification
described in paragraph (4) of this subsection, the designated bonding authority may draw a funding
under the letter of credit in an amount equal w--
"(A) the amount required to make the next scheduled payment of principal and
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interest on the bonds, less
"(B) the amount available to the designated bonding authority from loan
repayments and the excrow account.
"(6) All funds provided under the letter of credit shall be paid to the designated
bonding authority within 2 business days following receipt of the certification described in paragraph
(4).
"(d) FULL FAITHLAND CREDIT PROVISIONS-Subject to section 333(c)(1), the full faith
and credit of the United States is pledged to the payment of all funds which may be required to be
paid under the provisions of this section.
"(e) BOND SALES-Notwithstanding any other provision of law, qualified bonds guaranteed
under this part may be sold to any party that offers terms that the Secretary determines in his
discretion are in the best interests of the cligible institution.
"LIMITATIONS ON FEDERAL INSURANCE FOR BONDS ISSUED BY THE
DESIGNATED BONDING AUTHORITY
"SEC. 334. (a) LIMIT ON AMOUNT--(1) At no time shall the aggregate principal amount
of outstanding bonds insured under this part together with any accrued unpaid interest thereon exceed
$375,000,000, of which-
"(A) not more than $250,000,000 shall be used for loans to eligible institutions
that are private historically Black colleges and universities; and
"(B) not more than $125,000,000 shall be used for loans to eligible institutions
which are historically Black public colleges and universities.
"(2) For purposes of paragraphs (1)(A) and (B), Lincoln University of Pennsylvania
is an historically Black public institution No institution of higher education that has received
assistance under section 8 of the Act of March 2, 1867 (20 U.S.C. 123) shall be eligible to receive
assistance under this part.
"(b) LIMITATION ON CREDIT AUTHORITY--The authority of the Secretary to issue
letters of credit and insurance under this part is effective only to the extent provided in advance by
appropriations Acts.
"(c) RELIGIOUS ACTIVITY PROHIBITION.-No loan may be made under this part for
any educational program, activity or service related to sectorian instruction or religious worship or
provided by a school or department of divinity or to an institution in which a substantial portion of
its functions is subsumed in a religious mission.
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"(d) DISCRIMINATION PROHIBITION-N loan may be made to an institution under this
part if the institution discriminates on account of race, color, religion, national origin, sex (to the
extent provided in title IX of the Education Amendments of 1972), age, or disabling condition; except
that the prohibition with respect to religion shall not apply to an institution which is controlled by or
which is closely identified with the tenets of a particular religious organization if the application of
this section would not be consistent with the religious tenets of such organization.
"AUTHORITY OF THE SECRETARY
"SEC. 335. In the performance of, and with respect to, the functions vested in the Secretary
by this part, the Secretary--
"(1) may sue and be sued in any court of record of a State having general jurisdiction
or in any district court of the United States, and such district courts shall have jurisdiction of civil
actions arising under this part without regard to the amount in controversy, and any action instituted
under this section by or against the Secretary shall survive notwithstanding any change in the person
occupying the office of the Secretary or any vacancy in such office;
"(2)(A) may foreclose on any property and bid for and purchase at any foreclosure,
or any other sale, any property in connection with which the Secretary has been assigned a loan
pursuant to this part; and
"(B) in the event of such an acquisition, notwithstanding any other provisions
of law relating to the acquisition, handling, or disposal of real property by the United States,
complete, administer, remodel and convert, dispose of, lease, and otherwise deal with, such property,
except that-
"(i) such action shall not preclude any other action by the Secretary to
recover any deficiency in the amount of a loan assigned to the Secretary; and
"(ii) any such acquisition of real property shall not deprive any State
or political subdivision thereof of hs civil or criminal jurisdiction in and over such property or impair
the civil rights under the State or local laws of the inhabitants on such property;
"(3) may sell, exchange, or lease real or personal property and securities or
obligations; and
"(4) may include in any contract such other covenants, conditions, or provisions
necessary to ensure that the purposes of this part will be achieved.
"HBCU CAPITAL FINANCING ADVISORY BOARD
"SEC. 336. (a) ESTABLISHMENT AND PURPOSE--There is established within the
Department of Education, the Historically Black College and Universities Capital Financing Advisory
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Board (herelnafter in this part referred to as the "Advisory Board") which shall provide advice and
counsel to the Secretary and the designated bonding authority as to the most effective and efficient
means of implementing construction financing on African American college campuses, and advise the
Congress of the United States regarding the progress made in implementing this part. The Advisory
Board shall meet with the Secretary at least twice each year to advise him as to the capital needs of
historically Black colleges and universities, how those needs can be met through the program
authorized by this part, and what additional steps might be taken to improve the operation and
implementation of the construction financing program.
"(b) BOARD MEMBERSHIP.-(1) COMPOSITION.-The Advisory Board shall be
appointed by the Secretary and shall be composed of 9 members as follows:
"(A) The Secretary or the Secretary's designee.
"(B) Three members who are presidents of private historically Black colleges
and universities.
"(C) Two members who are presidents of public historically Black colleges and
universities.
"(D) The president of the United Negro College Fund, Inc.
"(E) The president of the National Association for Equal Opportunity in
Higher Education.
"(F) The executive director of the White House Initiative on historically Black
colleges and universities.
"(2) TERMS-The term of office of each member appointed under paragraphs (1)(B)
and (1)(C) shall be 3 years, except that--
"(A) of the members first appointed pursuant to paragraphs (1)(B) and (1)(C),
2 shall be appointed for terms of 1 year, and 3 shall be appointed for terms of 2 years.
"(B) members appointed to fill a vacancy occurring before the expiration of
a term of a member shall be appointed to serve the remainder of that term; and
"(C) a member may continue to serve after the expiration of a term until a
successor is appointed
"MINORITY BUSINESS ENTERPRISE UTILIZATION.
"SEC. 337. To the maximum extent feasible in the Implementation of the purposes of this part,
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minority business persons, including bond underwriters and credit enhancers, bond counsel,
marketers, accountants, advisors, construction contractors, and managers should be utilized.
"CONTINUATION OF INSTITUTIONAL AWARDS UNDER THE ENDOWMENT
CHALLENGE GRANTS PROGRAM
"SEC. 338. The Secretary shall, as appropriate, continue to monitor awards to recipients
under part C, the Endowment Challenge Grants program, of this title as it was in effect prior to the
enactment of the Higher Fducation Act Amendments Act of 1997.";
(13) in section 351, by adding a new subscction (e) to read as follows:
"(e) LIMITATION ON MULTIPLE GRANTS-Any institution, that is otherwise eligible
to receive a grant under one or more of parts A. B. D. or E. may not be funded under more than one
of those parts in any fiscal year.";
(14) in section 352-
(A) in subsection (a)-
(i) in paragraph (5), at the end thereof, by striking out "or";
(ii) by redesignating paragraph (6) as paragraph (7); and
(iii) by inserting after paragraph (5) a new paragraph (6) to read as
follows:
"(6) that is a tribally controlled community college as defined in the Tribally Controlled
Community College Act of 1978. as amended: or":
(B) in subsection (b)..
(i) by inserting "(A)" after the paragraph designation "(1)"; and
(ii) by inserting at the end of paragraph (1)(A) a new paragraph (B)
to read as follows:
"(B) In making a waiver determination under subparagraph (A), the Secretary
may consider one or more of the following factors as distorting an institution's educational and
general expenditures per full-time equivalent undergraduate student:
"(i) low student enrollment.
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"(ii) the location of the institution in an unusually high cost-of-living
area.
"(iii) high energy costs.
"(iv) an increase in State funding that was part of a desegregation plan
for higher education.
"(v) the operation of high cost professional schools such as medical or
dental schools; and
"(vi) the institution's status as a tribally controlled community
college.";
(15) in section 356--
(A) by amending subsection (a) to read as follows:
"(a) ASSISTANCE ELIGIBILITY--Each institution that the Secretary determines to be an
institution eligible to receive a grant under either parts A, B, D, and E of this title may be eligible for
waivers in accordance with subsection (b).",
(16) in section 360-
(A) by amending subsection (a) to read as follows-
"(a) AUTHORIZATIONS-(1) There are authorized to be appropriated $80,000,000 for
fiscal year 1999 and such sums as may be necessary for each of the four succeeding fiscal years to
carry out part A.
"(2) There are authorized to be appropriated $130,000,000 for fiscal year 1999 and
such sums as may be necessary for each of the four succeeding fiscal years to carry out part B.
"(3) There are authorized to be appropriated such sums as may be necessary for each
of fiscal years 1998 through 2002 to carry out part C.";
"(4) There are authorized to be appropriated $24,000,000 for fiscal year 1999 and
such sums as may be necessary for each of the four succeeding to carry out part D.
"(5) There are authorized to be appropriated $5,000,000 in fiscal year 1999 and such
sums as may be necessary for each of the four succeeding to carry out part E.
"(6) There are authorized to be appropriated $10,000,000 for fiscal year 1999 and
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such sums as may be necessary for cach of the four succeeding to carry out part F."; and
(B) by adding a new subsection (f) to read as follows:
"(f) ADMINISTRATIVE RESERVATIONS--(1) In any fiscal year beginning after
September 30, 1998, from the amounts appropriated for each part under this title, the Secretary may
use no more than one and one half percent of such amounts to obtain qualified readers and staff to
review applications, to increase the level of oversight and monitoring, and to provide technical
assistance to potential applicants and current grantees.
"(2) In any fiscal year beginning after September 30, 1998, from the amounts
appropriated under this title, the Secretary may use no more than one half of one percent of such
amounts to support impact studies.";
(17) in part D--
(A) by redesignating part D as part G; and
(B) by redesignating sections 351 through 360 as sections 381 through 390
respectively;
(18) by adding new parts D, E, and F to read as follows:
"PART D-STRENGTHENING HISPANIC-SERVING INSTITUTIONS
"FINDINGS; PURPOSE
"SEC. 351. (a) FINDINGS. The Congress finds that:
" (1) Currently, educational attainment for many Hispanic Americans is very low.
Hispanics are the most under-educated group in the U.S. Hispanics, compared to other groups, enter
school later and leave it earlier. Hispanics are less likely to complete high school or to enter or
complete college. Currently, Hispanics have one of the lowest college enrollment rates of any ethnic
oup.
"(2) Hispanic student enrollment and graduation rates are not keeping pace with the
Hispanic American presence in the general population nor with the available pool of Hispanic high
school graduates.
"(3) In 1994 there were 30 million Hispanic Americans living in the Continental U.S.
By the year 2000, IIspanic children will make up the greatest proportion of minority children under
the age of 18. By the year 2010, Hispanic Americans will be the largest minority group in the United
States (over 40.5 million, 13.5 percent of the population). By the year 2030, the Bureau of Census
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projects that Hispanic students age 5-18 will number almost 16 million (25 percent of the total school
population). Projections for the year 2050 predict that Hispanic Americans will comprise 25 percent
of the total population of this country, and will therefore be the largest population group in the
Nation.
"(4) One-third of all Hispanic American students in higher education are enrolled in
less than 189 two-and four-year institutions of higher education in the United States and Puerto Rico,
know as Hispanic-serving institutions.
"(5) In 1994 about half of all Hispanic Americans enrolled in postsecondary education
were enrolled in two year community colleges.
"(6) From 1973 to 1994, the overall number of high school graduates enrolled in a
four-year institution doubled, from 16 to 31 percent. The percentages of both whites and blacks
enrolled at those institutions also more than doubled within the same period. Black enrollment
increased from 13 to 25% and white enrollment increased from 16 to 33 percent. College-bound
Hispanics in four-year institutions, however, increased only from 13 to 20%.
"(7) The total proportion of bachelors degrees for Hispanic Americans has risen only
slightly (from 2.8% in 1985 to 4.8% in 1995) since the 1980s, even though Hispanic student
enrollment has modestly increased (from 4.5% in 1984 to 7.9% in 1995).
"(8) In 1994-1995, Hispanics earned 6% of all associate degrees (earning 2.1% of the
agriculture and natural resources degrees, 3.7% of the health professions and related science degrees,
and 4.3% of the communications degrees), 4.8% of all bachelor degrees (earning 2% of the
communications technologies BA degrees, 2.7% of the physical sciences and science technologies
BA degrees, and 3.3% of the health professions and related sciences degrees), 3% of all masters
degrees (earning 2.4% of the mathematics MA degrees, 2.4% of the library science MA degrees, and
2.9% of the agriculture and natural resources degrees), and 2% of all PhDs (earning 1..2% of the
computer and information sciences Ph.Ds, 1.9% of the engineering Ph.Ds, and 2.1% of the
mathematics Ph.Ds).
"(9) In October 1993, the dropout rate for Hispanic 16-24 year olds was 28 percent,
double the rate for blacks (14%) and more than three times the rate for whites (8%) in the same
group. In 1994, the Hispanic dropout rate rose to 30%
"(10) Increasing enrollments of Hispanic and other students at these institutions have
stretched resources and challenged faculty and staff
"(11) Steps must be taken to help Hispanic-serving institutions of higher education
increase the quality and condition of higher education opportunities for their students.
"(12) Enrollment in Hispanic-serving institutions is open to all students. Therefore
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these programs benefit students from all racial and ethnic groups.
"(b) PURPOSE. -It is the purpose of this part to improve the academic quality, technological
capacity, institutional management, and fiscal stability of eligible Hispanic-serving institutions of
higher education in order to strengthen their ability to make a substantial contribution to the higher
education resources of the Nation.
"PROGRAM AUTHORIZED
"SEC. 352.(a) IN GENERAL-From the sums available for this part under section 390(a)(4)
for any fiscal year, the Secretary may award grants to Hispanic-serving institutions of higher
education that have an application approved under section 356 in order to assist such institution to
plan, develop, and implement activities that promise to strengthen the institution.
"(b) DURATION. under this part shall not exceed five years.
"(c) LIMITATIONS-Hispanic-serving institutions awarded a grant under this part, other
than under sections 355 or 384(a)(1), shall not be eligible for. another grant under this part for two
consecutive years following the completion of the last grant it received under this part.
"(d) SPECIAL CONSIDERATION In making awards under this part the Secretary shall
give special consideration to any Hispanic-serving institution-
"(1) that has endowment funds (other than any endowment fund built under section
332 of this Act as in effect on September 30, 1986, and under part B) the market value of which, per
full-time equivalent student, is less than the average current market value of the endowment funds.
per full-time equivalent student (other than any endowment fund built under section 332 of this Act
as in effect on September 30, 1986, and under part B) at similar institutions, and
"(2) that has expenditures, per full-time equivalent student, for library materials that
is less than the average of the expenditures for library materials, per full-time equivalent student, by
other similarly situated institutions.
"DEFINITIONS
"SEC. 353.(a) IN GENERAL The definitions of terms in section 312(a), (c), (d), and (e)
of this Act shall apply in this part, as appropriate.
"(b) PROGRAM SPECIFIC DEFINITIONS.- For the purposes of this part-
"(1) the term "Hispanic-serving institution" means an institution of higher education
that-
"(A) is an eligible institution under section 312(b);
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"(B) at the time of application, has an enrollment of undergraduate full-time
equivalent students that is at least 25 percent Hispanic students; and
"(C) provides an assurance that not less than 50 percent of its Hispanic
students are low-income individuals who are first generation college students;
"(2) the term "first generation college student" means--
"(A) an individual both of whose parents did not complete a baccalaureate
degree; or
"(B) in the case of any individual who regularly resided with, and received
support, from only one parent, an individual whose only such parent did not complete a baccalaureate
dogree; and
"(3) the term "low-income individual" means an individual from a family whose
taxable income for the preceding year did not exceed 150 percent of an amount equal to the poverty
level determined by using criteria of poverty established by the Bureau of the Census.
"AUTHORIZED ACTIVITIES
"SEC. 354. (1) Funds awarded under section 352(a) shall be used by Hispanic-serving
institutions for one or more of the following:
"(A) acquisition of scientific or laboratory equipment for educational purposes,
including research and instructional purposes.
"(B) the renovation and improvement of classroom, library, laboratory, and
other instructional facilities.
"(C) the support of faculty exchanges, and faculty development and faculty
fellowships to assist in attaining advanced degrees in their field of instruction.
"(D) curriculum development and academic instruction.
"(E) the acquisition of library books, periodicals, microfilm, and other
educational materials.
"(F) funds and administrative management, and the acquisition of equipment
for use in strengthening funds management.
"(G) joint use of facilities such as libraries and laboratories.
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"(H) academic tutoring and counseling programs and student support services.
"(I) establishment or improvement of an endowment fund.
"(2)(A) An Hispanic-serving institution may not use more than 20 percent of its grant
under this part for any fiscal year to establish or improve an ondowment fund; and
"(B) In order for an Hispanic-serving institution to use its funds under this part
to establish or improve an endowment fund, it shall provide an institutional match, using non-Federal
funds, that is at least equal to one dollar of institutional funds for every two dollars of the grant funds.
"PLANNING GRANTS
"SEC. 355. The Secretary may award a grant under this part to an Hispanic-serving
institution for a period of one year for the purpose of preparing a technological needs assessment,
plan, and application for a grant under section 352(a).
"APPLICATIONS
Section 356. (a) APPLICATIONS.-Each Hispanic-serving institution desiring to receive
assistance under this part shall submit an application in accordance with the requirements of section
381.
"(b) ADDITIONAL INFORMATION.--For purposes of this part, an application under
subsection (a) shall also include--
"(1) a 5-year plan for improving the assistance provided by the Hispanic-serving
institution to Hispanic and other low income students; and
"(2) measurable goals for the institution's proposed activities, including B plan of how
the applicant intends to achieve those goals.
"(c) PRIORITY -The Secretary shall give priority to applications that strengthen the
technological capabilities of Hispanic-serving institutions as determined by the Secretary.
"PART E -STRENGTHENING TRIBAL COLLEGES AND UNIVERSITIES
"FINDINGS; PURPOSE
"SEC. 361. (a) FINDINGS-The Congress finds that:
"(1) Indian tribes are domestic dependent nations under the protection of the United
States, and that as governments, Indian tribes have the authority 10 administer educational
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institutions.
"(2) Historically, the education system in the United States has encouraged American
Indian and Alaska Native students to forgo their Native language and culture in favor of Western
language and culture, and those educational practices have been damaging Indian students and their
communities.
"(3) In general, American Indian and Alaska Native students have a lower economic
status than students in the Nation as a whole; and roughly twice as many American Indian and Alaska
Native youth live below the poverty line as youth in the general population.
"(4) In general, American Indian and Alaska Native youth have a lower educational
attainment level than youth in the Nation as a whole, and only 8.9% of American Indian and Alaska
Native students earn a four-year bachelor's degree or higher compared to 20.3% in the Nation as a
whole.
"(5) Tribal Colleges and Universities have been established by tribal governments to
make post-secondary educational opportunities available in Native American communities, including
GEDs; remedial instruction; and academic, vocational and technical programs similar to those offered
by public and private colleges and universities.
"(6) Tribal Colleges and Universities are well-suited to serve Native American
communities because they are physically located in the communities that they serve and are attured
to Native languages and cultures.
"(7) Tribal Colleges and Universities are important centers for learning Native
languages and cultures that fulfill a vitally important mission in preserving unique and valuable
information concerning Native languages and cultures.
"(8) Tribal Colleges and Universities have been hampered by a lack of adequate and
stable funding resources because, unlike State land grant institutions, they do not have large resource
bases to draw on, and they generally do not receive State funding. This lack of funding seriously
threatens the continued viability of some of these institutions.
"(9) Based on the United States' unique trust responsibility to Native Americans,
financial assistance to establish, support, and strengthen the physical plants, financial management,
academic resources, and endowments of the Tribal Colleges and Universities is appropriate to
enhance these institutions and to expand their capacity to serve Native American students.
"(b) PURPOSE.-It is the purpose of this part to improve the academic quality, technological
capacity, institutional management, and fiscal stability of cligible Tribal Colleges and Universities in
order to strengthen their ability to make a substantial contribution to the higher education resources
of the Nation.
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"PROGRAM AUTHORIZED
"SEC. 362.(a) IN GENERAL-From the sums available for this part under section 390(a)(6)
for any fiscal year, the Secretary may award grants to Tribal Colleges and Universitles that have an
application approved under section 381 in order to assist such institutions plan, develop, and
implement activities that promise to strengthen the Institution.
"(b) DURATION-Grants under this part shall not exceed five years.
"(c) ELIGIBILITY-To be eligible to receive assistance under this part, a Tribal College or
University must--
"(1) be an eligible institution under section 312(b); and
"(2) meets the definition of Tribal College or University under section 363(3).
"(d) LIMITATIONS- Tribal College or University awarded a grant under this part, other
than under sections 374 or 384(a)(1), shall not be eligible for another grant under this part for two
consecutive years following the completion of the last grant it received under this part.
"(e) SPECIAL CONSIDERATIONS-I making awards under this part, the Secretary shall
give special consideration to any Tribal College or University--
"(1) that has endowment funds (other than any endowment fund built under section
332 of this Act as in effect on September 30, 1986, and under part B) the market value of which, per
full-time equivalent student, is less than the average current market value of the endowment funds,
per full-time equivalent student (other than any endowment fund built under section 332 of this Act
as in effect on September 30, 1986, and under part B) at similar institutions; and
"(2) that has expenditures, per full-time equivalent student, for library materials that
is less than the average of the expenditures for library materials, per full-time equivalent student, by
other similarly situated institutions.
"DEFINITIONS
"SEC. 363. For the purposes of this part-
"(1) The term "Indian" means a person who is a member of an Indian tribe as defined
herein:
"(2) The term Indian tribe means any Indian or Alaska Native tribe. band, nation.
pueblo, village or community that the Secretary of the Interior acknowledges to exist as an Indian
tribe under the Federally Recognized Indian Tribe List ACL 25 U.S.C. 479a,
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"(3) The term "Tribal College and University" means an institution--
"(A) cited in section 532 of the Equity in Educational Land-Grant Status Act
of 1994 (7 U.S.C. 301 note);
"(B) any other institution that qualifies for funding under the Tribally
Controlled Community College Assistance Act of 1978 (25 U.S.C. 1801 et Beq.); or
"(C) that is 8 Navajo Community College, authorized in the Navajo
Community College Assistance Act of 1978 (25 U.S.C. 640a note); and
"(4) The term "institution of higher education" means an institution of higher
education as defined by section 1201(a) of this Act.
"AUTHORIZED ACTIVITIES
"SEC. 364. (1) Grants under this part shall be used by Tribal Colleges and Universitles for
one or more of the following:
"(A) the acquisition of scientific or laboratory equipment for educational
purposes, including research and instructional purposes.
"(R) the renovation and improvement in classroom, library, laboratory, and
other instructional facilities.
"(C) the support of faculty exchanges, faculty development, and faculty
fellowships to assist in attaining advanced degrees in their field of instruction.
"(D) curriculum development and academic instruction.
"(E) the acquisition of library books, periodicals, microfilm, and other
educational materials.
"(F) funds and administrative management, and acquisition of equipment for
use in strengthening funds management.
"(G) joint use of facilities such as libraries and laboratories.
"(H) academic tutoring and counseling programs and student support services.
"(I) investing in the technological improvement of the institution's
administration of funds made available to students under title IV of the Act;
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"(I) the establishment or improvement of an endowment fund.
"(2)(A) a Tribal College or University may not use more than 20 percent of its grant
under this part for any fiscal year 10 establish or improve an endowment fund.
"(B) In order for a Tribal College or University to use its funds under this part
to establish or improve an endowment fund, it shall provide an institutional match, using non-Federal
funds, that is at least equal to one dollar of institutional funds for every two dollars of the grant funds.
"PLANNING GRANTS
"SEC. 365. The Secretary may award 8 grant under this part to a Tribal College or University
for a period of one year for the purpose of preparing a technological needs assessment, plan, and
application for a grant under section 362(a).
"APPLICATIONS
Section 366. (a) APPLICATIONS.--Each Tribal College or University desiring to receive
assistance under this part shall submit an application to the Secretary in accordance with the
requirements of section 381.
"(b) ADDITIONAL INFORMATION -For purposes of this part, an application under
subsection (a) shall also include--
"(1) a 5-year plan for improving the assistance provided by the Tribal College or
University to Indian students; and
"(2) measurable goals for the institution's proposed activities, Including a plan of how
the applicant intends to achieve those goals.
"(c) PRIORITY-Th Secretary shall give priority to applications that strengthen the
technological capabilities of Tribal Colleges and Universities as determined by the Secretary.
"PART F-MINORITY SCIENCE AND ENGINEERING IMPROVEMENT PROGRAMS
"PURPOSE, PROGRAM AUTHORIZATION
"SEC. 371. (a) PURPOSE.--It is the purpose of this part to continue the authority of the
Department to operate the Minority Institutions Science Improvement Program created under section
3(a)(1) of the National Science Foundation Act of 1950 and transferred to the Department by section
304(a)(1) of the Department of Education Organization Act.
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"(b) PROGRAM AUTHORIZED- The Secretary shall, in accordance with the provisions
of this part, carry out a program of making grants to institutions of higher education that are designed
to effect long-range improvement in science and engineering education at predominantly minority
institutions and to increase the participation of underrepresented ethnic minorities, particularly
minority women, in scientific and technological careers.
"GRANT RECIPIENT SELECTION
"SEC. 372.(a) ESTABLISHMENT OF CRITEBIA-Grants under this part shall be awarded
on the basis of criteria established by the Secretary by regulations.
"(b) PRIORITIES.--The Secretary shall give priority to applicants that have not previously
received funding from the Minority Institutions Science Improvement Program and to previous
grantees with a proven record of success, as well as to applications that contribute to achieving
balance among projects with respect to geographic region, academic discipline, and project type.
"(c) CRITERIA-1 establishing criteria under subsection (a), the Secretary may consider the
following selection criteria in making grants:
"(1) plan of operation.
"(2) quality of key personnel.
"(3) budget and cost effectiveness.
"(4) evaluation plan.
"(5) adequacy of resources.
"(6) identification of need for the project.
"(7) potential institutional impact of the project.
"(8) institutional commitment to the project.
"(9) expected outcomes.
"(10) scientific and educational value of the proposed project.
"USE OF FUNDS
"SEC. 373.(a) TYPES OF GRANTS-Funds under this part may be made available as--
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"(1) institutional grants (as defined in section 1046(6));
"(2) cooperative grants (as defined in section 1046(7));
"(3) design projects (as defined in section 1046(8)); or
"(4) special projects (as defined in section 1046(9).
"(b) AUTHORIZED USES FOR EACH TYPE OF GRANT-(1) The authorized uses of
funds made available as institutional grants include (but are not limited to)--
"(A) faculty development programs; and
"(B) development of curriculum materials.
"(2) The authorized uses of funds made available as cooperative grants include (but
are not limited to)--
"(A) assisting institutions in sharing facilities and personnel;
"(B) disseminating information about established programs in science and
engineering;
"(C) supporting cooperative efforts to strengthen the institution's science and
engineering programs; and
"(D) carrying out a combination of any of the activities in subparagraphs (A)
through (C).
"(3)(A) The authorized uses of funds made available as design projects include (but
are not limited to)--
"(t) developing planning; management, and evaluation systems; and
(ii) developing plans for initiating scientific research and for improving
institutions' capabilities for such activities.
-(B) Funds used for design project grants may not be used to pay more than
50 percent of the salaries during any academic year of faculty members involved in the project.
"(4) The authorized uses of funds made available as special projects include (but are not
limited to)-
"(A) advanced science seminars;
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"(B) science faculty workshops and conferences;
"(C) faculty training to develop specific science research or education skills;
"(D) research in science education;
"(E) programs for visiting scientists;
"(F) preparation of films or audio-visual materials in science;
"(G) development of learning experiences in science beyond those normally
available to minority undergraduate students;
"(H) development of pre-college enrichment activities in science; and
"(I) any other activities designed to address specific barriers to the entry of
minorities into science.".
SEC. - Titles VII and X of the Act are repealed.
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