[Federal Register Volume 60, Number 239 (Wednesday, December 13, 1995)]
[Proposed Rules]
[Pages 64108-64113]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-30343]




[[Page 64107]]

_______________________________________________________________________

Part III





Department of Education





_______________________________________________________________________



34 CFR Part 646



Student Support Services Program; Proposed Rule

Federal Register / Vol. 60, No. 239 / Wednesday, December 15, 1995 / 
Proposed Rules 

[[Page 64108]]


DEPARTMENT OF EDUCATION

34 CFR Part 646

RIN 1840-AC24


Student Support Services Program

AGENCY: Department of Education.

ACTION: Notice of proposed rulemaking.

-----------------------------------------------------------------------

SUMMARY: The Secretary proposes to amend the regulations governing the 
Student Support Services Program. The proposed regulations clarify and 
simplify requirements governing the program. The selection criteria, 
prior experience criteria, and grantee accountability provisions are 
affected by these proposed changes.
    The Student Support Services Program supports the educational needs 
of students from disadvantaged backgrounds. Performance outcomes for 
the program are designed to demonstrate the progress and performance of 
eligible students in successfully completing their postsecondary 
education.

DATES: Comments must be received on or before January 12, 1996.

ADDRESSES: All comments concerning these proposed regulations should be 
addressed to Richard T. Sonnergren, U.S. Department of Education, 600 
Independence Avenue, S.W., Washington, D.C. 20202-5249. Comments may 
also be sent through the Internet to <a href="/cdn-cgi/l/email-protection" class="__cf_email__" data-cfemail="d286809b9d92b7b6fcb5bda4fc">[email protected]</a>
    To ensure that public comments have maximum effect in developing 
the final regulations, the Department urges that each comment clearly 
identify the specific section or sections of the regulations that the 
comment addresses and that comments be in the same order as the 
regulations.
    Comments that concern information collection requirements must be 
sent to the Office of Management and Budget at the address listed in 
the Paperwork Reduction Act section of this preamble. A copy of those 
comments may also be sent to the Department representative named in the 
preceding paragraph.

FOR FURTHER INFORMATION CONTACT: Virginia A. Mason, Division of Student 
Services, U.S. Department of Education, 600 Independence Avenue, S.W., 
The Portals Building, Suite 600D, Washington, D.C. 20202-5249. 
Telephone: (202) 708-4804. Individuals who use telecommunications 
device for the deaf (TDD) may call the Federal Information Relay 
Service (FIRS) at 1-800-877-8339 between 8 a.m. and 8 p.m., Eastern 
time, Monday through Friday.

SUPPLEMENTARY INFORMATION:

Background

    The Student Support Services program provides grants to 
institutions of higher education for projects offering support services 
to low-income, first generation, or disabled college students. These 
support services should enhance their academic skills, increase their 
retention and graduation rates, facilitate their entrance into four-
year colleges or graduate and professional programs, and foster an 
institutional climate supportive of the success of low-income and first 
generation college students and students with disabilities.
    Projects assisted under this program may provide: (1) Instruction 
in reading, writing, study skills, mathematics, and other subjects 
necessary for success beyond high school; (2) personal counseling; (3) 
academic advice and assistance in course selection; (4) tutorial 
services and peer counseling; (5) exposure to cultural events and 
academic programs not usually available to disadvantaged students; (6) 
activities designed to assist students participating in the project in 
securing admission and financial assistance for enrollment in graduate 
and professional programs; (7) activities designed to assist students 
currently enrolled in two-year institutions in securing admission and 
financial assistance for enrollment in a four-year program of 
postsecondary education; (8) mentoring programs involving faculty or 
upper class students, or a combination thereof; and (9) programs and 
activities specially designed for students of limited proficiency in 
English.
    These proposed regulations have been revised to address the 
President's regulatory reinvention initiative. Specifically, 
Secs. 646.7, 646.10, 646.20, 646.21, 646.22 and 646.32 simplify the 
selection criteria and increase grantee accountability through revised 
prior experience criteria and stronger project evaluation requirements. 
On October 1, 1993, the Secretary published revisions to the Student 
Support Services Program regulations to implement changes required by 
the Higher Education Amendments of 1992 (58 FR 51521-22). This notice 
of proposed rulemaking proposes program improvements that were not 
covered by the October 1, 1993 regulations. Major changes in the 
current regulations are proposed in the following sections:
    <bullet> Definitions (Sec. 646.6). These regulations would provide 
definitions for terms used in the program statute and these proposed 
regulations. The following definitions have been added: academic need, 
different campus, different population of participants, combination of 
institutions of higher education, participant, sufficient financial 
assistance. In addition, we have revised the definition of the term 
``limited proficiency in English.'' These definitions are needed to 
provide standard definitions used in data collection instruments and to 
implement changes required by the 1992 Higher Education Amendments. 
Specifically, the definitions for ``academic need'' and ``sufficient 
financial assistance'' are intended to ensure grantees the flexibility 
to customize their projects to meet the special needs of the 
participants served. The definitions for ``different campus'' and 
``different population of participants'' are intended to implement 
policies and practices that have been used in governing the program. 
The term ``limited proficiency in English'' is defined to provide 
clarity and intended to be more practical.
    <bullet> Selection criteria (Sec. 646.21). The proposed regulations 
would revise the application selection criteria to simplify and clarify 
the requirements and increase grantee accountability by establishing 
performance indicators and a standard for evaluating project services.
    <bullet> Prior experience (Sec. 646.22). The proposed regulations 
would revise the criteria for the evaluation of a grantee's prior 
experience to focus on project outcomes. The changes are intended to 
eliminate data requested on administrative compliance matters and 
collect only the information necessary to assess the impact of services 
on project outcomes.
    <bullet> Other requirements of a grantee (Sec. 646.32). The 
proposed regulations would prohibit a grantee from serving any 
individual who is simultaneously receiving services from another 
Federal TRIO program and would clarify provisions for project 
coordination. In addition, the proposed regulations would require 
grantees to track student performance and define the basis for 
determining academic need. These regulations are needed to assist 
projects with the implementation of the statutory provision to 
coordinate services with similar programs and provide parameters for 
collecting the types of information projects need to evaluate services. 
The uniformity in student service delivery and evaluation are expected 
to allow the Secretary to more effectively assess the impact of the 
program. 

[[Page 64109]]


Executive Order 12866

Clarity of the Regulations

    Executive Order 12866 requires each agency to write regulations 
that are easy to understand.
    The Secretary invites comments on how to make these regulations 
easier to understand, including answers to questions such as the 
following: (1) Are the requirements in the regulations clearly stated? 
(2) Do the regulations contain technical terms or other wording that 
interferes with their clarity? (3) Does the format of the regulations 
(grouping and order of sections, use of headings, paragraphing, etc.) 
aid or reduce their clarity? Would the regulations be easier to 
understand if they were divided into more (but shorter) sections? (A 
``section'' is preceded by the symbol ``Sec. '' and a numbered heading; 
for example, Sec. 646.20 How does the Secretary decide which new grants 
to make? (4) Is the description of the proposed regulations in the 
``Supplementary Information'' section of this preamble helpful in 
understanding the proposed regulations? How could this description be 
more helpful in making the proposed regulations easier to understand? 
(5) What else could the Department do to make the regulations easier to 
understand?
    A copy of any comments that concern whether these proposed 
regulations are easy to understand should be sent to Stanley Cohen, 
Regulations Quality Officer, U.S. Department of Education, 600 
Independence Avenue, S.W., Washington, D.C. 20202-2241.

Regulatory Flexibility Act Certification

    The Secretary certifies that these proposed regulations would not 
have a significant economic impact on a substantial number of small 
entities. The small entities that would be affected by these 
regulations are small institutions of higher education that receive 
Federal funds under this program.
    However, the regulations would not have a significant economic 
impact on the small entities affected because the regulations would not 
impose excessive regulatory burdens or require unnecessary Federal 
supervision. The regulations would impose minimal requirements to 
ensure the proper expenditure of program funds.

Paperwork Reduction Act of 1995

    Sections 646.11, 646.21, 646.22, and 646.32 contain information 
collection requirements. As required by the Paperwork Reduction Act of 
1995 (44 U.S.C. 3507(d)), the Department of Education has submitted a 
copy of these sections to the Office of Management and Budget (OMB) for 
its review.
    Collection of Information: Student Support Services Program--
Program Regulations.
    Institutions of higher education and combinations of those 
institutions are eligible to apply for grants under these regulations. 
The information to be collected includes: assurances to meet certain 
statutory requirements; a description of each proposed project; 
specific information regarding each project (such as the need for the 
project, proposed collaboration with similar or related projects; 
criteria to be used to measure progress and outcomes, data regarding 
persons to be served); and information to be included in an annual 
report to the Secretary. The Department needs and uses the information 
to make grants.
    All information is to be collected annually from each applicant. 
Annual reporting and recordkeeping burden for this collection of 
information is estimated to average 20 hours for each response for 706 
respondents, including the time for reviewing instructions, searching 
existing data sources, gathering and maintaining the data needed, and 
completing and reviewing the collection of information. Thus, the total 
annual reporting and recordkeeping burden for this collection is 
estimated to be 14,120 hours.
    Organizations and individuals desiring to submit comments on the 
information collection requirement should direct them to the Office of 
Information and Regulatory Affairs, OMB, Room 10235, New Executive 
Office Building, Washington, DC 20503; Attention: Desk Officer for U.S. 
Department of Education.
    The Department considers comments by the public on this proposed 
collection of information in--
    <bullet> Evaluating whether the proposed collection of information 
is necessary for the proper performance of the functions of the 
Department, including whether the information will have practical 
utility;
    <bullet> Evaluating the accuracy of the Department's estimate of 
the burden of the proposed collection of information, including the 
validity of the methodology and assumptions used;
    <bullet> Enhancing the quality, usefulness, and clarity of the 
information to be collected; and
    <bullet> Minimizing the burden of the collection of information on 
those who are to respond, including through the use of appropriate 
automated, electronic, mechanical, or other collection techniques or 
other forms of information technology; e.g., permitting electronic 
submission of responses.
    OMB is required to make a decision concerning the collection of 
information contained in these proposed regulations between 30 and 60 
days after publication of this document in the Federal Register. 
Therefore, a comment to OMB is best assured of having its full effect 
if OMB receives it within 30 days of publication. This does not affect 
the deadline for the public to comment to the Department on the 
proposed regulations.

Intergovernmental Review

    This program is subject to the requirements of Executive Order 
12372 and the regulations in 34 CFR Part 79. The objective of the 
Executive Order is to foster an intergovernmental partnership and a 
strengthened federalism by relying on processes developed by State and 
local governments for coordination and review of proposed Federal 
financial assistance.
    In accordance with the order, this document is intended to provide 
early notification of the Department's specific plans and actions for 
this program.

Invitation to Comment

    Interested persons are invited to submit comments and 
recommendations regarding these proposed regulations.
    All comments submitted in response to these proposed regulations 
will be available for public inspection during and after the comment 
period at 1250 Maryland Avenue, SW., The Portals Building, Suite 600D, 
Washington, DC, between the hours of 8:30 a.m. and 4 p.m., Monday 
through Friday of each week except Federal holidays.

Assessment of Educational Impact

    The Secretary particularly requests comments on whether the 
proposed regulations in this document would require transmission of 
information that is being gathered by or is available from any other 
agency or authority of the United States.

List of Subjects in 34 CFR Part 646

    Colleges and universities, Disadvantaged students, Educational 
programs, Discretionary grants, Reporting and recordkeeping 
requirements.

(Catalog of Federal Domestic Assistance Number 84.042 Student 
Support Services Program.)

 
[[Page 64110]]

    Dated: November 28, 1995.
David A. Longanecker,
Assistant Secretary for Postsecondary Education.

    The Secretary proposes to amend Title 34 of the Code of Federal 
Regulations by revising Part 646 to read as follows:

PART 646--STUDENT SUPPORT SERVICES PROGRAM

Subpart A--General

Sec.
646.1 What is the Student Support Services Program?
646.2 Who is eligible to receive a grant?
646.3 Who is eligible to participate in a Student Support Services 
project?
646.4 What activities and services may a project provide?
646.5 How long is a project period?
646.6 What regulations apply?
646.7 What definitions apply?

Subpart B--How Does One Apply for an Award?

646.10 How many applications for a Student Support Services award 
may an eligible applicant submit?
646.11 What assurances must an applicant include in an application?

Subpart C--How Does the Secretary Make a Grant?

646.20 How does the Secretary decide which new grants to make?
646.21 What selection criteria does the Secretary use?
646.22 How does the Secretary evaluate prior experience?
646.23 How does the Secretary set the amount of a grant?

Subpart D--What Conditions Must Be Met by a Grantee?

646.30 What are allowable costs?
646.31 What are unallowable costs?
646.32 What other requirements must a grantee meet?

    Authority: 20 U.S.C. 1070a-11 and 1070a-14, unless otherwise 
noted.

Subpart A--General


Sec. 646.1  What is the Student Support Services Program?

    The Student Support Services Program provides grants for projects 
designed to--
    (a) Provide support services to eligible students to enhance their 
academic skills, increase their retention and graduation rates, and, as 
appropriate, facilitate their entrance into four-year colleges or 
graduate and professional programs; and
    (b) Foster an institutional climate supportive of the success of 
low-income and first generation college students and individuals with 
disabilities through services such as those described in Sec. 646.4.

(Authority: 20 U.S.C. 1070a-11 and 1070a-14)


Sec. 646.2  Who is eligible to receive a grant?

    An institution of higher education or a combination of institutions 
of higher education are eligible to receive a grant to carry out a 
Student Support Services project.

(Authority: 20 U.S.C. 1070a-14)


Sec. 646.3  Who is eligible to participate in a Student Support 
Services project?

    A student is eligible to participate in a Student Support Services 
project if the student meets all of the following requirements:
    (a) Is a citizen or national of the United States or meets the 
residency requirements for Federal student financial assistance.
    (b) Is enrolled at the grantee institution or accepted for 
enrollment in the next academic term at that institution.
    (c) Has a need for academic support, as determined by the grantee, 
in order to pursue successfully a postsecondary educational program.
    (d) Is--
    (1) A low-income individual;
    (2) A first generation college student; or
    (3) An individual with disabilities.

(Authority: 20 U.S.C. 1070a-14)


Sec. 646.4  What activities and services may a project provide?

    A Student Support Services project may provide the following 
services:
    (a) Instruction in reading, writing, study skills, mathematics, and 
other subjects necessary for success beyond secondary school.
    (b) Personal counseling.
    (c) Academic advice and assistance in course selection.
    (d) Tutorial services and counseling and peer counseling.
    (e) Exposure to cultural events and academic programs not usually 
available to disadvantaged students.
    (f) Activities designed to acquaint students participating in the 
project with the range of career options available.
    (g) Activities designed to secure admission and financial 
assistance for enrollment in graduate and professional programs.
    (h) Activities designed to assist students currently enrolled in 
two-year institutions in securing admission and financial assistance 
for enrollment in a four-year program of postsecondary education.
    (i) Mentoring programs involving faculty or upper class students, 
or any combination of faculty members and upper class students.
    (j) Programs and activities as described in paragraphs (a) through 
(i) of this section that are specifically designed for students of 
limited English proficiency.
    (k) Other activities designed to meet the purposes of the Student 
Support Services Program stated in Sec. 646.1.

(Authority: 20 U.S.C. 1070a-14)


Sec. 646.5  How long is a project period?

    (a) Except as provided in paragraph (b) of this section, a project 
period under the Student Support Services program is four years.
    (b) The Secretary approves a project period of five years for 
applicants that score in the highest ten percent of all applicants 
approved for new grants under the criteria in Sec. 646.21.

(Authority: 20 U.S.C. 1070a-11)


Sec. 646.6  What regulations apply?

    The following regulations apply to the Student Support Services 
Program:
    (a) The Education Department General Administrative Regulations 
(EDGAR) in 34 CFR parts 74, 75, 77, 79, 82, 85 and 86; and
    (b) The regulations in this part 646.

(Authority: 20 U.S.C. 1070a-11 and 1070a-14)


Sec. 646.7  What definitions apply?

    (a) Definitions in the Act. The following terms used in this part 
are defined in sections 402(A)(g), 481, or 1201(a) of the Higher 
Education Act (HEA) of 1965, as amended.
    First generation college student.
    Institution of higher education.
    Low-income individual.
    (b) Definitions in EDGAR. The following terms used in this part are 
defined in 34 CFR 77.1:

Applicant
Application
Award
Budget
Budget Period
Department
EDGAR
Equipment
Facilities
Fiscal year
Grant
Grantee
Grant Period
Project
Project period
Public
Secretary
Supplies

    (c) Other definitions. The following definitions also apply to this 
part:
    Academic need with reference to a student means a student whom the 
grantee determines needs one or more of 

[[Page 64111]]
the services stated under Sec. 646.4 to succeed in a postsecondary 
educational program.
    Cohort rate means a statistical measure used to compare the 
characteristics or outcomes of a specified group of students over time 
with other groups for which similar rates have been calculated.
    Combination of institutions of higher education means two or more 
institutions of higher education that have entered into a cooperative 
agreement for the purpose of carrying out a common objective, or an 
entity designated or created by a group of institutions of higher 
education for the purpose of carrying out a common objective on their 
behalf.
    Different campus means an institutional site that is geographically 
apart from and independent of the main campus of the institution. The 
Secretary considers a location of an institution to be independent of 
the main campus if the location--
    (1) Is permanent in nature;
    (2) Offers courses in educational programs leading to a degree, 
certificate, or other recognized educational credential;
    (3) Has its own faculty and administrative or supervisory 
organization; and
    (4) Has its own budgetary and hiring authority.
    Different population of participants means a group of either--
    (1) Low-income, first-generation college students; or
    (2) Disabled students.
    Individual with disabilities means a person who has a diagnosed 
physical or mental impairment that substantially limits that person's 
ability to participate in the educational experiences and opportunities 
offered by the grantee institution.
    Limited proficiency in English with reference to an individual 
means an individual whose native language is other than English and who 
has sufficient difficulty speaking, reading, writing, or understanding 
the English language to deny that individual the opportunity to learn 
successfully in classrooms in which English is the language of 
instruction.
    Participant means an individual who--
    (1) Is determined to be eligible to participate in the project 
under Sec. 646.3; and
    (2) Receives project services on a continual basis for a period of 
more than one full grading period at the grantee institution.
    Sufficient financial assistance means the amount of financial aid 
offered a Student Support Services student, inclusive of Federal, 
State, local, private, and institutional aid which, together with 
parent or student contributions, is equal to the cost of attendance as 
determined by a financial aid officer at the institution.

(Authority: 20 U.S.C. 1070a-11 and 1070a-14)

Subpart B--How Does One Apply for an Award?


Sec. 646.10  How many applications for a Student Support Services award 
may an eligible applicant submit?

    The Secretary accepts more than one application from an eligible 
applicant so long as each additional application describes a project 
that serves a different campus, or a different population of 
participants who cannot readily be served by a single project.

(Authority: 20 U.S.C. 1070a-11 and 1070a-14)


Sec. 646.11  What assurances must an applicant include in an 
application?

    An applicant shall assure in its application that--
    (a) At least two-thirds of the students it will serve in its 
Student Support Services project will be--
    (1) Low-income individuals who are first generation college 
students; or
    (2) Individuals with disabilities;
    (b) The remaining students it will serve will be low-income 
individuals, first generation college students, or individuals with 
disabilities;
    (c) Not less than one-third of the individuals with disabilities 
will be low-income individuals; and
    (d) Each student participating in the project will be offered 
sufficient financial assistance to meet that student's full financial 
need.

(Authority: 20 U.S.C. 1070a-14)

Subpart C--How Does the Secretary Make a Grant?


Sec. 646.20  How does the Secretary decide which new grants to make?

    (a) The Secretary evaluates an application for a new grant as 
follows:
    (1) (i) The Secretary evaluates the application on the basis of the 
selection criteria in Sec. 646.21.
    (ii) The maximum score for all the criteria in Sec. 646.21 is 00 
points. The maximum score for each criterion is indicated in 
parentheses with the criterion.
    (2) (i) If an application for a new grant proposes to continue to 
serve substantially the same population or campus that the applicant is 
serving under an expiring grant, the Secretary evaluates the 
applicant's prior experience in delivering services under the expiring 
grant on the basis of the criteria in Sec. 646.22.
    (ii) The maximum score for all the criteria in Sec. 646.22 is 15 
points. The maximum score for each criterion is indicated in 
parentheses with the criterion.
    (b) The Secretary makes new grants in rank order on the basis of 
the applications' total scores under paragraphs (a)(1) and (a)(2) of 
this section.
    (c) If the total scores of two or more applications are the same 
and there is insufficient money available to fully fund them both after 
funding the higher-ranked applications, the Secretary chooses among the 
tied applications so as to serve geographic areas that have been 
underserved by the Student Support Services Program.
    (d) The Secretary does not make grants to applicants that carried 
out a Federal TRIO program project that involved the fraudulent use of 
funds.

(Authority: 20 U.S.C. 1070a-11 and 1070a-14)


Sec. 646.21  What selection criteria does the Secretary use?

    The Secretary uses the following criteria to evaluate an 
application for a new grant:
    (a) Need for the project (24 points). The Secretary evaluates the 
need for a Student Support Services project proposed at the applicant 
institution on the basis of the extent to which the application 
contains clear evidence of--
    (1) A high number or percentage, or both, of students enrolled or 
accepted for enrollment at the applicant institution who meet the 
eligibility requirements of Sec. 646.3;
    (2) The academic and other problems that eligible students 
encounter at the applicant institution; and
    (3) Students eligible for Student Support Services projects who are 
less likely to succeed as compared to the total enrollment at the 
applicant institution based upon the following indicators:
    (i) Retention and graduation rates.
    (ii) Grade point averages.
    (iii) Graduate and professional school enrollment rates (four-year 
colleges only).
    (iv) Transfer rates from two-year to four-year institutions (two-
year colleges only).
    (b) Objectives (8 points). The Secretary evaluates the quality of 
the applicant's proposed project objectives on the basis of the extent 
to which they--
    (1) Include both process and outcome objectives relating to each of 
the 

[[Page 64112]]
purposes of the Student Support Services Program stated in Sec. 646.1;
    (2) Address the needs and aspirations of the proposed project 
participants;
    (3) Are clearly described, specific, and measurable; and
    (4) Are ambitious but attainable within each budget period and the 
project period given the project budget and other resources.
    (c) Plan of operation (30 points). The Secretary evaluates the 
quality of the applicant's plan of operation on the basis of the 
following:
    (1) (3 points) The plan to inform the institutional community 
(students, faculty and staff) of the goals, objectives, and services of 
the project and the eligibility requirements for participation in the 
project.
    (2) (3 points) The plan to identify, select and retain project 
participants with academic need and ensure their participation without 
regard to race, color, national origin, or gender.
    (3) (4 points) The plan for assessing individual participants' need 
for specific services and monitoring their academic progress.
    (4) (10 points) The plan to provide services that address the goals 
and objectives of the project.
    (5) (10 points) The applicant's plan to ensure proper and efficient 
administration of the project, including the organizational placement 
of the project; the time commitment of key project staff; the specific 
plans for financial management, student records management, and 
personnel management; and, where appropriate, its plan for coordination 
with other programs for disadvantaged students.
    (d) Institutional commitment (16 points). The Secretary evaluates 
the institutional commitment to the proposed project on the basis of 
the extent to which the applicant has--
    (1) (6 points) Committed facilities, equipment, supplies, 
personnel, and other resources to supplement the grant and enhance 
project services;
    (2) (6 points) Established administrative and academic policies 
that enhance participants' retention at the institution and improve 
their chances of graduating from the institution;
    (3) (2 points) Demonstrated a commitment to minimize the dependence 
on student loans in developing financial aid packages for project 
participants by committing institutional resources to the extent 
possible; and
    (4) (2 points) Assured the full cooperation and support of the 
Admissions, Student Aid and Registrar functional components of the 
institution.
    (e) Quality of personnel (9 points). To determine the quality of 
personnel the applicant plans to use, the Secretary looks for 
information that shows--
    (1) The qualifications required of the project director, including 
formal education and training in fields related to the objectives of 
the project, and experience in designing, managing, or implementing 
Student Support Services or similar projects;
    (2) The qualifications required of other personnel to be used in 
the project, including formal education, training, and work experience 
in fields related to the objectives of the project; and
    (3) The quality of the applicant's plan for employing personnel who 
have succeeded in overcoming barriers similar to those confronting the 
project's target population.
    (f) Budget (5 points). The Secretary evaluates the extent to which 
the project budget is reasonable, cost-effective, and adequate to 
support the project.
    (g) Evaluation plan (8 points). The Secretary evaluates the quality 
of the evaluation plan for the project on the basis of the extent to 
which the applicant's methods of evaluation--
    (1) Are appropriate to the project and include both quantitative 
and qualitative evaluation measures;
    (2) Examine in specific and measurable ways, using appropriate 
baseline data, the success of the project in improving academic 
achievement, retention and graduation of project participants; and
    (3) Compares project outcomes with institutional data on student 
cohorts not served by the project.

(Authority: 20 U.S.C. 1070a-14)


Sec. 646.22  How does the Secretary evaluate prior experience?

    (a) In the case of an application described in 
Sec. 646.20(a)(2)(i), the Secretary reviews information relating to an 
applicant's performance under its expiring Student Support Services 
project. This information may come from performance reports, site visit 
reports, project evaluation reports, and any other verifiable 
information submitted by the applicant.
    (b) The Secretary evaluates the applicant's prior experience in 
achieving the goals of the Student Support Services Program on the 
basis of the following criteria:
    (1) (4 points) The extent to which project participants persisted 
toward completion of the academic programs in which they were enrolled.
    (2) (4 points) The extent to which project participants met 
academic performance levels required to stay in good academic standing 
at the grantee institution.
    (3) (4 points) The extent to which project participants graduated 
from the grantee institution.
    (4) (3 points) The extent to which project participants either 
transferred from two-year to four-year institutions (two-year colleges 
only) or enrolled in graduate or professional schools (four-year 
colleges only).

(Authority: 20 U.S.C. 1070a-11 and 1070a-14)


Sec. 646.23  How does the Secretary set the amount of a grant?

    (a) The Secretary sets the amount of a grant on the basis of--
    (1) 34 CFR 75.232 and 75.233, for new grants; and
    (2) 34 CFR 75.253, for the second and subsequent years of a project 
period.
    (b) If the circumstances described in section 402A(b)(3) of the HEA 
exist, the Secretary uses the available funds to set the amount of the 
grant beginning in fiscal year 1995 at the lesser of--
    (1) $170,000; or
    (2) The amount requested by the applicant.

(Authority: 20 U.S.C. 1070a-11)

Subpart D--What Conditions Must Be Met By a Grantee?


Sec. 646.30  What are allowable costs?

    The cost principles that apply to the Student Support Services 
Program are in 34 CFR part 74, subpart Q. Allowable costs include the 
following if they are reasonably related to the objectives of the 
project:
    (a) Cost of remedial and special classes if--
    (1) These classes are not otherwise available at the grantee 
institution;
    (2) Are limited to eligible project participants; and
    (3) Project participants are not charged tuition for instruction 
paid for the classes.
    (b) Courses in English language instruction for students of limited 
proficiency in English if these classes are limited to eligible project 
participants and not otherwise available at the grantee institution.
    (c) In-service training of project staff.
    (d) Activities of an academic or cultural nature, such as field 
trips, special lectures, and symposiums, that have as their purpose the 
improvement of the participants' academic progress and personal 
development at the institution.
    (e) Transportation of participants and staff to and from approved 
educational 

[[Page 64113]]
and cultural activities sponsored by the project.
    (f) Purchase of computer hardware, computer software, or other 
equipment to be used for student development, student records and 
project administration if the applicant demonstrates to the Secretary's 
satisfaction that the equipment is required to meet the objectives of 
the project more economically or efficiently.
    (g) Professional development travel for staff if directly related 
to the project's overall purpose and activities, except that these 
costs may not exceed four percent of total project salaries. The 
Secretary may adjust this percentage if the applicant demonstrates to 
the Secretary's satisfaction that a higher percentage is necessary and 
reasonable.

(Authority: 20 U.S.C. 1070a-14)


Sec. 646.31  What are unallowable costs?

    Costs that may not be charged against a grant under the Student 
Support Services Program include, but are not limited to, the 
following:
    (a) Costs involved in recruiting students for enrollment at the 
institution.
    (b) Tuition, fees, stipends, and other forms of direct financial 
support for staff or participants.
    (c) Research not directly related to the evaluation or improvement 
of the project.
    (d) Construction, renovation, or remodeling of any facilities.

(Authority: 20 U.S.C. 1070a-14)


Sec. 646.32  What other requirements must a grantee meet?

    (a) Eligibility of participants. (1) A grantee shall determine the 
eligibility of each participant in the project when the individual is 
selected to participate. The grantee does not have to revalidate a 
participant's eligibility after the participant's initial selection.
    (2) A grantee shall determine the low-income status of an 
individual on the basis of the documentation described in section 
402A(e) of the Higher Education Act.
    (3) A grantee shall not serve any individual who is receiving 
services from another Federal TRIO Program.
    (b) Recordkeeping. A grantee shall maintain participant records 
that show--
    (1) The basis for the grantee's determination that each participant 
is eligible to participate in the project under Sec. 646.3;
    (2) The grantee's basis for determining the academic need for each 
participant;
    (3) The services that are provided to each participant; and
    (4) The performance and progress of each participant for the 
duration of the participant's attendance at the grantee institution.
    (c) Project director. (1) A grantee shall employ a full-time 
project director unless paragraph (c)(3) of this section applies.
    (2) The grantee shall give the project director sufficient 
authority to administer the project effectively.
    (3) The Secretary waives the requirement in paragraph (c)(1) of 
this section if the applicant demonstrates that the requirement will 
hinder coordination--
    (i) Among the Federal TRIO Programs; or
    (ii) Between the programs funded under sections 404A through 410 of 
the Higher Education Act and similar programs funded through other 
sources.
    (d) Project coordination. (1) The Secretary encourages grantees to 
coordinate project services with other programs for disadvantaged 
students operated by the grantee institution provided the Student 
Support Services grant funds are not used to support activities 
reasonably available to the general student population.
    (2) To the extent practical, the grantee may share staff with 
programs serving similar populations provided the grantee maintains 
appropriate records of staff time and effort and does not comingle 
grant funds.
    (3) Costs for special classes and events that would benefit Student 
Support Services students and participants in other programs for 
disadvantaged students may be proportionately divided among the 
projects that receive the benefits.

(Authority: 20 U.S.C. 1070a-11 and 1070a-14)

[FR Doc. 95-30343 Filed 12-12-95; 8:45 am]
BILLING CODE 4000-01-P

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