U.S. Department of EducationRetrospective Review Plan Report

U.S. Department of Education

Retrospective Review Plan Report

July 8, 2013

U.S. Department of Education

Retrospective Review Plan Report

July 8, 2013

The U.S. Department of Education (ED or the Department) submits this report in response to the President’s Executive Order 13610, “Identifying and Reducing Regulatory Burdens,” (EO) directing agencies to report to the Office of Information and Regulatory Affairs (OIRA) on the status of their retrospective review efforts. The EO directs agencies to invite comments from the public on a regular basis about regulations in need of retrospective review, including appropriate modifications to regulations. The EO also directs agencies, in implementing and revising their retrospective review plans, to give priority to those initiatives that will produce significant quantifiable monetary savings or significant quantifiable reductions in paperwork burden while protecting public health, welfare, safety, and the environment and to give special consideration to those initiatives that would reduce unjustified regulatory burden on small businesses. In accordance with the EO, the Department is also including in this report (Items 12-13) a description of two initiatives (previously reported in the Department’s September 10, 2012, report) that are anticipated to produce significant quantifiable reductions in paperwork and reporting burdens.

Retrospective Review

Agency / Sub Agency	RIN/OMB Control Number	Title of Initiative/Rule/ ICR	Brief Description	Actual or Target Completion Date	Anticipated saving in costs and/or information collection burdens, together with any anticipated changes in benefits	Progress updates and anticipated accomplishments
1. ED/OPE	1840-AD12	Transitioning from the Federal Family Education Loan (FFEL) Program to the William D. Ford Direct Loan Program and Loan Rehabilitation under the FFEL, Direct Loan, and Federal Perkins Loan Programs	These regulations propose amendments to the student assistance regulations in title IV of the Higher Education Act of 1965, as amended (HEA), to (a) reflect that, as of July 1, 2010, under the SAFRA Act, no new FFEL Program loans will be made, and (b) clarify for borrowers using the rehabilitation option to get out of default on their loans how reasonable and affordable will be defined; and (c) provide for greater consistency in the regulations governing the title IV, HEA student loan programs.	November 1, 2013	Estimates of the costs and benefits of these proposed regulations will be included in the NPRM.	ED completed negotiated rulemaking with respect to these proposed amendments in March 2012. The negotiating committee reached consensus on the proposed regulatory amendments. ED anticipates issuing an NPRM in July 2013 and final regulations on or before November 1, 2013.
2. ED/OPE	1840-AD11	Federal Pell Grant Program	These regulations amend the Federal Pell Grant Program regulations to make them consistent with recent changes in the HEA that prohibit a student from receiving two consecutive Pell Grants in a single award year.	July 2013	In August of 2008, the Higher Education Opportunity Act (HEOA), Public Law 110–315, added section 401(b)(5) to the HEA, which provided that a student enrolled in a certificate, associate degree, or baccalaureate degree program at least half-time for more than one academic year may receive up to two consecutive Federal Pell Grant Scheduled Awards during a single award year. The Department amended its regulations to implement these changes but subsequently, section 1860(a)(2) of division B of the Department of Defense and Full-Year Continuing Appropriations Act, 2011 (Pub. L. 112–10) repealed section 401(b)(5) of the HEA. The repeal of this provision became effective with the 2011–2012 award year. Because there is no longer an opportunity for a student to receive a second Federal Pell Grant Scheduled Award, we have amended the current regulations. This regulatory action updates our regulations to conform to the statutory changes and provides clarity for institutions and students on implementing these changes. The elimination of the option for two Pell Grants in one year will remove the eligibility of about 1.9 million students annually and reduce costs in the program by approximately $24.3 billion over five years. These reduced costs are attributed to the passage of Pub. L. 112-10, to which these final regulations give effect.	ED issued interim final regulations on May 2, 2012 (77 FR 25893). The final regulations were published in the Federal Register on July 2, 2013 (78 FR 39613).
3. ED/Office of Special Education and Rehabilitative Services (OSERS)	1820-AB64	Individuals with Disabilities Education (IDEA) – Part B Program -- Assistance to States for the Education of Children with Disabilities	These final regulations permit a public agency to access a child’s or parent’s benefits under a public benefits or insurance program in which the child participates to provide or pay for services required under Part B of IDEA without obtaining parental consent each time it seeks access to those benefits or insurance. Instead, a public agency is required to provide parents a written notification about the circumstances in which the agency may use public benefits or insurance to provide or pay for services under Part B of IDEA. This includes notification of the agency’s obligation to obtain the parental consent required under 34 CFR part 99 of the regulations for the Family Educational Rights and Privacy Act (FERPA) and 34 CFR §300.622 of the IDEA regulations before disclosing a child’s or parent’s personally identifiable information to the public benefits or insurance program for billing purposes. The notification must be provided both before the public agency seeks to access the child’s or parent’s public insurance or benefits for the first time and annually thereafter. The regulations also clarify that the public agency must obtain consent prior to accessing a child’s or parent’s public benefits or insurance for the first time, describe the specific elements the written parental consent must include, and provide that the onetime consent specify that the parent understands and agrees that the public agency may access the child’s or parent’s public benefits or insurance to pay for services under part 300.	February 14, 2013	The Department estimates that the regulatory changes would result in a net cost savings and provide an economic benefit to a number of local educational agencies (LEAs) in many States. The Department estimates net savings will be $2,563,275 to $10,115,702 in the first year and $15,443,846 to $49,269,335 annually thereafter. The estimates are based on ED’s analysis of the cost of complying with the current regulations as compared to the anticipated costs for complying with the final regulations. These cost savings would affect LEAs and public agencies.	ED issued an NPRM proposing to amend these regulations on September 28, 2011 (76 FR 60310). ED issued final regulations on February 14, 2013 (78 FR 10525).
4. ED/Office of Elementary and Secondary Education (OESE)	N/A	ESEA Flexibility	This initiative provides flexibility to improve student academic achievement and increase the quality of instruction under the Elementary and Secondary Education Act of 1965, as amended (ESEA). The Department is offering State educational agencies (SEAs) the opportunity to request flexibility on behalf of the State, its LEAs, and schools, in order to better focus on improving student learning and increasing the quality of instruction.	Ongoing.	Title I, Part A of the ESEA contains several provisions that require SEAs and LEAs to collect and disseminate information to implement the Federal requirements for schools identified for improvement, corrective action, or restructuring. Through the ESEA flexibility offered by the Department, SEAs can request flexibility from these requirements so that they and their LEAs can focus on improving student academic achievement and increasing the quality of instruction. SEAs receiving flexibility will not be required to identify schools for improvement, corrective action, or restructuring, or carry out the attendant responsibilities, resulting in a significant reduction in burden at the State, LEA, and school levels. This flexibility is intended to build on and support the significant State and local reform efforts already underway in critical areas such as transitioning to college- and career-ready standards and assessments; developing systems of differentiated school and district recognition, accountability, and support; and evaluating and supporting teacher and principal effectiveness.	As of July 2, 2013, the Department has approved 40 requests for ESEA flexibility and an additional 8 requests are pending.
5. ED/OPE	To be determined	Title IV of the HEA – Gainful Employment Programs	These regulations would establish standards for programs under title IV of the HEA that prepare students for employment in a recognized occupation.	November 2014	Estimates of the costs and benefits of these proposed regulations will be provided in the NPRM.	On June 12, 2013, ED announced the formation of a negotiated rulemaking committee to develop regulations that would establish standards for programs that prepare students for gainful employment in a recognized occupation (78 FR 35810). The negotiation sessions will be held in September and October of 2013.
6. ED/OPE	To be determined	Title IV, HEA – Federal Perkins Loan, Federal Supplemental Educational Opportunity Grants, and Federal Work-Study Programs (the Campus-Based Programs)	The Secretary plans to conduct negotiated rulemaking and to propose amendments to its regulations in 34 CFR parts 673, 674, 675, and 676 governing the campus-based programs. These regulations will focus on updating these regulations to reflect statutory changes made in 2008 and identifying opportunities to reduce institutional burden in implementing these programs. In addition, we will use the negotiated rulemaking process to discuss proposed regulations focused on preventing fraud and ensuring the proper use of title IV, HEA program funds, especially within the context of the current technologies that are being used to deliver coursework in higher education.	To be determined	We believe any changes to the regulations governing the campus-based programs would help improve the administration and efficiency of these programs, while reducing burden on regulated parties. The Department cannot provide estimates of any specific savings or benefits until it has completed the negotiations of these regulations.	On May 1, 2012, ED published a notice of intent to establish a negotiated rulemaking committee to prepare proposed regulations with respect to these programs, as well as regulations to ensure the proper use of title IV, HEA funds within the context of current technologies (77 FR 25658). ED held public hearings to discuss a rulemaking agenda on May 23 and May 31, 2012. The Department will announce through a separate notice the specific subject areas to be covered by the negotiated rulemaking and request nominations for negotiators for the negotiated rulemaking committee.
7. ED/Office of the Secretary	1890-AA14	Education Department General Administrative Regulations (EDGAR)	The Secretary proposes to amend the regulations in 34 CFR parts 75 and 77 of the Education Department General Administrative Regulations (EDGAR) in order to allow the Department to be more effective and efficient when selecting discretionary grantees, provide higher-quality data to Congress and the public, and better focus applicants on the particular goals and objectives of the programs to which they apply for grants. In addition to seeking comments on the specific regulations proposed in the NPRM, ED also sought input on other regulations within EDGAR that may be in need of modification and amendment.	September 2013	We do not expect an increase in reporting burden on grantees under the proposed amendments. The benefits of these proposed changes include increased effectiveness and efficiency in the administration of the Department’s discretionary grant programs and greater flexibility for grantees.	ED issued an NPRM on December 14, 2012 (77 FR 74392). ED anticipates issuing the final regulations in September 2013.
8. ED/OSERS	1820-AB65	Assistance to States for the Education of Children with Disabilities – Maintenance of Effort (MOE)	The Secretary proposes to amend the regulations under Part B of IDEA regarding local maintenance of effort (MOE) in order to clarify existing policy and make other related changes regarding the compliance standard, the eligibility standard, the level of effort required of an LEA in the year after it fails to maintain effort under section 613(a)(2)(A)(iii) of the IDEA, and the consequence of the failure to maintain effort.	Fall 2013	We do not anticipate an increase in burden as a result of these proposed amendments. The benefits of the proposed regulations would be much needed clarification to the field on the appropriate implementation of this rule for determining LEA eligibility for IDEA funds and the standards that should be used for auditing and compliance with the MOE requirement.	ED anticipates issuing an NPRM in Fall 2013.
9. ED/OSERS	1820-AB66	American Indian Vocational Rehabilitation Services Program	The Secretary proposes to amend the regulations for the American Indian Vocational Rehabilitation Services Program to clarify eligibility and other requirements.	Fall 2013	We do not anticipate an increase in burden. The rule would clarify current regulations regarding eligible applicants to the AIVRS program.	ED anticipates issuing an NPRM in the Fall of 2013.
10. ED/OSERS	1820-AB67	Disability and Rehabilitation Research Projects and Centers Program	The Secretary proposes to amend the regulations governing the disability and rehabilitation research discretionary grant programs authorized under Title II of the Rehabilitation Act of 1973, as amended.	Fall 2013	We do not anticipate an increase in burden as a result of the proposed amendments. These changes would increase the relevance, scientific quality, balance, and innovation of the research and development projects that the Department funds under these programs.	ED anticipates issuing an NPRM in the Fall of 2013.
11. ED/OESE	1810-AB16	Title I—Improving the Academic Achievement of the Disadvantaged	The Secretary proposes to amend the regulations governing title I, part A of the ESEA, to no longer authorize States to define modified academic achievement standards and develop alternate assessments based on those modified academic achievement standards in order to satisfy ESEA accountability requirements. These proposed amendments would permit, as a transitional measure, States that meet certain criteria to continue to administer alternate assessments based on modified academic achievement standards and include the results in accountability determinations, subject to limitations on the number of proficient scores that may be counted, for a limited period of time.	August 2013	We do not anticipate any increase in burden as a result of the proposed amendments. The proposed regulations will help to ensure that States can conduct a smooth and thoughtful transition from the alternate assessments based on modified academic achievement standards to the general assessments for certain students with disabilities.	ED anticipates issuing an NPRM in August 2013.

Paperwork and Reporting Burden Initiatives

Agency	Sub-Agency	Title	Description of the Initiative	Hours of paperwork reporting eliminated/or cost savings	Estimated effective date of the change
12. ED	OESE	State Educational Agency, Local Educational Agency, and School Data Collection and Responding Under ESEA, Title I, Part A (1810-0581)	Title I, Part A of the ESEA contains several provisions that require State and local educational agencies (SEAs and LEAs) to collect and disseminate information to implement the Federal requirements for schools identified for improvement, corrective action, or restructuring. Through the ESEA flexibility offered by the Department, SEAs can request flexibility from these requirements so that they and their LEAs can focus on improving student academic achievement and increasing the quality of instruction. SEAs receiving ESEA flexibility will not be required to identify schools for improvement, corrective action, or restructuring, or carry out the attendant responsibilities, resulting in a significant reduction in burden at the State, LEA, and school levels.	Under this initiative, we estimate a reduction in burden of 3,153,762 hours with a cost savings of approximately $50 million. This initiative will benefit SEAs and LEAs.	July 2012
13. ED	OSERS	IDEA Part B State Performance Plan (SPP) and Annual Performance Report (APR) (1820-0624)	States must have in place performance plans that evaluate their efforts in implementing the requirements in Part B of the IDEA, and describe how they will improve their implementation. The Department has determined that certain indicators and other information are no longer necessary for reporting, thereby reducing reporting requirements on States.	Under this initiative, we estimate a reduction in burden of 200,000 hours with a cost savings of approximately $7 million. This initiative will benefit States.	November 2013

U.S. Department of EducationRetrospective Review Plan Report

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