20 U.S.C. § 1057 — Program purpose

Page 274 TITLE 20—EDUCATION § 1057 Section 1052, Pub. L. 89–329, title III, § 302, Nov. 8, 1965, 79 Stat. 1229; Pub. L. 92–318, title I, § 121(a), June 23, 1972, 86 Stat. 241; Pub. L. 93–380, title VIII, § 832, Aug. 21, 1974, 88 Stat. 603; Pub. L. 94–482, title I, § 112, Oct. 12, 1976, 90 Stat. 2091, related to eligibility for special as- sistance. Section 1053, Pub. L. 89–329, title III, § 303, Nov. 8, 1965, 79 Stat. 1230; Pub. L. 91–230, title IV, § 401(h)(4), Apr. 13, 1970, 84 Stat. 174; Pub. L. 92–318, title I, § 121(a), title III, § 301(a)(1), June 23, 1972, 86 Stat. 242, 326, provided for the establishment of an Advisory Council on Devel- oping Institutions. Section 1054, Pub. L. 89–329, title III, § 304, Nov. 8, 1965, 79 Stat. 1230; Pub. L. 92–318, title I, § 121(a), June 23, 1972, 86 Stat. 243, authorized the Commissioner of Edu- cation to make grants and awards. Section 1055, Pub. L. 89–329, title III, § 305, Nov. 8, 1965, 79 Stat. 1231; Pub. L. 92–318, title I, § 121(a), June 23, 1972, 86 Stat. 244, related to assistance to developing in- stitutions under other programs. Section 1056, Pub. L. 89–329, title III, § 306, as added Pub L. 90–575, title II, § 223(a), Oct. 16, 1968, 82 Stat. 1038; amended Pub. L. 92–318, title I, § 121(a), June 23, 1972, 86 Stat. 245, prohibited the use of funds for religious ac- tivities. AMENDMENTS 1998—Pars. (3) to (8). Pub. L. 105–244 added par. (3) and redesignated former pars. (3) to (7) as (4) to (8), respec- tively. 1993—Subsec. (a)(2). Pub. L. 103–208 struck out the comma after ‘‘planning’’. 1992—Subsec. (a)(1). Pub. L. 102–325, § 301(1), amended par. (1) generally. Prior to amendment, par. (1) read as follows: ‘‘many institutions of higher education in this era of declining enrollments and scarce resources face problems which threaten their ability to survive;’’. Subsec. (a)(2). Pub. L. 102–325, § 301(2), struck out ‘‘re- cruitment activities,’’ after ‘‘long-range planning,’’. Subsec. (a)(5). Pub. L. 102–325, § 301(3), amended par. (5) generally. Prior to amendment, par. (5) read as fol- lows: ‘‘providing a minimum level of assistance to all categories of eligible institutions will assure the con- tinued participation of the institutions in the program established in this subchapter and enhance their role in providing access and quality education to low-income and minority students;’’. Statutory Notes and Related Subsidiaries EFFECTIVE DATE OF 1998 AMENDMENT Amendment by Pub. L. 105–244 effective Oct. 1, 1998, except as otherwise provided in Pub. L. 105–244, see sec- tion 3 of Pub. L. 105–244, set out as a note under section 1001 of this title. EFFECTIVE DATE OF 1993 AMENDMENT Pub. L. 103–208, § 5, Dec. 20, 1993, 107 Stat. 2488, pro- vided that: ‘‘(a) IN GENERAL.—Except as otherwise provided therein or in subsection (b) of this section, the amend- ments made by section 2 of this Act [see Tables for classification] shall be effective as if such amendments were included in the Higher Education Amendments of 1992 (Public Law 102–325), except that section 492 of the Act [section 1098a of this title] shall not apply to the amendments made by this Act [see Tables for classi- fication]. ‘‘(b) EXCEPTIONS.— ‘‘(1) EFFECTIVE ON OCTOBER 1, 1993.—The amend- ments made by the following subsections of section 2 of this Act shall be effective on and after October 1, 1993: (b)(29), (j)(28), (j)(36), and (j)(40) [amending sec- tions 1070d–34, 1134e, 1134j, and 1134q of this title]. ‘‘(2) EFFECTIVE ON DATE OF ENACTMENT.—The amendments made by the following subsections of section 2 of this Act shall be effective on and after the date of enactment of this Act [Dec. 20, 1993]: (b)(2), (b)(7), (b)(28), (c)(3), (c)(5), (c)(13)(B), (c)(13)(C), (c)(18), (c)(30), (c)(62) [amending sections 1070a, 1070a–11, 1070d–33, 1075, 1077a, 1078, 1078–1, and 1085 of this title]. ‘‘(3) EFFECTIVE 30 DAYS AFTER ENACTMENT.—The amendments made by the following subsections of section 2 of this Act shall be effective on and after 30 days after the date of enactment of this Act [Dec. 20, 1993]: (c)(19), (c)(20), (c)(21), (c)(59) [amending sections 1078 and 1085 of this title]. ‘‘(4) EFFECTIVE 60 DAYS AFTER ENACTMENT.—The amendments made by the following subsections of section 2 of this Act shall be effective on and after 60 days after the date of enactment of this Act [Dec. 20, 1993]: (c)(31) and (c)(53) [amending sections 1078–1 and 1083 of this title]. ‘‘(5) EFFECTIVE ON APRIL 1, 1994.—The amendments made by section 2(c)(43)(B) of this Act [amending sec- tion 1078–8 of this title] shall be effective on and after April 1, 1994. ‘‘(6) EFFECTIVE ON JULY 1, 1994.—The amendments made by the following subsection[s] of section 2 of this Act shall be effective on and after July 1, 1994: (b)(25), (c)(2), (c)(13)(A), (c)(29) [amending sections 1070b–2, 1075, 1078, and 1078–1 of this title]. ‘‘(7) COHORT DEFAULT DATA EXAMINATIONS.—The amendment made by section 2(c)(60)(A) [amending section 1085 of this title] shall be effective on and after October 1, 1994. ‘‘(8) COHORT DEFAULT RATE DETERMINATIONS.—The amendments made to subsection[s] (a)(3) and (m)(1)(B) of section 435 of this [the] Act [section 1085(a)(3) and (m)(1)(B) of this title] shall apply with respect to the determination (and appeals from deter- minations) of cohort default rates for fiscal year 1989 and any succeeding fiscal year.’’ EFFECTIVE DATE OF 1992 AMENDMENT Amendment by Pub. L. 102–325 effective Oct. 1, 1992, see section 2 of Pub. L. 102–325, set out as a note under section 1001 of this title. EFFECTIVE DATE Pub. L. 99–498, title III, § 301(b), Oct. 17, 1986, 100 Stat. 1308, provided that: ‘‘The amendment made by sub- section (a) [enacting this subchapter] shall take effect July 1, 1987.’’ PART A—STRENGTHENING INSTITUTIONS § 1057. Program purpose (a) General authorization The Secretary shall carry out a program, in accordance with this part, to improve the aca- demic quality, institutional management, and fiscal stability of eligible institutions, in order to increase their self-sufficiency and strengthen their capacity to make a substantial contribu- tion to the higher education resources of the Na- tion. (b) Grants awarded; special consideration (1) From the sums available for this part under section 1068h(a)(1) of this title, the Sec- retary may award grants to any eligible institu- tion with an application approved under section 1068 of this title in order to assist such an insti- tution to plan, develop, or implement activities that promise to strengthen the institution. (2) Special consideration shall be given to any eligible institution— (A) which has endowment funds (other than any endowment fund built under section 1065 of this title 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 en- Page 275 TITLE 20—EDUCATION § 1057 dowment funds, per full-time equivalent stu- dent (other than any endowment fund built under section 1065 of this title as in effect on September 30, 1986, and under part B) at simi- lar institutions; or (B) which has expenditures per full-time equivalent student for library materials which is less than the average of the expenditures for library materials per full-time equivalent stu- dent by other similarly situated institutions. (3) Special consideration shall be given to ap- plications which propose, pursuant to the insti- tution’s plan, to engage in— (A) faculty development; (B) funds and administrative management; (C) development and improvement of aca- demic programs; (D) acquisition of equipment for use in strengthening funds management and aca- demic programs; (E) joint use of facilities such as libraries and laboratories; and (F) student services, including services that will assist in the education of special popu- lations. (c) Authorized activities Grants awarded under this section shall be used for 1 or more of the following activities: (1) Purchase, rental, or lease of scientific or laboratory equipment for educational pur- poses, including instructional and research purposes. (2) Construction, maintenance, renovation, and improvement in classrooms, libraries, lab- oratories, and other instructional facilities, including the integration of computer tech- nology into institutional facilities to create smart buildings. (3) Support of faculty exchanges, faculty de- velopment, and faculty fellowships to assist in attaining advanced degrees in the field of in- struction of the faculty. (4) Development and improvement of aca- demic programs. (5) Purchase of library books, periodicals, and other educational materials, including telecommunications program material. (6) Tutoring, counseling, and student service programs designed to improve academic suc- cess, including innovative, customized, in- struction courses designed to help retain stu- dents and move the students rapidly into core courses and through program completion, which may include remedial education and English language instruction. (7) Education or counseling services designed to improve the financial literacy and eco- nomic literacy of students or the students’ families. (8) Funds management, administrative man- agement, and acquisition of equipment for use in strengthening funds management. (9) Joint use of facilities, such as labora- tories and libraries. (10) Establishing or improving a develop- ment office to strengthen or improve contribu- tions from alumni and the private sector. (11) Establishing or improving an endow- ment fund. (12) Creating or improving facilities for Internet or other distance education tech- nologies, including purchase or rental of tele- communications technology equipment or services. (13) Other activities proposed in the applica- tion submitted pursuant to subsection (b) and section 1068 of this title that— (A) contribute to carrying out the pur- poses of the program assisted under this part; and (B) are approved by the Secretary as part of the review and acceptance of such applica- tion. (d) Endowment fund (1) In general An eligible institution may use not more than 20 percent of the grant funds provided under this part to establish or increase an en- dowment fund at such institution. (2) Matching requirement In order to be eligible to use grant funds in accordance with paragraph (1), the eligible in- stitution shall provide matching funds from non-Federal sources, in an amount equal to or greater than the Federal funds used in accord- ance with paragraph (1), for the establishment or increase of the endowment fund. (3) Comparability The provisions of part C, regarding the es- tablishment or increase of an endowment fund, that the Secretary determines are not inconsistent with this subsection, shall apply to funds used under paragraph (1). (Pub. L. 89–329, title III, § 311, as added Pub. L. 99–498, title III, § 301(a), Oct. 17, 1986, 100 Stat. 1291; amended Pub. L. 100–50, § 2(a)(1), June 3, 1987, 101 Stat. 335; Pub. L. 105–244, title III, §§ 301(c)(1), 303(a), Oct. 7, 1998, 112 Stat. 1636, 1638; Pub. L. 110–315, title III, § 301, Aug. 14, 2008, 122 Stat. 3166.) Editorial Notes PRIOR PROVISIONS A prior section 1057, Pub. L. 89–329, title III, § 311, as added Pub. L. 96–374, title III, § 301, Oct. 3, 1980, 94 Stat. 1391, enumerated purposes and established grant au- thority for program to strengthen eligible institutions, prior to the general revision of this subchapter by Pub. L. 99–498. AMENDMENTS 2008—Subsec. (b)(1). Pub. L. 110–315, § 301(1)(A), made technical amendment to reference in original act which appears in text as reference to section 1068 of this title. Subsec. (b)(3)(F). Pub. L. 110–315, § 301(1)(B), inserted ‘‘, including services that will assist in the education of special populations’’ before period at end. Subsec. (c)(6). Pub. L. 110–315, § 301(2)(A), inserted ‘‘, including innovative, customized, instruction courses designed to help retain students and move the students rapidly into core courses and through program completion, which may include remedial education and English language instruction’’ before period at end. Subsec. (c)(7) to (13). Pub. L. 110–315, § 301(2)(B)–(E), added par. (7), redesignated former pars. (7) to (12) as pars. (8) to (13), respectively, in par. (12), substituted ‘‘distance education technologies’’ for ‘‘distance learn- ing academic instruction capabilities’’ and, in intro- ductory provisions of par. (13), substituted ‘‘subsection (b) and section 1068 of this title’’ for ‘‘subsection (c)’’. 1998—Subsec. (b)(1). Pub. L. 105–244, § 301(c)(1), sub- stituted ‘‘section 1068h(a)(1)’’ for ‘‘section 1069f(a)(1)’’. Page 276 TITLE 20—EDUCATION § 1058 1 So in original. Probably should be ‘‘subsection,’’. Subsecs. (c), (d). Pub. L. 105–244, § 303(a), added sub- secs. (c) and (d). 1987—Subsec. (b)(1). Pub. L. 100–50 substituted ‘‘sec- tion 1069f(a)(1) of this title’’ for ‘‘section 1069d(a)(1) of this title’’. Statutory Notes and Related Subsidiaries EFFECTIVE DATE OF 1998 AMENDMENT Amendment by Pub. L. 105–244 effective Oct. 1, 1998, except as otherwise provided in Pub. L. 105–244, see sec- tion 3 of Pub. L. 105–244, set out as a note under section 1001 of this title. EFFECTIVE DATE OF 1987 AMENDMENT Amendment by Pub. L. 100–50 effective as if enacted as part of the Higher Education Amendments of 1986, Pub. L. 99–498, see section 27 of Pub. L. 100–50, set out as a note under section 1001 of this title. § 1058. Definitions; eligibility (a) Educational and general expenditures For the purpose of this part, the term ‘‘edu- cational and general expenditures’’ means the total amount expended by an institution of higher education for instruction, research, pub- lic service, academic support (including library expenditures), student services, institutional support, scholarships and fellowships, operation and maintenance expenditures for the physical plant, and any mandatory transfers which the institution is required to pay by law. (b) Eligible institution For the purpose of this part, the term ‘‘eligi- ble institution’’ means— (1) an institution of higher education— (A) which has an enrollment of needy stu- dents as required by subsection (d); (B) except as provided in section 1068a(b) of this title, the average educational and gen- eral expenditures of which are low, per full- time equivalent undergraduate student, in comparison with the average educational and general expenditures per full-time equiv- alent undergraduate student of institutions that offer similar instruction; (C) which is— (i) legally authorized to provide, and pro- vides within the State, an educational pro- gram for which such institution awards a bachelor’s degree; (ii) a junior or community college; or (iii) the College of the Marshall Islands, the College of Micronesia/Federated States of Micronesia, and Palau Community Col- lege; (D) which is accredited by a nationally recognized accrediting agency or association determined by the Secretary to be reliable authority as to the quality of training of- fered or which is, according to such an agen- cy or association, making reasonable progress toward accreditation; (E) which meets such other requirements as the Secretary may prescribe; and (F) located in a State; and (2) any branch of any institution of higher education described under paragraph (1) which by itself satisfies the requirements contained in subparagraphs (A) and (B) of such para- graph. For purposes of the determination of whether an institution is an eligible institution under this paragraph,1 the factor described under para- graph (1)(A) shall be given twice the weight of the factor described under paragraph (1)(B). (c) Endowment fund For the purpose of this part, the term ‘‘endow- ment fund’’ means a fund that— (1) is established by State law, by an institu- tion of higher education, or by a foundation that is exempt from Federal income taxation; (2) is maintained for the purpose of gener- ating income for the support of the institu- tion; and (3) does not include real estate. (d) Enrollment of needy students Except as provided in section 1059e(b) of this title, for the purpose of this part, the term ‘‘en- rollment of needy students’’ means an enroll- ment at an institution of higher education or a junior or community college which includes— (1) at least 50 percent of the degree students so enrolled who are receiving need-based as- sistance under subchapter IV of this chapter in the second fiscal year preceding the fiscal year for which the determination is being made (other than loans for which an interest subsidy is paid pursuant to section 1078 of this title), or (2) a substantial percentage of students re- ceiving Pell Grants in the second fiscal year preceding the fiscal year for which determina- tion is being made, in comparison with the percentage of students receiving Pell Grants at all such institutions in the second fiscal year preceding the fiscal year for which the determination is made, unless the requirement of this paragraph is waived under section 1068a(a) of this title. (e) Full-time equivalent students For the purpose of this part, the term ‘‘full- time equivalent students’’ means the sum of the number of students enrolled full time at an in- stitution, plus the full-time equivalent of the number of students enrolled part time (deter- mined on the basis of the quotient of the sum of the credit hours of all part-time students di- vided by 12) at such institution. (f) Junior or community college For the purpose of this part, the term ‘‘junior or community college’’ means an institution of higher education— (1) that admits as regular students persons who are beyond the age of compulsory school attendance in the State in which the institu- tion is located and who have the ability to benefit from the training offered by the insti- tution; (2) that does not provide an educational pro- gram for which it awards a bachelor’s degree (or an equivalent degree); and (3) that— (A) provides an educational program of not less than 2 years that is acceptable for full credit toward such a degree, or (B) offers a 2-year program in engineering, mathematics, or the physical or biological