[Federal Register Volume 64, Number 210 (Monday, November 1, 1999)]
[Rules and Regulations]
[Pages 59060-59073]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-28273]
[[Page 59059]]
_______________________________________________________________________
Part IX
Department of Education
_______________________________________________________________________
34 CFR Part 668
Student Assistance General Provisions; Final Rule
Federal Register / Vol. 64, No. 210 / Monday, November 1, 1999 /
Rules and Regulations
[[Page 59060]]
DEPARTMENT OF EDUCATION
34 CFR Part 668
RIN 1845-AA03
Student Assistance General Provisions
AGENCY: Department of Education.
ACTION: Final regulations.
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SUMMARY: We amend the regulations governing the disclosure of
institutional and financial assistance information under the student
financial assistance programs authorized under Title IV of the Higher
Education Act of 1965, as amended (Title IV, HEA programs). These
programs include the Federal Pell Grant Program, the campus-based
programs (Federal Perkins Loan, Federal Work-Study (FWS), and Federal
Supplemental Educational Opportunity Grant (FSEOG) Programs), the
William D. Ford Federal Direct Loan (Direct Loan) Program, the Federal
Family Education Loan (FFEL) Program, and the Leveraging Educational
Assistance Partnership (LEAP) Program (formerly called the State
Student Incentive Grant (SSIG) Program). These regulations implement
statutory changes made to the Higher Education Act of 1965, as amended
(HEA), by the Higher Education Amendments of 1998.
DATES: Effective Date: These regulations are effective July 1, 2000.
Implementation Date: The changes to certain sections, particularly
Secs. 668.41 (b) and (c) and 668.46(c) (1)-(4) and (f), reflect changes
made by Public Law 105-244 that already are in effect. Sections 668.41
(b) and (c) concern the distribution of information through electronic
media and the distribution to enrolled students of a list of the
information to which they are entitled upon request. Sections 668.46(c)
(1)-(4) and (f) concern the reporting of crime statistics and the
maintenance of a crime log. You may use these regulations prior to July
1, 2000 as guidance in complying with the relevant statutory
provisions. You can find the full text of Public Law 105-244 at http://
www.access.gpo.gov/nara/publaw/105publ.html.
FOR FURTHER INFORMATION CONTACT: Paula Husselmann
(Paula__Husselmann@ed.gov) or Lloyd Horwich (Lloyd__Horwich@ed.gov),
U.S. Department of Education, 400 Maryland Avenue, SW, ROB-3, room
3045, Washington, DC 20202-5344. Telephone (202) 708-8242. If you use a
telecommunications device for the deaf (TDD), you may call the Federal
Information Relay Service (FIRS) at 1-800-877-8339.
Individuals with disabilities may obtain this document in an
alternate format (e.g., Braille, large print, audiotape, or computer
diskette) on request to the contact person listed in the preceding
paragraph.
SUPPLEMENTARY INFORMATION: On August 10, 1999, we published a notice of
proposed rulemaking (NPRM) for the Student Assistance General
Provisions in the Federal Register (64 FR 43582). In the preamble to
the NPRM, we discussed the following proposed changes:
Amending Sec. 668.41 to make the information disclosure
process more understandable and less burdensome, to require
institutions to provide enrolled students a list of the information to
which the students are entitled upon request, and to provide for
institutions' use of Internet and Intranet websites for the disclosure
of information.
Amending Sec. 668.42 by incorporating it into Sec. 668.41.
Amending Sec. 668.43 to require institutions to disclose
their requirements and procedures for a student to officially withdraw
from the institution.
Amending Sec. 668.45 regarding the disclosure of
completion/graduation and transfer-out rate information by implementing
changes made by the 1998 Amendments, providing for a July 1 annual
disclosure date, limiting the required disclosure of transfer-out rates
to certain institutions, achieving greater consistency between term and
nonterm-based institutions in establishing a cohort, and adding
optional disclosures.
Amending Sec. 668.46 regarding the disclosure of campus
security information to define terms (including campus, noncampus
buildings or property, and public property), by excluding pastoral or
professional counselors from the definition of a campus security
authority, by adding new categories of crimes to be reported and new
policies to be disclosed, by clarifying how to compile and depict crime
statistics, by changing the date for disclosure of the annual security
report to October 1, by requiring certain institutions to maintain a
publicly available crime log, and by requiring institutions annually to
submit their crime statistics to the Department.
Amending Sec. 668.47 by providing for the disclosure of
additional data about revenues and expenses attributable to an
institution's intercollegiate athletic activities, by clarifying the
meaning of various terms, and by requiring institutions annually to
submit their Equity in Athletics Disclosure Act (EADA) report to the
Department.
Amending Sec. 668.48 to correspond with Sec. 668.45
concerning the disclosure of completion/graduation and transfer-out
rates.
Discussion of Student Financial Assistance Regulations Development
Process
The regulations in this document were developed through the use of
negotiated rulemaking. Section 492 of the HEA requires that, before
publishing any proposed regulations to implement programs under Title
IV of the Act, we obtain public involvement in the development of the
proposed regulations. After obtaining advice and recommendations, we
must conduct a negotiated rulemaking process to develop the proposed
regulations. All proposed regulations must conform to agreements
resulting from the negotiated rulemaking process unless we reopen that
process or explain any departure from the agreements to the negotiated
rulemaking participants.
These regulations were published in proposed form on August 10,
1999, in conformance with the consensus of the negotiated rulemaking
committee. Under the committee's protocols, consensus meant that no
member of the committee dissented from the agreed-upon language. We
invited comments on the proposed regulations by September 15, 1999, and
132 comments were received. An analysis of the comments and of the
changes in the proposed regulations follows.
These regulations reflect the following changes to the proposed
regulations in response to public comment:
In Sec. 668.43(a)(3), we clarified that the requirement
that institutions disclose when a student must officially withdraw from
the institution includes the disclosure of the procedures for a student
to officially withdraw.
In Sec. 668.46(a) we revised the definition of a
professional counselor to no longer require that the counselor be an
employee of the institution. In addition, we revised the definition by
replacing the term ``psychological counseling'' with the term ``mental
health counseling.''
We moved the definition of ``prospective employee'' from
Sec. 668.46(a) to Sec. 668.41(a).
We added Sec. 668.46(c)(2) to require institutions to record a
crime statistic in their annual security reports for the calendar year
in which the crime was reported to a campus security authority.
We discuss substantive issues under the sections of the regulations to
which they pertain. Generally, we do not address technical and other
minor changes and
[[Page 59061]]
suggested changes the law does not authorize us to make.
Analysis of Comments and Changes
Subpart D--Institutional and Financial Assistance Information for
Students
These regulations (1) retitle Subpart D from ``Student Consumer
Information Services'' to ``Institutional and Financial Assistance
Information for Students,'' to conform the title to that of section 485
of the HEA, and (2) renumber the sections.
These regulations remove current Sec. 668.42 and incorporate it
into Sec. 668.41. Therefore, these regulations renumber current
Secs. 668.43-49 as Secs. 668.42-48; the preamble to these regulations
refers to the new section numbers.
Questions and Recommendations:
Commenters requested guidance on implementation of the requirements
of this subpart and made recommendations concerning how we should
interpret these regulations or apply them to particular circumstances.
As these comments did not request any changes in the proposed
regulations, we will provide separate guidance at a later date.
General Comments
The Secretary should clarify the record retention requirements that
apply to these regulations.
Discussion: Section 668.24 of the Student Assistance General
Provisions outlines the record retention requirements for the student
financial assistance programs. Generally, a record must be maintained
for three years following the end of the award year for which the
record was established. With respect to the disclosure of institutional
and financial assistance information provided under Subpart D of the
Student Assistance General Provisions, the purpose is for the
disclosure of certain information to students and other parties.
Therefore, the institution must retain any record related to the
disclosure for three years following the date of disclosure.
Using the campus security records as an example, an institution's
annual security report to be disclosed on October 1, 2000 must include
crime statistics for calendar years 1997, 1998, and 1999. The record
retention regulations require the institution to retain records to
substantiate the information in its 2000 report for three years from
October 1, 2000. Therefore, calendar year 1997 records must be retained
until October 1, 2003.
Changes: None.
Section 668.41 Reporting and Disclosure of Information
Comments: Section 668.41 should address any information
institutions participating in Title IV, HEA programs are required to
disclose by any Department of Education regulation, not just
information institutions are required to disclose by these regulations
(34 CFR Part 668, Subpart D).
Discussion: Section 668.41 only is intended to address information
that institutions are required to disclose by section 485 of the HEA.
We believe that including in Sec. 668.41 all information that
institutions must disclose under any Department regulation is
impractical and would be confusing.
Changes: None.
Comments: The Department should provide a chart listing all
information that institutions must disclose under these regulations and
the persons to whom they must disclose the information.
Discussion: We believe that Sec. 668.41 adequately provides the
information sought by this comment. However, we will provide continuing
technical assistance, including the requested chart, to institutions to
help them understand and comply with these regulations.
Changes: None.
Comments: The Department should clarify the level of description of
required information it expects institutions to provide in the various
notices of the availability of information that are required by
Sec. 668.41.
Discussion: As stated in the preamble to the NPRM (64 FR 43583),
the description should be sufficient to allow students and others to
understand the nature of the information and to make informed decisions
about whether to request the information. We do not believe there is a
need to be more prescriptive in this area.
Changes: None.
Comments: Remove the word ``freshman'' from the definition ``first-
time, freshman student'' in Sec. 668.41(a), which identifies those
students that institutions must include in their cohorts for
calculating completion or graduation rates, and if applicable,
transfer-out rates.
Discussion: As described in Sec. 668.45, institutions must include
in their cohorts first-time, certificate- or degree-seeking, full-time
undergraduate students who never have attended any institution of
higher education (including in the cohort those who enroll in the fall
term having attended a postsecondary institution for the first time in
the prior summer term or having earned college credit in high school)
regardless of their class standing. As some members of the cohort may
have advanced standing, we agree that the use of the word ``freshman''
in the definition could cause confusion.
Changes: The term ``first-time freshman student'' is replaced by
the term ``first-time, undergraduate student'' wherever it appears in
these regulations (Secs. 668.41(a), 668.45(a)(3)(iii), and
668.45(a)(4)(i)-(ii)).
Comments: The definition of ``notice'' in Sec. 668.41(a) should not
require institutions, in providing the various notices of the
availability of information required by Sec. 668.41, to provide the
notices on a one-to-one basis to persons to whom the information need
only be provided upon request.
Discussion: We do not believe that students and others entitled to
the information will be adequately notified of its availability if the
notification of its availability is made through means that do not
ensure that each person who is entitled to the notification receives
it. The regulation does not prescribe the method by which institutions
must notify students and others of the information's availability; the
regulation simply prescribes that the method used must provide
individualized notice.
Changes: None.
Comments: Change Secs. 668.41(c) and (d) to include completion and
graduation rates, and if applicable, transfer-out rates, for athletes
under Sec. 668.48, among the required disclosures of information.
Discussion: Section 485(a)(1) of the HEA does not include
completion and graduation rates of athletes in the list of information
institutions must provide upon request to enrolled and prospective
students. Although section 485(e) of the HEA only requires institutions
to provide the report concerning athletes' graduation rates to
prospective student-athletes and their parents, high school coaches,
and guidance counselors, we encourage institutions to provide the
report to others who request it.
Changes: None.
Comments: Rather than requiring institutions under Sec. 668.41(c)
annually to provide all enrolled students a notice listing the
information to which they are entitled upon request, allow institutions
to tell students, at the time the institutions distribute the notice,
how often they will publish the list and how students can obtain
interim changes to the list.
Discussion: Section 485(a) of the HEA specifically requires that
institutions provide the list annually to all enrolled students.
[[Page 59062]]
Changes: None.
Comments: The Department should clarify that Sec. 99.7, which is
referenced in Sec. 668.41(c)(1), refers to the notification
requirements under the Family Educational Rights and Privacy Act of
1974 (FERPA).
Discussion: We agree.
Changes: Section 668.41(c)(1) is amended to include a reference to
FERPA.
Comments: The requirement for disclosure of information about the
terms and conditions of deferral of loan repayments for service under
the Peace Corps Act, the Domestic Volunteer Service Act of 1973, or for
comparable service as a volunteer for a tax-exempt organization of
demonstrated effectiveness in the field of community service should be
moved from Sec. 668.41(d)(4) to Sec. 668.42 (Financial assistance
information), which addresses, among other subjects, loan repayment.
Discussion: We agree with the commenters.
Changes: Section 668.41(d)(4) in the NPRM is moved to
Sec. 668.42(c)(7).
Comments: If the purpose of the revised Sec. 668.41 is to put all
of an institution's disclosure responsibilities under subpart D in a
single section, the requirement that an institution must report its
crime statistics to the Department should be moved from Sec. 668.46(g)
to Sec. 668.41.
Discussion: We agree with the commenters.
Changes: Section 668.46(g) in the NPRM is moved to
Sec. 668.41(e)(5).
Comments: The Department should clarify that the prohibition on
using the Internet to provide the information required by
Sec. 668.41(f)(1)(i) to prospective student-athletes and their parents
does not prohibit a national collegiate athletic association from
obtaining a waiver for its members under Sec. 668.41(f)(1)(ii) for
providing the information to prospective student-athletes' high school
coaches and guidance counselors by distributing the information to all
secondary schools in the United States through the Internet or other
electronic means.
Discussion: We did not intend the prohibition referred to above to
address the means by which a national collegiate athletic association
must provide the information to secondary schools in order to obtain a
waiver under Sec. 668.41(f)(1)(ii). We would be pleased to work with
any such association seeking a waiver for its members to determine
whether the association's proposed method of providing the information
to secondary schools is sufficient to qualify for a waiver.
Changes: None.
Section 668.43 Institutional and Financial Assistance Information
Comments: The requirement in Sec. 668.43(a)(2) and (4) that an
institution disclose any refund policy with which the institution is
required to comply should make clear that the requirement refers to any
refund policy required by the institution's accrediting agency or State
agency, not to the requirements for determining the amount of Title IV
HEA program assistance that a student has earned upon withdrawal.
Discussion: Institutions are required to disclose any refund policy
that requires the return of unearned funds to their source. This
information includes the determination of amounts returned to the title
IV programs and all other provisions of Sec. 668.22, as well as any
refund policy required by the State or the school's accrediting agency,
or any institutional refund policy.
Changes: None.
Comments: In addition to an institution's disclosure of when a
student must officially withdraw from the institution, the disclosure
should include the institution's procedures for that withdrawal.
Discussion: Any disclosure of the requirements for withdrawal must
necessarily include sufficient information for a student to know how to
go about withdrawing from the institution.
Changes: We revised Sec. 668.43(a)(3) to clarify that the
requirement that an institution disclose its requirements for
withdrawal includes a requirement that an institution disclose the
procedures a student must follow to officially withdraw.
Section 668.45 Information on Completion or Graduation Rates
Comments: Term-based institutions whose students enroll before
September 1 of a given year should continue to include these students
in their fall cohort for that year.
Discussion: These regulations do not change how a term-based
institution establishes its fall cohort. A term-based institution may
include in its fall cohort students who enroll for the fall term before
September 1 of a given year, and continue to include students who
attended the institution for the first time during the summer preceding
the fall term.
Changes: We revised Sec. 668.45(a)(3)(i) to clarify that an
institution's fall cohort must include all students who enter a term-
based institution during the fall term, regardless of whether they
enter before or after September 1.
Comments: Institutions should be allowed to disclose graduation or
completion and, if applicable, transfer-out rates for their 1996 and
1997 cohorts based on a September 1 though August 31 year.
Discussion: We agree. The 1998 Amendments changed the year during
which institutions must determine whether students for whom 150% of
normal time for completion of their programs has elapsed have completed
or graduated from the program from July 1 through June 30 to September
1 through August 31. These regulations reflect the statutory change.
Changes: None.
Comments: In determining its fall cohort, a term-based institution
should be able to consider who is enrolled on another official fall
reporting date other than October 15 or the end of the drop-add period
to make the reporting date consistent with the Department's Integrated
Postsecondary Education Data System's (IPEDS) Fall Enrollment (EF)
report.
Discussion: We agree that a term-based institution's establishment
of its fall cohort under this regulation should be consistent with the
IPEDS data on fall enrollment.
Changes: We revised Sec. 668.45(a)(4) to include as an entering
student a first-time, full-time, certificate or degree-seeking
undergraduate who is enrolled on another official fall reporting date.
Also, we added to Sec. 668.41(a) the definition of ``official fall
reporting date'' used by the IPEDS EF report.
Comments: Transfer-out rates should be optional for all
institutions for a number of reasons, including the greater regulatory
burden placed on institutions that consider ``substantial preparation''
as part of their mission--for example, community colleges.
Discussion: The HEA requires institutions to report the rate at
which students who receive substantial preparation transfer out of the
institution. Therefore, the transfer-out rate cannot be made optional
in all cases. These regulations limit the requirement to institutions
that determine that their missions include providing substantial
preparation for their students to enroll in other eligible
institutions. Institutions with substantial numbers of transfers-out
may have a lower graduation and completion rate than other institutions
and thus may find it desirable to report a transfer-out rate. We
anticipate that the required transfer-out rate will not apply to most
four-year institutions. Consistent with the treatment of
[[Page 59063]]
transfer-out students by IPEDS Graduation Rate Survey (GRS), an
institution only is required to report on students whom the institution
knows transferred to another institution.
Changes: None.
Comments: The Secretary should clarify that a student who leaves an
undergraduate institution for study at a graduate institution is not a
transfer-out under these regulations.
Discussion: For purposes of these regulations, a student who leaves
an undergraduate program for study in a graduate program is not
considered a transfer-out. Normally, such a student would have
completed his or her program and be included in the institution's
completion/graduation rate.
Changes: None.
Comments: A term-based institution should be defined as an
institution at which more than fifty percent of the programs are term-
based.
Discussion: Section 668.45(a)(3)(i) defines a term-based
institution as an institution at which a predominant number of the
programs are based on semesters, trimesters, or quarters.
Changes: None.
Comments: The Secretary should indicate that an institution's
compliance with the IPEDS GRS ensures compliance with the
methodological requirements of Sec. 668.45.
Discussion: We agree. An institution's compliance with the GRS
constitutes compliance with the methodological provisions of
Secs. 668.45 and 668.48.
Changes: None.
Section 668.46 Institutional Security Policies and Crime Statistics
Comments: Numerous commenters requested that we specifically
exclude certain types of employees from the definition of a campus
security authority--for example, lay counselors, dormitory rectors,
physicians, access monitors, rape crisis counselors, doctoral counselor
trainees, campus ombudsmen, and teaching faculty. Other commenters
requested clarification about whether student security personnel
organized by student governments and concert security employees who
work for the institution are campus security authorities. Still other
commenters asked us to define who is an ``official'' of the
institution, and what ``significant responsibility'' for student and
campus activities means.
Discussion: To determine if an institution must collect crime
statistics from a particular employee or official, or provide a timely
warning report based on crimes reported or known to the employee or
official, an institution must first determine if that official is a
campus security authority. In addition to campus law enforcement staff,
a campus security authority is someone with ``significant
responsibility for student and campus activities.'' Absent this
responsibility, an employee is not a campus security authority.
For example, a dean of students who oversees student housing, a
student center, or student extra-curricular activities, has significant
responsibility for student and campus activities. Similarly, a director
of athletics, team coach, and faculty advisor to a student group also
have significant responsibility for student and campus activities.
A single teaching faculty member is unlikely to have significant
responsibility for student and campus activities, except when serving
as an advisor to a student group. A physician in a campus health center
or a counselor in a counseling center whose only responsibility is to
provide care to students are unlikely to have significant
responsibility for student and campus activities. Also, clerical staff
are unlikely to have significant responsibility for student and campus
activities.
Since official responsibilities and job titles vary significantly
from campus to campus, we believe that including a list of specific
titles in the regulation is not practical. However, as stated above, we
will provide additional guidance at a later date concerning
interpretation of these regulations.
Changes: None.
Comments: The definition of campus security authority should
include only individuals working for the institution's campus security
office or expressly performing a campus security function at the
institution's request.
Discussion: We believe that the new definition and guidance reflect
the reality that on colleges campuses, officials who are not police
officials or acting as event security at student or campus events
nevertheless are responsible for students' or campus security. We also
believe the new definition and guidance will better enable institutions
to determine who is a campus security authority and thereby to comply
with these regulations.
Changes: None.
Comments: Commenters asked a number of questions regarding our
interpretation of the definitions of campus, noncampus building or
property, and public property, such as what it means for an institution
to ``control'' property, what ``adjacent to and accessible from the
campus'' means, and whether remote classrooms or remote research
stations are included in the definition of campus. Commenters also
asked how different institutions that occupy the same general
geographic area and different campuses of an institution should report
crimes.
Discussion: We will respond to commenters' questions concerning
implementation of the proposed regulations, and will post our answers
on our Information for Financial Assistance Professionals (IFAP)
website: http://ifap.ed.gov
Changes: None.
Comments: Generally, the commenters expressed much satisfaction
with the compromises made during negotiated rulemaking regarding the
definitions in Sec. 668.46(a). In particular, many commenters agreed
with the negotiators' decision to exclude professional and pastoral
counselors from being required to report crimes discussed with them in
their role as counselor. Some commenters disagreed with this exclusion,
on the belief that reporting a statistic cannot identify the victim.
Other commenters believed that the process of reporting statistics and
avoiding double-counting can lead to identification of the victim. Many
commenters stressed the importance of ensuring that students' ability
to obtain confidential counseling not be compromised.
Discussion: We agree with the commenters about the importance of
victims' being able to obtain confidential counseling. We also agree
that although reporting a statistic is not likely, of itself, to
identify the victim, the need to verify the occurrence of the crime and
the need for additional information about the crime to avoid double-
counting can lead to identification of the victim.
Representatives of psychological counselors informed us that
counselors would, as a matter of professional obligation, be required
to inform a patient at the beginning of any session that detailed
information may be disclosed to other parties for statistical reporting
purposes. In their experience, this disclosure has a chilling effect on
access to professional counseling by causing a victim to decline or be
wary of professional assistance. Given the importance of access to
counseling, the availability of statistics from other sources on
campus, and the provisions we included in this regulation concerning
confidential reporting, we believe this regulation strikes the
appropriate balance between individuals' need for counseling and the
community's need for complete statistics.
Changes: None.
[[Page 59064]]
Comments: The definition of professional counselor should refer to
mental health counseling instead of psychological counseling because
the job description of a professional counselor other than a
psychologist or psychiatrist might refer to mental health counseling or
crisis counseling, but would be unlikely to refer to psychological
counseling. This definition also should refer to independent
contractors who perform professional counseling for institutions.
Discussion: We agree with the commenters that changing the
definition to refer to mental health counseling rather than
psychological counseling provides a clearer, more precise definition,
but emphasize that the change does not expand the definition to include
non-professional or informal counselors.
We believe that changing the definition by eliminating the
reference to employee would clarify that the definition refers to the
nature of the counselor, not the counselor's employment relationship
with the institution.
Changes: We changed the definition of professional counselor in
Sec. 668.46(a) to refer to mental health counseling and to exclude the
requirement that a professional counselor be an employee of the
institution.
Comments: The requirement that institutions provide notice of the
availability of the annual security report to each prospective employee
is overly burdensome as that term is defined (an individual who has
contacted an eligible institution requesting information concerning
employment with the institution). The definition should be limited to
individuals who apply for employment. Also, the definition should be
moved from Sec. 668.46 to Sec. 668.41, because it applies to both
sections, and the definitions in Sec. 668.41 apply to the entire
subpart, while those in Sec. 668.46 only apply to that section.
Discussion: We do not believe that the definition is unduly
burdensome, especially given the importance of prospective employees
being able to make fully informed choices. The requirement applies only
when an individual requests information from an institution and the
institution, presumably, either will mail the individual the
information or tell the individual where to obtain the information. The
institution simply can include in whatever information it provides the
individual a brief notice of the availability of the annual security
report.
We agree that the definition should be moved to Sec. 668.41.
Changes: The definition of prospective employee is moved from
Sec. 668.46(a) to Sec. 668.41(a).
Comments: Some commenters objected to the requirement in
Sec. 668.46(b)(2)(ii) that institutions disclose their policies for
preparing the annual disclosure of crime statistics and requested
clarification of what this disclosure entails.
Discussion: This disclosure serves two important purposes. It
informs the students about how and from what sources the report is
prepared. Many students may not be aware that a formal police report or
investigation is not needed in order for a crime report to be included
in the statistics. This disclosure also requires an institution to
consider what officials or offices must be canvassed in order to
prepare a complete report. Incorrectly, some institutions believe that
only formal police reports need be included; the disclosure allows the
reader to conclude that all of the proper offices have been canvassed.
The disclosure need only provide a general description of the process
for preparing the report, including the offices surveyed. There is no
requirement to disclose every detailed step in the report's
preparation.
Changes: None.
Comments: The endorsement of anonymous crime reporting procedures
is a valuable addition to the regulations. Although incomplete
anonymous reports raise a number of statistical reporting questions, it
is a valuable alternative for some crime victims. In some States
confidential reporting of crime is illegal.
Discussion: Institutions should note that the regulations refer to
confidential reporting, not anonymous reporting. The regulations do not
require institutions to allow confidential reporting. Rather,
Sec. 668.46(b)(2)(iii) and (4)(iii) require institutions to state
whether they allow confidential reporting, and if so, to describe their
procedures for that reporting, including whether the institution
encourages pastoral counselors and professional counselors, if and when
they deem it appropriate, to inform the persons they are counseling of
those procedures. An institution prohibited by State law from allowing
confidential reporting simply would be required to state that in its
annual security report.
Changes: None.
Comments: Campus judicial processes do not determine whether a
crime occurred, but rather determine only whether the accused person
committed an act that violates the institution's rules, policies, or
code of conduct. Therefore, the Secretary should clarify that referrals
for alcohol, drug, and weapons law violations are limited to a breach
of institutional policy, not law.
Discussion: The requirement that institutions report statistics for
referrals for campus disciplinary action for alcohol, drug and weapons
possession refers to violations of law only. For example, if a student
of legal drinking age in the State in which an institution is located
violates the institution's ``dry-campus'' policy and is referred for
campus disciplinary action, that statistic should not be included in
the institution's crime statistics. We believe that campus judicial
officials and campus police are capable of determining whether a
particular alcohol, drug, or weapons violation is a violation of law.
Changes: None.
Comment: Most commenters responded to our question regarding
whether a crime should be recorded for the calendar year in which the
crime was reported to the institution or the calendar year in which the
crime occurred. The commenters were largely in favor of recording the
crime on the date the crime was reported to the institution. The
commenters indicated that for statistical purposes the FBI collects
crime data based on when crimes are reported to the police, not on the
date crimes occur. One reason for this standard is that crimes
generally are discovered after they occur, making the date of
occurrence unknown or uncertain. The commenters explained that using
the date of occurrence creates additional burden for institutions.
Discussion: We appreciate the responses to our solicitation for
comment on this issue. We previously have required institutions to
report crime statistics according to the year in which the crimes
occurred. However, we are convinced by the weight of the comments that
we would eliminate a considerable burden on institutions by making this
reporting requirement consistent with FBI reporting practices, and that
no crime statistics will go unreported as a result of this change.
Changes: Section 668.46(c)(2) is revised to require an institution
to record crime data based on when the crime was reported to a campus
security authority.
Comments: The problem with reporting which crimes are hate crimes
is an institution's reliance on municipal police departments to provide
this information. Hate crimes are often a political issue in
municipalities, which may be reluctant to release information
concerning hate crimes to an institution.
[[Page 59065]]
Discussion: We recognize that some institutions must rely on data,
including hate crime data, from outside agencies. In complying with the
statistical reporting requirements, an institution must make a
reasonable, good-faith effort to obtain statistics from outside
agencies. An institution that makes such an effort is not responsible
for the agencies' failure to provide the statistics or for verifying
the accuracy of statistics the agencies provide.
Changes: None.
Comments: The requirement that institutions report hate crimes
related to ``any crime involving bodily injury'' is inconsistent with
other statistical reporting requirements. To require an institution to
search for every crime that may have involved personal injury is overly
burdensome.
Discussion: The requirement that institutions report hate crimes
related to any crime involving bodily injury is mandated by the HEA.
Changes: None.
Comments: The Secretary should clarify that institutions are not
required to report statistics for public property that surrounds
noncampus buildings or property.
Discussion: These regulations do not require an institution to
report crime statistics for public property surrounding noncampus
buildings or property.
Changes: None.
Comments: The commenters asked that the preamble make clear that an
institution must use both the UCR definitions and standards when
reporting crime.
Discussion: We reiterate the language of Sec. 668.46(c)(7) that
requires an institution to use UCR guidance when defining and
classifying crimes.
Changes: None.
Comments: The commenters strongly supported the use of a map to aid
in the disclosure of crime statistics, and believe that a map would be
very effective in indicating the areas to be considered in compiling
these statistics. Some commenters believe that the Department will
receive complaints or queries from the campus community that a map
disclosed by an institution does not accurately depict the reporting
area of a campus and recommended that the Department establish a
uniform review process for the review of maps so that questions can be
handled in a timely and efficient manner.
Discussion: We agree with the commenters that using a map in
disclosing crime statistics can be very helpful; students and others
will be able to visualize the areas covered by an institution's annual
security report. We will not establish a uniform process to review
institutions' maps. Anyone who believes that an institution is not in
compliance with the campus security regulations may contact the Office
of Student Financial Assistance regional office for the State in which
the institution is located. The addresses and telephone numbers for the
regional Case Team Managers are at the following Internet address:
http://ed.gov/about.html.
Changes: None.
Comments: The regulations should define what is meant, for purposes
of crime log entries, by the nature, date, time and general location of
each crime. The Department should emphasize that institutions may
withhold this information only when it is absolutely necessary to
prevent a breach of victim's confidentiality.
Discussion: We believe these terms are straightforward and there is
no need for more prescriptive regulation. However, we emphasize that an
institution may only withhold this information when it is sufficiently
clear that the victim's confidentiality is in jeopardy.
Changes: None.
Section 668.47 Report on Athletic Program Participation Rates and
Financial Support Data
Comments: Section 668.47 should include a separate audit
requirement for the data it requires institutions to report.
Discussion: As discussed in the preamble to the NPRM (64 FR 43588-
89), the primary change to the EADA made by the 1998 Amendments was the
relocation of informational requirements concerning revenues and
expenses attributable to institutions' intercollegiate athletic
activities from section 487(a) of the HEA (Program Participation
Agreements) to section 485(g). In relocating those requirements,
Congress repealed the audit requirement under section 487(a). We
believe Congress' intent is clear that there should not be a separate
audit requirement for the data required by Sec. 668.47.
Changes: None.
Comments: Institutions annually submit an audited financial
statement to the Department. The requirement in Sec. 668.47 to report
intercollegiate athletics financial data separately requires
reformatting the data, causes the data to appear differently than in
the financial statement, and is administratively burdensome. The
Department should consider whether the benefit to students, parents,
and others from this report outweighs the cost to institutions.
Discussion: The requirements in Sec. 668.47 concerning the
disclosure of intercollegiate athletics financial data are statutory
requirements.
Changes: None.
Comments: When and to which office of the Department should
institutions submit their EADA reports?
Discussion: We are developing a process for receiving the reports.
When the process is complete, we will inform institutions on the
Department's IFAP website: http://ifap.ed.gov. Institutions should have
made the reports available to students and others by October 15, 1999.
Changes: None
Section 668.48 Report on Completion or Graduation Rates for Student-
Athletes
Comments: Allow term-based institutions, in determining their
athletic cohorts under Sec. 668.48(a), to include athletes who receive
athletically related student aid at any time during the academic year
in which their cohorts are established, rather than only allowing those
institutions to include athletes who receive aid by the end of the
institution's drop-add period or by October 15.
Discussion: We stated in the preamble to the NPRM (64 FR 43589)
that institutions should include in their athletic cohorts students who
receive athletically related student aid by the end of the
institution's drop-add period or by October 15 because we believed that
would lessen institutions' burden. However, based on the weight of the
comments, and because the Department's Integrated Postsecondary
Education Data System's (IPEDS) Graduation Rate Survey allows term-
based institutions to use the entire academic year to determine their
athletic cohorts, we now change the guidance we gave in the preamble to
the NPRM and allow term-based institutions to use the entire academic
year to determine their athletic cohorts.
Further, we clarify that ``drop-add period,'' in this context,
refers to institutions' fall drop-add periods.
Changes: None.
Executive Order 12866
We have reviewed these final regulations in accordance with
Executive Order 12866. Under the terms of the order, we have assessed
the potential costs and benefits of this regulatory action.
The potential costs associated with these final regulations are
those resulting from statutory requirements and those we have
determined to be
[[Page 59066]]
necessary for administering this program effectively and efficiently.
In assessing the potential costs and benefits--both quantitative
and qualitative--of these final regulations, we have determined that
the benefits of the regulations justify the costs.
We have also determined that this regulatory action does not unduly
interfere with State, local, and tribal governments in the exercise of
their governmental functions.
We summarized the potential costs and benefits of these final
regulations in the preamble to the NPRM (64 FR 43589-43590).
Paperwork Reduction Act of 1995
The Paperwork Reduction Act of 1995 does not require you to respond
to a collection of information unless it displays a valid OMB control
number. We display the valid OMB control numbers assigned to the
collections of information in these final regulations at the end of the
affected sections of the regulations.
Assessment of Educational Impact
In the NPRM, we requested comments on whether the proposed
regulations would require transmission of information that any other
agency or authority of the United States gathers or makes available.
Based on the response to the NPRM and on our review, we have
determined that these final regulations do not require transmission of
information that any other agency or authority of the United States
gathers or makes available.
Electronic Access to This Document
You may view this document in text or Adobe Portable Document
Format (PDF) on the Internet at the following sites:
http://ocfo.ed.gov/fedreg.htm
http://www.ed.gov/legislation/HEA/rulemaking/
http://ifap.ed.gov/csb__html/fedlreg.htm
To use the PDF you must have the Adobe Acrobat Reader Program with
Search, which is available free at the first of the previous sites. If
you have questions about using the PDF, call the U.S. Government
Printing Office (GPO) toll free, at 1-888-293-6498; or in the
Washington, DC, area, at (202) 512-1530.
Note: The official version of this document is the document
published in the Federal Register. Free Internet access to the
official edition of the Federal Register and the Code of Federal
Regulations is available on GPO Access at: http://
www.access.gpo.gov/nara/index.html.
(Catalog of Federal Domestic Assistance numbers: 84.007 Federal
Supplemental Educational Opportunity Grant Program; 84.032
Consolidation Program; 84.032 Federal Stafford Loan Program; 84.032
Federal PLUS Program; 84.032 Federal Supplemental Loans for Students
Program; 84.033 Federal Work-Study Program; 84.038 Federal Perkins
Loan Program; 84.063 Federal Pell Grant Program; 84.069 LEAP; and
84.268 William D. Ford Federal Direct Loan Programs)
List of Subjects in 34 CFR Part 668
Administrative practice and procedure, Colleges and universities,
Student aid, Reporting and recordkeeping requirements.
Dated: October 19, 1999.
Richard W. Riley,
Secretary of Education.
For the reasons discussed in the preamble, the Secretary amends
part 668 of title 34 of the Code of Federal Regulations as follows:
PART 668--STUDENT ASSISTANCE GENERAL PROVISIONS
1. The authority citation for part 668 is revised to read as
follows:
Authority: 20 U.S.C. 1085, 1088, 1091, 1094, 1099c and 1141,
unless otherwise noted.
2. The title of subpart D is revised to read as follows:
Subpart D--Institutional and Financial Assistance Information for
Students
3. Section 668.41 is revised to read as follows:
Sec. 668.41 Reporting and disclosure of information.
(a) Definitions. The following definitions apply to this subpart:
Athletically related student aid means any scholarship, grant, or
other form of financial assistance, offered by an institution, the
terms of which require the recipient to participate in a program of
intercollegiate athletics at the institution. Other student aid, of
which a student-athlete simply happens to be the recipient, is not
athletically related student aid.
Certificate or degree-seeking student means a student enrolled in a
course of credit who is recognized by the institution as seeking a
degree or certificate.
First-time undergraduate student means an entering undergraduate
who has never attended any institution of higher education. It includes
a student enrolled in the fall term who attended a postsecondary
institution for the first time in the prior summer term, and a student
who entered with advanced standing (college credit earned before
graduation from high school).
Normal time is the amount of time necessary for a student to
complete all requirements for a degree or certificate according to the
institution's catalog. This is typically four years for a bachelor's
degree in a standard term-based institution, two years for an associate
degree in a standard term-based institution, and the various scheduled
times for certificate programs.
Notice means a notification of the availability of information an
institution is required by this subpart to disclose, provided to an
individual on a one-to-one basis through an appropriate mailing or
publication, including direct mailing through the U.S. Postal Service,
campus mail, or electronic mail. Posting on an Internet website or an
Intranet website does not constitute a notice.
Official fall reporting date means that date (in the fall) on which
an institution must report fall enrollment data to either the State,
its board of trustees or governing board, or some other external
governing body.
Prospective employee means an individual who has contacted an
eligible institution for the purpose of requesting information
concerning employment with that institution.
Prospective student means an individual who has contacted an
eligible institution requesting information concerning admission to
that institution.
Undergraduate students, for purposes of Secs. 668.45 and 668.48
only, means students enrolled in a bachelor's degree program, an
associate degree program, or a vocational or technical program below
the baccalaureate.
(b) Disclosure through Internet or Intranet websites. Subject to
paragraphs (c)(2), (e)(2) through (4), or (g)(1)(ii) of this section,
as appropriate, an institution may satisfy any requirement to disclose
information under paragraph (d), (e), or (g) of this section for--
(1) Enrolled students or current employees by posting the
information on an Internet website or an Intranet website that is
reasonably accessible to the individuals to whom the information must
be disclosed; and
(2) Prospective students or prospective employees by posting the
information on an Internet website.
(c) Notice to enrolled students. (1) An institution annually must
distribute to all enrolled students a notice of the availability of the
information required to be disclosed pursuant to paragraphs (d), (e),
and (g) of this section, and pursuant to 34 CFR 99.7 (Sec. 99.7 sets
forth the notification requirements of
[[Page 59067]]
the Family Educational Rights and Privacy Act of 1974). The notice must
list and briefly describe the information and tell the student how to
obtain the information.
(2) An institution that discloses information to enrolled students
as required under paragraph (d), (e), or (g) of this section by posting
the information on an Internet website or an Intranet website must
include in the notice described in paragraph (c)(1) of this section--
(i) The exact electronic address at which the information is
posted; and
(ii) A statement that the institution will provide a paper copy of
the information on request.
(d) General disclosures for enrolled or prospective students. An
institution must make available to any enrolled student or prospective
student, on request, through appropriate publications, mailings or
electronic media, information concerning--
(1) Financial assistance available to students enrolled in the
institution (pursuant to Sec. 668.42);
(2) The institution (pursuant to Sec. 668.43); and
(3) The institution's completion or graduation rate and, if
applicable, its transfer-out rate (pursuant to Sec. 668.45). In the
case of a request from a prospective student, the information must be
made available prior to the student's enrolling or entering into any
financial obligation with the institution.
(e) Annual security report. (1) Enrolled students and current
employees--annual security report. By October 1 of each year, an
institution must distribute, to all enrolled students and current
employees, its annual security report described in Sec. 668.46(b),
through appropriate publications and mailings, including--
(i) Direct mailing to each individual through the U.S. Postal
Service, campus mail, or electronic mail;
(ii) A publication or publications provided directly to each
individual; or
(iii) Posting on an Internet website or an Intranet website,
subject to paragraphs (e)(2) and (3) of this section.
(2) Enrolled students--annual security report. If an institution
chooses to distribute its annual security report to enrolled students
by posting the disclosure on an Internet website or an Intranet
website, the institution must comply with the requirements of paragraph
(c)(2) of this section.
(3) Current employees--annual security report. If an institution
chooses to distribute its annual security report to current employees
by posting the disclosure on an Internet website or an Intranet
website, the institution must, by October 1 of each year, distribute to
all current employees a notice that includes a statement of the
report's availability, the exact electronic address at which the report
is posted, a brief description of the report's contents, and a
statement that the institution will provide a paper copy of the report
upon request.
(4) Prospective students and prospective employees--annual security
report. The institution must provide a notice to prospective students
and prospective employees that includes a statement of the report's
availability, a description of its contents, and an opportunity to
request a copy. An institution must provide its annual security report,
upon request, to a prospective student or prospective employee. If the
institution chooses to provide its annual security report to
prospective students and prospective employees by posting the
disclosure on an Internet website, the notice described in this
paragraph must include the exact electronic address at which the report
is posted, a brief description of the report, and a statement that the
institution will provide a paper copy of the report upon request.
(5) Submission to the Secretary--annual security report. Each year,
by the date and in a form specified by the Secretary, an institution
must submit the statistics required by Sec. 668.46(c) to the Secretary.
(f) Prospective student-athletes and their parents, high school
coach and guidance counselor--report on completion or graduation rates
for student-athletes.
(1)(i) Except under the circumstances described in paragraph
(f)(1)(ii) of this section, when an institution offers a prospective
student-athlete athletically related student aid, it must provide to
the prospective student-athlete, and his or her parents, high school
coach, and guidance counselor, the report produced pursuant to
Sec. 668.48(a).
(ii) An institution's responsibility under paragraph (f)(1)(i) of
this section with reference to a prospective student athlete's high
school coach and guidance counselor is satisfied if--
(A) The institution is a member of a national collegiate athletic
association;
(B) The association compiles data on behalf of its member
institutions, which data the Secretary determines are substantially
comparable to those required by Sec. 668.48(a); and
(C) The association distributes the compilation to all secondary
schools in the United States.
(2) By July 1 of each year, an institution must submit to the
Secretary the report produced pursuant to Sec. 668.48.
(g) Enrolled students, prospective students, and the public--report
on athletic program participation rates and financial support data.
(1)(i) An institution of higher education subject to Sec. 668.47
must, not later than October 15 of each year, make available on request
to enrolled students, prospective students, and the public, the report
produced pursuant to Sec. 668.47(c). The institution must make the
report easily accessible to students, prospective students, and the
public and must provide the report promptly to anyone who requests it.
(ii) The institution must provide notice to all enrolled students,
pursuant to paragraph (c)(1) of this section, and prospective students
of their right to request the report described in paragraph (g)(1) of
this section. If the institution chooses to make the report available
by posting the disclosure on an Internet website or an Intranet
website, it must provide in the notice the exact electronic address at
which the report is posted, a brief description of the report, and a
statement that the institution will provide a paper copy of the report
on request. For prospective students, the institution may not use an
Intranet website for this purpose.
(2) An institution must submit the report described in paragraph
(g)(1)(i) of this section to the Secretary within 15 days of making it
available to students, prospective students, and the public.
(Approved by the Office of Management and Budget under control
number 1845-0004 and 1845-0010)
(Authority: 20 U.S.C. 1092)
4. Section 668.42 is removed, and Secs. 668.43 through 668.49 are
redesignated as Secs. 668.42 through 668.48, respectively.
5. Newly redesignated Sec. 668.42 is amended by removing the word
``and'' at the end of paragraph (c)(5); by removing the period at the
end of paragraph (c)(6), and adding, in its place, ``; and''; by adding
a new paragraph (c)(7) and revising the OMB control number to read as
follows:
Sec. 668.42 Financial assistance information.
* * * * *
(c) ***
(7) The terms and conditions under which students receiving Federal
Family Education Loan or William D. Ford Federal Direct Loan assistance
may obtain deferral of the repayment of the principal and interest of
the loan for--
(i) Service under the Peace Corps Act (22 U.S.C. 2501);
[[Page 59068]]
(ii) Service under the Domestic Volunteer Service Act of 1973 (42
U.S.C. 4951); or
(iii) Comparable service as a volunteer for a tax-exempt
organization of demonstrated effectiveness in the field of community
service.
(Approved by the Office of Management and Budget under control
number 1845-0022)
* * * * *
6. Newly redesignated Sec. 668.43 is revised to read as follows:
Sec. 668.43 Institutional information.
(a) Institutional information that the institution must make
readily available upon request to enrolled and prospective students
under this subpart includes, but is not limited to--
(1) The cost of attending the institution, including--
(i) Tuition and fees charged to full-time and part-time students;
(ii) Estimates of costs for necessary books and supplies;
(iii) Estimates of typical charges for room and board;
(iv) Estimates of transportation costs for students; and
(v) Any additional cost of a program in which a student is enrolled
or expresses a specific interest;
(2) Any refund policy with which the institution is required to
comply for the return of unearned tuition and fees or other refundable
portions of costs paid to the institution;
(3) The requirements and procedures for officially withdrawing from
the institution;
(4) A summary of the requirements under Sec. 668.22 for the return
of title IV grant or loan assistance;
(5) The academic program of the institution, including--
(i) The current degree programs and other educational and training
programs;
(ii) The instructional, laboratory, and other physical facilities
which relate to the academic program; and
(iii) The institution's faculty and other instructional personnel;
(6) The names of associations, agencies or governmental bodies that
accredit, approve, or license the institution and its programs and the
procedures by which documents describing that activity may be reviewed
under paragraph (b) of this section;
(7) A description of any special facilities and services available
to disabled students;
(8) The titles of persons designated under Sec. 668.44 and
information regarding how and where those persons may be contacted; and
(9) A statement that a student's enrollment in a program of study
abroad approved for credit by the home institution may be considered
enrollment at the home institution for the purpose of applying for
assistance under the title IV, HEA programs.
(b) The institution must make available for review to any enrolled
or prospective student, upon request, a copy of the documents
describing the institution's accreditation, approval or licensing.
(Approved by the Office of Management and Budget under control
number 1845-0022)
(Authority: 20 U.S.C. 1092)
7. Newly redesignated Sec. 668.45 is revised to read as follows:
Sec. 668.45 Information on completion or graduation rates.
(a)(1) An institution annually must prepare the completion or
graduation rate of its certificate- or degree-seeking, full-time
undergraduate students, as provided in paragraph (b) of this section.
(2) An institution that determines that its mission includes
providing substantial preparation for students to enroll in another
eligible institution must prepare the transfer-out rate of its
certificate- or degree-seeking, full-time undergraduate students, as
provided in paragraph (c) of this section.
(3)(i) An institution that offers a predominant number of its
programs based on semesters, trimesters, or quarters must base its
completion or graduation rate and, if applicable, transfer-out rate
calculations, on the cohort of first-time, certificate- or degree-
seeking, full-time undergraduate students who enter the institution
during the fall term of each year.
(ii) An institution not covered by the provisions of paragraph
(a)(3)(i) of this section must base its completion or graduation rate
and, if applicable, transfer-out rate calculations, on the group of
certificate- or degree-seeking, full-time undergraduate students who
enter the institution between September 1 of one year and August 31 of
the following year.
(iii) For purposes of the completion or graduation rate and, if
applicable, transfer-out rate calculations required in paragraph (a) of
this section, an institution must count as entering students only
first-time undergraduate students, as defined in Sec. 668.41(a).
(4)(i) An institution covered by the provisions of paragraph
(a)(3)(i) of this section must count as an entering student a first-
time undergraduate student who is enrolled as of October 15, the end of
the institution's drop-add period, or another official reporting date
as defined in Sec. 668.41(a).
(ii) An institution covered by paragraph (a)(3)(ii) of this section
must count as an entering student a first-time undergraduate student
who is enrolled for at least--
(A) 15 days, in a program of up to, and including, one year in
length; or
(B) 30 days, in a program of greater than one year in length.
(5) An institution must make available its completion or graduation
rate and, if applicable, transfer-out rate, no later than the July 1
immediately following the 12-month period ending August 31 during which
150% of the normal time for completion or graduation has elapsed for
all of the students in the group on which the institution bases its
completion or graduation rate and, if applicable, transfer-out rate
calculations.
(b) In calculating the completion or graduation rate under
paragraph (a)(1) of this section, an institution must count as
completed or graduated--
(1) Students who have completed or graduated by the end of the 12-
month period ending August 31 during which 150% of the normal time for
completion or graduation from their program has lapsed; and
(2) Students who have completed a program described in
Sec. 668.8(b)(1)(ii), or an equivalent program, by the end of the 12-
month period ending August 31 during which 150% of normal time for
completion from that program has lapsed.
(c) In calculating the transfer-out rate under paragraph (a)(2) of
this section, an institution must count as transfers-out students who
by the end of the 12-month period ending August 31 during which 150% of
the normal time for completion or graduation from the program in which
they were enrolled has lapsed, have not completed or graduated but have
subsequently enrolled in any program of an eligible institution for
which its program provided substantial preparation.
(d) For the purpose of calculating a completion or graduation rate
and a transfer-out rate, an institution may exclude students who--
(1) Have left school to serve in the Armed Forces;
(2) Have left school to serve on official church missions;
(3) Have left school to serve with a foreign aid service of the
Federal Government, such as the Peace Corps;
(4) Are totally and permanently disabled; or
(5) Are deceased.
(e)(1) The Secretary grants a waiver of the requirements of this
section to any institution that is a member of an athletic association
or conference that
[[Page 59069]]
has voluntarily published completion or graduation rate data, or has
agreed to publish data, that the Secretary determines are substantially
comparable to the data required by this section.
(2) An institution that receives a waiver of the requirements of
this section must still comply with the requirements of
Sec. 668.41(d)(3) and (f).
(3) An institution, or athletic association or conference applying
on behalf of an institution, that seeks a waiver under paragraph (e)(1)
of this section must submit a written application to the Secretary that
explains why it believes the data the athletic association or
conference publishes are accurate and substantially comparable to the
information required by this section.
(f) In addition to calculating the completion or graduation rate
required by paragraph (a)(1) of this section, an institution may, but
is not required to--
(1) Calculate a completion or graduation rate for students who
transfer into the institution;
(2) Calculate a completion or graduation rate and transfer-out rate
for students described in paragraphs (d)(1) through (4) of this
section; and
(3) Calculate a transfer-out rate as specified in paragraph (c) of
this section, if the institution determines that its mission does not
include providing substantial preparation for its students to enroll in
another eligible institution.
(Approved by the Office of Management and Budget under control
number 1845-0004)
(Authority: 20 U.S.C. 1092)
8. Newly redesignated Sec. 668.46 is revised to read as follows:
Sec. 668.46 Institutional security policies and crime statistics.
(a) Additional definitions that apply to this section.
Business day: Monday through Friday, excluding any day when the
institution is closed.
Campus: (1) Any building or property owned or controlled by an
institution within the same reasonably contiguous geographic area and
used by the institution in direct support of, or in a manner related
to, the institution's educational purposes, including residence halls;
and
(2) Any building or property that is within or reasonably
contiguous to the area identified in paragraph (1) of this definition,
that is owned by the institution but controlled by another person, is
frequently used by students, and supports institutional purposes (such
as a food or other retail vendor).
Campus security authority: (1) A campus police department or a
campus security department of an institution.
(2) Any individual or individuals who have responsibility for
campus security but who do not constitute a campus police department or
a campus security department under paragraph (1) of this definition,
such as an individual who is responsible for monitoring entrance into
institutional property.
(3) Any individual or organization specified in an institution's
statement of campus security policy as an individual or organization to
which students and employees should report criminal offenses.
(4) An official of an institution who has significant
responsibility for student and campus activities, including, but not
limited to, student housing, student discipline, and campus judicial
proceedings. If such an official is a pastoral or professional
counselor as defined below, the official is not considered a campus
security authority when acting as a pastoral or professional counselor.
Noncampus building or property: (1) Any building or property owned
or controlled by a student organization that is officially recognized
by the institution; or
(2) Any building or property owned or controlled by an institution
that is used in direct support of, or in relation to, the institution's
educational purposes, is frequently used by students, and is not within
the same reasonably contiguous geographic area of the institution.
Pastoral counselor: A person who is associated with a religious
order or denomination, is recognized by that religious order or
denomination as someone who provides confidential counseling, and is
functioning within the scope of that recognition as a pastoral
counselor.
Professional counselor: A person whose official responsibilities
include providing mental health counseling to members of the
institution's community and who is functioning within the scope of his
or her license or certification.
Public property: All public property, including thoroughfares,
streets, sidewalks, and parking facilities, that is within the campus,
or immediately adjacent to and accessible from the campus.
Referred for campus disciplinary action: The referral of any
student to any campus official who initiates a disciplinary action of
which a record is kept and which may result in the imposition of a
sanction.
(b) Annual security report. An institution must prepare an annual
security report that contains, at a minimum, the following information:
(1) The crime statistics described in paragraph (c) of this
section.
(2) A statement of current campus policies regarding procedures for
students and others to report criminal actions or other emergencies
occurring on campus. This statement must include the institution's
policies concerning its response to these reports, including--
(i) Policies for making timely warning reports to members of the
campus community regarding the occurrence of crimes described in
paragraph (c)(1) of this section;
(ii) Policies for preparing the annual disclosure of crime
statistics; and
(iii) A list of the titles of each person or organization to whom
students and employees should report the criminal offenses described in
paragraph (c)(1) of this section for the purpose of making timely
warning reports and the annual statistical disclosure. This statement
must also disclose whether the institution has any policies or
procedures that allow victims or witnesses to report crimes on a
voluntary, confidential basis for inclusion in the annual disclosure of
crime statistics, and, if so, a description of those policies and
procedures.
(3) A statement of current policies concerning security of and
access to campus facilities, including campus residences, and security
considerations used in the maintenance of campus facilities.
(4) A statement of current policies concerning campus law
enforcement that--
(i) Addresses the enforcement authority of security personnel,
including their relationship with State and local police agencies and
whether those security personnel have the authority to arrest
individuals;
(ii) Encourages accurate and prompt reporting of all crimes to the
campus police and the appropriate police agencies; and
(iii) Describes procedures, if any, that encourage pastoral
counselors and professional counselors, if and when they deem it
appropriate, to inform the persons they are counseling of any
procedures to report crimes on a voluntary, confidential basis for
inclusion in the annual disclosure of crime statistics.
(5) A description of the type and frequency of programs designed to
inform students and employees about campus security procedures and
practices and to encourage students and employees to be responsible for
their own security and the security of others.
[[Page 59070]]
(6) A description of programs designed to inform students and
employees about the prevention of crimes.
(7) A statement of policy concerning the monitoring and recording
through local police agencies of criminal activity in which students
engaged at off-campus locations of student organizations officially
recognized by the institution, including student organizations with
off-campus housing facilities.
(8) A statement of policy regarding the possession, use, and sale
of alcoholic beverages and enforcement of State underage drinking laws.
(9) A statement of policy regarding the possession, use, and sale
of illegal drugs and enforcement of Federal and State drug laws.
(10) A description of any drug or alcohol-abuse education programs,
as required under section 120(a) through (d) of the HEA. For the
purpose of meeting this requirement, an institution may cross-reference
the materials the institution uses to comply with section 120(a)
through (d) of the HEA.
(11) A statement of policy regarding the institution's campus
sexual assault programs to prevent sex offenses, and procedures to
follow when a sex offense occurs. The statement must include--
(i) A description of educational programs to promote the awareness
of rape, acquaintance rape, and other forcible and nonforcible sex
offenses;
(ii) Procedures students should follow if a sex offense occurs,
including procedures concerning who should be contacted, the importance
of preserving evidence for the proof of a criminal offense, and to whom
the alleged offense should be reported;
(iii) Information on a student's option to notify appropriate law
enforcement authorities, including on-campus and local police, and a
statement that institutional personnel will assist the student in
notifying these authorities, if the student requests the assistance of
these personnel;
(iv) Notification to students of existing on- and off-campus
counseling, mental health, or other student services for victims of sex
offenses;
(v) Notification to students that the institution will change a
victim's academic and living situations after an alleged sex offense
and of the options for those changes, if those changes are requested by
the victim and are reasonably available;
(vi) Procedures for campus disciplinary action in cases of an
alleged sex offense, including a clear statement that--
(A) The accuser and the accused are entitled to the same
opportunities to have others present during a disciplinary proceeding;
and
(B) Both the accuser and the accused must be informed of the
outcome of any institutional disciplinary proceeding brought alleging a
sex offense. Compliance with this paragraph does not constitute a
violation of the Family Educational Rights and Privacy Act (20 U.S.C.
1232g). For the purpose of this paragraph, the outcome of a
disciplinary proceeding means only the institution's final
determination with respect to the alleged sex offense and any sanction
that is imposed against the accused; and
(vii) Sanctions the institution may impose following a final
determination of an institutional disciplinary proceeding regarding
rape, acquaintance rape, or other forcible or nonforcible sex offenses.
(c) Crime statistics. (1) Crimes that must be reported. An
institution must report statistics for the three most recent calendar
years concerning the occurrence on campus, in or on noncampus buildings
or property, and on public property of the following that are reported
to local police agencies or to a campus security authority:
(i) Criminal homicide:
(A) Murder and nonnegligent manslaughter.
(B) Negligent manslaughter.
(ii) Sex offenses:
(A) Forcible sex offenses.
(B) Nonforcible sex offenses.
(iii) Robbery.
(iv) Aggravated assault.
(v) Burglary.
(vi) Motor vehicle theft.
(vii) Arson.
(viii) (A) Arrests for liquor law violations, drug law violations,
and illegal weapons possession.
(B) Persons not included in paragraph (c)(1)(viii)(A) of this
section, who were referred for campus disciplinary action for liquor
law violations, drug law violations, and illegal weapons possession.
(2) Recording crimes. An institution must record a crime statistic
in its annual security report for the calendar year in which the crime
was reported to a campus security authority.
(3) Reported crimes if a hate crime. An institution must report, by
category of prejudice, any crime it reports pursuant to paragraphs
(c)(1)(i) through (vii) of this section, and any other crime involving
bodily injury reported to local police agencies or to a campus security
authority, that manifest evidence that the victim was intentionally
selected because of the victim's actual or perceived race, gender,
religion, sexual orientation, ethnicity, or disability.
(4) Crimes by location. The institution must provide a geographic
breakdown of the statistics reported under paragraphs (c)(1) and (3) of
this section according to the following categories:
(i) On campus.
(ii) Of the crimes in paragraph (c)(4)(i) of this section, the
number of crimes that took place in dormitories or other residential
facilities for students on campus.
(iii) In or on a noncampus building or property.
(iv) On public property.
(5) Identification of the victim or the accused. The statistics
required under paragraphs (c)(1) and (3) of this section may not
include the identification of the victim or the person accused of
committing the crime.
(6) Pastoral and professional counselor. An institution is not
required to report statistics under paragraphs (c)(1) and (3) of this
section for crimes reported to a pastoral or professional counselor.
(7) UCR definitions. An institution must compile the crime
statistics required under paragraphs (c)(1) and (3) of this section
using the definitions of crimes provided in Appendix E to this part and
the Federal Bureau of Investigation's Uniform Crime Reporting (UCR)
Hate Crime Data Collection Guidelines and Training Guide for Hate Crime
Data Collection. For further guidance concerning the application of
definitions and classification of crimes, an institution must use
either the UCR Reporting Handbook or the UCR Reporting Handbook: NIBRS
EDITION, except that in determining how to report crimes committed in a
multiple-offense situation an institution must use the UCR Reporting
Handbook. Copies of the UCR publications referenced in this paragraph
are available from: FBI, Communications Unit, 1000 Custer Hollow Road,
Clarksburg, WV 26306 (telephone: 304-625-2823).
(8) Use of a map. In complying with the statistical reporting
requirements under paragraphs (c)(1) and (3) of this section, an
institution may provide a map to current and prospective students and
employees that depicts its campus, noncampus buildings or property, and
public property areas if the map accurately depicts its campus,
noncampus buildings or property, and public property areas.
(9) Statistics from police agencies. In complying with the
statistical reporting requirements under paragraphs (c)(1) through (4)
of this section, an institution must make a reasonable, good faith
effort to obtain the required statistics and may rely on the
information supplied by a local or State police
[[Page 59071]]
agency. If the institution makes such a reasonable, good faith effort,
it is not responsible for the failure of the local or State police
agency to supply the required statistics.
(d) Separate campus. An institution must comply with the
requirements of this section for each separate campus.
(e) Timely warning. (1) An institution must, in a manner that is
timely and will aid in the prevention of similar crimes, report to the
campus community on crimes that are--
(i) Described in paragraph (c)(1) and (3) of this section;
(ii) Reported to campus security authorities as identified under
the institution's statement of current campus policies pursuant to
paragraph (b)(2) of this section or local police agencies; and
(iii) Considered by the institution to represent a threat to
students and employees.
(2) An institution is not required to provide a timely warning with
respect to crimes reported to a pastoral or professional counselor.
(f) Crime log. (1) An institution that maintains a campus police or
a campus security department must maintain a written, easily understood
daily crime log that records, by the date the crime was reported, any
crime that occurred on campus, on a noncampus building or property, on
public property, or within the patrol jurisdiction of the campus police
or the campus security department and is reported to the campus police
or the campus security department. This log must include--
(i) The nature, date, time, and general location of each crime; and
(ii) The disposition of the complaint, if known.
(2) The institution must make an entry or an addition to an entry
to the log within two business days, as defined under paragraph (a) of
this section, of the report of the information to the campus police or
the campus security department, unless that disclosure is prohibited by
law or would jeopardize the confidentiality of the victim.
(3)(i) An institution may withhold information required under
paragraphs (f)(1) and (2) of this section if there is clear and
convincing evidence that the release of the information would--
(A) Jeopardize an ongoing criminal investigation or the safety of
an individual;
(B) Cause a suspect to flee or evade detection; or
(C) Result in the destruction of evidence.
(ii) The institution must disclose any information withheld under
paragraph (f)(3)(i) of this section once the adverse effect described
in that paragraph is no longer likely to occur.
(4) An institution may withhold under paragraphs (f)(2) and (3) of
this section only that information that would cause the adverse effects
described in those paragraphs.
(5) The institution must make the crime log for the most recent 60-
day period open to public inspection during normal business hours. The
institution must make any portion of the log older than 60 days
available within two business days of a request for public inspection.
(Approved by the Office of Management and Budget under control
number 1845-0022)
(Authority: 20 U.S.C. 1092)
9. Newly redesignated Sec. 668.47 is revised to read as follows:
Sec. 668.47 Report on athletic program participation rates and
financial support data.
(a) Applicability. This section applies to a co-educational
institution of higher education that--
(1) Participates in any title IV, HEA program; and
(2) Has an intercollegiate athletic program.
(b) Definitions. The following definitions apply for purposes of
this section only.
(1) Expenses.--(i) Expenses means expenses attributable to
intercollegiate athletic activities. This includes appearance
guarantees and options, athletically related student aid, contract
services, equipment, fundraising activities, operating expenses,
promotional activities, recruiting expenses, salaries and benefits,
supplies, travel, and any other expenses attributable to
intercollegiate athletic activities.
(ii) Operating expenses means all expenses an institution incurs
attributable to home, away, and neutral-site intercollegiate athletic
contests (commonly known as ``game-day expenses''), for--
(A) Lodging, meals, transportation, uniforms, and equipment for
coaches, team members, support staff (including, but not limited to
team managers and trainers), and others; and
(B) Officials.
(iii) Recruiting expenses means all expenses an institution incurs
attributable to recruiting activities. This includes, but is not
limited to, expenses for lodging, meals, telephone use, and
transportation (including vehicles used for recruiting purposes) for
both recruits and personnel engaged in recruiting, any other expenses
for official and unofficial visits, and all other expenses related to
recruiting.
(2) Institutional salary means all wages and bonuses an institution
pays a coach as compensation attributable to coaching.
(3)(i) Participants means students who, as of the day of a varsity
team's first scheduled contest--
(A) Are listed by the institution on the varsity team's roster;
(B) Receive athletically related student aid; or
(C) Practice with the varsity team and receive coaching from one or
more varsity coaches.
(ii) Any student who satisfies one or more of the criteria in
paragraphs (b)(3)(i)(A) through (C) of this section is a participant,
including a student on a team the institution designates or defines as
junior varsity, freshman, or novice, or a student withheld from
competition to preserve eligibility (i.e., a redshirt), or for
academic, medical, or other reasons.
(4) Reporting year means a consecutive twelve-month period of time
designated by the institution for the purposes of this section.
(5) Revenues means revenues attributable to intercollegiate
athletic activities. This includes revenues from appearance guarantees
and options, an athletic conference, tournament or bowl games,
concessions, contributions from alumni and others, institutional
support, program advertising and sales, radio and television,
royalties, signage and other sponsorships, sports camps, State or other
government support, student activity fees, ticket and luxury box sales,
and any other revenues attributable to intercollegiate athletic
activities.
(6) Undergraduate students means students who are consistently
designated as such by the institution.
(7) Varsity team means a team that--
(i) Is designated or defined by its institution or an athletic
association as a varsity team; or
(ii) Primarily competes against other teams that are designated or
defined by their institutions or athletic associations as varsity
teams.
(c) Report. An institution described in paragraph (a) of this
section must annually, for the preceding reporting year, prepare a
report that contains the following information:
(1) The number of male and the number of female full-time
undergraduate students that attended the institution.
(2) A listing of the varsity teams that competed in intercollegiate
athletic competition and for each team the following data:
(i) The total number of participants as of the day of its first
scheduled contest
[[Page 59072]]
of the reporting year, the number of participants who also participated
on another varsity team, and the number of other varsity teams on which
they participated.
(ii) Total operating expenses attributable to the team, except that
an institution may report combined operating expenses for closely
related teams, such as track and field or swimming and diving. Those
combinations must be reported separately for men's and women's teams.
(iii) In addition to the data required by paragraph (c)(2)(ii) of
this section, an institution may report operating expenses attributable
to the team on a per-participant basis.
(iv)(A) Whether the head coach was male or female, was assigned to
the team on a full-time or part-time basis, and, if assigned on a part-
time basis, whether the head coach was a full-time or part-time
employee of the institution.
(B) The institution must consider graduate assistants and
volunteers who served as head coaches to be head coaches for the
purposes of this report.
(v)(A) The number of assistant coaches who were male and the number
of assistant coaches who were female, and, within each category, the
number who were assigned to the team on a full-time or part-time basis,
and, of those assigned on a part-time basis, the number who were full-
time and part-time employees of the institution.
(B) The institution must consider graduate assistants and
volunteers who served as assistant coaches to be assistant coaches for
purposes of this report.
(3) The unduplicated head count of the individuals who were listed
under paragraph (c)(2)(i) of this section as a participant on at least
one varsity team, by gender.
(4)(i) Revenues derived by the institution according to the
following categories (Revenues not attributable to a particular sport
or sports must be included only in the total revenues attributable to
intercollegiate athletic activities, and, if appropriate, revenues
attributable to men's sports combined or women's sports combined. Those
revenues include, but are not limited to, alumni contributions to the
athletic department not targeted to a particular sport or sports,
investment interest income, and student activity fees.):
(A) Total revenues attributable to its intercollegiate athletic
activities.
(B) Revenues attributable to all men's sports combined.
(C) Revenues attributable to all women's sports combined.
(D) Revenues attributable to football.
(E) Revenues attributable to men's basketball.
(F) Revenues attributable to women's basketball.
(G) Revenues attributable to all men's sports except football and
basketball, combined.
(H) Revenues attributable to all women's sports except basketball,
combined.
(ii) In addition to the data required by paragraph (c)(4)(i) of
this section, an institution may report revenues attributable to the
remainder of the teams, by team.
(5) Expenses incurred by the institution, according to the
following categories (Expenses not attributable to a particular sport,
such as general and administrative overhead, must be included only in
the total expenses attributable to intercollegiate athletic
activities.):
(i) Total expenses attributable to intercollegiate athletic
activities.
(ii) Expenses attributable to football.
(iii) Expenses attributable to men's basketball.
(iv) Expenses attributable to women's basketball.
(v) Expenses attributable to all men's sports except football and
basketball, combined.
(vi) Expenses attributable to all women's sports except basketball,
combined.
(6) The total amount of money spent on athletically related student
aid, including the value of waivers of educational expenses,
aggregately for men's teams, and aggregately for women's teams.
(7) The ratio of athletically related student aid awarded male
athletes to athletically related student aid awarded female athletes.
(8) The total amount of recruiting expenses incurred, aggregately
for all men's teams, and aggregately for all women's teams.
(9)(i) The average annual institutional salary of the non-volunteer
head coaches of all men's teams, across all offered sports, and the
average annual institutional salary of the non-volunteer head coaches
of all women's teams, across all offered sports, on a per person and a
per full-time equivalent position basis. These data must include the
number of persons and full-time equivalent positions used to calculate
each average.
(ii) If a head coach has responsibilities for more than one team
and the institution does not allocate that coach's salary by team, the
institution must divide the salary by the number of teams for which the
coach has responsibility and allocate the salary among the teams on a
basis consistent with the coach's responsibilities for the different
teams.
(10)(i) The average annual institutional salary of the non-
volunteer assistant coaches of men's teams, across all offered sports,
and the average annual institutional salary of the non-volunteer
assistant coaches of women's teams, across all offered sports, on a per
person and a full-time equivalent position basis. These data must
include the number of persons and full-time equivalent positions used
to calculate each average.
(ii) If an assistant coach had responsibilities for more than one
team and the institution does not allocate that coach's salary by team,
the institution must divide the salary by the number of teams for which
the coach has responsibility and allocate the salary among the teams on
a basis consistent with the coach's responsibilities for the different
teams.
(Approved by the Office of Management and Budget under control
number 1845-0010)
(Authority: 20 U.S.C. 1092)
Sec. 668.48 [Amended]
10. Newly redesignated Sec. 668.48 is amended as follows:
A. In paragraph (a)(1), by removing ``By July 1, 1997, and by every
July 1 every year thereafter, each'' and adding, in its place,
``Annually, by July 1, an''; by removing ``shall'' and adding in its
place ``must''; and by removing ``an annual'' and adding, in its place
``a''.
B. In paragraph (a)(1)(iii), by adding ``, if applicable,'' before
``transfer-out''; and by removing ``Sec. 668.46(a)(1), (2), (3) and
(4)'' and adding, in its place, ``Sec. 668.45(a)(1)'';
C. In paragraph (a)(1)(iv), by adding ``, if applicable,'' before
``transfer-out''; and by removing ``Sec. 668.46(a)(1), (2), (3) and
(4)'' and adding, in its place, ``Sec. 668.45(a)(1)'';
D. In paragraph (a)(1)(v), by adding ``, if applicable,'' before
``transfer-out'' both times it appears; by removing ``
Sec. 668.46(a)(2), (3), and (4)'' and adding, in its place,
``Sec. 668.45(a)(1)''; and by removing ``shall'' and adding, in its
place, ``must'';
E. In paragraph (a)(1)(vi), by adding ``, if applicable,'' before
``transfer-out'' both times it appears; by adding after ``recent,''
``completing or graduating''; by removing ``Sec. 668.46(a)(2), (3), and
(4)'' and adding in its place ``Sec. 668.45(a)(1)''; and by removing
``shall'' and adding in its place ``must''; and
F. In paragraph (b), by removing ``Sec. 668.46'' and adding in its
place ``Sec. 668.45''; by removing ``(a)(1)(iii), (a)(1)(iv), and
(a)(1)(v)'' and adding in
[[Page 59073]]
their place ``(a)(1)(iii) through (vi)''; and by adding ``, if
applicable,'' before ``transfer-out.''
G. At the end of the section, by replacing the OMB control number
``1840-0719'' with the number ``1845-0004.''
11. Appendix E is amended by removing the definition of ``Murder,''
and by adding the following definitions before the definition of
``Robbery:''
Appendix E to Part 668--Crime Definitions in Accordance With the
Federal Bureau of Investigation's Uniform Crime Reporting Program
* * * * *
Crime Definitions From the Uniform Crime Reporting Handbook
Arson
Any willful or malicious burning or attempt to burn, with or
without intent to defraud, a dwelling house, public building, motor
vehicle or aircraft, personal property of another, etc.
Criminal Homicide--Manslaughter by Negligence
The killing of another person through gross negligence.
Criminal Homicide--Murder and Nonnegligent Manslaughter
The willful (nonnegligent) killing of one human being by
another.
* * * * *
[FR Doc. 99-28273 Filed 10-29-99; 8:45 am]
BILLING CODE 4000-01-U
