[Federal Register Volume 64, Number 153 (Tuesday, August 10, 1999)]
[Proposed Rules]
[Pages 43582-43597]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-20603]
[[Page 43581]]
_______________________________________________________________________
Part IX
Department of Education
_______________________________________________________________________
34 CFR Part 668
Student Assistance General Provisions; Proposed Rule
Federal Register / Vol. 64, No. 153 / Tuesday, August 10, 1999 /
Proposed Rules
[[Page 43582]]
DEPARTMENT OF EDUCATION
34 CFR Part 668
RIN 1845-AA03
Student Assistance General Provisions
AGENCY: Department of Education.
ACTION: Notice of proposed rulemaking.
-----------------------------------------------------------------------
SUMMARY: These proposed regulations would govern the disclosure of
institutional and financial assistance information provided to students
under the student financial assistance programs under Title IV of the
Higher Education Act of 1965, as amended (Title IV). 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). The proposed regulations
implement changes made to the Higher Education Act of 1965, as amended
(HEA), by the Higher Education Amendments of 1998 (1998 Amendments).
DATES: We must receive your comments on or before September 15, 1999.
ADDRESSES: Address all comments about these proposed regulations to
Paula Husselmann, U.S. Department of Education, P.O. Box 23272,
Washington, DC 20026-3272. If you prefer to send your comments through
the Internet, use the following address: ifainprm@ed.gov
If you want to comment on the information collection requirements,
you must send your comments to the Office of Management and Budget at
the address listed in the Paperwork Reduction Act section of this
preamble. You may also send a copy of these comments to the Department
representative named in this section.
FOR FURTHER INFORMATION CONTACT: Paula Husselmann or Lloyd Horwich.
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 persons listed in the preceding
paragraph.
SUPPLEMENTARY INFORMATION:
Invitation To Comment
We invite you to submit comments regarding these proposed
regulations. To ensure that your comments have maximum effect in
developing the final regulations, we urge you to identify clearly the
specific section or sections of the proposed regulations that each of
your comments addresses and to arrange your comments in the same order
as the proposed regulations.
We invite you to assist us in complying with the specific
requirements of Executive Order 12866 and its overall requirement of
reducing regulatory burden that might result from these proposed
regulations. Please let us know of any further opportunities we should
take to reduce potential costs or increase potential benefits while
preserving the effective and efficient administration of the program.
During and after the comment period, you may inspect all public
comments about these proposed regulations at Regional Office Building
3, 7th and D Streets, SW, Room 3045, Washington, DC, between the hours
of 8:30 a.m. and 4:00 p.m., Eastern time, Monday through Friday of each
week except Federal holidays.
Assistance to Individuals With Disabilities in Reviewing the
Rulemaking Record
On request, we will supply an appropriate aid, such as a reader or
print magnifier, to an individual with a disability who needs
assistance to review the comments or other documents in the public
rulemaking record for these proposed regulations. If you want to
schedule an appointment for this type of aid, you can call (202) 205-
8113 or (202) 260-9895. If you use a TDD, you may call the Federal
Information Relay Service at 1-800-877-8339.
General
These proposed regulations would revise the current Student
Assistance General Provisions, 34 CFR part 668, concerning the
disclosure of institutional and financial assistance information to
students under the financial assistance programs authorized under Title
IV. The revisions implement the Higher Education Amendments of 1998,
Public Law 105-244, enacted October 7, 1998.
Negotiated Rulemaking Process
Section 492 of the HEA requires that, before publishing any
proposed regulations to implement programs under Title IV of the Act,
the Secretary obtain public involvement in the development of the
proposed regulations. After obtaining advice and recommendations, the
Secretary must conduct a negotiated rulemaking process to develop the
proposed regulations. All published proposed regulations must conform
to agreements resulting from the negotiated rulemaking process unless
the Secretary reopens the negotiated rulemaking process or provides a
written explanation to the participants in that process why the
Secretary has decided to depart from the agreements.
To obtain public involvement in the development of the proposed
regulations, we published a notice in the Federal Register (63 FR
59922, November 6, 1998) requesting advice and recommendations from
interested parties concerning what regulations were necessary to
implement Title IV of the HEA. We also invited advice and
recommendations concerning which regulated issues should be subjected
to a negotiated rulemaking process. We further requested advice and
recommendations concerning ways to prioritize the numerous issues in
Title IV, in order to meet statutory deadlines. Additionally, we
requested advice and recommendations concerning how to conduct the
negotiated rulemaking process, given the time available and the number
of regulations that needed to be developed.
In addition to soliciting written comments, we held three public
hearings and several informal meetings to give interested parties an
opportunity to share advice and recommendations with the Department.
The hearings were held in Washington, D.C., Chicago, and Los Angeles,
and we posted transcripts of those hearings to the Department's
Information for Financial Aid Professionals website (http://
ifap.ed.gov).
We then published a second notice in the Federal Register (63 FR
71206, December 23, 1998) to announce the Department's intention to
establish four negotiated rulemaking committees to draft proposed
regulations implementing Title IV of the HEA. The notice announced the
organizations or groups believed to represent the interests that should
participate in the negotiated rulemaking process and announced that the
Department would select participants for the process from nominees of
those organizations or groups. We requested nominations for additional
participants from anyone who believed that the organizations or groups
listed did not adequately represent the list of interests outlined in
section 492 of the HEA. Once the four committees were established, they
met to develop proposed regulations over
[[Page 43583]]
the course of several months, beginning in January.
The proposed regulations contained in this notice of proposed
rulemaking (NPRM) reflect the final consensus of Committee IV.
Committee IV was made up of the following members:
American Association of Collegiate Registrars and Admissions
Officers
American Association of Community Colleges
American Association of Cosmetology Schools
American Association of State Colleges and Universities
American Council on Education
Association of American Universities
Association of Jesuit Colleges and Universities
Career College Association
Council for Higher Education Accreditation
Council of Recognized National Accrediting Agencies
Council for Regional Accrediting Commissions
Education Finance Council
Legal Services Counsel (a coalition)
National Association of College and University Business Officers
National Association of Equal Opportunity in Higher Education
National Association of Independent Colleges and Universities
National Association of State Student Grant and Aid
Programs/National Council of Higher Education Loan Programs (a
coalition)
National Association of State Universities and Land-Grant Colleges
National Association of Student Financial Aid Administrators
National Direct Student Loan Coalition
National Women's Law Center
State Higher Education Executive Officers Association
The College Board
The College Fund/United Negro College Fund
United States Department of Education
United States Student Association
US Public Interest Research Group
The following organizations were members of the committee for the
purpose of developing proposed regulations relating to the reporting of
campus crime only:
American Psychological Association
International Association of Campus Law Enforcement Administrators
International Association of Chiefs of Police
Security on Campus, Inc. (C. & H. Clery)
Society of Professional Journalists
As stated in the committee protocols, consensus means that there
must be no dissent by any member in order for the committee to be
considered to have reached agreement. Consensus was reached on all of
the proposed regulations in this document.
Subpart D--Student Consumer Information Services
The proposed regulations would (1) retitle Subpart D as
Institutional and Financial Assistance Information for Students, to
conform the title to that of section 485 of the HEA, and (2) renumber
the sections.
The proposed regulations would remove current Sec. 668.42 and
incorporate it into proposed Sec. 668.41. Therefore, the proposed
regulations would renumber current Secs. 668.43-668.49 as Secs. 668.42-
668.48. The headings in this section for proposed Secs. 668.43-668.48
reflect the proposed renumbering. There is no discussion of proposed
Sec. 668.42 (current Sec. 668.43), because there is no proposed change
other than the renumbering.
Section 668.41 Reporting and Disclosure of Information
Prior to the 1998 Amendments, section 485(a) of the HEA required an
institution to provide specified information about the institution and
its administration of the Title IV, HEA programs to all current
students, and upon request to prospective students. The 1998 Amendments
provided that, instead of providing the information to current
students, an institution must provide current students a list of the
information to which they are entitled. The 1998 Amendments did not
affect an institution's responsibility concerning prospective students.
The proposed regulations would amend Sec. 668.41 to comply with the
changes made to the HEA by the 1998 Amendments, to make the information
disclosure process more understandable and less burdensome to
institutions, and to make the information more accessible to students,
parents, employees, and other interested parties. These proposed
regulations would move definitions from the various sections under
Subpart D and consolidate them into Sec. 668.41. In addition, these
proposed regulations repeat many existing provisions for which no
changes are proposed, but which are included to provide context for the
proposed changes. These changes are discussed in the following
paragraphs.
As stated previously, the 1998 Amendments require an institution to
provide each enrolled student with a list of the various information
that the institution must provide, upon request, to the student.
Proposed Sec. 668.41(c) implements this requirement. Proposed
Sec. 668.41(c) would require an institution to include with the list a
brief description of the required disclosures. The description should
be sufficient to allow the student to understand the nature of the
disclosure and make an informed decision whether to request the full
disclosure. The following is an example of such a description:
A copy of [name of institution]'s annual security report. This
report includes statistics for the previous three years concerning
reported crimes that occurred on campus; in certain off-campus
buildings or property owned or controlled by [name of institution];
and on public property within, or immediately adjacent to and
accessible from, the campus. The report also includes institutional
policies concerning campus security, such as policies concerning
alcohol and drug use, crime prevention, the reporting of crimes,
sexual assault, and other matters. You can obtain a copy of this
report by contacting [name of office] or by accessing the following
website [address of website].
The proposed regulations would group together an institution's
reporting and disclosure obligations, what must be disclosed, and to
whom the disclosure must be made. These proposed regulations also would
allow an institution to use the Internet or, for current students and
current employees, an Intranet website, to make most of the required
disclosures under Subpart D. The committee thought that use of the
Internet or an Intranet would benefit institutions by reducing their
publication costs and benefit individuals interested in the information
by making the information more accessible.
However, an institution could not rely on the Internet or an
Intranet to disclose to a prospective student-athlete and his or her
parents the graduation or completion rate information and, if
applicable, transfer-out rate information, required under Sec. 668.48.
The HEA requires an institution to provide this information to a
student and the student's parents at the time the institution offers
the student athletically related student aid.
The Secretary believes that because Congress singled out this group
of prospective students and identified a student-specific time when the
institution must make the disclosure, it would be inappropriate to
allow the institution to use the Internet, a broad distribution medium,
to disclose the information. Disclosure of this information as a
posting on the Internet would not ensure that the student and his or
her parents receive the information at the time the HEA requires. An
institution may provide the information in paper form or through
electronic mail.
An institution that chooses to use an Internet website, or an
Intranet website, to make a required disclosure would be required to
provide a notice, to each
[[Page 43584]]
person to whom the institution must disclose information, that the
required information is available on the website. The proposed
regulations would require that this notice (1) identify the information
required to be disclosed, (2) provide the exact electronic website
address for accessing the information, and (3) state that the person is
entitled to a paper copy of the information, upon request.
The proposed regulations also state that a notice must be provided
directly to each person to whom notice must be given. For example, the
notice could be a paper document that is handed or mailed to each
person, or it could be electronically mailed. It would not be
sufficient for an institution simply to post the notice (as opposed to
the actual disclosures, which in most cases may be posted on a website)
on its Internet website or to make the notice available at electronic
information kiosks. The notice requirements would also apply to the
list of information that the 1998 Amendments require an institution to
provide to all enrolled students.
Where an institution must make a disclosure upon request, it may
not require that the request be in writing. The Secretary believes that
requiring an otherwise properly directed request to be made in writing
runs counter to the purpose of ensuring easy access to the information
that must be disclosed.
Section 668.42 Preparation and Dissemination of Materials
The proposed regulations would remove current Sec. 668.42 and
incorporate it into proposed Sec. 668.41, as discussed.
Section 668.43 Institutional Information
The statute requires and, therefore these proposed regulations
require, that an institution disclose the requirements for a student's
officially withdrawing from the institution. This proposed regulatory
provision also makes other minor wording changes.
Section 668.45 Information on Completion or Graduation Rates
The proposed regulations would amend provisions relating to an
institution's disclosure of its completion or graduation rate and, if
applicable, transfer-out rate to comply with changes made to the HEA by
the 1998 Amendments and by Public Law 105-18, the 1997 Emergency
Supplemental Appropriations Act for Recovery from Natural Disasters,
and for Overseas Peacekeeping Efforts, Including Those in Bosnia.
An institution will continue to be able to comply with all
requirements concerning disclosure of its completion or graduation
rate, and if applicable, transfer-out rate, by completing the National
Center for Education Statistics' Graduation Rate Survey (GRS).
Cohort Changes
These proposed regulations incorporate changes made by Section
60001 of Public Law 105-18 which changed the beginning of the required
cohort period used to calculate an institution's completion/graduation
rate and, if applicable, transfer-out rate. This change requires an
institution to establish a cohort beginning September 1 of each year,
instead of July 1 of each year. The new cohort for calculating these
rates is for students who enter an institution on or after September 1,
1998. The Secretary informed institutions of these changes in a June
1998 Dear Colleague Letter (GEN-98-11). An institution that established
cohorts beginning on September 1 for students who entered the
institution between September 1, 1996 and August 31, 1998 for purposes
of the GRS survey may continue to report rates based on those cohorts.
Transfer-Out Rate
The proposed regulations implement the new statutory provisions
pertaining to students who transfer from one institution to another.
Under current regulations, an institution must disclose a transfer-out
rate for students who subsequently enroll in any program of an eligible
institution for which the program of the prior institution provided
substantial preparation. This requirement has applied equally to
institutions such as community colleges that prepare students in
significant numbers for transfer to other institutions, as well as to
traditional four-year institutions that have only a small, incidental
number of transfers.
Under proposed Sec. 668.45(a)(2), a transfer-out rate would be
required only of institutions that determine that their mission
includes providing substantial preparation for their students to
transfer-out, such as community colleges. The proposed regulations
would allow an institution to determine for itself if it provides
substantial preparation for its students for transfer to a program at
another eligible institution. Substantial preparation does not include
preparation for a student to enroll in a graduate or professional
program after the student completes an undergraduate program. The
Secretary anticipates that the required transfer-out rate will not
apply to most four-year institutions, although any institution may
disclose a transfer-out rate pursuant to proposed Sec. 668.45(f)(3).
Disclosure Date
Under current regulations, an institution is required to disclose
its completion/graduation and transfer-out rates no later than January
1 following 150% of the normal time for completion/graduation from its
programs. For example, an institution that offers four-year programs
only, must disclose its rates for a cohort of students no later than
the January 1 following six years from the date that the cohort began
the program. The 1998 Amendments changed the disclosure date from
January 1 to July 1 for any rate that an institution discloses on or
after October 1, 1998, regardless of when the institution established
the cohort.
Establishing the Cohort
Under current regulations, an institution that does not operate on
a term basis must include in the cohort any first-time, full-time,
certificate or degree-seeking student who attended at least one day of
class. In an effort to achieve greater consistency between term and
non-term institutions, for programs less than or equal to one academic
year in length, the proposed regulations would include in the cohort
only students who attend at least fifteen days of class. For programs
that are longer than one academic year, the proposed regulations would
include in the cohort only students who attend at least thirty days of
class. The Secretary requests comments on whether these proposed
timeframes are appropriate, in light of their potential impact on the
completion or graduation and transfer-out rates.
Optional Disclosures
Current regulations provide that an institution may disclose a
separate completion/graduation rate for students who transfer into the
institution. Pursuant to the 1998 Amendments, the proposed regulations
would give institutions the option of disclosing two additional rates.
The first optional rate is a completion/graduation and transfer-out
rate of students who have left school for the following reasons: to
serve in the Armed Forces, to serve on official church missions, to
serve with a foreign aid service of the Federal Government (e.g., the
Peace Corps), because they are totally and permanently disabled, or
because they are deceased. The second optional rate is a transfer-out
rate even when the institution's mission does not include providing
substantial preparation for its students to enroll in a program at
another eligible institution.
[[Page 43585]]
Section 668.46 Institutional Security Policies and Crime Statistics
The proposed regulations would amend requirements relating to an
institution's disclosure of its annual security report to current and
prospective students and employees to comply with changes made by the
1998 Amendments and to improve the administration of the campus
security regulations. The Secretary also proposes to reorganize this
section so that the various requirements are more clearly presented.
Definitions--Sec. 668.46(a)
Business day. The proposed regulations would define a business day
to mean Monday through Friday, excluding any day when the institution
is closed. The 1998 Amendments require an institution that has a campus
police or campus security department to establish a crime log and to
enter or update information in the crime log within two business days
after the campus police or campus security department receives the
information.
Campus, noncampus building or property, and public property. The
1998 Amendments revised the definition of a campus and added
definitions of noncampus building or property and public property for
an institution to follow in complying with the campus security
requirements. The proposed regulations would reflect those changes.
Previously, the HEA defined campus to mean property owned or controlled
by the institution within the same reasonably contiguous geographic
area and used by the institution for its educational purposes, as well
as any property owned or controlled by a student organization
recognized by the institution, or any property owned by a third-party
but controlled by the institution.
a. Campus. The first part of the proposed definition of ``campus''
remains the same: property owned or controlled by the institution
within the same reasonably contiguous geographic area and used by the
institution for its educational purposes. However, the new definition
specifically includes residence halls. The second part of the proposed
definition is property that is within or reasonably contiguous to the
area described in the first part of the definition, that is owned by
the institution and controlled by another person, that is frequently
used by students, and that supports institutional purposes such as a
food or other retail vendor.
b. Noncampus building or property. The first part of the definition
of ``noncampus building or property'' is not significantly different
from what is in the current regulatory definition of campus: any
building or property owned or controlled by a student organization
recognized by the institution. The proposed regulations would define
recognition to mean official recognition because it may be difficult
for an institution to know about organizations that it does not
officially recognize. The second part of the definition is a building
or property owned or controlled by the 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. Under this
provision, an institution would pay particular attention to whether
students frequently use the site to determine if a location qualifies
as a noncampus building or property site for campus security purposes.
If students do not frequently use a site, the proposed regulations
would exclude that site from noncampus buildings or property. For
example, if students do not frequently go to a cooperative extension
site of a land-grant institution, the institution would not consider
that site a noncampus building or property.
c. Public property. The 1998 Amendments require the reporting of
crime statistics on public property as part of an institution's annual
security report. The proposed regulations would define public property
to be all public property, including thoroughfares, streets, sidewalks,
and parking facilities, that is within the campus or immediately
adjacent to and accessible from the campus. This definition reflects
statutory changes and the committee's agreement that public property be
limited to property accessible from the campus. The definition would
not require an institution to include in its annual security report
statistics of crimes committed on, for example, highways that are
adjacent to the campus, but which are separated from the campus by a
fence or other man-made barrier.
Campus security authority. These proposed regulations would modify
the definition of a ``campus security authority'' in the current
regulations. Under current regulations, this definition serves to
identify which campus officials are responsible for making timely
warning reports. The proposed definition would also apply to the
statistical reporting requirements.
The proposed definition would include (1) a campus police
department or a campus security department of an institution
(previously a campus law enforcement unit), (2) an individual who has
responsibility for campus security, but who is not part of a campus
police department or a campus security department (for example, a
person who only monitors the entrance to institutional property), (3)
any individual specified by the institution to receive reports of
offenses, and (4) any official of the institution who has significant
responsibility for student and campus activities, such as student
housing, student discipline, and campus judicial proceedings.
Current regulations exclude persons with significant counseling
responsibilities from the definition of a ``campus security
authority.'' The proposed regulations would exclude only pastoral
counselors and professional counselors. The committee agreed to propose
this change to ensure that crime victims and others have full access to
the services of pastoral and professional counselors, but also to avoid
situations where an expansive definition of counselor might be used to
evade statistical reporting. These regulations propose to define a
``pastoral counselor'' as an employee of an institution 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. The proposed regulations would
define a ``professional counselor'' as an employee of an institution
whose official responsibilities include providing psychological
counseling to members of the institution's community and who is
functioning within the scope of his or her license or certification.
The Secretary requests comments on these proposed exclusions from the
definition of a campus security authority.
The proposed regulations would include as a campus security
authority, for purposes of reporting crime statistics in the
institution's annual security report, an individual who has
responsibility for campus security but who does not constitute a campus
police department (for example, an access monitor who checks student
identification at a building entrance). However, since this individual
is separately defined from a campus police department, this individual
would not be responsible for maintaining a crime log under proposed
Sec. 668.46(f).
Referred for campus disciplinary action. The 1998 Amendments
require an institution to disclose in its crime statistics the number
of persons referred for campus disciplinary action for
[[Page 43586]]
liquor-law, drug-law, and weapons possession violations. The proposed
regulations would define the term ``referred for campus disciplinary
action'' to mean 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.
Annual Security Report--Sec. 668.46(b)
The current regulations list various categories of information and
required disclosures that an institution must include in the annual
security report required by Sec. 668.46. In conjunction with the
proposal described below to exclude professional and pastoral
counselors from the statistical reporting requirements, these proposed
regulations would change the annual security report to improve and
encourage voluntary reporting by students. The proposed regulations
would include in the list of required disclosures:
A description of the institution's procedures for
preparing the annual disclosure of crime statistics. Currently, an
institution must include a description of its procedures for making
timely warning reports. The proposed regulations would require that an
institution also include a description of its procedures for preparing
the annual disclosure of crime statistics, in recognition of the need
for students and employees to know when and how the crime statistics
are gathered and disseminated by an institution.
A statement that discloses whether the institution has any
policies or procedures that allow victims or witnesses to report crimes
on a voluntary, confidential basis, and, if the institution has such a
policy, a description of the policy and relevant procedures. The
regulations propose this statement in an effort to encourage the
voluntary reporting of crime statistics by a victim or witness.
A statement that discloses whether the institution has a
policy encouraging pastoral or professional counselors employed by the
institution, if and when the counselor deems it appropriate, to inform
the person being counseled of any procedures to report crimes on a
voluntary, confidential basis for inclusion in the annual disclosure of
crime statistics. The committee agreed to propose this statement in an
effort to encourage the reporting of crime statistics. Many negotiators
felt strongly that the decision whether and when to provide this
information to the person being counseled must remain entirely within
the counselor's professional discretion. The Secretary agrees, and
these proposed regulations would not interfere with that discretion.
A statement of the institution's 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 an institution.
Change in Statutory Reference
To conform to the 1998 Amendments, the proposed regulations would
change the reference in Sec. 668.46(b)(10) from Section 1213 to Section
120(a)-(d) of the HEA.
Report of Statistics--Sec. 668.46(c)
New Crime Disclosures
The 1998 Amendments changed the list of crimes that an institution
must disclose in its annual security report. Current regulations
require that the statistical report include a murder category; the 1998
Amendments added an additional category of manslaughter. Under the
standard definitions used by the Uniform Crime Reporting System (UCR)
of the Federal Bureau of Investigation (FBI), manslaughter is broken
into two categories: nonnegligent manslaughter, and negligent
manslaughter. Under UCR, the former is reported together with murder
under a single category; negligent manslaughter is separately reported.
Murder and nonnegligent manslaughter is the willful (nonnegligent)
killing of one human being by another. Manslaughter by negligence is
the killing of another person through gross negligence.
The proposed regulations would incorporate manslaughter into the
regulations by adding nonnegligent manslaughter to the current murder
category and adding a new negligent manslaughter category. Collectively
the two categories would be referred to as ``criminal homicide''
consistent with the FBI's definitions.
The 1998 Amendments also added the category of arson to the crime
disclosure list. Arson is defined in the UCR as 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.
The proposed regulations would amend Appendix E to Part 668 of the
Student Assistance General Provisions to include the definitions of
criminal homicide and arson, as provided in the UCR.
Current regulations require an institution to disclose the number
of arrests for the most recent calendar year for liquor-law, drug-law,
and weapons possession violations. The 1998 Amendments changed the
period for which these violations must be disclosed from the most
recent calendar year to the most recent three calendar years to be
consistent with the three calendar-year requirement for other crimes.
The 1998 Amendments also require that institutions disclose not only
the number of arrests for liquor-law, drug-law, and weapons possessions
violations, but also the number of persons who were referred for campus
disciplinary action for these activities. If a student was both
arrested and referred for campus disciplinary action for the same
violation, the proposed regulations would require that the institution
report the statistic only under arrests.
Hate Crime Disclosure
Current regulations require an institution to disclose the number
of hate crimes only among the statistics it reports for murder,
forcible rape, and aggravated assault. A hate crime is one in which the
victim is selected intentionally because of his or her actual or
perceived race, gender, religion, sexual orientation, ethnicity, or
disability. The 1998 Amendments expanded the hate crime disclosure
requirements. The 1998 Amendments require an institution to disclose,
by category of prejudice, the number of hate crimes among:
(1) all the crimes that it is required to report (excluding arrests
for and persons referred for campus disciplinary action for liquor-law,
drug-law, or weapons-law violations); and
(2) any other crimes involving bodily injury reported to a local
police agency or a campus security authority.
The proposed regulations would implement that change, and would
require that an institution use the UCR standard of evidence of
prejudice to assist in determining if a hate crime occurred. Under this
standard, an incident must manifest evidence that the perpetrator
selected the victim on the basis of prejudice in order to be considered
a hate crime.
Disclosure of Location of Crime
The 1998 Amendments require an institution to provide a geographic
breakdown for the required crime statistics according to the following
categories: (1) On campus, (2) noncampus building or property, (3)
public property, and (4) dormitories or other residential facilities
for students on campus. The proposed regulations would incorporate
these categories and clarify that the dormitory and residential
facility category is a subset of the campus category.
[[Page 43587]]
How a Crime Is Recorded
Currently, the Secretary requires an institution to report a crime
statistic for the calendar year in which the crime occurred. The
proposed regulations do not address this matter specifically. In
response to discussions during negotiated rulemaking, the Secretary
requests comments as to whether the final regulations should require an
institution to report a crime statistic for the calendar year in which
the crime was reported to the institution, rather than for the calendar
year in which it occurred.
Protecting Identity
The proposed regulations include the provision of the 1998
Amendments that specifically prohibits an institution from identifying
the victim or the alleged perpetrator of the crime in the institution's
disclosure of its crime statistics.
Time Period for Statistics and Transition to New Requirements
The HEA requires an institution to disclose the previous three
calendar years' crime statistics for the required statistical
disclosures. For example, an institution must include in its annual
security report for 1999, crime statistics for calendar years 1996,
1997, and 1998. As discussed under the sections titled ``New crime
disclosures,'' ``Hate crime disclosure,'' and ``Disclosure of location
of crime,'' the 1998 Amendments changed the required statistical
disclosures and the geographic areas for which the statistics must be
reported; the changes were effective October 1, 1998.
Because the HEA requires the statistical disclosures to be reported
on a calendar-year basis, the Secretary interprets the HEA to require
that the changes concerning the collection and disclosure of crime
statistics take effect at the beginning of the calendar year
immediately following passage of the 1998 Amendments. Therefore, an
institution must begin collecting statistics using the new categories,
effective for calendar year 1999. An institution's 2000 report--which
will include statistics for calendar years 1997, 1998, and 1999--must
include statistics for calendar year 1999 using the new categories. An
institution may continue to report statistics for calendar years 1997
and 1998 using the previously applicable categories, except that an
institution may use the new categories for 1997 and 1998 if it wants to
do so.
Access to Counseling
The proposed regulations would make clear that an institution is
not required to report statistics relating to crimes that are reported
to a pastoral counselor or a professional counselor who is functioning
within the scope of his or her license or certification. These
regulations are proposed in response to the counseling community's
strongly held belief, expressed during the negotiated rulemaking
sessions, that required reporting from counselors has had a chilling
effect on victims and others' seeking counseling, particularly where
counselors felt compelled under their professional ethical codes to
notify individuals of the reporting requirement.
The proposed rule agreed to by the committee is intended to ensure
that crime victims and others are not deterred from seeking appropriate
psychological or pastoral care. The committee was of the opinion that
the proposed changes to the regulation would encourage other
confidential reporting options so that statistical data can be obtained
without infringing on the individual's expectation of confidentiality.
Compilation of Crimes
Under existing regulations, an institution must use the definitions
of crimes provided by the UCR System and the Hate Crime Collection
Guidelines published by the FBI. For the application of these
definitions and classification of crime, an institution may use either
the UCR Reporting Handbook or the UCR Reporting Handbook: National
Incident-Based Reporting System (NIBRS) EDITION, except in determining
how to report a single incident involving multiple criminal offenses.
If an institution reports a crime involving multiple offenses, the
institution must use the UCR Reporting Handbook, including the FBI's
Hierarchy Rule.
Use of a Map
The proposed regulations would add a provision to encourage an
institution to use a map to aid in the disclosure of its crime
statistics. The purpose of a map is to clearly depict and disclose the
areas for which the institution will be reporting crime statistics;
that is, its campus, noncampus buildings or property, and public
property. If an institution chooses to use a map to depict these areas,
the institution may limit its reporting of crime statistics to crimes
committed in those areas, as long as the map accurately depicts these
areas as defined by regulation. If an institution has separate campuses
and chooses to use a map to depict the appropriate geographic areas,
the proposed regulations would require that the institution use
separate maps for separate campuses.
Obtaining Statistics From Local and State Police Agencies
The Secretary proposes to clarify that an institution may rely on
statistical information supplied by local and State police agencies, as
long as the institution makes a reasonable, good faith effort to obtain
these statistics. The Secretary encourages an institution to document
its efforts to obtain these data, including its success or lack of
success in obtaining the data.
Disclosure Date for Annual Security Report
The committee agreed to change the date by which an institution
must disclose its annual security report from September 1 to October 1
of each year because many institutions do not begin fall enrollment
until after September 1.
Timely Warning--Sec. 668.46(e)
The 1998 Amendments did not change the requirement that an
institution make a timely warning report to the campus community when a
crime that the institution considers to be a threat to students and
employees is reported to a campus security authority or a local police
agency. Proposed Sec. 668.46(a) would broaden the definition of a
campus security authority, by excluding only pastoral counselors and
professional counselors as defined in the regulation, as opposed to the
current exclusion of any individual with significant counseling
responsibilities. Therefore, the timely warning requirement still would
not apply for crimes reported to pastoral and professional counselors.
However, the timely warning requirement would apply for crimes reported
to any campus security authority, including those who have significant
counseling responsibilities but are not a pastoral or professional
counselor.
Crime Log Requirements--Sec. 668.46(f)
The 1998 Amendments introduced a requirement that an institution
with a campus police or campus security department of any kind maintain
a daily, written crime log of any crime reported to that department
that occurred on campus, in or on a noncampus building or property, or
on public property. It is the Secretary's view that this provision
includes an institution that contracts out its security
[[Page 43588]]
services. The institution must make this log available for public
inspection.
Entries into the crime log must include the nature, date, time, and
general location of each crime, and the disposition of the complaint,
if known. The log must be written and easily understood. The proposed
regulations would require that each crime be entered into the log based
on the date the crime was reported, rather than the date the crime
occurred. The 1998 Amendments require an institution to make an entry
or addition to an entry in the log within two business days of the
report of the crime, or the report of additional information, to the
campus police or campus security department, unless disclosing the
information is prohibited by law or would jeopardize the
confidentiality of the victim. The 1998 Amendments also permit an
institution to withhold crime log information if release of the
information would jeopardize an ongoing criminal investigation or
jeopardize the safety of an individual, cause a suspect to flee or
evade detection, or result in the destruction of evidence. However,
once the adverse effect of disclosing the crime log information is no
longer likely to occur, the institution must disclose the information.
The Secretary wishes to emphasize that an institution may withhold only
the specific information that would have an adverse effect described
previously; an institution may not automatically withhold all of the
log information relating to such a crime. The proposed regulations
would permit an institution to archive crime log information after 60
days, as long as the institution makes archived material available for
public inspection within two business days of a request. The committee
recognizes that some institutions are already required by State law to
maintain a crime log; the proposal does not require maintenance of a
separate Federal log. An institution may use a State log to comply with
the requirements of these regulations, as long as that log includes all
of the information and procedures required under this proposal.
Report to the Secretary
The 1998 Amendments require each institution to submit annually the
statistical section of its security report to the Secretary. The
Secretary will make a form available to institutions for the reporting
of this information and will notify institutions when and how to submit
their crime statistics. There is no requirement that an institution
submit statistical information in the institution's crime log to the
Secretary.
Recordkeeping Requirements
Section 668.24 of the Student Assistance General Provisions
provides the recordkeeping requirements for an institution to
administer the student financial assistance programs under Title IV of
the HEA. Generally, an institution must retain records for three years.
An institution is required to maintain campus security records to
document the information it must include in its annual security report,
which must include information covering the previous three calendar
years. An institution must keep campus security records for three years
following the last year the information is included in its annual
security report.
For example, an institution must include campus security
information for the 1997 calendar year in its 1998, 1999, and 2000
annual security reports. Under proposed Sec. 668.41(e), the report must
be distributed annually by October 1. Therefore, an institution would
be required to maintain its 1997 campus security records until October
1, 2003.
Section 668.47 Report on Athletic Program Participation Rates and
Financial Support Data
The 1998 Amendments amended section 485(g) of the HEA (the Equity
in Athletics Disclosure Act, or EADA) to require institutions to
disclose additional data about revenues and expenses attributable to
their intercollegiate athletic activities and to require institutions
to submit their annual EADA report to the Secretary.
The proposed regulations would implement the changes made by the
1998 Amendments and reflect the committee's agreement to provide
greater specificity in the definitions and in the disclosure
requirements.
The primary change to the EADA made by the 1998 Amendments was the
relocation of disclosure requirements concerning revenues and expenses
attributable to an institution's intercollegiate athletic activities
from section 487(a) (Program Participation Agreements), to section
485(g). In addition, the audit requirement under section 487(a), which
applied only to institutions that awarded athletically related student
aid, was repealed by the 1998 Amendments.
Previously, the EADA required an institution to disclose its
operating expenses for each varsity team, its combined revenues from
all men's sports, and its combined revenues from all women's sports.
The amended statute requires the following additional breakdowns of
revenues and expenses: (1) total revenues and expenses attributable to
an institution's intercollegiate athletic activities; and (2) revenues
and expenses attributable to football, men's basketball, women's
basketball, all men's sports combined except football and basketball,
and all women's sports combined except basketball.
The committee agreed to propose additional clarifications to
Sec. 668.47. The proposed regulations would include in the definitions
of revenues and expenses examples of revenues and expenses that would
be included in an institution's EADA report. The examples would not
expand the statutory definitions of revenues and expenses. The basis
for determining whether a revenue or expense should be included in an
institution's EADA report is simply whether the item was attributable
to the institution's intercollegiate athletic activities. The examples
are meant merely to provide guidance on revenues and expenses that
frequently will be attributable to intercollegiate athletic activities.
Clarifying language also has been added to the definitions of operating
expenses and recruiting expenses.
Several negotiators noted that some individuals have used EADA to
gauge whether an institution is in compliance with Title IX of the
Education Amendments of 1972 and that, in some cases a misunderstanding
of how the EADA dealt with the counting of athletes who participated on
more than one varsity team caused an institution to appear to be out of
compliance with the athletic financial aid provisions of Title IX.
Under Title IX, for purposes of counting participation opportunities
provided to male and female athletes, an athlete is counted as a
participant for each sport he or she plays. However, for purposes of
calculating the equitable distribution of athletic financial aid under
Title IX, a scholarship athlete who plays on more than one team is
counted as a participant only once because he or she receives only one
scholarship.
Therefore, these proposed regulations would add a requirement that
in addition to listing the number of participants for each varsity
team, an institution provide an unduplicated head count of individuals
who participated on at least one varsity team. The committee believes
additional reporting requirements should correct the confusion
concerning the number of individuals participating on varsity teams.
The Secretary notes that the EADA and Title IX were enacted for
different, but complementary, purposes. The
[[Page 43589]]
EADA is designed to make students, prospective students, and others
aware of an institution's participation rates, staffing, and financial
support for its men's and women's intercollegiate athletic programs.
Title IX prohibits discrimination based on gender in education
programs. Title IX does not require identical programs for men and
women. Therefore, differences between men's and women's athletic
programs reflected in an institution's EADA report do not necessarily
reflect that the institution is or is not in compliance with Title IX
(the Secretary has published Title IX definitions and requirements at
34 CFR part 106 and 44 FR 71413 (Dec. 11, 1979)).
The committee agreed to propose a modification of the requirement
that institutions report whether their head and assistant coaches are
full-time or part-time. The current regulations require an institution
to report whether a coach is assigned to a team full-time or part-time.
The proposed change would require an institution to indicate whether a
coach is assigned to a team full-time or part-time, and if, part-time,
whether the coach is a full-time or part-time employee of the
institution. This change would better enable prospective student
athletes and others to understand a coach's status.
For example, the committee noted that most coaches at National
Collegiate Athletic Association Division III institutions are part-
time. However, many of those coaches are full-time employees of their
institutions, and therefore are effectively as accessible to their
student-athletes as are full-time coaches at other institutions. The
Secretary believes that providing for institutions to provide this
information would benefit both institutions and students.
The Secretary does not consider cheerleading a sport for purposes
of the EADA. To be considered a sport under the EADA, an activity's
primary purpose must be to engage in intercollegiate competition.
Section 668.48 Report on Completion or Graduation Rates for Student-
Athletes
Proposed Sec. 668.48 simply reflects the previous discussion of
transfer-out rates in Sec. 668.45, by indicating that a transfer-out
rate need only be disclosed by an institution to which the required
transfer-out rate is applicable (that is, an institution that
determines that its mission includes providing substantial preparation
for students to enroll in a program at another eligible institution).
Section 668.48(a)(1)(ii), (iv) and (vi) requires an institution to
disclose a completion or graduation rate and, if applicable, a
transfer-out rate for students in specified cohorts who received
athletically related student aid. The Secretary wishes to clarify that
an institution that offers a predominant number of programs based on
semesters, trimesters, or quarters only must include in the rates
required by Sec. 668.48(a)(1)(ii), (iv) and (vi) students who received
athletically-related student aid by October 15 or the end of the
institution's drop-add period for the relevant academic year.
Executive Order 12866
1. Potential Costs and Benefits
Under Executive Order 12866, we have assessed the potential costs
and benefits of this regulatory action.
The potential costs associated with the proposed regulations are
those resulting from statutory requirements and those we have
determined as necessary for administering these programs effectively
and efficiently. Elsewhere in this SUPPLEMENTARY INFORMATION section we
identify and explain burdens specifically associated with information
collection requirements. See the heading Paperwork Reduction Act of
1995.
In assessing the potential costs and benefits--both quantitative
and qualitative--of this regulatory action, we have determined that the
benefits would justify the costs.
2. Clarity of the Regulations
Executive Order 12866 and the President's Memorandum of June 1,
1998 on ``Plain Language in Government Writing'' require each agency to
write regulations that are easy to understand.
The Secretary invites comments on how to make these proposed
regulations easier to understand, including answers to questions such
as the following:
Are the requirements in the proposed regulations clearly
stated?
Do the proposed regulations contain technical terms or
other wording that interferes with their clarity?
Does the format of the proposed regulations (grouping and
order of sections, use of headings, paragraphing, etc.) aid or reduce
their clarity?
Would the proposed regulations be easier to understand if
we divided them into more (but shorter) sections? (A ``section'' is
preceded by the symbol ``Sec. '' and a numbered heading; for example,
Sec. 668.41 Reporting and disclosure of information.)
Could the description of the proposed regulations in the
SUPPLEMENTARY INFORMATION section of this preamble be more helpful in
making the proposed regulations easier to understand? If so, how?
What else could we do to make the proposed regulations
easier to understand?
Send any comments that concern how the Department could make these
proposed regulations easier to understand to the person listed in the
ADDRESSES section of the preamble.
Regulatory Flexibility Act Certification
The Secretary certifies that these proposed regulations would not
have a significant economic impact on a substantial number of small
entities. Entities affected by these proposed regulations are
institutions of higher education that participate in the Title IV, HEA
programs. These institutions are defined as small entities, according
to the U.S. Small Business Administration, if they are: for-profit or
nonprofit entities with total revenue of $5,000,000 or less; or
entities controlled by governmental entities with populations of 50,000
or less. These proposed regulations would not impose a significant
economic impact on a substantial number of small entities. These
proposed regulations would minimize administrative and regulatory
burden on institutions by permitting an institution to use Internet or
Intranet websites to comply with the statutory requirement to make
campus security information available to current or prospective
employees and students.
The Secretary invites comments from small institutions as to
whether the proposed changes would have a significant economic impact
on them.
Paperwork Reduction Act of 1995
Proposed Secs. 668.41, 668.43, 668.45, 668.46, 668.47, and 668.48
contain information collection requirements. As required by the
Paperwork Reduction Act of 1995, the Department of Education has
submitted a copy of these sections to the Office of Management and
Budget (OMB) for its review.
Collection of Information: Institutional and Financial Assistance
Information
These regulations affect the following types of entities eligible
to participate in the Title IV, HEA programs: Public educational
institutions, private non-profit educational institutions, and private
for-profit educational institutions.
The information to be collected is institutional and financial
assistance information concerning each institution. Each institution
annually must make the information available to enrolled and
prospective students, and must submit certain information to the
Secretary.
[[Page 43590]]
Educational institutions that participate in Title IV, HEA programs
must collect this information to satisfy the requirements for
participation set forth in section 485 of the HEA. Each institution
annually must submit to the Secretary the data required by Secs. 668.45
through 668.48. The Secretary will use these data to prepare reports
concerning graduation rates, campus crime, and gender equity in
athletics and will make the data publicly available.
Annual public reporting and recordkeeping burden is estimated to
average 3 hours for each response for 8500 respondents, and an
additional .5 hour for 1800 respondents, for Sec. 668.41; .5 hour for
each response for 8500 respondents for Sec. 668.43; 20 hours for each
response for 8500 respondents for Sec. 668.45; 29 hours for each
response for 8500 respondents for Sec. 668.46; 5.5 hours for each
response for 1800 respondents for Sec. 668.47; and 20 hours for each
response for 8500 respondents for Sec. 668.48. These hours include the
time needed for searching existing data sources, and gathering,
maintaining, and disclosing the data.
Organizations and individuals desiring to submit comments on the
information collection requirements should direct them to the Office of
Information and Regulatory Affairs, OMB, Room 10235, New Executive
Office Building, Washington, DC 20503; Attention: Desk Officer for U.S.
Department of Education. You may also send a copy of these comments to
the Department representative named in the ADDRESSES section of this
preamble.
The Department considers comments by the public on these proposed
collections of information in--
Evaluating whether the proposed collections of information
are necessary for the proper performance of the functions of the
Department, including whether the information will have practical use;
Evaluating the accuracy of the Department's estimate of
the burden of the collection of information are necessary for the
proper performance of the functions of the Department, including
whether the information will have practical use;
Enhancing the quality, usefulness, and clarity of the
information to be collected; and
Minimizing the burden of the collection of information on
those who are to respond, including the use of appropriate automated,
electronic, mechanical, or other technological collection techniques,
or other forms of information technology; e.g., permitting electronic
submission of responses.
OMB is required to make a decision concerning the collection of
information contained in these proposed regulations between 30 and 60
days after publication of this document in the Federal Register.
Therefore, a comment to OMB is best assured of having its full effect
if OMB receives it within 30 days of publication. This does not affect
the deadline for the public to comment to the Department on the
proposed regulations.
Intergovernmental Review
This program is not subject to Executive Order 12372 and the
regulations in 34 CFR Part 79.
Assessment of Educational Impact
The Secretary particularly requests comments on whether these
proposed regulations would 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://ifap.ed.gov/csb__html/fedreg.htm
http://www.ed.gov/legislation/HEA/rulemaking/
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: August 2, 1999.
Richard W. Riley,
Secretary of Education.
For the reasons discussed in the preamble, the Secretary proposes
to amend 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 freshman student means an entering freshman 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 information provided to an individual on a one-to-one
basis through an appropriate mailing or publication, including direct
mailing
[[Page 43591]]
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.
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)(i) and (ii), (e)(2) and (3), or (g)(1)(ii) of this
section, as appropriate, an institution may satisfy any disclosure
requirement under paragraph (d), (e), or (g) of this section for--
(1) Enrolled students or current employees by posting the
disclosure on an Internet website or an Intranet website that is
reasonably accessible to the individuals to whom the disclosure is
required; and
(2) Prospective students or prospective employees by posting the
disclosure 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 Sec. 99.7. The notice must
list and briefly describe the disclosures and inform the student how to
obtain the disclosures.
(2) An institution that makes a disclosure to enrolled students
required under paragraph (d), (e), or (g) of this section by posting
the disclosure 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 that disclosure is
posted; and
(ii) A statement that the institution will provide a paper copy of
that disclosure 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);
(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; and
(4) 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);
(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.
(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.
(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, an institution that is attended by students
receiving athletically related student aid, when it offers a
prospective student-athlete athletically related student aid, 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
[[Page 43592]]
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.
(Authority: 20 U.S.C. 1092)
Sec. 668.42 [Amended]
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. 668.43 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
portion of costs paid to the institution;
(3) The requirements 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.
(Authority: 20 U.S.C. 1092)
6. 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 who enter the institution on or after September
1, 1998, 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 who
enter the institution on or after September 1, 1998, as provided in
paragraph (c) of this section.
(3)(i) An institution that offers a predominant number of programs
based on semesters, trimesters, or quarters 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 during the fall term.
(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 freshman 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 freshman student who is enrolled as of October 15, or the end of
the institution's drop-add period.
(ii) An institution covered by paragraph (a)(3)(ii) of this section
must count as an entering student a first-time freshman 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) Beginning with the group of students who enter the institution
between September 1, 1998 and August 31, 1999, and for groups of
students who enter during succeeding September 1 through August 31 time
periods, 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 point in time that 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 within 150% of the
normal time for completion or graduation from their program; and
(2) Students who have completed a program described in
Sec. 668.8(b)(1)(ii), or an equivalent program, within 150% of normal
time for completion from that program.
(c) In calculating the transfer-out rate under paragraph (a)(2) of
this section, an institution must count as transfers-out students who,
within 150% of the normal time for completion or graduation from the
program in which they were enrolled, have not completed or graduated
and subsequently enroll in any program of an eligible institution for
which its program provides 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;
[[Page 43593]]
(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 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 paragraph (d) 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.
(Authority: 20 U.S.C. 1092)
7. 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) An 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) An 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. A pastoral counselor or professional counselor, when
acting as such, is not considered a campus security authority.
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: An employee of an institution 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: An employee of an institution whose
official responsibilities include providing psychological counseling to
members of the institution's community and who is functioning within
the scope of his or her license or certification.
Prospective employee: An individual who has contacted an
institution for the purpose of requesting information concerning
employment with the institution.
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).
(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) Describe 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
[[Page 43594]]
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.
(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 offenses 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) 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.
(3) Crimes by location. The institution must provide a geographic
breakdown of the statistics reported under paragraphs (c)(1) and (2) of
this section according to the following categories:
(i) On campus.
(ii) Of the crimes in paragraph (c)(3)(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.
(4) Identification of the victim. The statistics required under
paragraphs (c)(1) and (2) of this section may not include the
identification of the victim or the person accused of committing the
crime.
(5) Pastoral and professional counselor. An institution is not
required to report statistics under paragraphs (c)(1) and (2) of this
section for crimes reported to a pastoral or professional counselor.
(6) UCR definitions. An institution must compile the crime
statistics required under paragraphs (c)(1) and (2) 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. 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; (304-625-2823).
(7) Use of a map. In complying with the statistical reporting
requirements under paragraphs (c)(1) and (2) 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, and may limit its reporting of crime statistics
to crimes committed in those areas, if the map accurately depicts its
campus, noncampus buildings or property, and public property areas.
(8) Statistics from police agencies. In complying with the
statistical reporting
[[Page 43595]]
requirements under paragraphs (c)(1) through (3) 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 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) of this section;
(ii) Reported to campus security authorities as identified under
the institution's statement of current campus policies pursuant to
paragraph (b)(1) 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.
(g) Report to the Secretary. Each year, by the date and in a form
specified by the Secretary, an institution must submit the statistics
required by paragraph (c) of this section to the Secretary. (Authority:
20 U.S.C. 1092)
8. 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:
[[Page 43596]]
(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 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, but such
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.
(Authority: 20 U.S.C. 1092)
9. 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
[[Page 43597]]
``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 their place ``(a)(1)(iii) through (vi)''; and
by adding ``, if applicable,'' before ``transfer-out.''
10. 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. 99-20603 Filed 8-9-99; 8:45 am]
BILLING CODE 4000-01-U
