Student Assistance General Provisions

SUMMARY: We amend the regulations governing the disclosure of

institutional and financial assistance information under the student

financial assistance programs authorized under Title IV of the Higher

Education Act of 1965, as amended (Title IV, HEA programs). These

programs include the Federal Pell Grant Program, the campus-based

programs (Federal Perkins Loan, Federal Work-Study (FWS), and Federal

Supplemental Educational Opportunity Grant (FSEOG) Programs), the

William D. Ford Federal Direct Loan (Direct Loan) Program, the Federal

Family Education Loan (FFEL) Program, and the Leveraging Educational

Assistance Partnership (LEAP) Program (formerly called the State

Student Incentive Grant (SSIG) Program). These regulations implement

statutory changes made to the Higher Education Act of 1965, as amended

(HEA), by the Higher Education Amendments of 1998.

DATES: Effective Date: These regulations are effective July 1, 2000.

Implementation Date: The changes to certain sections, particularly

Secs. 668.41 (b) and (c) and 668.46(c) (1)-(4) and (f), reflect changes

made by Public Law 105-244 that already are in effect. Sections 668.41

(b) and (c) concern the distribution of information through electronic

media and the distribution to enrolled students of a list of the

information to which they are entitled upon request. Sections 668.46(c)

(1)-(4) and (f) concern the reporting of crime statistics and the

maintenance of a crime log. You may use these regulations prior to July

1, 2000 as guidance in complying with the relevant statutory

provisions. You can find the full text of Public Law 105-244 at http://

www.access.gpo.gov/nara/publaw/105publ.html.

FOR FURTHER INFORMATION CONTACT: Paula Husselmann

(Paula__H[email protected]) or Lloyd Horwich (Lloyd__H[email protected]),

U.S. Department of Education, 400 Maryland Avenue, SW, ROB-3, room

3045, Washington, DC 20202-5344. Telephone (202) 708-8242. If you use a

telecommunications device for the deaf (TDD), you may call the Federal

Information Relay Service (FIRS) at 1-800-877-8339.

Individuals with disabilities may obtain this document in an

alternate format (e.g., Braille, large print, audiotape, or computer

diskette) on request to the contact person listed in the preceding

paragraph.

SUPPLEMENTARY INFORMATION: On August 10, 1999, we published a notice of

proposed rulemaking (NPRM) for the Student Assistance General

Provisions in the Federal Register (64 FR 43582). In the preamble to

the NPRM, we discussed the following proposed changes:

Amending Sec. 668.41 to make the information disclosure

process more understandable and less burdensome, to require

institutions to provide enrolled students a list of the information to

which the students are entitled upon request, and to provide for

institutions' use of Internet and Intranet websites for the disclosure

of information.

Amending Sec. 668.42 by incorporating it into Sec. 668.41.

Amending Sec. 668.43 to require institutions to disclose

their requirements and procedures for a student to officially withdraw

from the institution.

Amending Sec. 668.45 regarding the disclosure of

completion/graduation and transfer-out rate information by implementing

changes made by the 1998 Amendments, providing for a July 1 annual

disclosure date, limiting the required disclosure of transfer-out rates

to certain institutions, achieving greater consistency between term and

nonterm-based institutions in establishing a cohort, and adding

optional disclosures.

Amending Sec. 668.46 regarding the disclosure of campus

security information to define terms (including campus, noncampus

buildings or property, and public property), by excluding pastoral or

professional counselors from the definition of a campus security

authority, by adding new categories of crimes to be reported and new

policies to be disclosed, by clarifying how to compile and depict crime

statistics, by changing the date for disclosure of the annual security

report to October 1, by requiring certain institutions to maintain a

publicly available crime log, and by requiring institutions annually to

submit their crime statistics to the Department.

Amending Sec. 668.47 by providing for the disclosure of

additional data about revenues and expenses attributable to an

institution's intercollegiate athletic activities, by clarifying the

meaning of various terms, and by requiring institutions annually to

submit their Equity in Athletics Disclosure Act (EADA) report to the

Department.

Amending Sec. 668.48 to correspond with Sec. 668.45

concerning the disclosure of completion/graduation and transfer-out

rates.

Discussion of Student Financial Assistance Regulations Development

Process

The regulations in this document were developed through the use of

negotiated rulemaking. Section 492 of the HEA requires that, before

publishing any proposed regulations to implement programs under Title

IV of the Act, we obtain public involvement in the development of the

proposed regulations. After obtaining advice and recommendations, we

must conduct a negotiated rulemaking process to develop the proposed

regulations. All proposed regulations must conform to agreements

resulting from the negotiated rulemaking process unless we reopen that

process or explain any departure from the agreements to the negotiated

rulemaking participants.

These regulations were published in proposed form on August 10,

1999, in conformance with the consensus of the negotiated rulemaking

committee. Under the committee's protocols, consensus meant that no

member of the committee dissented from the agreed-upon language. We

invited comments on the proposed regulations by September 15, 1999, and

132 comments were received. An analysis of the comments and of the

changes in the proposed regulations follows.

These regulations reflect the following changes to the proposed

regulations in response to public comment:

In Sec. 668.43(a)(3), we clarified that the requirement

that institutions disclose when a student must officially withdraw from

the institution includes the disclosure of the procedures for a student

to officially withdraw.

In Sec. 668.46(a) we revised the definition of a

professional counselor to no longer require that the counselor be an

employee of the institution. In addition, we revised the definition by

replacing the term ``psychological counseling'' with the term ``mental

health counseling.''

We moved the definition of ``prospective employee'' from

Sec. 668.46(a) to Sec. 668.41(a).

We added Sec. 668.46(c)(2) to require institutions to record a

crime statistic in their annual security reports for the calendar year

in which the crime was reported to a campus security authority.

We discuss substantive issues under the sections of the regulations to

which they pertain. Generally, we do not address technical and other

minor changes and

[[Page 59061]]

suggested changes the law does not authorize us to make.

Analysis of Comments and Changes

Subpart D--Institutional and Financial Assistance Information for

Students

These regulations (1) retitle Subpart D from ``Student Consumer

Information Services'' to ``Institutional and Financial Assistance

Information for Students,'' to conform the title to that of section 485

of the HEA, and (2) renumber the sections.

These regulations remove current Sec. 668.42 and incorporate it

into Sec. 668.41. Therefore, these regulations renumber current

Secs. 668.43-49 as Secs. 668.42-48; the preamble to these regulations

refers to the new section numbers.

Questions and Recommendations:

Commenters requested guidance on implementation of the requirements

of this subpart and made recommendations concerning how we should

interpret these regulations or apply them to particular circumstances.

As these comments did not request any changes in the proposed

regulations, we will provide separate guidance at a later date.

General Comments

The Secretary should clarify the record retention requirements that

apply to these regulations.

Discussion: Section 668.24 of the Student Assistance General

Provisions outlines the record retention requirements for the student

financial assistance programs. Generally, a record must be maintained

for three years following the end of the award year for which the

record was established. With respect to the disclosure of institutional

and financial assistance information provided under Subpart D of the

Student Assistance General Provisions, the purpose is for the

disclosure of certain information to students and other parties.

Therefore, the institution must retain any record related to the

disclosure for three years following the date of disclosure.

Using the campus security records as an example, an institution's

annual security report to be disclosed on October 1, 2000 must include

crime statistics for calendar years 1997, 1998, and 1999. The record

retention regulations require the institution to retain records to

substantiate the information in its 2000 report for three years from

October 1, 2000. Therefore, calendar year 1997 records must be retained

until October 1, 2003.

Changes: None.

Section 668.41 Reporting and Disclosure of Information

Comments: Section 668.41 should address any information

institutions participating in Title IV, HEA programs are required to

disclose by any Department of Education regulation, not just

information institutions are required to disclose by these regulations

(34 CFR Part 668, Subpart D).

Discussion: Section 668.41 only is intended to address information

that institutions are required to disclose by section 485 of the HEA.

We believe that including in Sec. 668.41 all information that

institutions must disclose under any Department regulation is

impractical and would be confusing.

Changes: None.

Comments: The Department should provide a chart listing all

information that institutions must disclose under these regulations and

the persons to whom they must disclose the information.

Discussion: We believe that Sec. 668.41 adequately provides the

information sought by this comment. However, we will provide continuing

technical assistance, including the requested chart, to institutions to

help them understand and comply with these regulations.

Changes: None.

Comments: The Department should clarify the level of description of

required information it expects institutions to provide in the various

notices of the availability of information that are required by

Sec. 668.41.

Discussion: As stated in the preamble to the NPRM (64 FR 43583),

the description should be sufficient to allow students and others to

understand the nature of the information and to make informed decisions

about whether to request the information. We do not believe there is a

need to be more prescriptive in this area.

Changes: None.

Comments: Remove the word ``freshman'' from the definition ``first-

time, freshman student'' in Sec. 668.41(a), which identifies those

students that institutions must include in their cohorts for

calculating completion or graduation rates, and if applicable,

transfer-out rates.

Discussion: As described in Sec. 668.45, institutions must include

in their cohorts first-time, certificate- or degree-seeking, full-time

undergraduate students who never have attended any institution of

higher education (including in the cohort those who enroll in the fall

term having attended a postsecondary institution for the first time in

the prior summer term or having earned college credit in high school)

regardless of their class standing. As some members of the cohort may

have advanced standing, we agree that the use of the word ``freshman''

in the definition could cause confusion.

Changes: The term ``first-time freshman student'' is replaced by

the term ``first-time, undergraduate student'' wherever it appears in

these regulations (Secs. 668.41(a), 668.45(a)(3)(iii), and

668.45(a)(4)(i)-(ii)).

Comments: The definition of ``notice'' in Sec. 668.41(a) should not

require institutions, in providing the various notices of the

availability of information required by Sec. 668.41, to provide the

notices on a one-to-one basis to persons to whom the information need

only be provided upon request.

Discussion: We do not believe that students and others entitled to

the information will be adequately notified of its availability if the

notification of its availability is made through means that do not

ensure that each person who is entitled to the notification receives

it. The regulation does not prescribe the method by which institutions

must notify students and others of the information's availability; the

regulation simply prescribes that the method used must provide

individualized notice.

Changes: None.

Comments: Change Secs. 668.41(c) and (d) to include completion and

graduation rates, and if applicable, transfer-out rates, for athletes

under Sec. 668.48, among the required disclosures of information.

Discussion: Section 485(a)(1) of the HEA does not include

completion and graduation rates of athletes in the list of information

institutions must provide upon request to enrolled and prospective

students. Although section 485(e) of the HEA only requires institutions

to provide the report concerning athletes' graduation rates to

prospective student-athletes and their parents, high school coaches,

and guidance counselors, we encourage institutions to provide the

report to others who request it.

Changes: None.

Comments: Rather than requiring institutions under Sec. 668.41(c)

annually to provide all enrolled students a notice listing the

information to which they are entitled upon request, allow institutions

to tell students, at the time the institutions distribute the notice,

how often they will publish the list and how students can obtain

interim changes to the list.

Discussion: Section 485(a) of the HEA specifically requires that

institutions provide the list annually to all enrolled students.

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Changes: None.

Comments: The Department should clarify that Sec. 99.7, which is

referenced in Sec. 668.41(c)(1), refers to the notification

requirements under the Family Educational Rights and Privacy Act of

1974 (FERPA).

Discussion: We agree.

Changes: Section 668.41(c)(1) is amended to include a reference to

FERPA.

Comments: The requirement for disclosure of information about the

terms and conditions of deferral of loan repayments for service under

the Peace Corps Act, the Domestic Volunteer Service Act of 1973, or for

comparable service as a volunteer for a tax-exempt organization of

demonstrated effectiveness in the field of community service should be

moved from Sec. 668.41(d)(4) to Sec. 668.42 (Financial assistance

information), which addresses, among other subjects, loan repayment.

Discussion: We agree with the commenters.

Changes: Section 668.41(d)(4) in the NPRM is moved to

Sec. 668.42(c)(7).

Comments: If the purpose of the revised Sec. 668.41 is to put all

of an institution's disclosure responsibilities under subpart D in a

single section, the requirement that an institution must report its

crime statistics to the Department should be moved from Sec. 668.46(g)

to Sec. 668.41.

Discussion: We agree with the commenters.

Changes: Section 668.46(g) in the NPRM is moved to

Sec. 668.41(e)(5).

Comments: The Department should clarify that the prohibition on

using the Internet to provide the information required by

Sec. 668.41(f)(1)(i) to prospective student-athletes and their parents

does not prohibit a national collegiate athletic association from

obtaining a waiver for its members under Sec. 668.41(f)(1)(ii) for

providing the information to prospective student-athletes' high school

coaches and guidance counselors by distributing the information to all

secondary schools in the United States through the Internet or other

electronic means.

Discussion: We did not intend the prohibition referred to above to

address the means by which a national collegiate athletic association

must provide the information to secondary schools in order to obtain a

waiver under Sec. 668.41(f)(1)(ii). We would be pleased to work with

any such association seeking a waiver for its members to determine

whether the association's proposed method of providing the information

to secondary schools is sufficient to qualify for a waiver.

Changes: None.

Section 668.43 Institutional and Financial Assistance Information

Comments: The requirement in Sec. 668.43(a)(2) and (4) that an

institution disclose any refund policy with which the institution is

required to comply should make clear that the requirement refers to any

refund policy required by the institution's accrediting agency or State

agency, not to the requirements for determining the amount of Title IV

HEA program assistance that a student has earned upon withdrawal.

Discussion: Institutions are required to disclose any refund policy

that requires the return of unearned funds to their source. This

information includes the determination of amounts returned to the title

IV programs and all other provisions of Sec. 668.22, as well as any

refund policy required by the State or the school's accrediting agency,

or any institutional refund policy.

Changes: None.

Comments: In addition to an institution's disclosure of when a

student must officially withdraw from the institution, the disclosure

should include the institution's procedures for that withdrawal.

Discussion: Any disclosure of the requirements for withdrawal must

necessarily include sufficient information for a student to know how to

go about withdrawing from the institution.

Changes: We revised Sec. 668.43(a)(3) to clarify that the

requirement that an institution disclose its requirements for

withdrawal includes a requirement that an institution disclose the

procedures a student must follow to officially withdraw.

Section 668.45 Information on Completion or Graduation Rates

Comments: Term-based institutions whose students enroll before

September 1 of a given year should continue to include these students

in their fall cohort for that year.

Discussion: These regulations do not change how a term-based

institution establishes its fall cohort. A term-based institution may

include in its fall cohort students who enroll for the fall term before

September 1 of a given year, and continue to include students who

attended the institution for the first time during the summer preceding

the fall term.

Changes: We revised Sec. 668.45(a)(3)(i) to clarify that an

institution's fall cohort must include all students who enter a term-

based institution during the fall term, regardless of whether they

enter before or after September 1.

Comments: Institutions should be allowed to disclose graduation or

completion and, if applicable, transfer-out rates for their 1996 and

1997 cohorts based on a September 1 though August 31 year.

Discussion: We agree. The 1998 Amendments changed the year during

which institutions must determine whether students for whom 150% of

normal time for completion of their programs has elapsed have completed

or graduated from the program from July 1 through June 30 to September

1 through August 31. These regulations reflect the statutory change.

Changes: None.

Comments: In determining its fall cohort, a term-based institution

should be able to consider who is enrolled on another official fall

reporting date other than October 15 or the end of the drop-add period

to make the reporting date consistent with the Department's Integrated

Postsecondary Education Data System's (IPEDS) Fall Enrollment (EF)

report.

Discussion: We agree that a term-based institution's establishment

of its fall cohort under this regulation should be consistent with the

IPEDS data on fall enrollment.

Changes: We revised Sec. 668.45(a)(4) to include as an entering

student a first-time, full-time, certificate or degree-seeking

undergraduate who is enrolled on another official fall reporting date.

Also, we added to Sec. 668.41(a) the definition of ``official fall

reporting date'' used by the IPEDS EF report.

Comments: Transfer-out rates should be optional for all

institutions for a number of reasons, including the greater regulatory

burden placed on institutions that consider ``substantial preparation''

as part of their mission--for example, community colleges.

Discussion: The HEA requires institutions to report the rate at

which students who receive substantial preparation transfer out of the

institution. Therefore, the transfer-out rate cannot be made optional

in all cases. These regulations limit the requirement to institutions

that determine that their missions include providing substantial

preparation for their students to enroll in other eligible

institutions. Institutions with substantial numbers of transfers-out

may have a lower graduation and completion rate than other institutions

and thus may find it desirable to report a transfer-out rate. We

anticipate that the required transfer-out rate will not apply to most

four-year institutions. Consistent with the treatment of

[[Page 59063]]

transfer-out students by IPEDS Graduation Rate Survey (GRS), an

institution only is required to report on students whom the institution

knows transferred to another institution.

Changes: None.

Comments: The Secretary should clarify that a student who leaves an

undergraduate institution for study at a graduate institution is not a

transfer-out under these regulations.

Discussion: For purposes of these regulations, a student who leaves

an undergraduate program for study in a graduate program is not

considered a transfer-out. Normally, such a student would have

completed his or her program and be included in the institution's

completion/graduation rate.

Changes: None.

Comments: A term-based institution should be defined as an

institution at which more than fifty percent of the programs are term-

based.

Discussion: Section 668.45(a)(3)(i) defines a term-based

institution as an institution at which a predominant number of the

programs are based on semesters, trimesters, or quarters.

Changes: None.

Comments: The Secretary should indicate that an institution's

compliance with the IPEDS GRS ensures compliance with the

methodological requirements of Sec. 668.45.

Discussion: We agree. An institution's compliance with the GRS

constitutes compliance with the methodological provisions of

Secs. 668.45 and 668.48.

Changes: None.

Section 668.46 Institutional Security Policies and Crime Statistics

Comments: Numerous commenters requested that we specifically

exclude certain types of employees from the definition of a campus

security authority--for example, lay counselors, dormitory rectors,

physicians, access monitors, rape crisis counselors, doctoral counselor

trainees, campus ombudsmen, and teaching faculty. Other commenters

requested clarification about whether student security personnel

organized by student governments and concert security employees who

work for the institution are campus security authorities. Still other

commenters asked us to define who is an ``official'' of the

institution, and what ``significant responsibility'' for student and

campus activities means.

Discussion: To determine if an institution must collect crime

statistics from a particular employee or official, or provide a timely

warning report based on crimes reported or known to the employee or

official, an institution must first determine if that official is a

campus security authority. In addition to campus law enforcement staff,

a campus security authority is someone with ``significant

responsibility for student and campus activities.'' Absent this

responsibility, an employee is not a campus security authority.

For example, a dean of students who oversees student housing, a

student center, or student extra-curricular activities, has significant

responsibility for student and campus activities. Similarly, a director

of athletics, team coach, and faculty advisor to a student group also

have significant responsibility for student and campus activities.

A single teaching faculty member is unlikely to have significant

responsibility for student and campus activities, except when serving

as an advisor to a student group. A physician in a campus health center

or a counselor in a counseling center whose only responsibility is to

provide care to students are unlikely to have significant

responsibility for student and campus activities. Also, clerical staff

are unlikely to have significant responsibility for student and campus

activities.

Since official responsibilities and job titles vary significantly

from campus to campus, we believe that including a list of specific

titles in the regulation is not practical. However, as stated above, we

will provide additional guidance at a later date concerning

interpretation of these regulations.

Changes: None.

Comments: The definition of campus security authority should

include only individuals working for the institution's campus security

office or expressly performing a campus security function at the

institution's request.

Discussion: We believe that the new definition and guidance reflect

the reality that on colleges campuses, officials who are not police

officials or acting as event security at student or campus events

nevertheless are responsible for students' or campus security. We also

believe the new definition and guidance will better enable institutions

to determine who is a campus security authority and thereby to comply

with these regulations.

Changes: None.

Comments: Commenters asked a number of questions regarding our

interpretation of the definitions of campus, noncampus building or

property, and public property, such as what it means for an institution

to ``control'' property, what ``adjacent to and accessible from the

campus'' means, and whether remote classrooms or remote research

stations are included in the definition of campus. Commenters also

asked how different institutions that occupy the same general

geographic area and different campuses of an institution should report

crimes.

Discussion: We will respond to commenters' questions concerning

implementation of the proposed regulations, and will post our answers

on our Information for Financial Assistance Professionals (IFAP)

website: http://ifap.ed.gov

Changes: None.

Comments: Generally, the commenters expressed much satisfaction

with the compromises made during negotiated rulemaking regarding the

definitions in Sec. 668.46(a). In particular, many commenters agreed

with the negotiators' decision to exclude professional and pastoral

counselors from being required to report crimes discussed with them in

their role as counselor. Some commenters disagreed with this exclusion,

on the belief that reporting a statistic cannot identify the victim.

Other commenters believed that the process of reporting statistics and

avoiding double-counting can lead to identification of the victim. Many

commenters stressed the importance of ensuring that students' ability

to obtain confidential counseling not be compromised.

Discussion: We agree with the commenters about the importance of

victims' being able to obtain confidential counseling. We also agree

that although reporting a statistic is not likely, of itself, to

identify the victim, the need to verify the occurrence of the crime and

the need for additional information about the crime to avoid double-

counting can lead to identification of the victim.

Representatives of psychological counselors informed us that

counselors would, as a matter of professional obligation, be required

to inform a patient at the beginning of any session that detailed

information may be disclosed to other parties for statistical reporting

purposes. In their experience, this disclosure has a chilling effect on

access to professional counseling by causing a victim to decline or be

wary of professional assistance. Given the importance of access to

counseling, the availability of statistics from other sources on

campus, and the provisions we included in this regulation concerning

confidential reporting, we believe this regulation strikes the

appropriate balance between individuals' need for counseling and the

community's need for complete statistics.

Changes: None.

[[Page 59064]]

Comments: The definition of professional counselor should refer to

mental health counseling instead of psychological counseling because

the job description of a professional counselor other than a

psychologist or psychiatrist might refer to mental health counseling or

crisis counseling, but would be unlikely to refer to psychological

counseling. This definition also should refer to independent

contractors who perform professional counseling for institutions.

Discussion: We agree with the commenters that changing the

definition to refer to mental health counseling rather than

psychological counseling provides a clearer, more precise definition,

but emphasize that the change does not expand the definition to include

non-professional or informal counselors.

We believe that changing the definition by eliminating the

reference to employee would clarify that the definition refers to the

nature of the counselor, not the counselor's employment relationship

with the institution.

Changes: We changed the definition of professional counselor in

Sec. 668.46(a) to refer to mental health counseling and to exclude the

requirement that a professional counselor be an employee of the

institution.

Comments: The requirement that institutions provide notice of the

availability of the annual security report to each prospective employee

is overly burdensome as that term is defined (an individual who has

contacted an eligible institution requesting information concerning

employment with the institution). The definition should be limited to

individuals who apply for employment. Also, the definition should be

moved from Sec. 668.46 to Sec. 668.41, because it applies to both

sections, and the definitions in Sec. 668.41 apply to the entire

subpart, while those in Sec. 668.46 only apply to that section.

Discussion: We do not believe that the definition is unduly

burdensome, especially given the importance of prospective employees

being able to make fully informed choices. The requirement applies only

when an individual requests information from an institution and the

institution, presumably, either will mail the individual the

information or tell the individual where to obtain the information. The

institution simply can include in whatever information it provides the

individual a brief notice of the availability of the annual security

report.

We agree that the definition should be moved to Sec. 668.41.

Changes: The definition of prospective employee is moved from

Sec. 668.46(a) to Sec. 668.41(a).

Comments: Some commenters objected to the requirement in

Sec. 668.46(b)(2)(ii) that institutions disclose their policies for

preparing the annual disclosure of crime statistics and requested

clarification of what this disclosure entails.

Discussion: This disclosure serves two important purposes. It

informs the students about how and from what sources the report is

prepared. Many students may not be aware that a formal police report or

investigation is not needed in order for a crime report to be included

in the statistics. This disclosure also requires an institution to

consider what officials or offices must be canvassed in order to

prepare a complete report. Incorrectly, some institutions believe that

only formal police reports need be included; the disclosure allows the

reader to conclude that all of the proper offices have been canvassed.

The disclosure need only provide a general description of the process

for preparing the report, including the offices surveyed. There is no

requirement to disclose every detailed step in the report's

preparation.

Changes: None.

Comments: The endorsement of anonymous crime reporting procedures

is a valuable addition to the regulations. Although incomplete

anonymous reports raise a number of statistical reporting questions, it

is a valuable alternative for some crime victims. In some States

confidential reporting of crime is illegal.

Discussion: Institutions should note that the regulations refer to

confidential reporting, not anonymous reporting. The regulations do not

require institutions to allow confidential reporting. Rather,

Sec. 668.46(b)(2)(iii) and (4)(iii) require institutions to state

whether they allow confidential reporting, and if so, to describe their

procedures for that reporting, including whether the institution

encourages pastoral counselors and professional counselors, if and when

they deem it appropriate, to inform the persons they are counseling of

those procedures. An institution prohibited by State law from allowing

confidential reporting simply would be required to state that in its

annual security report.

Changes: None.

Comments: Campus judicial processes do not determine whether a

crime occurred, but rather determine only whether the accused person

committed an act that violates the institution's rules, policies, or

code of conduct. Therefore, the Secretary should clarify that referrals

for alcohol, drug, and weapons law violations are limited to a breach

of institutional policy, not law.

Discussion: The requirement that institutions report statistics for

referrals for campus disciplinary action for alcohol, drug and weapons

possession refers to violations of law only. For example, if a student

of legal drinking age in the State in which an institution is located

violates the institution's ``dry-campus'' policy and is referred for

campus disciplinary action, that statistic should not be included in

the institution's crime statistics. We believe that campus judicial

officials and campus police are capable of determining whether a

particular alcohol, drug, or weapons violation is a violation of law.

Changes: None.

Comment: Most commenters responded to our question regarding

whether a crime should be recorded for the calendar year in which the

crime was reported to the institution or the calendar year in which the

crime occurred. The commenters were largely in favor of recording the

crime on the date the crime was reported to the institution. The

commenters indicated that for statistical purposes the FBI collects

crime data based on when crimes are reported to the police, not on the

date crimes occur. One reason for this standard is that crimes

generally are discovered after they occur, making the date of

occurrence unknown or uncertain. The commenters explained that using

the date of occurrence creates additional burden for institutions.

Discussion: We appreciate the responses to our solicitation for

comment on this issue. We previously have required institutions to

report crime statistics according to the year in which the crimes

occurred. However, we are convinced by the weight of the comments that

we would eliminate a considerable burden on institutions by making this

reporting requirement consistent with FBI reporting practices, and that

no crime statistics will go unreported as a result of this change.

Changes: Section 668.46(c)(2) is revised to require an institution

to record crime data based on when the crime was reported to a campus

security authority.

Comments: The problem with reporting which crimes are hate crimes

is an institution's reliance on municipal police departments to provide

this information. Hate crimes are often a political issue in

municipalities, which may be reluctant to release information

concerning hate crimes to an institution.

[[Page 59065]]

Discussion: We recognize that some institutions must rely on data,

including hate crime data, from outside agencies. In complying with the

statistical reporting requirements, an institution must make a

reasonable, good-faith effort to obtain statistics from outside

agencies. An institution that makes such an effort is not responsible

for the agencies' failure to provide the statistics or for verifying

the accuracy of statistics the agencies provide.

Changes: None.

Comments: The requirement that institutions report hate crimes

related to ``any crime involving bodily injury'' is inconsistent with

other statistical reporting requirements. To require an institution to

search for every crime that may have involved personal injury is overly

burdensome.

Discussion: The requirement that institutions report hate crimes

related to any crime involving bodily injury is mandated by the HEA.

Changes: None.

Comments: The Secretary should clarify that institutions are not

required to report statistics for public property that surrounds

noncampus buildings or property.

Discussion: These regulations do not require an institution to

report crime statistics for public property surrounding noncampus

buildings or property.

Changes: None.

Comments: The commenters asked that the preamble make clear that an

institution must use both the UCR definitions and standards when

reporting crime.

Discussion: We reiterate the language of Sec. 668.46(c)(7) that

requires an institution to use UCR guidance when defining and

classifying crimes.

Changes: None.

Comments: The commenters strongly supported the use of a map to aid

in the disclosure of crime statistics, and believe that a map would be

very effective in indicating the areas to be considered in compiling

these statistics. Some commenters believe that the Department will

receive complaints or queries from the campus community that a map

disclosed by an institution does not accurately depict the reporting

area of a campus and recommended that the Department establish a

uniform review process for the review of maps so that questions can be

handled in a timely and efficient manner.

Discussion: We agree with the commenters that using a map in

disclosing crime statistics can be very helpful; students and others

will be able to visualize the areas covered by an institution's annual

security report. We will not establish a uniform process to review

institutions' maps. Anyone who believes that an institution is not in

compliance with the campus security regulations may contact the Office

of Student Financial Assistance regional office for the State in which

the institution is located. The addresses and telephone numbers for the

regional Case Team Managers are at the following Internet address:

http://ed.gov/about.html.

Changes: None.

Comments: The regulations should define what is meant, for purposes

of crime log entries, by the nature, date, time and general location of

each crime. The Department should emphasize that institutions may

withhold this information only when it is absolutely necessary to

prevent a breach of victim's confidentiality.

Discussion: We believe these terms are straightforward and there is

no need for more prescriptive regulation. However, we emphasize that an

institution may only withhold this information when it is sufficiently

clear that the victim's confidentiality is in jeopardy.

Changes: None.

Section 668.47 Report on Athletic Program Participation Rates and

Financial Support Data

Comments: Section 668.47 should include a separate audit

requirement for the data it requires institutions to report.

Discussion: As discussed in the preamble to the NPRM (64 FR 43588-

89), the primary change to the EADA made by the 1998 Amendments was the

relocation of informational requirements concerning revenues and

expenses attributable to institutions' intercollegiate athletic

activities from section 487(a) of the HEA (Program Participation

Agreements) to section 485(g). In relocating those requirements,

Congress repealed the audit requirement under section 487(a). We

believe Congress' intent is clear that there should not be a separate

audit requirement for the data required by Sec. 668.47.

Changes: None.

Comments: Institutions annually submit an audited financial

statement to the Department. The requirement in Sec. 668.47 to report

intercollegiate athletics financial data separately requires

reformatting the data, causes the data to appear differently than in

the financial statement, and is administratively burdensome. The

Department should consider whether the benefit to students, parents,

and others from this report outweighs the cost to institutions.

Discussion: The requirements in Sec. 668.47 concerning the

disclosure of intercollegiate athletics financial data are statutory

requirements.

Changes: None.

Comments: When and to which office of the Department should

institutions submit their EADA reports?

Discussion: We are developing a process for receiving the reports.

When the process is complete, we will inform institutions on the

Department's IFAP website: http://ifap.ed.gov. Institutions should have

made the reports available to students and others by October 15, 1999.

Changes: None

Section 668.48 Report on Completion or Graduation Rates for Student-

Athletes

Comments: Allow term-based institutions, in determining their

athletic cohorts under Sec. 668.48(a), to include athletes who receive

athletically related student aid at any time during the academic year

in which their cohorts are established, rather than only allowing those

institutions to include athletes who receive aid by the end of the

institution's drop-add period or by October 15.

Discussion: We stated in the preamble to the NPRM (64 FR 43589)

that institutions should include in their athletic cohorts students who

receive athletically related student aid by the end of the

institution's drop-add period or by October 15 because we believed that

would lessen institutions' burden. However, based on the weight of the

comments, and because the Department's Integrated Postsecondary

Education Data System's (IPEDS) Graduation Rate Survey allows term-

based institutions to use the entire academic year to determine their

athletic cohorts, we now change the guidance we gave in the preamble to

the NPRM and allow term-based institutions to use the entire academic

year to determine their athletic cohorts.

Further, we clarify that ``drop-add period,'' in this context,

refers to institutions' fall drop-add periods.

Changes: None.

Executive Order 12866

We have reviewed these final regulations in accordance with

Executive Order 12866. Under the terms of the order, we have assessed

the potential costs and benefits of this regulatory action.

The potential costs associated with these final regulations are

those resulting from statutory requirements and those we have

determined to be

[[Page 59066]]

necessary for administering this program effectively and efficiently.

In assessing the potential costs and benefits--both quantitative

and qualitative--of these final regulations, we have determined that

the benefits of the regulations justify the costs.

We have also determined that this regulatory action does not unduly

interfere with State, local, and tribal governments in the exercise of

their governmental functions.

We summarized the potential costs and benefits of these final

regulations in the preamble to the NPRM (64 FR 43589-43590).

Paperwork Reduction Act of 1995

The Paperwork Reduction Act of 1995 does not require you to respond

to a collection of information unless it displays a valid OMB control

number. We display the valid OMB control numbers assigned to the

collections of information in these final regulations at the end of the

affected sections of the regulations.

Assessment of Educational Impact

In the NPRM, we requested comments on whether the proposed

regulations would require transmission of information that any other

agency or authority of the United States gathers or makes available.

Based on the response to the NPRM and on our review, we have

determined that these final regulations do not require transmission of

information that any other agency or authority of the United States

gathers or makes available.

Electronic Access to This Document

You may view this document in text or Adobe Portable Document

Format (PDF) on the Internet at the following sites:

http://ocfo.ed.gov/fedreg.htm

http://www.ed.gov/legislation/HEA/rulemaking/

http://ifap.ed.gov/csb__html/fedlreg.htm

To use the PDF you must have the Adobe Acrobat Reader Program with

Search, which is available free at the first of the previous sites. If

you have questions about using the PDF, call the U.S. Government

Printing Office (GPO) toll free, at 1-888-293-6498; or in the

Washington, DC, area, at (202) 512-1530.

Note: The official version of this document is the document

published in the Federal Register. Free Internet access to the

official edition of the Federal Register and the Code of Federal

Regulations is available on GPO Access at: http://

www.access.gpo.gov/nara/index.html.

(Catalog of Federal Domestic Assistance numbers: 84.007 Federal

Supplemental Educational Opportunity Grant Program; 84.032

Consolidation Program; 84.032 Federal Stafford Loan Program; 84.032

Federal PLUS Program; 84.032 Federal Supplemental Loans for Students

Program; 84.033 Federal Work-Study Program; 84.038 Federal Perkins

Loan Program; 84.063 Federal Pell Grant Program; 84.069 LEAP; and

84.268 William D. Ford Federal Direct Loan Programs)

List of Subjects in 34 CFR Part 668

Administrative practice and procedure, Colleges and universities,

Student aid, Reporting and recordkeeping requirements.

Dated: October 19, 1999.

Richard W. Riley,

Secretary of Education.

For the reasons discussed in the preamble, the Secretary amends

part 668 of title 34 of the Code of Federal Regulations as follows:

PART 668--STUDENT ASSISTANCE GENERAL PROVISIONS

1. The authority citation for part 668 is revised to read as

follows:

Authority: 20 U.S.C. 1085, 1088, 1091, 1094, 1099c and 1141,

unless otherwise noted.

2. The title of subpart D is revised to read as follows:

Subpart D--Institutional and Financial Assistance Information for

Students

3. Section 668.41 is revised to read as follows:

Sec. 668.41 Reporting and disclosure of information.

(a) Definitions. The following definitions apply to this subpart:

Athletically related student aid means any scholarship, grant, or

other form of financial assistance, offered by an institution, the

terms of which require the recipient to participate in a program of

intercollegiate athletics at the institution. Other student aid, of

which a student-athlete simply happens to be the recipient, is not

athletically related student aid.

Certificate or degree-seeking student means a student enrolled in a

course of credit who is recognized by the institution as seeking a

degree or certificate.

First-time undergraduate student means an entering undergraduate

who has never attended any institution of higher education. It includes

a student enrolled in the fall term who attended a postsecondary

institution for the first time in the prior summer term, and a student

who entered with advanced standing (college credit earned before

graduation from high school).

Normal time is the amount of time necessary for a student to

complete all requirements for a degree or certificate according to the

institution's catalog. This is typically four years for a bachelor's

degree in a standard term-based institution, two years for an associate

degree in a standard term-based institution, and the various scheduled

times for certificate programs.

Notice means a notification of the availability of information an

institution is required by this subpart to disclose, provided to an

individual on a one-to-one basis through an appropriate mailing or

publication, including direct mailing through the U.S. Postal Service,

campus mail, or electronic mail. Posting on an Internet website or an

Intranet website does not constitute a notice.

Official fall reporting date means that date (in the fall) on which

an institution must report fall enrollment data to either the State,

its board of trustees or governing board, or some other external

governing body.

Prospective employee means an individual who has contacted an

eligible institution for the purpose of requesting information

concerning employment with that institution.

Prospective student means an individual who has contacted an

eligible institution requesting information concerning admission to

that institution.

Undergraduate students, for purposes of Secs. 668.45 and 668.48

only, means students enrolled in a bachelor's degree program, an

associate degree program, or a vocational or technical program below

the baccalaureate.

(b) Disclosure through Internet or Intranet websites. Subject to

paragraphs (c)(2), (e)(2) through (4), or (g)(1)(ii) of this section,

as appropriate, an institution may satisfy any requirement to disclose

information under paragraph (d), (e), or (g) of this section for--

(1) Enrolled students or current employees by posting the

information on an Internet website or an Intranet website that is

reasonably accessible to the individuals to whom the information must

be disclosed; and

(2) Prospective students or prospective employees by posting the

information on an Internet website.

(c) Notice to enrolled students. (1) An institution annually must

distribute to all enrolled students a notice of the availability of the

information required to be disclosed pursuant to paragraphs (d), (e),

and (g) of this section, and pursuant to 34 CFR 99.7 (Sec. 99.7 sets

forth the notification requirements of

[[Page 59067]]

the Family Educational Rights and Privacy Act of 1974). The notice must

list and briefly describe the information and tell the student how to

obtain the information.

(2) An institution that discloses information to enrolled students

as required under paragraph (d), (e), or (g) of this section by posting

the information on an Internet website or an Intranet website must

include in the notice described in paragraph (c)(1) of this section--

(i) The exact electronic address at which the information is

posted; and

(ii) A statement that the institution will provide a paper copy of

the information on request.

(d) General disclosures for enrolled or prospective students. An

institution must make available to any enrolled student or prospective

student, on request, through appropriate publications, mailings or

electronic media, information concerning--

(1) Financial assistance available to students enrolled in the

institution (pursuant to Sec. 668.42);

(2) The institution (pursuant to Sec. 668.43); and

(3) The institution's completion or graduation rate and, if

applicable, its transfer-out rate (pursuant to Sec. 668.45). In the

case of a request from a prospective student, the information must be

made available prior to the student's enrolling or entering into any

financial obligation with the institution.

(e) Annual security report. (1) Enrolled students and current

employees--annual security report. By October 1 of each year, an

institution must distribute, to all enrolled students and current

employees, its annual security report described in Sec. 668.46(b),

through appropriate publications and mailings, including--

(i) Direct mailing to each individual through the U.S. Postal

Service, campus mail, or electronic mail;

(ii) A publication or publications provided directly to each

individual; or

(iii) Posting on an Internet website or an Intranet website,

subject to paragraphs (e)(2) and (3) of this section.

(2) Enrolled students--annual security report. If an institution

chooses to distribute its annual security report to enrolled students

by posting the disclosure on an Internet website or an Intranet

website, the institution must comply with the requirements of paragraph

(c)(2) of this section.

(3) Current employees--annual security report. If an institution

chooses to distribute its annual security report to current employees

by posting the disclosure on an Internet website or an Intranet

website, the institution must, by October 1 of each year, distribute to

all current employees a notice that includes a statement of the

report's availability, the exact electronic address at which the report

is posted, a brief description of the report's contents, and a

statement that the institution will provide a paper copy of the report

upon request.

(4) Prospective students and prospective employees--annual security

report. The institution must provide a notice to prospective students

and prospective employees that includes a statement of the report's

availability, a description of its contents, and an opportunity to

request a copy. An institution must provide its annual security report,

upon request, to a prospective student or prospective employee. If the

institution chooses to provide its annual security report to

prospective students and prospective employees by posting the

disclosure on an Internet website, the notice described in this

paragraph must include the exact electronic address at which the report

is posted, a brief description of the report, and a statement that the

institution will provide a paper copy of the report upon request.

(5) Submission to the Secretary--annual security report. Each year,

by the date and in a form specified by the Secretary, an institution

must submit the statistics required by Sec. 668.46(c) to the Secretary.

(f) Prospective student-athletes and their parents, high school

coach and guidance counselor--report on completion or graduation rates

for student-athletes.

(1)(i) Except under the circumstances described in paragraph

(f)(1)(ii) of this section, when an institution offers a prospective

student-athlete athletically related student aid, it must provide to

the prospective student-athlete, and his or her parents, high school

coach, and guidance counselor, the report produced pursuant to

Sec. 668.48(a).

(ii) An institution's responsibility under paragraph (f)(1)(i) of

this section with reference to a prospective student athlete's high

school coach and guidance counselor is satisfied if--

(A) The institution is a member of a national collegiate athletic

association;

(B) The association compiles data on behalf of its member

institutions, which data the Secretary determines are substantially

comparable to those required by Sec. 668.48(a); and

(C) The association distributes the compilation to all secondary

schools in the United States.

(2) By July 1 of each year, an institution must submit to the

Secretary the report produced pursuant to Sec. 668.48.

(g) Enrolled students, prospective students, and the public--report

on athletic program participation rates and financial support data.

(1)(i) An institution of higher education subject to Sec. 668.47

must, not later than October 15 of each year, make available on request

to enrolled students, prospective students, and the public, the report

produced pursuant to Sec. 668.47(c). The institution must make the

report easily accessible to students, prospective students, and the

public and must provide the report promptly to anyone who requests it.

(ii) The institution must provide notice to all enrolled students,

pursuant to paragraph (c)(1) of this section, and prospective students

of their right to request the report described in paragraph (g)(1) of

this section. If the institution chooses to make the report available

by posting the disclosure on an Internet website or an Intranet

website, it must provide in the notice the exact electronic address at

which the report is posted, a brief description of the report, and a

statement that the institution will provide a paper copy of the report

on request. For prospective students, the institution may not use an

Intranet website for this purpose.

(2) An institution must submit the report described in paragraph

(g)(1)(i) of this section to the Secretary within 15 days of making it

available to students, prospective students, and the public.

(Approved by the Office of Management and Budget under control

number 1845-0004 and 1845-0010)

(Authority: 20 U.S.C. 1092)

4. Section 668.42 is removed, and Secs. 668.43 through 668.49 are

redesignated as Secs. 668.42 through 668.48, respectively.

5. Newly redesignated Sec. 668.42 is amended by removing the word

``and'' at the end of paragraph (c)(5); by removing the period at the

end of paragraph (c)(6), and adding, in its place, ``; and''; by adding

a new paragraph (c)(7) and revising the OMB control number to read as

follows:

Sec. 668.42 Financial assistance information.

* * * * *

(c) ***

(7) The terms and conditions under which students receiving Federal

Family Education Loan or William D. Ford Federal Direct Loan assistance

may obtain deferral of the repayment of the principal and interest of

the loan for--

(i) Service under the Peace Corps Act (22 U.S.C. 2501);

[[Page 59068]]

(ii) Service under the Domestic Volunteer Service Act of 1973 (42

U.S.C. 4951); or

(iii) Comparable service as a volunteer for a tax-exempt

organization of demonstrated effectiveness in the field of community

service.

(Approved by the Office of Management and Budget under control

number 1845-0022)

* * * * *

6. Newly redesignated Sec. 668.43 is revised to read as follows:

Sec. 668.43 Institutional information.

(a) Institutional information that the institution must make

readily available upon request to enrolled and prospective students

under this subpart includes, but is not limited to--

(1) The cost of attending the institution, including--

(i) Tuition and fees charged to full-time and part-time students;

(ii) Estimates of costs for necessary books and supplies;

(iii) Estimates of typical charges for room and board;

(iv) Estimates of transportation costs for students; and

(v) Any additional cost of a program in which a student is enrolled

or expresses a specific interest;

(2) Any refund policy with which the institution is required to

comply for the return of unearned tuition and fees or other refundable

portions of costs paid to the institution;

(3) The requirements and procedures for officially withdrawing from

the institution;

(4) A summary of the requirements under Sec. 668.22 for the return

of title IV grant or loan assistance;

(5) The academic program of the institution, including--

(i) The current degree programs and other educational and training

programs;

(ii) The instructional, laboratory, and other physical facilities

which relate to the academic program; and

(iii) The institution's faculty and other instructional personnel;

(6) The names of associations, agencies or governmental bodies that

accredit, approve, or license the institution and its programs and the

procedures by which documents describing that activity may be reviewed

under paragraph (b) of this section;

(7) A description of any special facilities and services available

to disabled students;

(8) The titles of persons designated under Sec. 668.44 and

information regarding how and where those persons may be contacted; and

(9) A statement that a student's enrollment in a program of study

abroad approved for credit by the home institution may be considered

enrollment at the home institution for the purpose of applying for

assistance under the title IV, HEA programs.

(b) The institution must make available for review to any enrolled

or prospective student, upon request, a copy of the documents

describing the institution's accreditation, approval or licensing.

(Approved by the Office of Management and Budget under control

number 1845-0022)

(Authority: 20 U.S.C. 1092)

7. Newly redesignated Sec. 668.45 is revised to read as follows:

Sec. 668.45 Information on completion or graduation rates.

(a)(1) An institution annually must prepare the completion or

graduation rate of its certificate- or degree-seeking, full-time

undergraduate students, as provided in paragraph (b) of this section.

(2) An institution that determines that its mission includes

providing substantial preparation for students to enroll in another

eligible institution must prepare the transfer-out rate of its

certificate- or degree-seeking, full-time undergraduate students, as

provided in paragraph (c) of this section.

(3)(i) An institution that offers a predominant number of its

programs based on semesters, trimesters, or quarters must base its

completion or graduation rate and, if applicable, transfer-out rate

calculations, on the cohort of first-time, certificate- or degree-

seeking, full-time undergraduate students who enter the institution

during the fall term of each year.

(ii) An institution not covered by the provisions of paragraph

(a)(3)(i) of this section must base its completion or graduation rate

and, if applicable, transfer-out rate calculations, on the group of

certificate- or degree-seeking, full-time undergraduate students who

enter the institution between September 1 of one year and August 31 of

the following year.

(iii) For purposes of the completion or graduation rate and, if

applicable, transfer-out rate calculations required in paragraph (a) of

this section, an institution must count as entering students only

first-time undergraduate students, as defined in Sec. 668.41(a).

(4)(i) An institution covered by the provisions of paragraph

(a)(3)(i) of this section must count as an entering student a first-

time undergraduate student who is enrolled as of October 15, the end of

the institution's drop-add period, or another official reporting date

as defined in Sec. 668.41(a).

(ii) An institution covered by paragraph (a)(3)(ii) of this section

must count as an entering student a first-time undergraduate student

who is enrolled for at least--

(A) 15 days, in a program of up to, and including, one year in

length; or

(B) 30 days, in a program of greater than one year in length.

(5) An institution must make available its completion or graduation

rate and, if applicable, transfer-out rate, no later than the July 1

immediately following the 12-month period ending August 31 during which

150% of the normal time for completion or graduation has elapsed for

all of the students in the group on which the institution bases its

completion or graduation rate and, if applicable, transfer-out rate

calculations.

(b) In calculating the completion or graduation rate under

paragraph (a)(1) of this section, an institution must count as

completed or graduated--

(1) Students who have completed or graduated by the end of the 12-

month period ending August 31 during which 150% of the normal time for

completion or graduation from their program has lapsed; and

(2) Students who have completed a program described in

Sec. 668.8(b)(1)(ii), or an equivalent program, by the end of the 12-

month period ending August 31 during which 150% of normal time for

completion from that program has lapsed.

(c) In calculating the transfer-out rate under paragraph (a)(2) of

this section, an institution must count as transfers-out students who

by the end of the 12-month period ending August 31 during which 150% of

the normal time for completion or graduation from the program in which

they were enrolled has lapsed, have not completed or graduated but have

subsequently enrolled in any program of an eligible institution for

which its program provided substantial preparation.

(d) For the purpose of calculating a completion or graduation rate

and a transfer-out rate, an institution may exclude students who--

(1) Have left school to serve in the Armed Forces;

(2) Have left school to serve on official church missions;

(3) Have left school to serve with a foreign aid service of the

Federal Government, such as the Peace Corps;

(4) Are totally and permanently disabled; or

(5) Are deceased.

(e)(1) The Secretary grants a waiver of the requirements of this

section to any institution that is a member of an athletic association

or conference that

[[Page 59069]]

has voluntarily published completion or graduation rate data, or has

agreed to publish data, that the Secretary determines are substantially

comparable to the data required by this section.

(2) An institution that receives a waiver of the requirements of

this section must still comply with the requirements of

Sec. 668.41(d)(3) and (f).

(3) An institution, or athletic association or conference applying

on behalf of an institution, that seeks a waiver under paragraph (e)(1)

of this section must submit a written application to the Secretary that

explains why it believes the data the athletic association or

conference publishes are accurate and substantially comparable to the

information required by this section.

(f) In addition to calculating the completion or graduation rate

required by paragraph (a)(1) of this section, an institution may, but

is not required to--

(1) Calculate a completion or graduation rate for students who

transfer into the institution;

(2) Calculate a completion or graduation rate and transfer-out rate

for students described in paragraphs (d)(1) through (4) of this

section; and

(3) Calculate a transfer-out rate as specified in paragraph (c) of

this section, if the institution determines that its mission does not

include providing substantial preparation for its students to enroll in

another eligible institution.

(Approved by the Office of Management and Budget under control

number 1845-0004)

(Authority: 20 U.S.C. 1092)

8. Newly redesignated Sec. 668.46 is revised to read as follows:

Sec. 668.46 Institutional security policies and crime statistics.

(a) Additional definitions that apply to this section.

Business day: Monday through Friday, excluding any day when the

institution is closed.

Campus: (1) Any building or property owned or controlled by an

institution within the same reasonably contiguous geographic area and

used by the institution in direct support of, or in a manner related

to, the institution's educational purposes, including residence halls;

and

(2) Any building or property that is within or reasonably

contiguous to the area identified in paragraph (1) of this definition,

that is owned by the institution but controlled by another person, is

frequently used by students, and supports institutional purposes (such

as a food or other retail vendor).

Campus security authority: (1) A campus police department or a

campus security department of an institution.

(2) Any individual or individuals who have responsibility for

campus security but who do not constitute a campus police department or

a campus security department under paragraph (1) of this definition,

such as an individual who is responsible for monitoring entrance into

institutional property.

(3) Any individual or organization specified in an institution's

statement of campus security policy as an individual or organization to

which students and employees should report criminal offenses.

(4) An official of an institution who has significant

responsibility for student and campus activities, including, but not

limited to, student housing, student discipline, and campus judicial

proceedings. If such an official is a pastoral or professional

counselor as defined below, the official is not considered a campus

security authority when acting as a pastoral or professional counselor.

Noncampus building or property: (1) Any building or property owned

or controlled by a student organization that is officially recognized

by the institution; or

(2) Any building or property owned or controlled by an institution

that is used in direct support of, or in relation to, the institution's

educational purposes, is frequently used by students, and is not within

the same reasonably contiguous geographic area of the institution.

Pastoral counselor: A person who is associated with a religious

order or denomination, is recognized by that religious order or

denomination as someone who provides confidential counseling, and is

functioning within the scope of that recognition as a pastoral

counselor.

Professional counselor: A person whose official responsibilities

include providing mental health counseling to members of the

institution's community and who is functioning within the scope of his

or her license or certification.

Public property: All public property, including thoroughfares,

streets, sidewalks, and parking facilities, that is within the campus,

or immediately adjacent to and accessible from the campus.

Referred for campus disciplinary action: The referral of any

student to any campus official who initiates a disciplinary action of

which a record is kept and which may result in the imposition of a

sanction.

(b) Annual security report. An institution must prepare an annual

security report that contains, at a minimum, the following information:

(1) The crime statistics described in paragraph (c) of this

section.

(2) A statement of current campus policies regarding procedures for

students and others to report criminal actions or other emergencies

occurring on campus. This statement must include the institution's

policies concerning its response to these reports, including--

(i) Policies for making timely warning reports to members of the

campus community regarding the occurrence of crimes described in

paragraph (c)(1) of this section;

(ii) Policies for preparing the annual disclosure of crime

statistics; and

(iii) A list of the titles of each person or organization to whom

students and employees should report the criminal offenses described in

paragraph (c)(1) of this section for the purpose of making timely

warning reports and the annual statistical disclosure. This statement

must also disclose whether the institution has any policies or

procedures that allow victims or witnesses to report crimes on a

voluntary, confidential basis for inclusion in the annual disclosure of

crime statistics, and, if so, a description of those policies and

procedures.

(3) A statement of current policies concerning security of and

access to campus facilities, including campus residences, and security

considerations used in the maintenance of campus facilities.

(4) A statement of current policies concerning campus law

enforcement that--

(i) Addresses the enforcement authority of security personnel,

including their relationship with State and local police agencies and

whether those security personnel have the authority to arrest

individuals;

(ii) Encourages accurate and prompt reporting of all crimes to the

campus police and the appropriate police agencies; and

(iii) Describes procedures, if any, that encourage pastoral

counselors and professional counselors, if and when they deem it

appropriate, to inform the persons they are counseling of any

procedures to report crimes on a voluntary, confidential basis for

inclusion in the annual disclosure of crime statistics.

(5) A description of the type and frequency of programs designed to

inform students and employees about campus security procedures and

practices and to encourage students and employees to be responsible for

their own security and the security of others.

[[Page 59070]]

(6) A description of programs designed to inform students and

employees about the prevention of crimes.

(7) A statement of policy concerning the monitoring and recording

through local police agencies of criminal activity in which students

engaged at off-campus locations of student organizations officially

recognized by the institution, including student organizations with

off-campus housing facilities.

(8) A statement of policy regarding the possession, use, and sale

of alcoholic beverages and enforcement of State underage drinking laws.

(9) A statement of policy regarding the possession, use, and sale

of illegal drugs and enforcement of Federal and State drug laws.

(10) A description of any drug or alcohol-abuse education programs,

as required under section 120(a) through (d) of the HEA. For the

purpose of meeting this requirement, an institution may cross-reference

the materials the institution uses to comply with section 120(a)

through (d) of the HEA.

(11) A statement of policy regarding the institution's campus

sexual assault programs to prevent sex offenses, and procedures to

follow when a sex offense occurs. The statement must include--

(i) A description of educational programs to promote the awareness

of rape, acquaintance rape, and other forcible and nonforcible sex

offenses;

(ii) Procedures students should follow if a sex offense occurs,

including procedures concerning who should be contacted, the importance

of preserving evidence for the proof of a criminal offense, and to whom

the alleged offense should be reported;

(iii) Information on a student's option to notify appropriate law

enforcement authorities, including on-campus and local police, and a

statement that institutional personnel will assist the student in

notifying these authorities, if the student requests the assistance of

these personnel;

(iv) Notification to students of existing on- and off-campus

counseling, mental health, or other student services for victims of sex

offenses;

(v) Notification to students that the institution will change a

victim's academic and living situations after an alleged sex offense

and of the options for those changes, if those changes are requested by

the victim and are reasonably available;

(vi) Procedures for campus disciplinary action in cases of an

alleged sex offense, including a clear statement that--

(A) The accuser and the accused are entitled to the same

opportunities to have others present during a disciplinary proceeding;

and

(B) Both the accuser and the accused must be informed of the

outcome of any institutional disciplinary proceeding brought alleging a

sex offense. Compliance with this paragraph does not constitute a

violation of the Family Educational Rights and Privacy Act (20 U.S.C.

1232g). For the purpose of this paragraph, the outcome of a

disciplinary proceeding means only the institution's final

determination with respect to the alleged sex offense and any sanction

that is imposed against the accused; and

(vii) Sanctions the institution may impose following a final

determination of an institutional disciplinary proceeding regarding

rape, acquaintance rape, or other forcible or nonforcible sex offenses.

(c) Crime statistics. (1) Crimes that must be reported. An

institution must report statistics for the three most recent calendar

years concerning the occurrence on campus, in or on noncampus buildings

or property, and on public property of the following that are reported

to local police agencies or to a campus security authority:

(i) Criminal homicide:

(A) Murder and nonnegligent manslaughter.

(B) Negligent manslaughter.

(ii) Sex offenses:

(A) Forcible sex offenses.

(B) Nonforcible sex offenses.

(iii) Robbery.

(iv) Aggravated assault.

(v) Burglary.

(vi) Motor vehicle theft.

(vii) Arson.

(viii) (A) Arrests for liquor law violations, drug law violations,

and illegal weapons possession.

(B) Persons not included in paragraph (c)(1)(viii)(A) of this

section, who were referred for campus disciplinary action for liquor

law violations, drug law violations, and illegal weapons possession.

(2) Recording crimes. An institution must record a crime statistic

in its annual security report for the calendar year in which the crime

was reported to a campus security authority.

(3) Reported crimes if a hate crime. An institution must report, by

category of prejudice, any crime it reports pursuant to paragraphs

(c)(1)(i) through (vii) of this section, and any other crime involving

bodily injury reported to local police agencies or to a campus security

authority, that manifest evidence that the victim was intentionally

selected because of the victim's actual or perceived race, gender,

religion, sexual orientation, ethnicity, or disability.

(4) Crimes by location. The institution must provide a geographic

breakdown of the statistics reported under paragraphs (c)(1) and (3) of

this section according to the following categories:

(i) On campus.

(ii) Of the crimes in paragraph (c)(4)(i) of this section, the

number of crimes that took place in dormitories or other residential

facilities for students on campus.

(iii) In or on a noncampus building or property.

(iv) On public property.

(5) Identification of the victim or the accused. The statistics

required under paragraphs (c)(1) and (3) of this section may not

include the identification of the victim or the person accused of

committing the crime.

(6) Pastoral and professional counselor. An institution is not

required to report statistics under paragraphs (c)(1) and (3) of this

section for crimes reported to a pastoral or professional counselor.

(7) UCR definitions. An institution must compile the crime

statistics required under paragraphs (c)(1) and (3) of this section

using the definitions of crimes provided in Appendix E to this part and

the Federal Bureau of Investigation's Uniform Crime Reporting (UCR)

Hate Crime Data Collection Guidelines and Training Guide for Hate Crime

Data Collection. For further guidance concerning the application of

definitions and classification of crimes, an institution must use

either the UCR Reporting Handbook or the UCR Reporting Handbook: NIBRS

EDITION, except that in determining how to report crimes committed in a

multiple-offense situation an institution must use the UCR Reporting

Handbook. Copies of the UCR publications referenced in this paragraph

are available from: FBI, Communications Unit, 1000 Custer Hollow Road,

Clarksburg, WV 26306 (telephone: 304-625-2823).

(8) Use of a map. In complying with the statistical reporting

requirements under paragraphs (c)(1) and (3) of this section, an

institution may provide a map to current and prospective students and

employees that depicts its campus, noncampus buildings or property, and

public property areas if the map accurately depicts its campus,

noncampus buildings or property, and public property areas.

(9) Statistics from police agencies. In complying with the

statistical reporting requirements under paragraphs (c)(1) through (4)

of this section, an institution must make a reasonable, good faith

effort to obtain the required statistics and may rely on the

information supplied by a local or State police

[[Page 59071]]

agency. If the institution makes such a reasonable, good faith effort,

it is not responsible for the failure of the local or State police

agency to supply the required statistics.

(d) Separate campus. An institution must comply with the

requirements of this section for each separate campus.

(e) Timely warning. (1) An institution must, in a manner that is

timely and will aid in the prevention of similar crimes, report to the

campus community on crimes that are--

(i) Described in paragraph (c)(1) and (3) of this section;

(ii) Reported to campus security authorities as identified under

the institution's statement of current campus policies pursuant to

paragraph (b)(2) of this section or local police agencies; and

(iii) Considered by the institution to represent a threat to

students and employees.

(2) An institution is not required to provide a timely warning with

respect to crimes reported to a pastoral or professional counselor.

(f) Crime log. (1) An institution that maintains a campus police or

a campus security department must maintain a written, easily understood

daily crime log that records, by the date the crime was reported, any

crime that occurred on campus, on a noncampus building or property, on

public property, or within the patrol jurisdiction of the campus police

or the campus security department and is reported to the campus police

or the campus security department. This log must include--

(i) The nature, date, time, and general location of each crime; and

(ii) The disposition of the complaint, if known.

(2) The institution must make an entry or an addition to an entry

to the log within two business days, as defined under paragraph (a) of

this section, of the report of the information to the campus police or

the campus security department, unless that disclosure is prohibited by

law or would jeopardize the confidentiality of the victim.

(3)(i) An institution may withhold information required under

paragraphs (f)(1) and (2) of this section if there is clear and

convincing evidence that the release of the information would--

(A) Jeopardize an ongoing criminal investigation or the safety of

an individual;

(B) Cause a suspect to flee or evade detection; or

(C) Result in the destruction of evidence.

(ii) The institution must disclose any information withheld under

paragraph (f)(3)(i) of this section once the adverse effect described

in that paragraph is no longer likely to occur.

(4) An institution may withhold under paragraphs (f)(2) and (3) of

this section only that information that would cause the adverse effects

described in those paragraphs.

(5) The institution must make the crime log for the most recent 60-

day period open to public inspection during normal business hours. The

institution must make any portion of the log older than 60 days

available within two business days of a request for public inspection.

(Approved by the Office of Management and Budget under control

number 1845-0022)

(Authority: 20 U.S.C. 1092)

9. Newly redesignated Sec. 668.47 is revised to read as follows:

Sec. 668.47 Report on athletic program participation rates and

financial support data.

(a) Applicability. This section applies to a co-educational

institution of higher education that--

(1) Participates in any title IV, HEA program; and

(2) Has an intercollegiate athletic program.

(b) Definitions. The following definitions apply for purposes of

this section only.

(1) Expenses.--(i) Expenses means expenses attributable to

intercollegiate athletic activities. This includes appearance

guarantees and options, athletically related student aid, contract

services, equipment, fundraising activities, operating expenses,

promotional activities, recruiting expenses, salaries and benefits,

supplies, travel, and any other expenses attributable to

intercollegiate athletic activities.

(ii) Operating expenses means all expenses an institution incurs

attributable to home, away, and neutral-site intercollegiate athletic

contests (commonly known as ``game-day expenses''), for--

(A) Lodging, meals, transportation, uniforms, and equipment for

coaches, team members, support staff (including, but not limited to

team managers and trainers), and others; and

(B) Officials.

(iii) Recruiting expenses means all expenses an institution incurs

attributable to recruiting activities. This includes, but is not

limited to, expenses for lodging, meals, telephone use, and

transportation (including vehicles used for recruiting purposes) for

both recruits and personnel engaged in recruiting, any other expenses

for official and unofficial visits, and all other expenses related to

recruiting.

(2) Institutional salary means all wages and bonuses an institution

pays a coach as compensation attributable to coaching.

(3)(i) Participants means students who, as of the day of a varsity

team's first scheduled contest--

(A) Are listed by the institution on the varsity team's roster;

(B) Receive athletically related student aid; or

(C) Practice with the varsity team and receive coaching from one or

more varsity coaches.

(ii) Any student who satisfies one or more of the criteria in

paragraphs (b)(3)(i)(A) through (C) of this section is a participant,

including a student on a team the institution designates or defines as

junior varsity, freshman, or novice, or a student withheld from

competition to preserve eligibility (i.e., a redshirt), or for

academic, medical, or other reasons.

(4) Reporting year means a consecutive twelve-month period of time

designated by the institution for the purposes of this section.

(5) Revenues means revenues attributable to intercollegiate

athletic activities. This includes revenues from appearance guarantees

and options, an athletic conference, tournament or bowl games,

concessions, contributions from alumni and others, institutional

support, program advertising and sales, radio and television,

royalties, signage and other sponsorships, sports camps, State or other

government support, student activity fees, ticket and luxury box sales,

and any other revenues attributable to intercollegiate athletic

activities.

(6) Undergraduate students means students who are consistently

designated as such by the institution.

(7) Varsity team means a team that--

(i) Is designated or defined by its institution or an athletic

association as a varsity team; or

(ii) Primarily competes against other teams that are designated or

defined by their institutions or athletic associations as varsity

teams.

(c) Report. An institution described in paragraph (a) of this

section must annually, for the preceding reporting year, prepare a

report that contains the following information:

(1) The number of male and the number of female full-time

undergraduate students that attended the institution.

(2) A listing of the varsity teams that competed in intercollegiate

athletic competition and for each team the following data:

(i) The total number of participants as of the day of its first

scheduled contest

[[Page 59072]]

of the reporting year, the number of participants who also participated

on another varsity team, and the number of other varsity teams on which

they participated.

(ii) Total operating expenses attributable to the team, except that

an institution may report combined operating expenses for closely

related teams, such as track and field or swimming and diving. Those

combinations must be reported separately for men's and women's teams.

(iii) In addition to the data required by paragraph (c)(2)(ii) of

this section, an institution may report operating expenses attributable

to the team on a per-participant basis.

(iv)(A) Whether the head coach was male or female, was assigned to

the team on a full-time or part-time basis, and, if assigned on a part-

time basis, whether the head coach was a full-time or part-time

employee of the institution.

(B) The institution must consider graduate assistants and

volunteers who served as head coaches to be head coaches for the

purposes of this report.

(v)(A) The number of assistant coaches who were male and the number

of assistant coaches who were female, and, within each category, the

number who were assigned to the team on a full-time or part-time basis,

and, of those assigned on a part-time basis, the number who were full-

time and part-time employees of the institution.

(B) The institution must consider graduate assistants and

volunteers who served as assistant coaches to be assistant coaches for

purposes of this report.

(3) The unduplicated head count of the individuals who were listed

under paragraph (c)(2)(i) of this section as a participant on at least

one varsity team, by gender.

(4)(i) Revenues derived by the institution according to the

following categories (Revenues not attributable to a particular sport

or sports must be included only in the total revenues attributable to

intercollegiate athletic activities, and, if appropriate, revenues

attributable to men's sports combined or women's sports combined. Those

revenues include, but are not limited to, alumni contributions to the

athletic department not targeted to a particular sport or sports,

investment interest income, and student activity fees.):

(A) Total revenues attributable to its intercollegiate athletic

activities.

(B) Revenues attributable to all men's sports combined.

(C) Revenues attributable to all women's sports combined.

(D) Revenues attributable to football.

(E) Revenues attributable to men's basketball.

(F) Revenues attributable to women's basketball.

(G) Revenues attributable to all men's sports except football and

basketball, combined.

(H) Revenues attributable to all women's sports except basketball,

combined.

(ii) In addition to the data required by paragraph (c)(4)(i) of

this section, an institution may report revenues attributable to the

remainder of the teams, by team.

(5) Expenses incurred by the institution, according to the

following categories (Expenses not attributable to a particular sport,

such as general and administrative overhead, must be included only in

the total expenses attributable to intercollegiate athletic

activities.):

(i) Total expenses attributable to intercollegiate athletic

activities.

(ii) Expenses attributable to football.

(iii) Expenses attributable to men's basketball.

(iv) Expenses attributable to women's basketball.

(v) Expenses attributable to all men's sports except football and

basketball, combined.

(vi) Expenses attributable to all women's sports except basketball,

combined.

(6) The total amount of money spent on athletically related student

aid, including the value of waivers of educational expenses,

aggregately for men's teams, and aggregately for women's teams.

(7) The ratio of athletically related student aid awarded male

athletes to athletically related student aid awarded female athletes.

(8) The total amount of recruiting expenses incurred, aggregately

for all men's teams, and aggregately for all women's teams.

(9)(i) The average annual institutional salary of the non-volunteer

head coaches of all men's teams, across all offered sports, and the

average annual institutional salary of the non-volunteer head coaches

of all women's teams, across all offered sports, on a per person and a

per full-time equivalent position basis. These data must include the

number of persons and full-time equivalent positions used to calculate

each average.

(ii) If a head coach has responsibilities for more than one team

and the institution does not allocate that coach's salary by team, the

institution must divide the salary by the number of teams for which the

coach has responsibility and allocate the salary among the teams on a

basis consistent with the coach's responsibilities for the different

teams.

(10)(i) The average annual institutional salary of the non-

volunteer assistant coaches of men's teams, across all offered sports,

and the average annual institutional salary of the non-volunteer

assistant coaches of women's teams, across all offered sports, on a per

person and a full-time equivalent position basis. These data must

include the number of persons and full-time equivalent positions used

to calculate each average.

(ii) If an assistant coach had responsibilities for more than one

team and the institution does not allocate that coach's salary by team,

the institution must divide the salary by the number of teams for which

the coach has responsibility and allocate the salary among the teams on

a basis consistent with the coach's responsibilities for the different

teams.

(Approved by the Office of Management and Budget under control

number 1845-0010)

(Authority: 20 U.S.C. 1092)

Sec. 668.48 [Amended]

10. Newly redesignated Sec. 668.48 is amended as follows:

A. In paragraph (a)(1), by removing ``By July 1, 1997, and by every

July 1 every year thereafter, each'' and adding, in its place,

``Annually, by July 1, an''; by removing ``shall'' and adding in its

place ``must''; and by removing ``an annual'' and adding, in its place

``a''.

B. In paragraph (a)(1)(iii), by adding ``, if applicable,'' before

``transfer-out''; and by removing ``Sec. 668.46(a)(1), (2), (3) and

(4)'' and adding, in its place, ``Sec. 668.45(a)(1)'';

C. In paragraph (a)(1)(iv), by adding ``, if applicable,'' before

``transfer-out''; and by removing ``Sec. 668.46(a)(1), (2), (3) and

(4)'' and adding, in its place, ``Sec. 668.45(a)(1)'';

D. In paragraph (a)(1)(v), by adding ``, if applicable,'' before

``transfer-out'' both times it appears; by removing ``

Sec. 668.46(a)(2), (3), and (4)'' and adding, in its place,

``Sec. 668.45(a)(1)''; and by removing ``shall'' and adding, in its

place, ``must'';

E. In paragraph (a)(1)(vi), by adding ``, if applicable,'' before

``transfer-out'' both times it appears; by adding after ``recent,''

``completing or graduating''; by removing ``Sec. 668.46(a)(2), (3), and

(4)'' and adding in its place ``Sec. 668.45(a)(1)''; and by removing

``shall'' and adding in its place ``must''; and

F. In paragraph (b), by removing ``Sec. 668.46'' and adding in its

place ``Sec. 668.45''; by removing ``(a)(1)(iii), (a)(1)(iv), and

(a)(1)(v)'' and adding in

[[Page 59073]]

their place ``(a)(1)(iii) through (vi)''; and by adding ``, if

applicable,'' before ``transfer-out.''

G. At the end of the section, by replacing the OMB control number

``1840-0719'' with the number ``1845-0004.''

11. Appendix E is amended by removing the definition of ``Murder,''

and by adding the following definitions before the definition of

``Robbery:''

Appendix E to Part 668--Crime Definitions in Accordance With the

Federal Bureau of Investigation's Uniform Crime Reporting Program

* * * * *

Crime Definitions From the Uniform Crime Reporting Handbook

Arson

Any willful or malicious burning or attempt to burn, with or

without intent to defraud, a dwelling house, public building, motor

vehicle or aircraft, personal property of another, etc.

Criminal Homicide--Manslaughter by Negligence

The killing of another person through gross negligence.

Criminal Homicide--Murder and Nonnegligent Manslaughter

The willful (nonnegligent) killing of one human being by

another.

* * * * *

[FR Doc. 99-28273 Filed 10-29-99; 8:45 am]

BILLING CODE 4000-01-U