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federal register
Monday
November 1, 1999
Part IX
Department of
Education
34 CFR Part 668
Student Assistance General Provisions;
Final Rule
59060 Federal Register / Vol. 64, No. 210 / Monday, November 1, 1999 / Rules and Regulations
DEPARTMENT OF EDUCATION Individuals with disabilities may · Amending § 668.48 to correspond
obtain this document in an alternate with § 668.45 concerning the disclosure
34 CFR Part 668 format (e.g., Braille, large print, of completion/graduation and transfer-
audiotape, or computer diskette) on out rates.
RIN 1845AA03
request to the contact person listed in
Discussion of Student Financial
Student Assistance General Provisions the preceding paragraph.
Assistance Regulations Development
SUPPLEMENTARY INFORMATION: On August Process
AGENCY: Department of Education. 10, 1999, we published a notice of
ACTION: Final regulations. proposed rulemaking (NPRM) for the The regulations in this document
Student Assistance General Provisions were developed through the use of
SUMMARY: We amend the regulations negotiated rulemaking. Section 492 of
in the Federal Register (64 FR 43582).
governing the disclosure of institutional In the preamble to the NPRM, we the HEA requires that, before publishing
and financial assistance information discussed the following proposed any proposed regulations to implement
under the student financial assistance changes: programs under Title IV of the Act, we
programs authorized under Title IV of · Amending § 668.41 to make the obtain public involvement in the
the Higher Education Act of 1965, as information disclosure process more development of the proposed
amended (Title IV, HEA programs). understandable and less burdensome, to regulations. After obtaining advice and
These programs include the Federal Pell require institutions to provide enrolled recommendations, we must conduct a
Grant Program, the campus-based students a list of the information to negotiated rulemaking process to
programs (Federal Perkins Loan, Federal which the students are entitled upon develop the proposed regulations. All
Work-Study (FWS), and Federal request, and to provide for institutions' proposed regulations must conform to
Supplemental Educational Opportunity use of Internet and Intranet websites for agreements resulting from the
Grant (FSEOG) Programs), the William the disclosure of information. negotiated rulemaking process unless
D. Ford Federal Direct Loan (Direct · Amending § 668.42 by we reopen that process or explain any
Loan) Program, the Federal Family incorporating it into § 668.41. departure from the agreements to the
Education Loan (FFEL) Program, and · Amending § 668.43 to require negotiated rulemaking participants.
the Leveraging Educational Assistance institutions to disclose their These regulations were published in
Partnership (LEAP) Program (formerly requirements and procedures for a proposed form on August 10, 1999, in
called the State Student Incentive Grant student to officially withdraw from the conformance with the consensus of the
(SSIG) Program). These regulations institution. negotiated rulemaking committee.
implement statutory changes made to · Amending § 668.45 regarding the Under the committee's protocols,
the Higher Education Act of 1965, as disclosure of completion/graduation consensus meant that no member of the
amended (HEA), by the Higher and transfer-out rate information by committee dissented from the agreed-
Education Amendments of 1998. implementing changes made by the upon language. We invited comments
DATES: Effective Date: These regulations 1998 Amendments, providing for a July on the proposed regulations by
are effective July 1, 2000. 1 annual disclosure date, limiting the September 15, 1999, and 132 comments
Implementation Date: The changes to required disclosure of transfer-out rates were received. An analysis of the
certain sections, particularly §§ 668.41 to certain institutions, achieving greater comments and of the changes in the
(b) and (c) and 668.46(c) (1)(4) and (f), consistency between term and nonterm- proposed regulations follows.
reflect changes made by Public Law based institutions in establishing a These regulations reflect the following
105244 that already are in effect. cohort, and adding optional disclosures. changes to the proposed regulations in
Sections 668.41 (b) and (c) concern the · Amending § 668.46 regarding the response to public comment:
distribution of information through disclosure of campus security · In § 668.43(a)(3), we clarified that
electronic media and the distribution to information to define terms (including the requirement that institutions
enrolled students of a list of the campus, noncampus buildings or disclose when a student must officially
information to which they are entitled property, and public property), by withdraw from the institution includes
upon request. Sections 668.46(c) (1)(4) excluding pastoral or professional the disclosure of the procedures for a
and (f) concern the reporting of crime counselors from the definition of a student to officially withdraw.
statistics and the maintenance of a campus security authority, by adding · In § 668.46(a) we revised the
crime log. You may use these new categories of crimes to be reported definition of a professional counselor to
regulations prior to July 1, 2000 as and new policies to be disclosed, by no longer require that the counselor be
guidance in complying with the relevant clarifying how to compile and depict an employee of the institution. In
statutory provisions. You can find the crime statistics, by changing the date for addition, we revised the definition by
full text of Public Law 105244 at http:/ disclosure of the annual security report replacing the term ``psychological
/www.access.gpo.gov/nara/publaw/ to October 1, by requiring certain counseling'' with the term ``mental
105publ.html. institutions to maintain a publicly health counseling.''
FOR FURTHER INFORMATION CONTACT: available crime log, and by requiring · We moved the definition of
Paula Husselmann institutions annually to submit their ``prospective employee'' from
(Paula Husselmann@ed.gov) or Lloyd crime statistics to the Department. § 668.46(a) to § 668.41(a).
Horwich (Lloyd Horwich@ed.gov), · Amending § 668.47 by providing for We added § 668.46(c)(2) to require
U.S. Department of Education, 400 the disclosure of additional data about institutions to record a crime statistic in
Maryland Avenue, SW, ROB3, room revenues and expenses attributable to an their annual security reports for the
3045, Washington, DC 202025344. institution's intercollegiate athletic calendar year in which the crime was
Telephone (202) 7088242. If you use a activities, by clarifying the meaning of reported to a campus security authority.
telecommunications device for the deaf various terms, and by requiring We discuss substantive issues under the
(TDD), you may call the Federal institutions annually to submit their sections of the regulations to which they
Information Relay Service (FIRS) at 1 Equity in Athletics Disclosure Act pertain. Generally, we do not address
8008778339. (EADA) report to the Department. technical and other minor changes and
Federal Register / Vol. 64, No. 210 / Monday, November 1, 1999 / Rules and Regulations 59061
suggested changes the law does not Section 668.41 Reporting and earned college credit in high school)
authorize us to make. Disclosure of Information regardless of their class standing. As
Comments: Section 668.41 should some members of the cohort may have
Analysis of Comments and Changes
address any information institutions advanced standing, we agree that the
Subpart D--Institutional and Financial participating in Title IV, HEA programs use of the word ``freshman'' in the
Assistance Information for Students are required to disclose by any definition could cause confusion.
Changes: The term ``first-time
These regulations (1) retitle Subpart D Department of Education regulation, not
freshman student'' is replaced by the
from ``Student Consumer Information just information institutions are
term ``first-time, undergraduate student''
Services'' to ``Institutional and Financial required to disclose by these regulations
wherever it appears in these regulations
Assistance Information for Students,'' to (34 CFR Part 668, Subpart D).
(§§ 668.41(a), 668.45(a)(3)(iii), and
conform the title to that of section 485 Discussion: Section 668.41 only is
668.45(a)(4)(i)(ii)).
of the HEA, and (2) renumber the intended to address information that Comments: The definition of ``notice''
sections. institutions are required to disclose by in § 668.41(a) should not require
These regulations remove current section 485 of the HEA. We believe that institutions, in providing the various
§ 668.42 and incorporate it into including in § 668.41 all information notices of the availability of information
§ 668.41. Therefore, these regulations that institutions must disclose under required by § 668.41, to provide the
renumber current §§ 668.4349 as any Department regulation is notices on a one-to-one basis to persons
§§ 668.4248; the preamble to these impractical and would be confusing. to whom the information need only be
regulations refers to the new section Changes: None. provided upon request.
numbers. Comments: The Department should Discussion: We do not believe that
provide a chart listing all information students and others entitled to the
Questions and Recommendations: that institutions must disclose under information will be adequately notified
Commenters requested guidance on these regulations and the persons to of its availability if the notification of its
implementation of the requirements of whom they must disclose the availability is made through means that
this subpart and made information. do not ensure that each person who is
recommendations concerning how we Discussion: We believe that § 668.41 entitled to the notification receives it.
should interpret these regulations or adequately provides the information The regulation does not prescribe the
apply them to particular circumstances. sought by this comment. However, we method by which institutions must
As these comments did not request any will provide continuing technical notify students and others of the
changes in the proposed regulations, we assistance, including the requested information's availability; the regulation
will provide separate guidance at a later chart, to institutions to help them simply prescribes that the method used
date. understand and comply with these must provide individualized notice.
regulations. Changes: None.
General Comments
Changes: None. Comments: Change §§ 668.41(c) and
The Secretary should clarify the Comments: The Department should (d) to include completion and
record retention requirements that apply clarify the level of description of graduation rates, and if applicable,
to these regulations. required information it expects transfer-out rates, for athletes under
Discussion: Section 668.24 of the institutions to provide in the various § 668.48, among the required
Student Assistance General Provisions notices of the availability of information disclosures of information.
outlines the record retention that are required by § 668.41. Discussion: Section 485(a)(1) of the
requirements for the student financial Discussion: As stated in the preamble HEA does not include completion and
assistance programs. Generally, a record to the NPRM (64 FR 43583), the graduation rates of athletes in the list of
must be maintained for three years description should be sufficient to allow information institutions must provide
following the end of the award year for students and others to understand the upon request to enrolled and
which the record was established. With nature of the information and to make prospective students. Although section
respect to the disclosure of institutional informed decisions about whether to 485(e) of the HEA only requires
and financial assistance information request the information. We do not institutions to provide the report
provided under Subpart D of the believe there is a need to be more concerning athletes' graduation rates to
Student Assistance General Provisions, prescriptive in this area. prospective student-athletes and their
the purpose is for the disclosure of Changes: None. parents, high school coaches, and
certain information to students and Comments: Remove the word guidance counselors, we encourage
other parties. Therefore, the institution ``freshman'' from the definition ``first- institutions to provide the report to
must retain any record related to the time, freshman student'' in § 668.41(a), others who request it.
disclosure for three years following the which identifies those students that Changes: None.
date of disclosure. institutions must include in their Comments: Rather than requiring
Using the campus security records as cohorts for calculating completion or institutions under § 668.41(c) annually
an example, an institution's annual graduation rates, and if applicable, to provide all enrolled students a notice
security report to be disclosed on transfer-out rates. listing the information to which they are
October 1, 2000 must include crime Discussion: As described in § 668.45, entitled upon request, allow institutions
statistics for calendar years 1997, 1998, institutions must include in their to tell students, at the time the
and 1999. The record retention cohorts first-time, certificate- or degree- institutions distribute the notice, how
regulations require the institution to seeking, full-time undergraduate often they will publish the list and how
retain records to substantiate the students who never have attended any students can obtain interim changes to
information in its 2000 report for three institution of higher education the list.
years from October 1, 2000. Therefore, (including in the cohort those who Discussion: Section 485(a) of the HEA
calendar year 1997 records must be enroll in the fall term having attended specifically requires that institutions
retained until October 1, 2003. a postsecondary institution for the first provide the list annually to all enrolled
Changes: None. time in the prior summer term or having students.
59062 Federal Register / Vol. 64, No. 210 / Monday, November 1, 1999 / Rules and Regulations
Changes: None. schools is sufficient to qualify for a term, regardless of whether they enter
Comments: The Department should waiver. before or after September 1.
clarify that § 99.7, which is referenced Changes: None. Comments: Institutions should be
in § 668.41(c)(1), refers to the allowed to disclose graduation or
Section 668.43 Institutional and completion and, if applicable, transfer-
notification requirements under the Financial Assistance Information
Family Educational Rights and Privacy out rates for their 1996 and 1997 cohorts
Act of 1974 (FERPA). Comments: The requirement in based on a September 1 though August
Discussion: We agree. § 668.43(a)(2) and (4) that an institution 31 year.
Changes: Section 668.41(c)(1) is disclose any refund policy with which Discussion: We agree. The 1998
amended to include a reference to the institution is required to comply Amendments changed the year during
FERPA. should make clear that the requirement which institutions must determine
Comments: The requirement for refers to any refund policy required by whether students for whom 150% of
disclosure of information about the the institution's accrediting agency or normal time for completion of their
terms and conditions of deferral of loan State agency, not to the requirements for programs has elapsed have completed or
repayments for service under the Peace determining the amount of Title IV HEA graduated from the program from July 1
Corps Act, the Domestic Volunteer program assistance that a student has through June 30 to September 1 through
Service Act of 1973, or for comparable earned upon withdrawal. August 31. These regulations reflect the
service as a volunteer for a tax-exempt Discussion: Institutions are required statutory change.
to disclose any refund policy that Changes: None.
organization of demonstrated Comments: In determining its fall
effectiveness in the field of community requires the return of unearned funds to
their source. This information includes cohort, a term-based institution should
service should be moved from be able to consider who is enrolled on
§ 668.41(d)(4) to § 668.42 (Financial the determination of amounts returned
to the title IV programs and all other another official fall reporting date other
assistance information), which than October 15 or the end of the drop-
addresses, among other subjects, loan provisions of § 668.22, as well as any
refund policy required by the State or add period to make the reporting date
repayment. consistent with the Department's
Discussion: We agree with the the school's accrediting agency, or any
institutional refund policy. Integrated Postsecondary Education
commenters. Data System's (IPEDS) Fall Enrollment
Changes: None.
Changes: Section 668.41(d)(4) in the (EF) report.
Comments: In addition to an
NPRM is moved to § 668.42(c)(7). Discussion: We agree that a term-
institution's disclosure of when a
Comments: If the purpose of the based institution's establishment of its
student must officially withdraw from
revised § 668.41 is to put all of an fall cohort under this regulation should
the institution, the disclosure should
institution's disclosure responsibilities be consistent with the IPEDS data on
include the institution's procedures for
under subpart D in a single section, the fall enrollment.
that withdrawal.
requirement that an institution must Discussion: Any disclosure of the Changes: We revised § 668.45(a)(4) to
report its crime statistics to the requirements for withdrawal must include as an entering student a first-
Department should be moved from necessarily include sufficient time, full-time, certificate or degree-
§ 668.46(g) to § 668.41. information for a student to know how seeking undergraduate who is enrolled
Discussion: We agree with the to go about withdrawing from the on another official fall reporting date.
commenters. institution. Also, we added to § 668.41(a) the
Changes: Section 668.46(g) in the Changes: We revised § 668.43(a)(3) to definition of ``official fall reporting
NPRM is moved to § 668.41(e)(5). clarify that the requirement that an date'' used by the IPEDS EF report.
Comments: The Department should institution disclose its requirements for Comments: Transfer-out rates should
clarify that the prohibition on using the withdrawal includes a requirement that be optional for all institutions for a
Internet to provide the information an institution disclose the procedures a number of reasons, including the greater
required by § 668.41(f)(1)(i) to student must follow to officially regulatory burden placed on institutions
prospective student-athletes and their withdraw. that consider ``substantial preparation''
parents does not prohibit a national as part of their mission--for example,
collegiate athletic association from Section 668.45 Information on community colleges.
obtaining a waiver for its members Completion or Graduation Rates Discussion: The HEA requires
under § 668.41(f)(1)(ii) for providing the Comments: Term-based institutions institutions to report the rate at which
information to prospective student- whose students enroll before September students who receive substantial
athletes' high school coaches and 1 of a given year should continue to preparation transfer out of the
guidance counselors by distributing the include these students in their fall institution. Therefore, the transfer-out
information to all secondary schools in cohort for that year. rate cannot be made optional in all
the United States through the Internet or Discussion: These regulations do not cases. These regulations limit the
other electronic means. change how a term-based institution requirement to institutions that
Discussion: We did not intend the establishes its fall cohort. A term-based determine that their missions include
prohibition referred to above to address institution may include in its fall cohort providing substantial preparation for
the means by which a national students who enroll for the fall term their students to enroll in other eligible
collegiate athletic association must before September 1 of a given year, and institutions. Institutions with
provide the information to secondary continue to include students who substantial numbers of transfers-out
schools in order to obtain a waiver attended the institution for the first time may have a lower graduation and
under § 668.41(f)(1)(ii). We would be during the summer preceding the fall completion rate than other institutions
pleased to work with any such term. and thus may find it desirable to report
association seeking a waiver for its Changes: We revised § 668.45(a)(3)(i) a transfer-out rate. We anticipate that
members to determine whether the to clarify that an institution's fall cohort the required transfer-out rate will not
association's proposed method of must include all students who enter a apply to most four-year institutions.
providing the information to secondary term-based institution during the fall Consistent with the treatment of
Federal Register / Vol. 64, No. 210 / Monday, November 1, 1999 / Rules and Regulations 59063
transfer-out students by IPEDS campus security authority. In addition the definition of campus. Commenters
Graduation Rate Survey (GRS), an to campus law enforcement staff, a also asked how different institutions
institution only is required to report on campus security authority is someone that occupy the same general geographic
students whom the institution knows with ``significant responsibility for area and different campuses of an
transferred to another institution. student and campus activities.'' Absent institution should report crimes.
Changes: None. this responsibility, an employee is not a Discussion: We will respond to
Comments: The Secretary should campus security authority. commenters' questions concerning
clarify that a student who leaves an For example, a dean of students who implementation of the proposed
undergraduate institution for study at a oversees student housing, a student regulations, and will post our answers
graduate institution is not a transfer-out center, or student extra-curricular on our Information for Financial
under these regulations. activities, has significant responsibility Assistance Professionals (IFAP) website:
Discussion: For purposes of these for student and campus activities. http://ifap.ed.gov
regulations, a student who leaves an Similarly, a director of athletics, team Changes: None.
undergraduate program for study in a coach, and faculty advisor to a student Comments: Generally, the
graduate program is not considered a group also have significant commenters expressed much
transfer-out. Normally, such a student responsibility for student and campus satisfaction with the compromises made
would have completed his or her activities. during negotiated rulemaking regarding
program and be included in the A single teaching faculty member is the definitions in § 668.46(a). In
institution's completion/graduation rate. unlikely to have significant particular, many commenters agreed
Changes: None. responsibility for student and campus with the negotiators' decision to exclude
Comments: A term-based institution activities, except when serving as an professional and pastoral counselors
should be defined as an institution at advisor to a student group. A physician from being required to report crimes
which more than fifty percent of the in a campus health center or a counselor discussed with them in their role as
programs are term-based. in a counseling center whose only counselor. Some commenters disagreed
Discussion: Section 668.45(a)(3)(i) responsibility is to provide care to with this exclusion, on the belief that
defines a term-based institution as an students are unlikely to have significant reporting a statistic cannot identify the
institution at which a predominant responsibility for student and campus victim. Other commenters believed that
number of the programs are based on activities. Also, clerical staff are the process of reporting statistics and
semesters, trimesters, or quarters. unlikely to have significant avoiding double-counting can lead to
Changes: None. responsibility for student and campus
Comments: The Secretary should identification of the victim. Many
activities. commenters stressed the importance of
indicate that an institution's compliance Since official responsibilities and job
with the IPEDS GRS ensures compliance ensuring that students' ability to obtain
titles vary significantly from campus to
with the methodological requirements confidential counseling not be
campus, we believe that including a list
of § 668.45. compromised.
of specific titles in the regulation is not
Discussion: We agree. An institution's Discussion: We agree with the
practical. However, as stated above, we
compliance with the GRS constitutes commenters about the importance of
will provide additional guidance at a
compliance with the methodological victims' being able to obtain
later date concerning interpretation of
provisions of §§ 668.45 and 668.48. confidential counseling. We also agree
these regulations.
Changes: None. Changes: None. that although reporting a statistic is not
Comments: The definition of campus likely, of itself, to identify the victim,
Section 668.46 Institutional Security the need to verify the occurrence of the
security authority should include only
Policies and Crime Statistics crime and the need for additional
individuals working for the institution's
Comments: Numerous commenters campus security office or expressly information about the crime to avoid
requested that we specifically exclude performing a campus security function double-counting can lead to
certain types of employees from the at the institution's request. identification of the victim.
definition of a campus security Discussion: We believe that the new Representatives of psychological
authority--for example, lay counselors, definition and guidance reflect the counselors informed us that counselors
dormitory rectors, physicians, access reality that on colleges campuses, would, as a matter of professional
monitors, rape crisis counselors, officials who are not police officials or obligation, be required to inform a
doctoral counselor trainees, campus acting as event security at student or patient at the beginning of any session
ombudsmen, and teaching faculty. campus events nevertheless are that detailed information may be
Other commenters requested responsible for students' or campus disclosed to other parties for statistical
clarification about whether student security. We also believe the new reporting purposes. In their experience,
security personnel organized by student definition and guidance will better this disclosure has a chilling effect on
governments and concert security enable institutions to determine who is access to professional counseling by
employees who work for the institution a campus security authority and thereby causing a victim to decline or be wary
are campus security authorities. Still to comply with these regulations. of professional assistance. Given the
other commenters asked us to define Changes: None. importance of access to counseling, the
who is an ``official'' of the institution, Comments: Commenters asked a availability of statistics from other
and what ``significant responsibility'' for number of questions regarding our sources on campus, and the provisions
student and campus activities means. interpretation of the definitions of we included in this regulation
Discussion: To determine if an campus, noncampus building or concerning confidential reporting, we
institution must collect crime statistics property, and public property, such as believe this regulation strikes the
from a particular employee or official, or what it means for an institution to appropriate balance between
provide a timely warning report based ``control'' property, what ``adjacent to individuals' need for counseling and the
on crimes reported or known to the and accessible from the campus'' means, community's need for complete
employee or official, an institution must and whether remote classrooms or statistics.
first determine if that official is a remote research stations are included in Changes: None.
59064 Federal Register / Vol. 64, No. 210 / Monday, November 1, 1999 / Rules and Regulations
Comments: The definition of We agree that the definition should be rules, policies, or code of conduct.
professional counselor should refer to moved to § 668.41. Therefore, the Secretary should clarify
mental health counseling instead of Changes: The definition of that referrals for alcohol, drug, and
psychological counseling because the prospective employee is moved from weapons law violations are limited to a
job description of a professional § 668.46(a) to § 668.41(a). breach of institutional policy, not law.
counselor other than a psychologist or Comments: Some commenters Discussion: The requirement that
psychiatrist might refer to mental health objected to the requirement in institutions report statistics for referrals
counseling or crisis counseling, but § 668.46(b)(2)(ii) that institutions for campus disciplinary action for
would be unlikely to refer to disclose their policies for preparing the alcohol, drug and weapons possession
psychological counseling. This annual disclosure of crime statistics and refers to violations of law only. For
definition also should refer to requested clarification of what this example, if a student of legal drinking
independent contractors who perform disclosure entails. age in the State in which an institution
professional counseling for institutions. Discussion: This disclosure serves two is located violates the institution's ``dry-
Discussion: We agree with the important purposes. It informs the campus'' policy and is referred for
commenters that changing the definition students about how and from what campus disciplinary action, that statistic
to refer to mental health counseling sources the report is prepared. Many should not be included in the
rather than psychological counseling students may not be aware that a formal institution's crime statistics. We believe
provides a clearer, more precise police report or investigation is not that campus judicial officials and
definition, but emphasize that the needed in order for a crime report to be campus police are capable of
change does not expand the definition included in the statistics. This determining whether a particular
to include non-professional or informal disclosure also requires an institution to alcohol, drug, or weapons violation is a
counselors. consider what officials or offices must violation of law.
be canvassed in order to prepare a Changes: None.
We believe that changing the
complete report. Incorrectly, some Comment: Most commenters
definition by eliminating the reference
institutions believe that only formal responded to our question regarding
to employee would clarify that the
police reports need be included; the whether a crime should be recorded for
definition refers to the nature of the the calendar year in which the crime
disclosure allows the reader to conclude
counselor, not the counselor's was reported to the institution or the
that all of the proper offices have been
employment relationship with the calendar year in which the crime
canvassed. The disclosure need only
institution. occurred. The commenters were largely
provide a general description of the
Changes: We changed the definition in favor of recording the crime on the
process for preparing the report,
of professional counselor in § 668.46(a) date the crime was reported to the
including the offices surveyed. There is
to refer to mental health counseling and institution. The commenters indicated
no requirement to disclose every
to exclude the requirement that a that for statistical purposes the FBI
detailed step in the report's preparation.
professional counselor be an employee Changes: None. collects crime data based on when
of the institution. Comments: The endorsement of crimes are reported to the police, not on
Comments: The requirement that anonymous crime reporting procedures the date crimes occur. One reason for
institutions provide notice of the is a valuable addition to the regulations. this standard is that crimes generally are
availability of the annual security report Although incomplete anonymous discovered after they occur, making the
to each prospective employee is overly reports raise a number of statistical date of occurrence unknown or
burdensome as that term is defined (an reporting questions, it is a valuable uncertain. The commenters explained
individual who has contacted an alternative for some crime victims. In that using the date of occurrence creates
eligible institution requesting some States confidential reporting of additional burden for institutions.
information concerning employment crime is illegal. Discussion: We appreciate the
with the institution). The definition Discussion: Institutions should note responses to our solicitation for
should be limited to individuals who that the regulations refer to confidential comment on this issue. We previously
apply for employment. Also, the reporting, not anonymous reporting. have required institutions to report
definition should be moved from The regulations do not require crime statistics according to the year in
§ 668.46 to § 668.41, because it applies institutions to allow confidential which the crimes occurred. However,
to both sections, and the definitions in reporting. Rather, § 668.46(b)(2)(iii) and we are convinced by the weight of the
§ 668.41 apply to the entire subpart, (4)(iii) require institutions to state comments that we would eliminate a
while those in § 668.46 only apply to whether they allow confidential considerable burden on institutions by
that section. reporting, and if so, to describe their making this reporting requirement
Discussion: We do not believe that the procedures for that reporting, including consistent with FBI reporting practices,
definition is unduly burdensome, whether the institution encourages and that no crime statistics will go
especially given the importance of pastoral counselors and professional unreported as a result of this change.
prospective employees being able to counselors, if and when they deem it Changes: Section 668.46(c)(2) is
make fully informed choices. The appropriate, to inform the persons they revised to require an institution to
requirement applies only when an are counseling of those procedures. An record crime data based on when the
individual requests information from an institution prohibited by State law from crime was reported to a campus security
institution and the institution, allowing confidential reporting simply authority.
presumably, either will mail the would be required to state that in its Comments: The problem with
individual the information or tell the annual security report. reporting which crimes are hate crimes
individual where to obtain the Changes: None. is an institution's reliance on municipal
information. The institution simply can Comments: Campus judicial processes police departments to provide this
include in whatever information it do not determine whether a crime information. Hate crimes are often a
provides the individual a brief notice of occurred, but rather determine only political issue in municipalities, which
the availability of the annual security whether the accused person committed may be reluctant to release information
report. an act that violates the institution's concerning hate crimes to an institution.
Federal Register / Vol. 64, No. 210 / Monday, November 1, 1999 / Rules and Regulations 59065
Discussion: We recognize that some will not establish a uniform process to Discussion: The requirements in
institutions must rely on data, including review institutions' maps. Anyone who § 668.47 concerning the disclosure of
hate crime data, from outside agencies. believes that an institution is not in intercollegiate athletics financial data
In complying with the statistical compliance with the campus security are statutory requirements.
reporting requirements, an institution regulations may contact the Office of Changes: None.
must make a reasonable, good-faith Student Financial Assistance regional Comments: When and to which office
effort to obtain statistics from outside office for the State in which the of the Department should institutions
agencies. An institution that makes such institution is located. The addresses and submit their EADA reports?
an effort is not responsible for the telephone numbers for the regional Case Discussion: We are developing a
agencies' failure to provide the statistics Team Managers are at the following process for receiving the reports. When
or for verifying the accuracy of statistics Internet address: http://ed.gov/ the process is complete, we will inform
the agencies provide. about.html. institutions on the Department's IFAP
Changes: None. Changes: None. website: http://ifap.ed.gov. Institutions
Comments: The requirement that Comments: The regulations should should have made the reports available
institutions report hate crimes related to define what is meant, for purposes of to students and others by October 15,
``any crime involving bodily injury'' is crime log entries, by the nature, date, 1999.
inconsistent with other statistical time and general location of each crime. Changes: None
reporting requirements. To require an The Department should emphasize that
institution to search for every crime that institutions may withhold this Section 668.48 Report on Completion
may have involved personal injury is information only when it is absolutely or Graduation Rates for Student-
overly burdensome. necessary to prevent a breach of victim's Athletes
Discussion: The requirement that confidentiality. Comments: Allow term-based
institutions report hate crimes related to Discussion: We believe these terms institutions, in determining their
any crime involving bodily injury is are straightforward and there is no need athletic cohorts under § 668.48(a), to
mandated by the HEA. for more prescriptive regulation. include athletes who receive athletically
Changes: None. However, we emphasize that an related student aid at any time during
Comments: The Secretary should institution may only withhold this the academic year in which their
clarify that institutions are not required information when it is sufficiently clear cohorts are established, rather than only
to report statistics for public property that the victim's confidentiality is in allowing those institutions to include
that surrounds noncampus buildings or jeopardy. athletes who receive aid by the end of
property. Changes: None.
the institution's drop-add period or by
Discussion: These regulations do not
Section 668.47 Report on Athletic October 15.
require an institution to report crime
Program Participation Rates and Discussion: We stated in the preamble
statistics for public property
Financial Support Data to the NPRM (64 FR 43589) that
surrounding noncampus buildings or
property. Comments: Section 668.47 should institutions should include in their
Changes: None. include a separate audit requirement for athletic cohorts students who receive
Comments: The commenters asked the data it requires institutions to report. athletically related student aid by the
that the preamble make clear that an Discussion: As discussed in the end of the institution's drop-add period
institution must use both the UCR preamble to the NPRM (64 FR 43588 or by October 15 because we believed
definitions and standards when 89), the primary change to the EADA that would lessen institutions' burden.
reporting crime. made by the 1998 Amendments was the However, based on the weight of the
Discussion: We reiterate the language relocation of informational requirements comments, and because the
of § 668.46(c)(7) that requires an concerning revenues and expenses Department's Integrated Postsecondary
institution to use UCR guidance when attributable to institutions' Education Data System's (IPEDS)
defining and classifying crimes. intercollegiate athletic activities from Graduation Rate Survey allows term-
Changes: None. section 487(a) of the HEA (Program based institutions to use the entire
Comments: The commenters strongly Participation Agreements) to section academic year to determine their
supported the use of a map to aid in the 485(g). In relocating those requirements, athletic cohorts, we now change the
disclosure of crime statistics, and Congress repealed the audit requirement guidance we gave in the preamble to the
believe that a map would be very under section 487(a). We believe NPRM and allow term-based
effective in indicating the areas to be Congress' intent is clear that there institutions to use the entire academic
considered in compiling these statistics. should not be a separate audit year to determine their athletic cohorts.
Some commenters believe that the requirement for the data required by Further, we clarify that ``drop-add
Department will receive complaints or § 668.47. period,'' in this context, refers to
queries from the campus community Changes: None. institutions' fall drop-add periods.
that a map disclosed by an institution Comments: Institutions annually Changes: None.
does not accurately depict the reporting submit an audited financial statement to
Executive Order 12866
area of a campus and recommended that the Department. The requirement in
the Department establish a uniform § 668.47 to report intercollegiate We have reviewed these final
review process for the review of maps athletics financial data separately regulations in accordance with
so that questions can be handled in a requires reformatting the data, causes Executive Order 12866. Under the terms
timely and efficient manner. the data to appear differently than in the of the order, we have assessed the
Discussion: We agree with the financial statement, and is potential costs and benefits of this
commenters that using a map in administratively burdensome. The regulatory action.
disclosing crime statistics can be very Department should consider whether The potential costs associated with
helpful; students and others will be able the benefit to students, parents, and these final regulations are those
to visualize the areas covered by an others from this report outweighs the resulting from statutory requirements
institution's annual security report. We cost to institutions. and those we have determined to be
59066 Federal Register / Vol. 64, No. 210 / Monday, November 1, 1999 / Rules and Regulations
necessary for administering this (Catalog of Federal Domestic Assistance standing (college credit earned before
program effectively and efficiently. numbers: 84.007 Federal Supplemental graduation from high school).
In assessing the potential costs and Educational Opportunity Grant Program; Normal time is the amount of time
benefits--both quantitative and 84.032 Consolidation Program; 84.032 necessary for a student to complete all
Federal Stafford Loan Program; 84.032
qualitative--of these final regulations, requirements for a degree or certificate
Federal PLUS Program; 84.032 Federal
we have determined that the benefits of Supplemental Loans for Students Program; according to the institution's catalog.
the regulations justify the costs. 84.033 Federal Work-Study Program; 84.038 This is typically four years for a
We have also determined that this Federal Perkins Loan Program; 84.063 bachelor's degree in a standard term-
regulatory action does not unduly Federal Pell Grant Program; 84.069 LEAP; based institution, two years for an
interfere with State, local, and tribal and 84.268 William D. Ford Federal Direct associate degree in a standard term-
governments in the exercise of their Loan Programs) based institution, and the various
governmental functions. List of Subjects in 34 CFR Part 668 scheduled times for certificate
We summarized the potential costs programs.
and benefits of these final regulations in Administrative practice and Notice means a notification of the
the preamble to the NPRM (64 FR procedure, Colleges and universities, availability of information an institution
4358943590). Student aid, Reporting and is required by this subpart to disclose,
recordkeeping requirements. provided to an individual on a one-to-
Paperwork Reduction Act of 1995
Dated: October 19, 1999. one basis through an appropriate
The Paperwork Reduction Act of 1995 Richard W. Riley, mailing or publication, including direct
does not require you to respond to a mailing through the U.S. Postal Service,
Secretary of Education.
collection of information unless it campus mail, or electronic mail. Posting
displays a valid OMB control number. For the reasons discussed in the on an Internet website or an Intranet
We display the valid OMB control preamble, the Secretary amends part website does not constitute a notice.
numbers assigned to the collections of 668 of title 34 of the Code of Federal Official fall reporting date means that
information in these final regulations at Regulations as follows: date (in the fall) on which an institution
the end of the affected sections of the must report fall enrollment data to
regulations. PART 668--STUDENT ASSISTANCE
either the State, its board of trustees or
GENERAL PROVISIONS
Assessment of Educational Impact governing board, or some other external
1. The authority citation for part 668 governing body.
In the NPRM, we requested comments is revised to read as follows: Prospective employee means an
on whether the proposed regulations individual who has contacted an
Authority: 20 U.S.C. 1085, 1088, 1091,
would require transmission of eligible institution for the purpose of
1094, 1099c and 1141, unless otherwise
information that any other agency or noted. requesting information concerning
authority of the United States gathers or employment with that institution.
makes available. 2. The title of subpart D is revised to Prospective student means an
Based on the response to the NPRM read as follows: individual who has contacted an
and on our review, we have determined eligible institution requesting
that these final regulations do not Subpart D--Institutional and Financial
information concerning admission to
require transmission of information that Assistance Information for Students
that institution.
any other agency or authority of the 3. Section 668.41 is revised to read as Undergraduate students, for purposes
United States gathers or makes follows: of §§ 668.45 and 668.48 only, means
available. students enrolled in a bachelor's degree
§ 668.41 Reporting and disclosure of program, an associate degree program,
Electronic Access to This Document information. or a vocational or technical program
You may view this document in text (a) Definitions. The following below the baccalaureate.
or Adobe Portable Document Format definitions apply to this subpart: (b) Disclosure through Internet or
(PDF) on the Internet at the following Athletically related student aid means Intranet websites. Subject to paragraphs
sites: any scholarship, grant, or other form of (c)(2), (e)(2) through (4), or (g)(1)(ii) of
http://ocfo.ed.gov/fedreg.htm financial assistance, offered by an this section, as appropriate, an
http://www.ed.gov/legislation/HEA/ institution, the terms of which require institution may satisfy any requirement
rulemaking/ the recipient to participate in a program to disclose information under paragraph
http://ifap.ed.gov/csb html/ of intercollegiate athletics at the (d), (e), or (g) of this section for--
fedlreg.htm institution. Other student aid, of which (1) Enrolled students or current
To use the PDF you must have the a student-athlete simply happens to be employees by posting the information
Adobe Acrobat Reader Program with the recipient, is not athletically related on an Internet website or an Intranet
Search, which is available free at the student aid. website that is reasonably accessible to
first of the previous sites. If you have Certificate or degree-seeking student the individuals to whom the
questions about using the PDF, call the means a student enrolled in a course of information must be disclosed; and
U.S. Government Printing Office (GPO) credit who is recognized by the (2) Prospective students or
toll free, at 18882936498; or in the institution as seeking a degree or prospective employees by posting the
Washington, DC, area, at (202) 512 certificate. information on an Internet website.
1530.