The final regulations amending the institutional and financial assistance disclosure requirements were issued by the Department of Education November 1, 1999. The regulations directly affect the type of Student Right-to-Know, Campus Crime and Security, and Athletic Participation and Financial Support (EADA) reporting and disclosure activities that institutions must engage in to remain Title IV compliant. The regulations generally became effective July 1, 2000 although some requirements became effective as of the Reauthorization date (1998). The analysis that follows should not be construed as legal advice. Institutional administrators are encouraged to consult with their legal counsel to ensure full compliance with the regulatory requirements. The regulations can be viewed or downloaded from: http://www.ifap.ed.gov/fregisters/doc0249_bodyoftext.htm (Click on Link for Access).

Synopsis of Changes:

General Disclosure Requirements:

Institutions are required to provide a list of all information that Enrolled Students are entitled to receive, upon their request.

The list should include:

  • The Institution's Graduation/Completion and Transfer-out rates/when applicable)
  • Athletes -Graduation/Completion and Transfer-out rates/when applicable)
  • Campus crime statistics and institutional security policies
  • Institutional Information: 1) requirements and procedures for Withdrawing from the Institution, 2) Cost of Attendance (tuition/ fees charges, books/supplies costs, room and board charges, related charges), 3) refund policy and summary of requirements for return of Title IV grants or loans, 5) current academic programs of the institution (current degree programs, educational/training programs, faculty), 6) names of associations, agencies accrediting the institution, 7) description of special facilities and services for disabled students, 8) the school's policy on enrollment in study abroad programs.
  • Annual notification required by FERPA (Family Educational Rights and Privacy Act regulations
  • Financial assistance available and eligibility, includes such information as: types of aid available, application forms/procedures to use in applying for aid, eligibility requirements, selection criteria, criteria used to determine amount of aid award, satisfactory student progress standards, how to re-establish satisfactory progress status, disbursement methods, loan qualifications and student employment conditions, conditions for federal loan repayment for students who participate in volunteer services.
  • Athletic participation and EADA report/data.

Withdrawal Process: Institutions must provide information about the school's withdrawal process. The information should be sufficient and informative enough to allow students to satisfactorily complete the official withdrawal process.

Guidance is provided below (based on discussions with U.S. Dept. of Education officials).

Key Points:

  • the information must be provided, Upon Request, to Enrolled and Prospective students.
  • the information must include instructions on how to begin as well as complete the withdrawal process.

What Type and How Specific Should the Information Be?:

Names of personnel and offices to contact about the withdrawal process should generally be disclosed. The Dept. of Education has indicated that schools should use good honest judgment in deciding what additional type of information to provide. The purpose of this regulation is to make sure that students are aware of the withdrawal process and are able to avail themselves of it if they need to. Including office hours would make sense.

Can the Information about the Withdrawal Process be Disseminated over a SchoolÃs Internet, Intranet or Email System?

Generally yes, but schools should ensure that the web/email is not the only means of disseminating the information. In other words, while an electronic means of providing withdrawal services would be acceptable, it should be in addition to a more traditional method for those students who cannot or will not use the web. It can supplement, not replace the designated office(s) and personnel.

Can the withdrawal request be made verbally versus in writing?

Yes, depending on the school's policy.

How Should Refunds be figured?

The calculation should be made to four decimal places and rounded to three, using standard rounding procedures detailed in the preamble on page 59031 of the November 1, 1999 Final Regulation. The Return of Title IV funds software, which will be available later this spring, will automatically perform the required rounding as stipulated in the preamble. Financial aid officers will have an opportunity to view the software at the ED Spring Reauthorization training sessions occurring throughout the country between Feb and May.

Key Student Right-to-Know Changes

  • Reporting and Disclosure of Transfer-out Rates: will only be required of institutions that have the substantial preparation of students for enrollment in programs at other institutions as their established institutional mission (e.g., community colleges).
  • Disclosure Date for Institutional Completion/Graduation and Transfer-out Rates: has been changed to July 1st each year (it was previously January 1st).
  • The cohort of students to include in calculating graduation/completion and transfer-out rates (where applicable) has been changed to: first-time Undergraduate students - the reference to first-time Freshmen was deleted.
  • The NCAA can distribute graduation/completion rates of student athletes to all secondary schools in the U.S. to satisfy the disclosure requirement to coaches and guidance counselors.
  • Change in Cohort Timeframe: the time frame to use in calculating graduation/completion and transfer-out rates has been changed from a July-to-June to a September-to-August time frame. Institutions are to use a September 1st to August 31st cohort year - this applies to calculating Institutional as well as Student Athletes' rates.

** See the SRK Reporting/Disclosure Schedule at the end of the File

Key Campus Crime Reporting/ Disclosure Changes

  • Change in Crime and Security Disclosure Date: the date of disclosure/distribution of the Annual Security Report to enrolled students and current employees has been changed from September 1 to October 1 annually. The Annual Security Report must minimally contain: 1) crime statistics, 2) current campus security policies, 3) current policies for reporting campus crimes, 4) policies for issuing security warnings to students/employees, and the 5) status of allowing confidential reporting of crimes
  • What Years Should be Tracked for the Disclosure Requirement?: An institution's annual security report that is disclosed must contain crime statistics for the 3 previous calendar years. For example, the statistics to be disclosed by October 1, 2000 must include crime data for years 1997, 1998, 1999.
  • Copies of the statistical sections of crime reports must now be submitted to the Secretary of Education. The Department of Education plans to start collecting crime statistics in the Summer/Fall of 2000. The data will be web-collected; the collection period will last about 6 weeks. Letters will be sent to institutional Presidents informing them of the collection schedule and process.
  • Which Years Should be Tracked in the Report to be filed with the Secy. of Education in the Summer/Fall? Crime statistics to be submitted to the Secy. of Education should contain crime statistics for calendar years 1997, 1998 and 1999. Only crime statistics need to be submitted.
  • How Long Should the Crime Statistics/ Records be Retained?: The regulations require institutions to maintain crime records for a 3 year period following the date of disclosure; i.e., they require institutions to retain records to substantiate information in the reports released for 3 years. In practical terms, this means data included in the report distributed in 2000 should be retained for 3 years from October 1, 2000, as follows:

    • Calendar Year 1997 records must be retained until October 1, 2003
    • Calendar Year 1998 records - must be retained until October 1, 2004
    • Calendar Year 1999 records - must be retained until October 1, 2005 

When to Report Crimes: Schools are required to disclose incidents in the year in which the crimes were reported to a campus security authority- not the year in which they occurred. This practice is consistent with that used by the FBI. Crimes to Report : Institutions are responsible for reporting the following additional crimes: two types of Manslaughter, Arson, Hate/Prejudice, Arrests/disciplinary actions for Liquor law violations, Drug & Alcohol violations, Weapons possession.

The statistics reported/disclosed for calendar year 1999 (i.e., to be disclosed by October 1, 2000) must include statistics for these new categories.

  • Anonymous/Confidential Reporting of Crimes: The regulations do not require the confidential reporting of crimes but rather require institutions to state whether they allow confidential reporting of crimes and if so to describe the procedures for confidential reporting.
  • Reporting Statistics for Campus Disciplinary Actions-Alcohol, Drug and Weapons Possesion: Clarification on this issue is currently being obtained from the Dept. of Education.
  • Treatment of Sex Offenses: the treatment of sexual offenses should include: 1) the development and dissemination of a policy statement detailing what sexual assault programs are in place to prevent sexual offenses, 2) procedures to follow when a sex offense occurs, 3) a description of the educational programs in place to promote awareness of rape, acquaintance rape, and other forcible and nonforcible sex offenses.Procedures that students should follow in reporting sex offenses should address: 1) who should be contacted when the offense occurs, 2) the importance of preserving evidence, 3) to whom the allege offense should be reported, 4) procedures for campus disciplinary actions, and 5) the rights of victims and accusers.
  • Crimes Must be Reported by Location: i.e., institutions must provide geographic breakdown of crime statistics, indicating if they occurred:

    1. on Campus (i.e., in dormitories and other residential facilities);
    2. in Noncampus buildings/properties (defined as a building/property owned by a student organization that is officially recognized by the institution, e.g., a fraternity house);
    3. or on Public property (loosely defined as: thoroughfares, streets, sidewalks, parking facilities within or immediately adjacent to or accessible from the campus).

  • Use of a Map: Institutions May (are not required to) provide a map to current and prospective students depicting its Campus, Noncampus and Public Property areas. Institutions may also limit their crime reporting to crimes occurring in those areas.
  • Daily Crime Log Must be Maintained (only by schools with campus police or security deptartments) that identifies: 1) nature, date, time, General location of crimes; 2) disposition of the complaint; 3) entries should be made within 2 business days of the report of a crime.
  • Who (What category of Institutional Officials) Must Report Crimes, i.e., Defining Campus Security Authority: The regulations define Campus Security Authority to include: Campus law enforcement personnel and other campus administrators with significant responsibility for student and campus activities would be required to report crimes (e.g., a director of athletics, team coach, and faculty advisor to a student group).

    Excluded from this category are professional mental health counselors and pastoral counselors, i.e., they are not required to report crimes discussed with them in their role as counselor, although they may refer students, at their discretion, to a "voluntary, confidential" reporting program if the school has one. The definition of Professional Counselor was also changed to refer to Mental Heath Counselor and to exclude a requirement that a professional counselor be an employee of the institution.

** See the Crime Reporting/Disclosure Schedule at the end of the file

Athletic Participation and Financial Aid (EADA) Disclosure/ Reporting Requirements

  • Who Has to Comply: all co-educational higher education institutions with intercollegiate athletic programs that participate in Title IV programs are required to disclose information about their athletic program participation and financial aid programs (under authority of the Equity in Athletics Disclosure Act (EADA, 1994) and associated federal regulations.
  • What Has to be Disclosed/Reported, Key Items include:

    • Undergraduate Enrollment, disaggregated by gender
    • A listing of all varsity sports teams with the following information about each team
      • Athletic Participation (number of students participating) by type of sport and gender
      • Operating Expenses: the total amount of institutional expenditures
      • Recruiting Expenses: total expenses and distinctions for men's and women's teams
      • Revenue Generated for men's and women's teams
      • Athletic Student Aid Awards by gender (the amount of aid awarded to a student that requires participation in intercollegiate athletics, by gender. The ratio of awards to males vs. females is also required.
      • Number of Varsity Head and Assistant Coaches by sport categories, gender, and team distinctions (i.e., the number assigned to men's vs. women's teams)
      • Average Salaries of the Head and Assistant Coaches with distinctions for men's vs. women's teams.
      • New requirements include disclosure of additional data about revenues and expenses.

    * * Note: A full list of items for disclosure will be provided by the Dept. of Education. AACRAO will post the list as soon as it is developed

  • Disclosure Date: Institutions meeting the above-listed criteria must disclose information about their athletic programs by October 15th each year. The disclosure should include information for the previous year (the reporting period is a 12-month period as defined by the institution). Disclosure means the information has to be made available, upon request, to Enrolled and Prospective Students and the Public.
  • Institutions are now Required to Submit the Reports to the Secy. of Education: Copies of the EADA reports must also be submitted to the U.S. Secretary of Education.
  • When Do the Reports Have to be Filed with the Secy. of Education? The first report is scheduled to be collected in the Summer/Fall 2000(the data collection will last about 6 weeks- data will be web collected). The Department of Education will send letters to institutional Presidents to inform them of the collection process and schedule.

Useful Links, Contacts, and Resources: