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Subject: Notice of a new system of records

Publication Date: January 23, 2009

Posted Date: January 23, 2009

Subject: Notice of a new system of records

FR Type: Notice

[Federal Register: January 23, 2009 (Volume 74, Number 14)]
[Notices]               
[Page 4165-4168]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr23ja09-32]                         

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DEPARTMENT OF EDUCATION

Privacy Act of 1974; System of Records--TRIO Programs Annual 
Performance Report (APR) System (TRIO APR)

AGENCY: Office of Postsecondary Education, Department of Education.

ACTION: Notice of a new system of records.

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[[Page 4166]]

SUMMARY: In accordance with the Privacy Act of 1974, as amended 
(Privacy Act), the Department of Education (Department) publishes this 
notice of a new system of records entitled ``TRIO Programs Annual 
Performance Report (APR) System (TRIO APR)'' (18-12-07).
    The TRIO APR system collects information on individuals who 
participate in the Upward Bound, Student Support Services, and Ronald 
E. McNair Postbaccalaureate Achievement programs authorized under Title 
IV, Part A, Subpart 2 of the Higher Education Act of 1965, as amended. 
The Department collects this information to assist in monitoring 
grantee performance and to determine program outcomes in response to 
the requirements of the Government Performance and Results Act of 1993 
(GPRA) (Pub. L. 103-62) and the Office of Management and Budget (OMB) 
Program Assessment Rating Tool (PART) process. To determine if the 
goals of the programs are being met, the academic progress of program 
participants must be tracked over multiple years. Collecting individual 
participant data, including the Social Security Number (SSN) for 
individual participants, is the most reliable method for matching 
records across years needed to determine program outcomes. Although the 
collection of the SSN is not required by statute, it serves a distinct 
business need of the Department. The SSN serves as a unique identifier 
for matching participant records across years. Although another unique 
identifier might be used for the APRs, the SSN is needed to match the 
APR data with other databases, such as the Federal Student Aid 
Application File (18-11-01) and the Recipient Financial Management 
System (18-11-02). Matching with these other databases can supplement 
APR information on participants' postsecondary enrollment and their 
persistence in and completion of programs of postsecondary education. 
Most project grantees are institutions of higher education that already 
collect SSNs for all students applying for Federal financial aid. The 
Department seeks comment on the new system of records described in this 
notice, in accordance with the requirements of the Privacy Act.

DATES: We must receive your comments about this new system of records 
on or before February 23, 2009.
    The Department filed a report describing the new system of records 
covered by this notice with the Chair of the Senate Committee on 
Homeland Security and Governmental Affairs, the Chair of the House 
Committee on Oversight and Government Reform, and the Administrator of 
the Office of Information and Regulatory Affairs, OMB on January 15, 
2009. This system of records will become effective at the later date 
of--(1) The expiration of the 40-day period for OMB review on February 
24, 2009; or (2) February 23, 2009, unless the system of records needs 
to be changed as a result of public comment or OMB review.

ADDRESSES: Address all comments about this new system of records to 
Frances Bergeron, Team Leader, Program Management and Development, 
Federal TRIO Programs, Office of Postsecondary Education, U.S. 
Department of Education, 1990 K Street, NW., room 7059, Washington, DC 
20006-8510. If you prefer to send comments through the Internet, use 
the following address: comments@ed.gov.
    You must include the term ``TRIO APR'' in the subject line of your 
electronic message.
    During and after the comment period, you may inspect all comments 
about this notice at the U.S. Department of Education in room 7059, 
1990 K Street, NW., Washington, DC, between the hours of 8:00 a.m. and 
4:30 p.m., Eastern time, Monday through Friday of each week except 
Federal holidays.

Assistance to Individuals With Disabilities in Reviewing the Rulemaking 
Record

    On request, we will supply an appropriate aid, such as a reader or 
print magnifier, to an individual with a disability who needs 
assistance to review the comments or other documents in the public 
rulemaking record for this notice. If you want to schedule an 
appointment for this type of aid, please contact the person listed 
under FOR FURTHER INFORMATION CONTACT.

FOR FURTHER INFORMATION CONTACT: Frances Bergeron. Telephone number: 
(202) 502-7528. If you use a telecommunications device for the deaf 
(TDD), call the Federal Relay Service (FRS), toll free, at 1-800-877-
8339.
    Individuals with disabilities can obtain this document in an 
alternative format (e.g., Braille, large print, audiotape, or computer 
diskette) on request to the contact person listed in this section.

SUPPLEMENTARY INFORMATION: 

Introduction

    The Privacy Act (5 U.S.C. 552a(e)(4)) requires the Department to 
publish in the Federal Register this notice of a new system of records 
maintained by the Department. The Department's regulations implementing 
the Privacy Act are contained in the Code of Federal Regulations (CFR) 
in part 5b of title 34.
    The Privacy Act applies to a record about an individual that is 
maintained in a system of records from which individually identifying 
information is retrieved by a unique identifier associated with each 
individual, such as a name or SSN. The information about each 
individual is called a ``record,'' and the system, whether manual or 
computer-based, is called a ``system of records.''
    The Privacy Act requires each agency to publish a system of records 
notice in the Federal Register and to submit, whenever the agency 
publishes a new system of records or makes a significant change to an 
established system of records, a report to the Administrator of the 
Office of Information and Regulatory Affairs, OMB. Each agency is also 
required to send copies of the report to the Chair of the Committee on 
Oversight and Government Reform of the House of Representatives, and to 
the Chair of the Committee on Homeland Security and Governmental 
Affairs of the Senate.

Electronic Access to This Document

    You can view this document, as well as all other documents of this 
Department published in the Federal Register, in text or Adobe Portable 
Document Format (PDF) on the Internet at the following site: http://
www.ed.gov/news/fedregister/index.html.
    To use PDF you must have Adobe Acrobat Reader, which is available 
free at this site. If you have questions about using 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.gpoaccess.gov/
nara.

    Dated: January 15, 2009.
Vickie L. Schray, Acting Deputy Assistant Secretary for Higher Education Programs.
    For the reasons discussed in the preamble, the Acting Assistant 
Secretary for Postsecondary Education, U.S. Department of Education 
publishes a notice of a new system of records, to read as follows:

SYSTEM NUMBER:
    18-12-07.

[[Page 4167]]

SYSTEM NAME:
    TRIO Programs Annual Performance Report (APR) System (TRIO APR).

SECURITY CLASSIFICATION:
    None.

SYSTEM LOCATIONS:
    (1) Federal TRIO Programs, Office of Postsecondary Education, U.S. 
Department of Education, 1990 Street, NW., suite 7000, Washington, DC 
20006-8510.
    (2) Computer Business Methods, Inc. (CBMI), 2750 Prosperity Avenue, 
suite 100, Fairfax, VA 22031-4312. CBMI annually collects records from 
grantees, prepares databases of records by program, and transfers the 
data to the analysis contractor.
    (3) National Opinion Research Center (NORC) at the University of 
Chicago, 1155 East 60th Street, Chicago, IL 60637-2745. NORC maintains 
the system of records for data analysis.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    The TRIO APR system contains records on participants served by the 
following Federal TRIO Programs: Upward Bound (which includes regular 
Upward Bound, Upward Bound Math-Science, and Veterans Upward Bound); 
Student Support Services; and the Ronald E. McNair Postbaccalaureate 
Achievement programs. Although the TRIO APR system contains some 
information about institutions, agencies, and organizations that 
receive grants under these programs, this system of records notice 
pertains only to individuals protected under the Privacy Act of 1974, 
as amended.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The TRIO APR system contains records regarding: (1) Participant 
identifier information including SSN, name, and date of birth; (2) 
participant eligibility for services and demographic information such 
as gender, race, ethnicity, and secondary or postsecondary school 
attended; and (3) academic information such as grade level, grade point 
average, and high school (postsecondary or graduate school) graduation.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Title IV, Part A, Subpart 2 of the Higher Education Act of 1965, as 
amended (20 U.S.C. 1070 et seq.) and the Government Performance and 
Results Act of 1993 (Pub. L. 103-62).

PURPOSE(S):
    The information contained in the records maintained in this system 
is used for the following purposes:
    (1) To monitor each funded project's compliance with the program 
requirements;
    (2) To assess the progress of each funded project (grantee) in 
meeting its goals and objectives and to award ``prior experience'' 
points for meeting approved objectives;
    (3) To determine program outcomes and areas for program improvement 
in response to the requirements of the Government Performance and 
Results Act of 1993 (GPRA) and the OMB's Program Assessment Rating Tool 
(PART) process; and
    (4) To produce program and grantee-level data for annual reporting 
and program profile reports.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    The Department may disclose information contained in a record in 
this system of records without the consent of the individual if the 
disclosure is compatible with the purposes for which the record was 
collected. The Department may make these disclosures on a case-by-case 
basis, or, if the Department has complied with the computer matching 
requirements of the Computer Matching and Privacy Protection Act of 
1988, as amended, under a computer matching agreement.
    (1) Program Disclosures. The Department may disclose records to an 
institution of higher education, agency, or organization responsible 
for entering the information into the TRIO APR system in order to 
obtain clarification or additional information about the data 
submitted.
    (2) Contract Disclosure. If the Department contracts with an entity 
to perform any function that requires disclosing records to the 
contractor's employees, the Department may disclose the records to 
those employees. Before entering into such a contract, the Department 
shall require the contractor to maintain Privacy Act safeguards as 
required under 5 U.S.C. 552a(m) with respect to the records in the 
system.
    (3) Research Disclosure. The Department may disclose records from 
this system to a researcher if an appropriate official of the 
Department determines that the individual or organization to which the 
disclosure would be made is qualified to carry out specific research 
related to functions and purposes of this system of records. The 
official may disclose information from this system of records to that 
researcher solely for the purpose of carrying out research related to 
the functions or purposes of this system of records. The researcher 
will be required to maintain Privacy Act safeguards with respect to the 
disclosed records.
    (4) Disclosure for Use by Other Law Enforcement Agencies. The 
Department may disclose information to any Federal, State, local, or 
foreign agency, or other public authority responsible for enforcing, 
investigating, or prosecuting violations of administrative, civil, or 
criminal law or regulation if that information is relevant to any 
enforcement, regulatory, investigative, or prosecutorial responsibility 
within the receiving entity's jurisdiction.
    (5) Enforcement Disclosure. In the event that information in this 
system of records indicates, either on its face or in connection with 
other information, a violation or potential violation of any applicable 
statutory, regulatory, or legally binding requirement, the Department 
may disclose the relevant records to the appropriate agency, whether 
foreign, Federal, State, Tribal, or local, charged with the 
responsibility of investigating or prosecuting that violation or 
charged with enforcing or implementing the statute, Executive order, 
rule, regulation, or order issued pursuant thereto.
    (6) Litigation and Alternative Dispute Resolution (ADR) Disclosure.
    (a) Introduction. In the event that one of the parties listed below 
is involved in litigation or ADR, or has an interest in litigation or 
ADR, the Department may disclose certain records to the parties 
described in paragraphs (b), (c), and (d) of this routine use under the 
conditions specified in those paragraphs:
    (i) The Department or any of its components.
    (ii) Any Department employee in his or her official capacity.
    (iii) Any Department employee in his or her individual capacity if 
the U.S. Department of Justice (DOJ) has been requested to or has 
agreed to provide or arrange for representation for the employee.
    (iv) Any Department employee in his or her individual capacity 
where the Department has agreed to represent the employee.
    (v) The United States where the Department determines that the 
litigation is likely to affect the Department or any of its components.
    (b) Disclosure to DOJ. If the Department determines that disclosure 
of certain records to DOJ is relevant and necessary to litigation or 
ADR, the Department may disclose those records as a routine use to DOJ.
    (c) Adjudicative Disclosure. If the Department determines that it 
is relevant and necessary to the litigation or ADR to disclose certain 
records to an

[[Page 4168]]

adjudicative body before which the Department is authorized to appear, 
to an individual, or to an entity designated by the Department or 
otherwise empowered to resolve or mediate disputes, the Department may 
disclose those records as a routine use to the adjudicative body, 
individual, or entity.
    (d) Disclosure to Parties, Counsel, Representatives, or Witnesses. 
If the Department determines that disclosure of certain records to a 
party, counsel, representative, or witness is relevant and necessary to 
the litigation or ADR, the Department may disclose those records as a 
routine use to the party, counsel, representative, or witness.
    (7) Freedom of Information Act (FOIA) and Privacy Act Advice 
Disclosure. The Department may disclose records to DOJ or the OMB if 
the Department concludes that disclosure would help in determining 
whether particular records are required to be disclosed under the FOIA 
or the Privacy Act.
    (8) Congressional Member Disclosure. The Department may disclose 
the records of an individual to a member of Congress or the member's 
staff in response to an inquiry from the member made at the written 
request of that individual. The member's right to the information is no 
greater than the right of the individual who requested the inquiry.
    (9) Disclosure in the Course of Responding to Breach of Data. The 
Department may disclose records to appropriate agencies, entities, and 
persons when (a) the Department suspects or confirms that the security 
or confidentiality of information in the TRIO APR system has been 
compromised; (b) the Department has determined that as a result of the 
suspected or confirmed compromise, there is a risk of harm to economic 
or property interests, identity theft or fraud, or harm to the security 
or integrity of the TRIO APR system or other systems or programs 
(whether maintained by the Department or by another agency or entity) 
that rely upon the compromised information; and (c) the disclosure made 
to such agencies, entities, and persons is reasonably necessary to 
assist in connection with the Department's efforts to respond to the 
suspected or confirmed compromise and to prevent, minimize, or remedy 
such harm.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    The Department's data collection contractor, CBMI, annually 
collects records from grantees via a secure Web site and prepares 
databases of the records by program. CBMI transfers the data via a 
secure File Transfer Protocol site to NORC that maintains the system of 
records and is responsible for analyzing the data. Archival and 
analysis copies of the databases are maintained on NORC's secure 
servers and in other electronic storage media. The data are submitted 
electronically and stored electronically; paper records of the 
individual student data are not collected.

RETRIEVABILITY:
    The records are indexed by the grant number(s) assigned to each 
project. The following data elements are used for matching participant 
records with prior year's data and with other data sources: SSN, first 
and last name, and date of birth. Electronic files on participants can 
be accessed through these data elements.

SAFEGUARDS:
    Access to the records is limited to authorized personnel only. All 
physical access to the Department's site and to the sites of the 
Department's contractors where the data is collected and this system of 
records maintained is controlled and monitored by security personnel 
who check each individual entering the buildings for his or her 
employee or visitor badge.
    The computer systems employed by the Department and by the 
Department's contractors offer a high degree of resistance to tampering 
and circumvention. The data reside in secured facilities on secured 
servers behind a Department-approved firewall system that continuously 
monitors for intrusion and unauthorized access. Access to the data is 
permitted only for contractor staff who support the data collection or 
data analysis and a small number of Department staff who have a need 
for the data to perform their responsibilities. Contractor staff have 
appropriate security clearances and also sign confidentiality and non-
disclosure agreements to protect against unauthorized disclosure of 
confidential information.

RETENTION AND DISPOSAL:
    The retention and disposal of records associated with the TRIO APR 
system is currently unscheduled pending National Archives and Records 
Administration (NARA) approval of a records retention schedule. Until a 
NARA-approved records schedule is in effect, no records will be 
destroyed.

SYSTEM MANAGER(S) AND ADDRESS:
    Team Leader, Program Management and Development, Federal TRIO 
Programs, Office of Postsecondary Education, U.S. Department of 
Education, 1990 K Street, NW., room 7059, Washington, DC 20006-8510.

NOTIFICATION PROCEDURE:
    If you wish to determine whether a record exists regarding you in 
the system of records, contact the system manager. Your request must 
meet the requirements of the regulations in 34 CFR 5b.5, including 
proof of identity.

RECORD ACCESS PROCEDURE:
    If you wish to gain access to your record in the system of records, 
contact the system manager at the address listed under, System Manager 
and Address. Requests should contain your full name, address, and 
telephone number. Your request must meet the requirements of the 
regulations in 34 CFR 5b.5, including proof of identity.

CONTESTING RECORD PROCEDURE:
    If you wish to contest the content of a record regarding you in the 
system of records, contact the system manager. Your request must meet 
the requirements of the regulations in 34 CFR 5b.7, including proof of 
identity.

RECORD SOURCE CATEGORIES:
    Information maintained in this system of records is obtained from 
institutions of higher education and non-profit agencies and 
organizations that are recipient of grants under one or more of the 
following Federal TRIO programs: Upward Bound (including Upward Bound 
Math-Science and Veterans Upward Bound), Student Support Services, and 
Ronald E. McNair Postbaccalaureate Achievement. The system of records 
will also include information obtained from data matching with the 
Federal Student Aid Application File and the Recipient Financial 
Management System.

EXEMPTIONS CLAIMED FOR THIS SYSTEM:
    None.

[FR Doc. E9-1261 Filed 1-22-09; 8:45 am]

BILLING CODE 4000-01-P


Last Modified: 01/22/2009