Subject: Privacy Act; Systems of Records

Publication Date: April 19, 2010

Posted Date: April 19, 2010

FR Type: Notice

[Federal Register: April 19, 2010 (Volume 75, Number 74)]
[Notices]
[Page 20346-20350]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr19ap10-26]
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DEPARTMENT OF EDUCATION

Privacy Act of 1974; System of Records

AGENCY: Federal Student Aid, Department of Education.

ACTION: Notice of an altered system of records.

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SUMMARY: In accordance with the Privacy Act of 1974, as amended
(Privacy Act), 5 United States Code (U.S.C.) 552a, the Chief Operating
Officer for Federal Student Aid (FSA) of the U.S. Department of
Education (the Department) publishes this notice proposing to revise
the system of records entitled ``Student Aid Internet Gateway (SAIG),
Participation Management System'' (18-11-10).
The SAIG, Participation Management System is a system of records
containing contact information that individuals affiliated with an
authorized entity provide to request electronic access to the
Department's Title IV Federal Student Aid Systems. This notice updates
the categories of individuals covered by this system to include
individuals affiliated with secondary schools, local educational
agencies (LEAs) and States who are authorized by the Department and
their respective secondary school, LEA or State to access the
Department's Title IV Federal Student Aid Systems.
This change to the SAIG, Participation Management System is needed
to enable the Department to implement a program designed to improve
access and promote enrollment in postsecondary education by
facilitating students' completion of the Free Application for Federal
Student Aid (FAFSA). As part of this program (the FAFSA Completion
program), the Department will authorize a small number of secondary
schools and LEAs to enroll through the SAIG,

[[Page 20347]]

Participation Management System to enable these entities to use the
Department's Title IV Federal Student Aid Systems to obtain information
about their students' completion of the FAFSA. In future years, the
Department may seek to expand the FAFSA Completion program to other
secondary schools, LEAs, and States across the Nation, which would
substantially expand the number of secondary schools, LEAs and States
approved by the Department to access the Department's Title IV Federal
Student Aid Systems to determine whether their students have completed
the FAFSA.
While the FAFSA Completion program provided the initial impetus for
the Department to update the SAIG, Participation Management System, the
Department has also determined that other changes are appropriate.
Specifically, through this notice, the Department proposes to update
the system locations, the categories of records maintained in this
system, the system's purposes, and the system's routine uses (by, for
example, adding an additional routine use, as required by the Office of
Management and Budget (OMB)).

DATES: We must receive your comments about this proposed system of
records on or before May 19, 2010.
The Department filed a report describing the altered 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, Office of Management
and Budget (OMB) on April 14, 2010. This altered system of records will
become effective at the later date of: (1) The expiration of the 40-day
period for OMB review on May 24, 2010; or (2) the expiration of a 30-
day OMB Review period on May 19, 2010, if OMB grants the Department's
request for a 10-day waiver of the review period, unless the system of
records needs to be changed as a result of public comment or OMB
review.

ADDRESSES: Address all comments about the proposed altered system of
records to Director, Application Processing Division, Program
Management Systems, 830 First Street, NE., room 63C4, Union Center
Plaza (UCP), Washington, DC 20202-5454. If you prefer to send your
comments through the Internet, use the following address:
comments@ed.gov.
You must include the term ``Student Aid Internet Gateway,
Participation Management System'' in the subject line of your
electronic message.
During and after the comment period, you may inspect all public
comments about this notice in room 44D2, UCP, 4th Floor, 830 First
Street, NE., Washington, DC, between the hours of 8 a.m. and 4:30 p.m.,
local 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: Director, Application Processing
Division, Program Management Systems, 830 First Street, NE., room 63C4,
UCP, Washington, DC 20202-5454. Telephone number: (202) 377-3205. 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
accessible format (e.g., braille, large print, audiotape, or computer
diskette) on request to the contact person listed in the preceding
paragraph.

SUPPLEMENTARY INFORMATION:

Preamble

The Privacy Act (5 U.S.C. 552a(e)(4)) requires the Department to
publish in the Federal Register this notice of an altered 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 34 CFR part 5b.
The Privacy Act applies to a record about an individual that is
maintained in a system of records from which information is retrieved
by a unique identifier associated with each individual, such as a name
or Social Security number. 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 notices of altered
systems of records in the Federal Register and to prepare, whenever the
agency publishes a new system of records or makes a significant change
to an established system of records, reports to the Chair of House
Committee on Oversight and Government Reform of the House of
Representatives, and the Chair of the Committee on Homeland Security
and Governmental Affairs of the Senate, and the Administrator of the
Office of Information and Regulatory Affairs, OMB.
A system of records is considered ``altered'' whenever an agency
expands the types or categories of information maintained,
significantly expands the types or categories of individuals about whom
records are maintained, changes the purpose for which the information
is used, changes the equipment configuration in a way that creates
substantially greater access to the records, or adds a routine use
disclosure to the system. Since the last correction to this system of
records, which was published in the Federal Register on January 28,
2005 (70 FR 4112-4115), a number of changes are needed to update the
current system of records. Most significantly, this notice updates the
categories of individuals covered by this system to include individuals
affiliated with secondary schools, LEAs and States who are authorized
by the Department and their respective secondary school, LEA or State
to access the Department's Title IV Federal Student Aid Systems. This
notice also updates the system locations, the categories of records
maintained in the system, the system's purposes, adds an additional
routine use disclosure that is required by OMB, and makes other minor
updates to the system.

Electronic Access to This Document

You may 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 the Adobe Acrobat Reader, which is
available free at this site.

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/index.html.

Dated: April 14, 2010.
William J. Taggart,
Chief Operating Officer, Federal Student Aid U.S. Department of
Education.
For the reasons discussed in the preamble, the Chief Operating
Officer, Federal Student Aid of the U.S.

Department of Education (Department) publishes a notice of an altered
system of records to read as follows:

System Number: 18-11-10.

SYSTEM NAME:
Student Aid Internet Gateway (SAIG), Participation Management
System.

SECURITY CLASSIFICATION:
None.

SYSTEM LOCATION:
Pearson, PLC, 2510 N. Dodge, Iowa City IA 52245-0030. (This
facility hosts the database for the Participation Management System.)
Vangent, Inc., 2450 Oakdale Boulevard, Coralville IA 52241-9728.
(This facility stores paper documents that are held for less than 12
months.)
Iron Mountain, 4437 121st Street, Urbandale, IA 50323-2313. (This
facility stores paper documents for documents that are held for more
than 12 months.)
Virtual Data Center (VDC), Dell Perot System, 2300 West Plano
Parkway, Plano, TX 75075-8427. (This facility hosts the SAIG Enrollment
Web site (titled FSAWebEnrollment.ed.gov) through which users enroll
for electronic access to the Department's Title IV Federal Student Aid
Systems.)

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records on those individuals who are eligible
to participate in the Department's Title IV Federal Student Aid
Systems--to participate in the electronic exchange of data with the
Department of Education via the SAIG, or enroll in the Participation
Management System for access to the Department's Central Processing
System (CPS) Online, eCampus-Based (eCB) System, National Student Loan
Data System (NSLDS) Online, Common Origination and Disbursement (COD)
System, Financial Management System (FMS), Debt Management and
Collections System (DMCS), Title IV Additional Servicers (TIVAS), and
Access Information Management System (AIMS). Those individuals eligible
to participate include: student financial aid administrators,
authorized employees or representatives of postsecondary institutions,
authorized employees or representatives of third-party servicers,
authorized employees or representatives of lenders, authorized
employees or representatives of guaranty agencies, authorized employees
or representatives of State scholarship programs, authorized employees
or representatives of States, authorized employees or representatives
of LEAs, and authorized employees or representatives of secondary
schools.

CATEGORIES OF RECORDS IN THE SYSTEM:
This system consists of contact information that individuals
affiliated with an authorized entity (i.e., postsecondary institutions,
third party servicers, lenders, guaranty agencies, State scholarship
programs, States, LEAs and secondary schools that the Department
authorizes to access the Department's Title IV Federal Student Aid
Systems) provide to request electronic access to the Department's Title
IV Federal Student Aid Systems. This contact information includes the
individual's name, address, and other authentication information
(mother's maiden name, user's Social Security number, and the user's
date of birth).

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Title IV of the Higher Education Act of 1965, as amended (HEA); 20
U.S.C. 1070 et seq. The collection of Social Security numbers of users
of this system is authorized by 31 U.S.C. 7701 and Executive Order
9397, as amended by Executive Order 13478 (November 18, 2008).

PURPOSE(S):
The information in this system is maintained for the purposes of:
(1) Processing stored data from the SAIG Enrollment Forms (Web and
paper versions); (2) maintaining the SAIG Enrollment Web site (titled
FSAWebEnrollment.ed.gov); (3) managing the assignment of individual
electronic SAIG mailbox numbers, known as ``TG numbers''; and (4)
authenticating users of the CPS Online, eCB System, NSLDS Online, COD
System, FMS, DMCS, TIVAS, and AIMS.

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 under the routine uses listed 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. These
disclosures may be made on a case-by-case basis or, if the Department
has complied with the computer matching requirements of the Privacy Act
of 1974, as amended (Privacy Act), under a computer matching agreement.
(1) Program Disclosures. The Department may disclose records
maintained in the SAIG, Participation Management System for the purpose
of allowing authorized users who are eligible to participate in the
electronic exchange of data with the Department to transmit files to
and from the following Department databases and access the Department's
Web sites online, based on the approved program functions of each of
the Department's systems that include, but are not limited to the
following:
(a) COD System;
(b) CPS, under the Federal Student Aid Application File;
(c) eCB System;
(d) NSLDS;
(e) FMS;
(f) DMCS, under Common Services for Borrowers (CSB);
(g) TIVAS; and
(h) AIMS.
(2) Freedom of Information Act (FOIA) or Privacy Act Advice
Disclosure. The Department may disclose records to the Department of
Justice (DOJ) or the Office of Management and Budget (OMB) if the
Department seeks advice regarding whether records maintained in this
system of records are required to be disclosed under the FOIA or the
Privacy Act.
(3) Disclosure to the DOJ. The Department may disclose records to
the DOJ to the extent necessary for obtaining DOJ advice on any matter
relevant to an audit, inspection, or other inquiry related to the
programs covered by this system.
(4) 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 establish and maintain the safeguards
required under the Privacy Act (5 U.S.C. 552a(m)) with respect to the
records in the system.
(5) Litigation and Alternative Dispute Resolution (ADR)
Disclosures.
(a) Introduction. In the event that one of the following parties 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
where the DOJ agrees to or has been requested to provide or arrange for
representation of the employee;

[[Page 20349]]

(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 the DOJ is relevant and necessary to litigation
or ADR, and is compatible with the purpose for which the records were
collected, the Department may disclose those records as a routine use
to the DOJ.
(c) Adjudicative Disclosures. If the Department determines that
disclosure of certain records to an adjudicative body before which the
Department is authorized to appear or to an individual or entity
designated by the Department or otherwise empowered to resolve or
mediate disputes, is relevant and necessary to the litigation or ADR,
the Department may disclose those records as a routine use to the
adjudicative body, individual, or entity.
(d) Parties, Counsel, Representatives and 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.
(6) Research Disclosure. The Department may disclose records 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 or
purposes of this system of records. The official may disclose records
from this system of records to that researcher solely for the purpose
of carrying out that research related to the functions or purposes of
this system of records. The researcher shall be required to maintain
Privacy Act safeguards with respect to the disclosed records.
(7) Congressional Member Disclosure. The Department may disclose
records to a Member of Congress in response to an inquiry from the
Member made at the written request of the individual whose records are
being disclosed. The Member's right to the information is no greater
than the right of the individual who requested it.
(8) Disclosure for Use by Other Law Enforcement Agencies. The
Department may disclose information to any Federal, State, or local
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.
(9) 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
statute, regulation, or order of a competent authority, 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.
(10) Employment, Benefit, and Contracting Disclosure.
(a) For Decisions by the Department. The Department may disclose a
record to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement or other pertinent records, or
to another public authority or professional organization, if necessary
to obtain information relevant to a Department decision concerning the
hiring or retention of an employee or other personnel action, the
issuance of a security clearance, the letting of a contract, or the
issuance of a license, grant, or other benefit.
(b) For Decisions by Other Public Agencies and Professional
Organizations. The Department may disclose a record to a Federal,
State, local, or foreign agency or other public authority or
professional organization, in connection with the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit, to the extent that the record is relevant and necessary to the
receiving entity's decision on the matter.
(11) Employee Grievance, Complaint or Conduct Disclosure. If a
record is relevant and necessary to an employee grievance, complaint,
or disciplinary action, the Department may disclose a record in this
system of records to another agency of the Federal Government if the
record is relevant to one of the following proceedings regarding a
present or former employee of the Department: Complaint, grievance,
discipline or competence determination proceedings. The disclosure may
only be made during the course of the proceeding.
(12) Labor Organization Disclosure. The Department may disclose
records from this system of records to an arbitrator to resolve
disputes under a negotiated grievance process or to officials of a
labor organization recognized under 5 U.S.C. chapter 71 when relevant
and necessary to their duties of exclusive representation.
(13) Disclosure in the Course of Responding to a Breach of Data.
The Department may disclose records from this system to appropriate
agencies, entities, and persons when (a) the Department suspects or has
confirmed that the security or confidentiality of information in the
system of records has been compromised; (b) the Department has
determined that as a result for 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 this system or
other systems or programs (whether maintained by the Department or
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
prevent, minimize, or remedy such harm.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Disclosure pursuant to 5 U.S.C. 552a(b)(12): The Department may
disclose the following information to a consumer-reporting agency
regarding a valid overdue claim of the Department: (1) The name,
address, taxpayer identification number and other information necessary
to establish the identity of the individual responsible for the claim;
(2) the amount, status, and history of the claim; and (3) the program
under which the claim arose. The Department may disclose the
information specified in this paragraph under 5 U.S.C. 552a(b)(12) and
the procedures contained in 31 U.S.C. 3711(f). A consumer reporting
agency to which these disclosures may be made is defined at 15 U.S.C.
1681a(f) and 31 U.S.C. 3701(a)(3).

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained in a computer database as well as in hard
copy. All hard copy forms are loaded into an imaging system accessible
through internal systems only. Paper documents less than 12-months old
are stored in locked file cabinets at the Vangent, Inc.

[[Page 20350]]

facility in Coralville, Iowa. Paper documents older than 12 months are
stored at Iron Mountain secure storage facility. Documents are stored
for three years after final contract payment. After the three-year
period, documents are subsequently sent to the Federal Records Center
for storage.

RETRIEVABILITY:
All individuals affiliated with authorized entities that have been
granted access (``users of the SAIG, Participant Management System'')
to the Department's Title IV Federal Student Aid Systems whose
information is included in this system of records have a unique user
identification (ID) with a password. Records are retrieved by the names
of the individual user and/or their unique system User ID.

SAFEGUARDS:
All users of the SAIG, Participation Management System will have a
unique user ID with a password.
All physical access to the data housed at the Pearson location and
within the VDC, and the locations of Department contractors where this
system of records is maintained, is controlled and monitored by
security personnel who check each individual entering the building for
his or her employee or visitor badge.
The computer system employed by the Department offers a high degree
of resistance to tampering and circumvention. This security system
limits data access to Department and contract staff on a ``need-to-
know'' basis, and controls individual users' ability to access and
alter records within the system.
All interactions by users of the SAIG, Participation Management
System are recorded.

RETENTION AND DISPOSAL:
Documents are stored for 3 years after a user of the SAIG,
Participation Management System's individual enrollment account is
terminated or closed. Thereafter, documents are sent to the Federal
Records Center for storage. These records are covered by the General
Records Schedule (GRS) 24, Item 6(a). The retention requirement is to
destroy/delete the record 6 years after the user account is terminated
or password is altered, or when no longer needed for investigative or
security purposes, whichever is later.

SYSTEM MANAGER(S) AND ADDRESS:
Director, Application Processing Division, Program Management
Systems, 830 First Street, NE., room 63C4, Union Center Plaza (UCP),
Washington, DC 20202-5454.

NOTIFICATION PROCEDURE:
If you wish to determine whether a record exists regarding you in
this system of records, you must provide the system manager your name,
date of birth, and Social Security number. Requests for notification
about whether the system of records contains information about an
individual must meet the requirements of the Department's Privacy Act
regulations at 34 CFR 5b.5, including proof of identity.

RECORD ACCESS PROCEDURES:
If you wish to gain access to a record in this system, you must
contact the system manager and provide information as described in the
Notification Procedures. Such requests must meet the requirements of
the Department's Privacy Act regulations at 34 CFR 5b.5, including
proof of identity.

CONTESTING RECORD PROCEDURES:
If you wish to contest or change the content of a record about you
in the system of records, you must contact the system manager with the
information described in the notification procedures. Requests to amend
a record must meet the requirements of the Department's Privacy Act
regulations at 34 CFR 5b.7.

RECORD SOURCE CATEGORIES:
Information in this system is obtained from the following entities:
student financial aid administrators, postsecondary institutions,
third-party servicers, lenders, guaranty agencies, State scholarship
programs, States, LEAs, and secondary schools.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.

[FR Doc. 2010-8959 Filed 4-16-10; 8:45 am]
BILLING CODE 4000-01-P

Maintained for Historical Purposes

Subject: Privacy Act; Systems of Records