Privacy Act of 1974; System of Records-TRIO Programs Annual Performance Report (APR) System (TRIO APR), 4165-4168 [E9-1261]
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Federal Register / Vol. 74, No. 14 / Friday, January 23, 2009 / Notices
f. Quality of the project evaluation (20
points). The Secretary considers the
quality of the evaluation to be
conducted of the proposed project. In
determining the quality of the
evaluation, the Secretary considers the
following factors: (i) The extent to
which the methods of evaluation
provide for examining the effectiveness
of project implementation strategies;
and (ii) the extent to which the methods
of evaluation will provide timely
guidance for quality assurance.
2. Review of Applications—Novice
Applicants and Non-Novice Applicants.
The Department will rank and fund two
groups of applicants separately: novice
applicants will comprise one group, and
non-novice applicants, including
previous grantees under the Native
Hawaiian Education program, will
comprise the second group. If we do not
receive a sufficient number of high
quality applications from novice
applicants, funds set aside for novice
applicants may be used to fund
applications submitted by non-novice
applicants.
An applicant is considered a ‘‘novice
applicant’’ if it meets the following
criteria in 34 CFR 75.225(a)(1) and (b):
The applicant must—
(i) Have never received a grant or
subgrant under the Native Hawaiian
Education program;
(ii) Have never been a member of a
group application, submitted in
accordance with 34 CFR 75.127 through
75.129, that received a grant under the
Native Hawaiian Education program;
and
(iii) Have not had an active
discretionary grant from the Federal
Government in the five years before the
deadline date for applications in this
competition. For purposes of this
requirement, a grant is active until the
end of the grant’s project or funding
period, including any extensions of
those periods that extend the grantee’s
authority to obligate funds.
34 CFR 75.225(a)(2) addresses the
requirements for group applications
submitted by novice applicants. In the
case of a group application submitted in
accordance with 34 CFR 75.127 through
75.129, each group member must meet
the requirements in 34 CFR 75.225(a)(1)
and (b), previously described in this
section of the notice, in order to qualify
as a novice applicant.
All applicants should follow the
instructions in the application package
to ensure they properly indicate in their
application their status as a novice or
non-novice applicant.
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VI. Award Administration Information
1. Award Notices: If your application
is successful, we notify your U.S.
Representative and U.S. Senators and
send you a Grant Award Notification
(GAN). We may notify you informally,
also.
If your application is not evaluated or
not selected for funding, we notify you.
2. Administrative and National Policy
Requirements: We identify
administrative and national policy
requirements in the application package
and reference these and other
requirements in the Applicable
Regulations section of this notice.
We reference the regulations outlining
the terms and conditions of an award in
the Applicable Regulations section of
this notice and include these and other
specific conditions in the GAN. The
GAN also incorporates your approved
application as part of your binding
commitments under the grant.
3. Reporting: At the end of your
project period, you must submit a final
performance report, including financial
information, as directed by the
Secretary. If you receive a multi-year
award, you must submit an annual
performance report that provides the
most current performance and financial
expenditure information as directed by
the Secretary under 34 CFR 75.118. The
Secretary may also require more
frequent performance reports under 34
CFR 75.720(c). For specific
requirements on reporting, please go to
www.ed.gov/fund/grant/apply/
appforms/appforms.html.
4. Performance Measures: Under the
Government Performance and Results
Act of 1993 (GPRA), the Department has
developed the following performance
measures for evaluating the overall
effectiveness of the Native Hawaiian
Education program:
(1) The percentage of Native Hawaiian
students in schools served by the
program who meet or exceed
proficiency standards in reading,
mathematics, and science on the State
assessments;
(2) The percentage of Native Hawaiian
children participating in early education
programs who consistently demonstrate
school readiness in literacy as measured
by the Hawaii School Readiness
Assessment (HSRA);
(3) The percentage of students in
schools served by the program who
graduate from high school with a regular
high school diploma in four years; and
(4) The percentage of students
participating in a Hawaiian language
program conducted under the Native
Hawaiian Education Program who meet
or exceed proficiency standards in
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reading on a test of the Hawaiian
language.
All grantees will be expected to
submit an annual performance report
that includes data addressing these
performance measures, to the extent that
they apply to the grantee’s project.
VII. Agency Contact
For Further Information Contact:
Joanne Osborne, U.S. Department of
Education, 400 Maryland Avenue, SW.,
room 3E214, Washington, DC 20202–
6200. Telephone: (202) 401–1265 or by
e-mail: joanne.osborne@ed.gov.
If you use a TDD, call the FRS, toll
free, at 1–800–877–8339.
VIII. Other Information
Accessible Format: Individuals with
disabilities can obtain this document
and a copy of the application package in
an accessible format (e.g., Braille, large
print, audiotape, or computer diskette)
on request to the program contact
person listed under FOR FURTHER
INFORMATION CONTACT in section VII of
this notice.
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: www.ed.gov/news/
fedregister.
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: gpoaccess.gov/nara/.
Dated: January 16, 2009.
Kerri L. Briggs,
Assistant Secretary for Elementary and
Secondary Education.
[FR Doc. E9–1524 Filed 1–22–09; 8:45 am]
BILLING CODE 4000–01–P
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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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
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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
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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: https://www.ed.gov/
news/fedregister/.
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: https://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.
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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 MathScience, 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.
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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:
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(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 granteelevel 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
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4167
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
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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.
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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:
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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.
The retention and disposal of records
associated with the TRIO APR system is
currently unscheduled pending
National Archives and Records
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Administration (NARA) approval of a
records retention schedule. Until a
NARA-approved records schedule is in
effect, no records will be destroyed.
[FR Doc. E9–1261 Filed 1–22–09; 8:45 am]
BILLING CODE 4000–01–P
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]]>Agencies
[Federal Register Volume 74, Number 14 (Friday, January 23, 2009)]
[Notices]
[Pages 4165-4168]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-1261]
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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: https://
www.ed.gov/news/fedregister/.
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: https://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
